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 |
Warrants to Purchase Common Stock
(2)
|
08/12/2008 |
08/12/2015 |
Common Stock
|
580,915
|
$
3.53
|
I
|
See Footnote
(2)
|
Warrants to Purchase Units
(3)
|
02/11/2009 |
08/11/2009 |
See Footnote
(4)
|
797,872
|
$
2.82
|
I
|
See Footnote
(3)
|
* |
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 shares of Common Stock, par value $0.001 per share ("Common Stock"), are held directly by Investor Growth Capital Limited ("Investor Growth Capital") and Investor Group, L.P. Investor Growth Capital is an indirect wholly-owned subsidiary of Investor AB. Investor Group, L.P. is a limited partnership of which Investor AB is the indirect general partner. Investor AB may be deemed to beneficially own the securities held by Investor Growth Capital and Investor Group, L.P. Investor AB disclaims beneficial ownership of such securities except to the extent of its pecuniary interest in such securities. |
(2) |
These warrants to purchase shares of Common Stock are held directly by Investor Growth Capital and Investor Group, L.P. Investor AB may be deemed to beneficially own the securities held by Investor Growth Capital and Investor Group, L.P. Investor AB disclaims beneficial ownership of such securities except to the extent of its pecuniary interest in such securities. |
(3) |
These warrants to purchase Units are held directly by Investor Growth Capital and Investor Group, L.P. Investor AB may be deemed to beneficially own the securities held by Investor Growth Capital and Investor Group, L.P. Investor AB disclaims beneficial ownership of such securities except to the extent of its pecuniary interest in such securities. |
(4) |
The Unit Warrants are exercisable for Units, which consist of one share of Common Stock plus a warrant to purchase 0.25 shares of Common Stock. The warrants underlying the Unit Warrants will, upon exercise, be immediately exercisable at a price of $3.53 per share and will expire on 8/12/2015. |