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 |
Warrant (Right to Buy)
|
05/11/2012 |
05/10/2016 |
Common Stock
|
5,000
|
$
2.6
|
I
(3)
|
Borlaug Limited
|
Stock Option (Right to Buy)
|
05/25/2012 |
05/25/2016 |
Common Stock
|
20,000
|
$
3
|
I
(2)
|
Borlaug Limited
|
Stock Option (Right to Buy)
|
11/25/2012 |
11/25/2016 |
Common Stock
|
20,000
|
$
3
|
I
(2)
|
Borlaug Limited
|
Stock Option (Right to Buy)
|
05/25/2013 |
05/25/2017 |
Common Stock
|
20,000
|
$
4
|
I
(2)
|
Borlaug Limited
|
Stock Option (Right to Buy)
|
11/25/2013 |
11/25/2017 |
Common Stock
|
20,000
|
$
4
|
I
(2)
|
Borlaug Limited
|
Stock Option (Right to Buy)
|
05/25/2014 |
05/25/2018 |
Common Stock
|
20,000
|
$
5
|
I
(2)
|
Borlaug Limited
|
Stock Option (Right to Buy)
|
11/25/2014 |
11/25/2018 |
Common Stock
|
20,000
|
$
5
|
I
(2)
|
Borlaug Limited
|
Stock Option (Right to Buy)
|
12/13/2012 |
12/13/2015 |
Common Stock
|
50,000
|
$
3.01
|
I
(2)
|
Borlaug Limited
|
Warrant (Right to Buy)
|
11/25/2013 |
11/25/2018 |
Common Stock
|
4,290
|
$
2.4
|
I
(3)
|
Borlaug Limited
|
Warrant (Right to Buy)
|
02/26/2014 |
02/26/2019 |
Common Stock
|
10,000
|
$
2.2
|
D
|
Â
|
Stock Option (Right to Buy)
|
02/18/2015 |
02/18/2019 |
Common Stock
|
65,000
|
$
2.5
|
I
(2)
|
Borlaug Limited
|
Stock Option (Right to Buy)
|
02/18/2016 |
02/18/2020 |
Common Stock
|
65,000
|
$
3
|
I
(2)
|
Borlaug Limited
|
Stock Option (Right to Buy)
|
01/23/2016 |
01/23/2020 |
Common Stock
|
55,000
|
$
4
|
I
(2)
|
Borlaug Limited
|
* |
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 are owned of record by Borlaug Limited, which is a consulting firm. Dr. Micallef is a controlling director of Borlaug Limited and has voting and dispositive control over these shares. However, Dr. Micallef disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein. |
(2) |
These options to purchase Common Stock were granted pursuant to the Issuer's 2011 Equity Incentive Plan dated November 17, 2011, and are owned of record by Borlaug Limited, which is a consulting firm. Dr. Micallef is a controlling director of Borlaug Limited and has voting and dispositive control over the Common shares issuable to Borlaug Limited upon the exercise of these options. However, Dr. Micallef disclaims beneficial ownership of these Options and Warrants except to the extent of his pecuniary interest therein. |
(3) |
These Common Stock Warrants are owned of record by Borlaug Limited, which is a consulting firm. Dr. Micallef is a controlling director of Borlaug Limited and has voting and dispositive control over the Common shares issuable to Borlaug Limited upon the conversion of these Warrants. However, Dr. Micallef disclaims beneficial ownership of these Options and Warrants except to the extent of his pecuniary interest therein. |