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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 Award (2) | $ 3.17 | 05/24/2018 | A | 71,580 | (6) | 05/24/2028 | Common Stock | 71,580 | $ 0 | 71,580 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
LAVIOLETTE PAUL A ONE BOSTON PLACE 201 WASHINGTON STREET, SUITE 3900 BOSTON, MA 02108 |
X |
/s/ Joshua Weingard attorney-in-fact for Paul A. LaViolette | 05/29/2018 | |
**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) | Represents restricted stock units. Each restricted stock unit represents the right to receive one share of the Registrant's common stock. |
(2) | The Reporting Person elected to receive his annual board of directors' compensation in equity. |
(3) | The restricted stock units remain subject to forfeiture until the first anniversary of the date of grant or, if earlier, the date of the next annual meeting of stockholders, as long as the reporting person remains in continuous service during the vesting period. |
(4) | Shares held by SV Life Sciences Fund IV, L.P. Paul LaViolette is a partner of SVLSF IV, LLC and a control person of SV Life Sciences Fund IV, L.P. |
(5) | Shares held by by SV Life Sciences Fund IV Strategic Partners, L.P. Paul LaViolette is a control person of SV Life Sciences Fund IV Strategic Partners, L.P. |
(6) | The vesting schedule is 25% of the stock option award on each of July 1, 2018, October 1, 2018, January 1, 2019 and April 1, 2019. |