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 |
Series D Convertible Preferred Stock
|
Â
(1)
|
Â
(1)
|
Common Stock
|
340,314
|
$
(1)
|
I
|
See Explanation of Responses
(2)
|
Series E Convertible Preferred Stock
|
Â
(1)
|
Â
(1)
|
Common Stock
|
141,797
|
$
(1)
|
I
|
See Explanation of Responses
(2)
|
Series E Convertible Preferred Stock Warrant (Right to Buy)
|
01/14/2015 |
01/14/2022 |
Series E Convertible Preferred Stock
|
2,784,593
(3)
|
$
0.2189
(3)
|
I
|
See Explanation of Responses
(2)
|
* |
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) |
The Series D Convertible Preferred Stock and Series E Convertible Preferred Stock are each convertible into Common Stock at any time at the holder's election and upon the consummation of a qualified public offering of the registrant. There is no expiration date for any series of preferred stock. |
(2) |
Shares are held by S.R. One Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline PLC (Reporting Person). |
(3) |
The 2,784,593 Series E Shares due upon exercise of the Warrants will convert automatically into 25,928 shares of Common Stock with an exercise price of $23.507 per share upon the closing of the Issuer's initial public offering. |