1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security |
5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
Restricted Stock Units
|
Â
(1)
|
Â
(1)
|
Common Stock, par value $.01
|
9,877
|
$
0
(1)
|
D
|
Â
|
Stock Option (Right to Buy)
|
Â
(2)
|
12/14/2021 |
Common Stock, par value $.01
|
27,286
|
$
7.33
|
D
|
Â
|
125% Warrants to purchase Common Stock, par value $.01
|
09/03/2013 |
09/03/2018 |
Common Stock, par value $.01
|
284
|
$
14.93
|
D
|
Â
|
135% Warrants to purchase Common Stock, par value $.01
|
09/03/2013 |
09/03/2018 |
Common Stock, par value $.01
|
284
|
$
16.12
|
D
|
Â
|
* |
If the form is filed by more than one reporting person, see Instruction 5(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) |
Except as otherwise provided in the award notice, these restricted stock units, which convert on a one-to-one basis, vest one-third on each of the first three anniversaries of the 12/15/2014 grant date, subject to Ms. Underberg's continuous employment with the Company. |
(2) |
Except as otherwise provided in the award notice, this stock option vests one-third on each of the first three anniversaries of the 12/15/2014 grant date, subject to Ms. Underberg's continuous employment with the Company. |