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
(4)
|
07/17/2018 |
Common Stock
|
10,000
|
$
6.68
|
D
|
Â
|
Stock Option (right to buy)
|
Â
(5)
|
06/16/2019 |
Common Stock
|
10,000
|
$
8.72
|
D
|
Â
|
Stock Option (right to buy)
|
Â
(6)
|
09/26/2018 |
Common Stock
|
5,000
|
$
6.88
|
I
|
By spouse.
|
* |
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) |
These shares are held by George D. Yancopoulos and his successors, as Trustee of The Ronald A. DePinho and Lynda Chin Family Trust. George Yancopoulos is the trustee of this trust and he exercises sole voting and investment power over the shares held of record by such trusts. Dr. DePinho disclaims beneficial ownership over all such shares, except to the extent of his pecuniary interest therein. |
(2) |
These shares are held by George Yancopoulos and his successors, as Trustee of The Ronald DePinho and Lynda Chin Family Trust. George Yancopoulos is the trustee of this trust and he exercises sole voting and investment power over the shares held of record by such trusts. Dr. DePinho disclaims beneficial ownership over all such shares, except to the extent of his pecuniary interest therein. |
(3) |
These shares are held by Dr. DePinho's spouse. Dr. DePinho disclaims beneficial ownership over all such shares, except to the extent of his pecuniary interest therein. |
(4) |
This option first became exercisable on August 1, 2008 and vests over a two-year period in equal monthly installments. |
(5) |
This option first became exercisable on July 31, 2009 and vests over a one-year period in equal monthly installments. |
(6) |
This option is held by Dr. DePinho's spouse. Dr. DePinho disclaims beneficial ownership over the shares underlying such option, except to the extent of his pecuniary interest therein. The option first became exercisable on October 1, 2008 and vests over a two-year period in equal monthly installments. |