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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 | ||||||||
Employee Stock Option (Right to Buy) | $ 2.26 | 01/25/2017 | A | 100,000 | (2) | 01/24/2027 | Common Stock | 100,000 | $ 0 | 100,000 | D | ||||
Restricted Stock Units | (1) | 01/25/2017 | A | 35,000 | (3) | (3) | Common Stock | 35,000 | $ 0 | 35,000 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Garner Elizabeth 101 POOR FARM ROAD PRINCETON, NJ 08540 |
Sr. VP & Chief Medical Officer |
/s/ Scott M. Coiante, Attorney-in-Fact | 01/27/2017 | |
**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) | Each restricted stock unit represents a contingent right to receive one share of common stock. |
(2) | This option was granted on January 25, 2017. 25% of the shares subject to the stock option vest on January 25, 2018, and the remaining shares vest in 36 substantially equal monthly installments over the following three years such that the option will be fully vested on January 25, 2021. |
(3) | The restricted stock units were granted on January 25, 2017 and vest as follows: 17,500 units will vest and be delivered on January 25, 2018, and 17,500 units will vest and be delivered on January 25, 2019. |