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 |
Stock Option (Right to Buy)
|
Â
(2)
|
03/24/2016 |
Common Stock
|
23,529
|
$
5.31
|
D
|
Â
|
Warrant (Right to Purchase Common Stock)
|
04/22/2005 |
04/22/2015 |
Common Stock
|
17,647
|
$
5.31
|
D
|
Â
|
Warrant (Right to Purchase Common Stock)
|
12/15/2005 |
12/15/2010 |
Common Stock
|
11,764
|
$
5.31
|
D
|
Â
|
Series D Convertible Preferred Stock
|
Â
(3)
|
Â
(3)
|
Common Stock
|
43,601
(4)
|
$
(3)
|
I
|
By DJB Holdings, LLC
(1)
|
Warrant (Right to Purchase Common Stock)
|
06/30/2004 |
06/30/2009 |
Common Stock
|
18,823
|
$
5.31
|
I
|
By DJB Holdings, LLC
(1)
|
Series D Convertible Preferred Stock
|
Â
(3)
|
Â
(3)
|
Common Stock
|
21,764
(4)
|
$
(3)
|
I
|
By WB Partners, LP
(5)
|
Warrant (Right to Purchase Common Stock)
|
05/01/2005 |
05/01/2010 |
Common Stock
|
4,352
|
$
8.5
|
I
|
By WB Partners, LP
(5)
|
* |
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) |
Mr. Barone is the managing member of DJB Holdings, LLC and has sole voting and investment power with respect to the securities. |
(2) |
This option vests and becomes exercisable in 48 equal installments on each monthly anniversary of the date of grant (March 24, 2006). |
(3) |
Immediately following the closing of the initial public offering of the Issuer?s Common Stock all outstanding shares of Preferred Stock will be automatically converted, for no additional consideration, into shares of the Issuer's Common Stock. |
(4) |
Reflects a 1 for 4.25 reverse stock split, effected prior to the effectiveness of the registration statement filed in connection with the Issuer?s initial public offering, pursuant to which each share of Series D Convertible Preferred Stock will become convertible into approximately 0.235 of a share of common stock. |
(5) |
Mr. Barone is a general partner of WB Partners, LP. Mr. Barone disclaims beneficial ownership of the securities held directly by WB Partners, LP, except to the extent of any indirect pecuniary interest in his distributive share therein. |