UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF 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. | SEC 1473 (7-02) | ||
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. |
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) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Option (Right to Buy) | Â (2) | 06/04/2018 | Common Stock | 2,500 | $ 3.2 | D | Â |
Option (Right to Buy) | Â (3) | 04/13/2025 | Common Stock | 2,500 | $ 7.6 | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Caron John H 480 NORTH ORLANDO AVENUE SUITE 200 WINTER PARK, FL 32789 |
 X |  |  |  |
By: /s/ LeAnn Hitchcock as attorney-in-fact for John H. Caron | 03/02/2016 | |
**Signature of Reporting Person | Date |
* | 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) | John H. Caron, as trustee, has voting power and investment power over the securities held by the John H. Caron 1999 Family Trust. |
(2) | These options to purchase shares were issued under the Issuer's May 2011 Equity Incentive Plan (the "Plan") and vest in 48 equal installments monthly over the 48 months following the grant date, June 4, 2013. The number of shares and exercise price reflect the 1-for-20 reverse stock split that was effected on January 11, 2016. |
(3) | These options to purchase shares were issued under the Plan and vest in 12 equal installments monthly over the 12 months following the grant date, April 13, 2015. The number of shares and exercise price reflect the 1-for-20 reverse stock split that was effected on January 11, 2016. |