UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF 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. | SEC 1473 (7-02) | ||
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. |
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) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Stock Option | Â (1) | 12/21/2024 | Common Stock | 40,000 | $ 2.86 | D | Â |
Stock Option | Â (1) | 12/09/2018 | Common Stock | 4,167 | $ 8.16 | D | Â |
Stock Option | Â (2) | 10/13/2018 | Common Stock | 4,167 | $ 5.31 | D | Â |
Stock Option | Â (3) | 11/28/2018 | Common Stock | 4,167 | $ 6.96 | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Jantzen Beth 50 HEALTH SCIENCES DRIVE STONY BROOK, NY 11790 |
 |  |  Chief Financial Officer |  |
/s/ Beth Jantzen | 02/23/2015 | |
**Signature of Reporting Person | Date |
* | 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 options and warrants are fully vested and exercisable. |
(2) | 25% of these options will vest and become exercisable each anniversary over four years, commencing on 10/14/14, one year from the date of grant. |
(3) | 25% of these options will vest and become exercisable each anniversary over four years, commencing on 11/29/14, one year from the date of grant. |
 Remarks: Exhibit List - Exhibit 24-Limited Power of Attorney for Section 16(a) Reporting. |