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 | ||||
Warrants | Â (3) | 06/02/2015 | Common Stock | 7,276 | $ 8.25 | I | See footnote (4) |
Stock Option | Â (3) | 11/29/2016 | Common Stock | 15,900 | $ 4.08 | D | Â |
Stock Option | Â (3) | 11/29/2017 | Common Stock | 7,204 | $ 10.79 | D | Â |
Stock Option | Â (3) | 10/16/2018 | Common Stock | 12,778 | $ 5.82 | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Bitzer John III 50 HEALTH SCIENCES DRIVE STONY BROOK, NY 11790 |
 X |  |  |  |
/s/ Beth Jantzen | 03/05/2015 | |
**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) | Consists of shares owned by Delabarta, Inc., a subsidiary of ABARTA, Inc. The reporting person disclaims beneficial ownership of the shares owned by Delabarta, Inc. except to the extent if his pecuniary interest therein through his ownership in ABARTA, Inc. |
(2) | Consists of shares owned by various trusts for the benefit of members of the reporting person's immediate family of which the reporting person is the trustee. The reporting person disclaims beneficial ownership of all such shares. |
(3) | Fully vested and exercisable. |
(4) | Consists of warrants held by Delabarta, Inc., a subsidiary of ABARTA, Inc. The reporting person disclaims beneficial ownership of the warrants (and underlying shares) owned by Delabarta, Inc., except to the extent of his pecuniary interest therein through his ownership in ABARTA, Inc. |