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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 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. | |||
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. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Oliviero James F III 2 GANSEVOORT ST, 9TH FLOOR NEW YORK, NY 10014 |
CEO and President |
/s/ James F. Oliviero, III | 02/01/2018 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(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 shares of restricted stock vest as follows: one-half on January 30, 2020, one-fourth on January 30, 2021 and one-fourth on January 30, 2022. |
(2) | Includes (a) 1,000,000 shares of restricted stock that were granted on October 13, 2015, as previously reported, and are scheduled to vest as follows: (i) 444,444 shares on October 13, 2019; (ii) 222,222 shares on the later of April 1, 2019 or the Company's achievement of market capitalization goals; and (iii) 333,334 shares on the Company's achievement of goals relating to corporate development transactions and/or FDA approval; (b) 325,000 shares of restricted stock that were granted on December 15, 2016, as previously reported, and are scheduled to vest as follows: (i) 243,750 shares on December 15, 2019; and (ii) 81,250 shares on December 15, 2020; and (c) the 325,000 shares of restricted stock that were granted on January 30, 2018, as reported herein. |