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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Common Stock Warrant (right to buy) | $ 4.1 | 08/07/2013 | M(1) | 29,248 | 05/01/2012 | 05/01/2017 | Common Stock | 29,248 | $ 0 | 0 | I | Sanderling Venture Partners VI Co-Investment Fund, L.P. | |||
Common Stock Warrant (right to buy) | $ 3.36 | 08/07/2013 | M(1) | 149,849 | 05/07/2012 | 05/07/2017 | Common Stock | 149,849 | $ 0 | 0 | I | Sanderling Venture Partners VI Co-Investment Fund, L.P. | |||
Common Stock Warrant (right to buy) | $ 1.98 | 08/07/2013 | M(1) | 75,759 | 03/29/2013 | 03/29/2018 | Common Stock | 75,759 | $ 0 | 0 | I | Sanderling Venture Partners VI Co-Investment Fund, L.P. | |||
Common Stock Warrant (right to buy) | $ 4.1 | 08/07/2013 | M(1) | 675 | 05/01/2012 | 05/01/2017 | Common Stock | 675 | $ 0 | 0 | I | Sanderling VI Limited Partnership | |||
Common Stock Warrant (right to buy) | $ 3.36 | 08/07/2013 | M(1) | 3,455 | 05/07/2012 | 05/07/2017 | Common Stock | 3,455 | $ 0 | 0 | I | Sanderling VI Limited Partnership | |||
Common Stock Warrant (right to buy) | $ 4.1 | 08/07/2013 | M(1) | 566 | 05/01/2012 | 05/01/2017 | Common Stock | 566 | $ 0 | 0 | I | Sanderling VI Beteiligungs GmbH & Co. KG | |||
Common Stock Warrant (right to buy) | $ 3.36 | 08/07/2013 | M(1) | 2,900 | 05/07/2012 | 05/07/2017 | Common Stock | 2,900 | $ 0 | 0 | I | Sanderling VI Beteiligungs GmbH & Co. KG |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
MIDDLETON FRED A 400 SOUTH EL CAMINO REAL SUITE 1200 SAN MATEO, CA 94402-1708 |
X |
/s/ Karen W. Duros, Attorney-in-Fact | 08/12/2013 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Corrects the transaction code included in the original Form 4, which should have been "M" ("Exercise or conversion of derivative security exempted pursuant to Rule 16b-3"). |
(2) | Corrects the transaction code included in the original Form 4, which should have been "F" ("Payment of exercise price or tax liability by delivering or holding securities incident to receipt, exercise or vesting of a security issued in accordance with Rule 16b-3"). |