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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, 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. | |||
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 | ||||||||
Stock Option | $ 4.7 | (1) | 04/04/2021 | Common Stock | 4,000 | 4,000 | D | ||||||||
Stock Option | $ 4.7 | 06/24/2011 | 06/23/2021 | Common Stock | 150 | 150 | D | ||||||||
Stock Option | $ 4.7 | 11/16/2011 | 11/15/2021 | Common Stock | 1,000 | 1,000 | D | ||||||||
Stock Option | $ 4.7 | (2) | 02/09/2022 | Common Stock | 2,000 | 2,000 | D | ||||||||
Stock Option | $ 4.7 | (3) | 05/02/2022 | Common Stock | 5,500 | 5,500 | D | ||||||||
Stock Option | $ 4.7 | (4) | 12/07/2022 | Common Stock | 4,000 | 4,000 | D | ||||||||
Stock Option | $ 4.7 | (5) | 10/04/2023 | Common Stock | 5,000 | 5,000 | D | ||||||||
Stock Option | $ 4.7 | (6) | 02/18/2024 | Common Stock | 12,500 | 12,500 | D | ||||||||
Stock Option | $ 4.7 | 03/12/2014 | 03/11/2024 | Common Stock | 2,000 | 2,000 | D | ||||||||
Stock Option | $ 4.7 | 04/14/2014 | 05/02/2022 | Common Stock | 2,000 | 2,000 | D | ||||||||
Stock Option | $ 4.7 | (7) | 10/23/2024 | Common Stock | 37,500 | 37,500 | D | ||||||||
Stock Option | $ 4.7 | (8) | 09/04/2025 | Common Stock | 25,000 | 25,000 | D | ||||||||
Stock Option | $ 3.73 | (9) | 06/10/2026 | Common Stock | 60,000 | 60,000 | D | ||||||||
Stock Option | $ 2.8 | (10) | 07/12/2027 | Common Stock | 80,000 | 80,000 | D | ||||||||
Stock Option | $ 1.23 | 10/29/2018 | A | 100,000 | (11) | 10/29/2028 | Common Stock | 100,000 | $ 0 | 100,000 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Silva Francisco 40 MARCUS DRIVE MELVILLE, NY 11747 |
VP of Research and Development |
/s/ Francisco Silva | 10/30/2018 | |
**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 option is exercisable to the extent of 2,000 shares on each of April 5, 2011 and April 5, 2012. |
(2) | The option is exercisable to the extent of 1,000 shares on each of February 10, 2012 and February 10, 2013. |
(3) | The option is exercisable to the extent of 500 shares on each of May 3, 2013, May 3, 2014 and May 3, 2015, became exercisable to the extent of 1,000 shares based on the satisfaction of certain conditions and is exercisable to the extent of 3,000 shares subject to the satisfaction of certain conditions. |
(4) | The option is exercisable to the extent of 2,000 shares on each of December 7, 2012 and December 7, 2013. |
(5) | The option is exercisable to the extent of 2,500 shares on each of October 4, 2013 and October 4, 2014. |
(6) | The option is exercisable to the extent of 4,167 shares on each of February 18, 2014 and February 18, 2015, and 4,166 shares on February 18, 2016. |
(7) | The option is exercisable to the extent of 12,500 shares on each of October 23, 2015, October 23, 2016 and October 23, 2017. |
(8) | The option is exercisable to the extent of 8,334 shares on September 4, 2016 and 8,333 shares on each of September 4, 2017 and September 4, 2018. |
(9) | The option is exercisable to the extent of 20,000 shares on each of June 10, 2017, June 10, 2018 and June 10, 2019. |
(10) | The option is exercisable to the extent of 26,667 shares on each of July 12, 2018 and July 12, 2019, and 26,666 shares on July 12, 2020. |
(11) | The option is exercisable to the extent of 33,334 shares on October 29, 2019, and 33,333 shares on each of October 29, 2020 and October 29, 2021. |