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) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
Series A Convertible Preferred Stock
|
Â
(1)
|
Â
(1)
|
Common Stock
|
98,135
|
$
0
(1)
|
D
|
Â
|
Series B Convertible Preferred Stock
|
Â
(1)
|
Â
(1)
|
Common Stock
|
29,367
|
$
0
(1)
|
D
|
Â
|
Series A Convertible Preferred Stock
|
Â
(1)
|
Â
(1)
|
Common Stock
|
397,809
|
$
0
(1)
|
I
|
Held by CLS I-IV, LLC
(4)
|
Series A Convertible Preferred Stock
|
Â
(1)
|
Â
(1)
|
Common Stock
|
4,771
|
$
0
(1)
|
I
|
Held by Charter Advisors Fund IV, L.P.
(5)
|
Series A Convertible Preferred Stock
|
Â
(1)
|
Â
(1)
|
Common Stock
|
15,130
|
$
0
(1)
|
I
|
Held by Charter Entrepreneurs Fund IV, L.P.
(6)
|
Series B Convertible Preferred Stock
|
Â
(1)
|
Â
(1)
|
Common Stock
|
351,691
|
$
0
(1)
|
I
|
Held by CLS I-IV, LLC
(4)
|
Series B Convertible Preferred Stock
|
Â
(1)
|
Â
(1)
|
Common Stock
|
4,218
|
$
0
(1)
|
I
|
Held by Charter Advisors Fund IV, L.P.
(5)
|
Series B Convertible Preferred Stock
|
Â
(1)
|
Â
(1)
|
Common Stock
|
13,376
|
$
0
(1)
|
I
|
Held by Charter Entrepreneurs Fund IV, L.P.
(6)
|
Preferred Stock Warrants (Right to Buy)
|
08/10/2005 |
Â
(2)
|
Series B Convertible Preferred Stock
(1)
|
8,810
|
$
5.43
|
D
|
Â
|
Preferred Stock Warrants (Right to Buy)
|
08/10/2005 |
Â
(2)
|
Series B Convertible Preferred Stock
(1)
|
34,833
|
$
5.43
|
I
|
Held by CLS I-IV, LLC
(4)
|
Preferred Stock Warrants (Right to Buy)
|
08/10/2005 |
Â
(2)
|
Series B Convertible Preferred Stock
(1)
|
661
|
$
5.43
|
I
|
Held by Charter Advisors Fund IV, L.P.
(5)
|
Preferred Stock Warrants (Right to Buy)
|
08/10/2005 |
Â
(2)
|
Series B Convertible Preferred Stock
(1)
|
1,865
|
$
5.43
|
I
|
Held by Charter Entrepreneurs Fund IV, L.P.
(6)
|
Stock Option (Right to Buy)
|
03/29/2002(3)
|
03/29/2011 |
Common Stock
|
11,315
|
$
0.57
|
D
|
Â
|
* |
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) |
The shares of Preferred Stock convert on a 1-for-1 basis into Common Stock upon the closing of the Issuer's initial public offering. |
(2) |
Warrants expire on August 10, 2006 (one year from the date of the Issuer's initial public offering). |
(3) |
Exercisable cumulatively at a rate of 25% per annum commencing on March 29, 2002 (one year from the date of grant). |
(4) |
Dr. Harrison is a manager of CLS I-IV, LLC and disclaims beneficial ownership of the securities held by this entity, except as to his pecuniary interest therein. |
(5) |
Dr. Harrison disclaims beneficial ownership of the securities held by this entity, except as to his pecuniary interest therein. |
(6) |
Dr. Harrison disclaims beneficial ownership of the securities held by this entity, except as to his pecuniary interest therein. |