1. Title of Derivate Security
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2. Conversion or Exercise Price of Derivative Security
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3. Transaction Date (Month/Day/Year)
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3A. Deemed Execution Date, if any (Month/Day/Year)
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4. Transaction Code
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
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8. Price of Derivative Security
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
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11. Nature of Indirect Beneficial Ownership
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expriation Date
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Title
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Amount or Number of Shares
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(*) |
If the form is filed by more than one reporting person, see Instruction 5(b)(v).
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(**) |
Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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(1) |
The option fully vested on June 11, 2019.
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(2) |
Pursuant to the terms of the merger agreement between issuer, GlaxoSmithKline plc ("GSK") and a subsidiary of GSK, this option was cancelled on the effective date of the merger.
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(3) |
The option fully vested on January 1, 2020.
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(4) |
The option fully vested on September 30, 2019.
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(5) |
The option fully vested on January 1, 2021.
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(6) |
The option fully vested on January 1, 2022.
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(7) |
The option vested as to 25% of the total shares on January 1, 2020, and then 2.0833% of the total shares vest monthly thereafter, with 100% of the total shares vested on January 1, 2023, subject to the reporting person's provision of service to the issuer on each vesting date.
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(8) |
The option vested as to 25% of the total shares on February 25, 2021, and then 2.0833% of the total shares vest monthly thereafter, with 100% of the total shares vested on February 25, 2024, subject to the Reporting Person's provision of service to the Issuer on each vesting date.
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(9) |
Pursuant to the terms of the merger agreement between issuer, GSK and a subsidiary of GSK, this option was cancelled on the effective date of the merger in exchange for a cash payment equal to, on a per share basis, the offer price of $55.00 less the exercise price.
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(10) |
On August 12, 2020, the Reporting Person was granted an option to purchase 49,000 shares of common stock. The option vests based on the satisfaction by Issuer of certain performance criteria.
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(11) |
The option vested as to 25% of the total shares subject to the option on March 15, 2022, and then 2.0833% of the shares subject to the option vest monthly thereafter, with 100% of the total shares subject to the option vested on March 15, 2025, subject to Reporting Person's provision of service to the Issuer on each vesting date.
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(12) |
The option vests as to 25% of the total shares subject to the option on March 14, 2023, and then 2.0833% of the shares subject to the option vest monthly thereafter, with 100% of the total shares subject to the option vested on March 14, 2026, subject to Reporting Person's provision of service to the Issuer on each vesting date.
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Note: File three copies of this Form, one of which must be manually signed. If space is insufficient,
Instruction 6 for procedure.Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB number.