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 |
Employee Stock Option (right to buy)
|
Â
(1)
|
03/09/2008 |
Common Stock
|
120,000
|
$
5.88
|
D
|
Â
|
Employee Stock Option (right to buy)
|
Â
(2)
|
05/18/2014 |
Common Stock
|
35,000
|
$
2.63
|
D
|
Â
|
Employee Stock Option (right to buy)
|
Â
(3)
|
02/28/2015 |
Common Stock
|
20,625
|
$
3
|
D
|
Â
|
Employee Stock Option (right to buy)
|
Â
(4)
|
08/28/2016 |
Common Stock
|
55,000
|
$
7.29
|
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 Option was granted on March 9, 1998. The option vested in equal installments over 5 years. The initial grant entitled Dr. Hou to purchase 200,000 shares. Currently, Dr. Hou has 120,000 shares remaining on the option. The option is fully vested. |
(2) |
The Option was granted on May 18, 2004. The option vests in four equal annual installments. The initial granted entitled Dr. Hou to purchase 70,000 shares. Currently, Dr. Hou has 35,000 shares (unvested) remaining on the option. |
(3) |
The Option was granted on February 28, 2005. The option vests in four equal annual installments. The initial granted entitled Dr. Hou to purchase 27,500 shares. Currently, Dr. Hou has 20,625 shares (unvested) remaining on the option. |
(4) |
The Option was granted on August 28, 2006. The option vests in four equal annual installments. The initial granted entitled Dr. Hou to purchase 55,000 shares. Currently, Dr. Hou has 55,000 shares (unvested) remaining on the option. |