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 |
Series F Convertible Preferred Stock
|
Â
(1)
|
Â
(1)
|
Common Stock
|
1,745,277
|
$
(1)
|
I
|
by Kapital Joe
(3)
(4)
|
Series F Convertible Preferred Stock
|
Â
(1)
|
Â
(1)
|
Common Stock
|
1,745,277
|
$
(1)
|
I
|
by Mascara Kaboom
(3)
(4)
|
Series F Convertible Preferred Stock
|
Â
(1)
|
Â
(1)
|
Common Stock
|
24,453
|
$
(1)
|
I
|
by JPK 2008
(3)
(4)
|
Series F Convertible Preferred Stock
|
Â
(1)
|
Â
(1)
|
Common Stock
|
178,794
|
$
(1)
|
I
|
by JPK 2009
(3)
(4)
|
Series F Convertible Preferred Stock
|
Â
(1)
|
Â
(1)
|
Common Stock
|
73,433
|
$
(1)
|
I
|
by JPK 2012
(3)
(4)
|
Series F Convertible Preferred Stock
|
Â
(1)
|
Â
(1)
|
Common Stock
|
11,318
|
$
(1)
|
I
|
by Kellie L. Banks LTT
(3)
(4)
|
Series F Convertible Preferred Stock
|
Â
(1)
|
Â
(1)
|
Common Stock
|
24,453
|
$
(1)
|
I
|
by MGK 2008
(3)
(4)
|
Series F Convertible Preferred Stock
|
Â
(1)
|
Â
(1)
|
Common Stock
|
207,020
|
$
(1)
|
I
|
by MGK 2009
(3)
(4)
|
Series F Convertible Preferred Stock
|
Â
(1)
|
Â
(1)
|
Common Stock
|
80,907
|
$
(1)
|
I
|
by MGK 2011
(3)
(4)
|
Series F Convertible Preferred Stock
|
Â
(1)
|
Â
(1)
|
Common Stock
|
85,580
|
$
(1)
|
I
|
by Incentive 2010
(3)
(4)
|
Series F Convertible Preferred Stock
|
Â
(1)
|
Â
(1)
|
Common Stock
|
171,161
|
$
(1)
|
I
|
by Senior Staff 2008
(3)
(4)
|
Series F Convertible Preferred Stock
|
Â
(1)
|
Â
(1)
|
Common Stock
|
171,161
|
$
(1)
|
I
|
by Staff 2010
(3)
(4)
|
Series F Convertible Preferred Stock
|
Â
(1)
|
Â
(1)
|
Common Stock
|
22,566
|
$
(1)
|
I
|
by ZSK 2008
(3)
(4)
|
Series F Convertible Preferred Stock
|
Â
(1)
|
Â
(1)
|
Common Stock
|
18,866
|
$
(1)
|
I
|
by ZSK 2009
(3)
(4)
|
Series E Convertible Preferred Stock
|
Â
(2)
|
Â
(2)
|
Common Stock
|
1,701,003
|
$
(2)
|
I
|
by R.J. Kirk DOT
(3)
(4)
|
Series E Convertible Preferred Stock
|
Â
(2)
|
Â
(2)
|
Common Stock
|
2,870,725
|
$
(2)
|
I
|
by Kapital Joe
(3)
(4)
|
Series E Convertible Preferred Stock
|
Â
(2)
|
Â
(2)
|
Common Stock
|
2,640,040
|
$
(2)
|
I
|
by Mascara Kaboom
(3)
(4)
|
Series E Convertible Preferred Stock
|
Â
(2)
|
Â
(2)
|
Common Stock
|
1,741,497
|
$
(2)
|
I
|
by NRM VI Holdings
(3)
(4)
|
Series E Convertible Preferred Stock
|
Â
(2)
|
Â
(2)
|
Common Stock
|
1,095,634
|
$
(2)
|
I
|
by Senior Staff 2008
(3)
(4)
|
Series E Convertible Preferred Stock
|
Â
(2)
|
Â
(2)
|
Common Stock
|
1,095,634
|
$
(2)
|
I
|
by Staff 2010
(3)
(4)
|
Series E Convertible Preferred Stock
|
Â
(2)
|
Â
(2)
|
Common Stock
|
547,817
|
$
(2)
|
I
|
by Incentive 2010
(3)
(4)
|
Series E Convertible Preferred Stock
|
Â
(2)
|
Â
(2)
|
Common Stock
|
28,560
|
$
(2)
|
I
|
by JPK 2008
(3)
(4)
|
Series E Convertible Preferred Stock
|
Â
(2)
|
Â
(2)
|
Common Stock
|
241,357
|
$
(2)
|
I
|
by JPK 2009
(3)
(4)
|
Series E Convertible Preferred Stock
|
Â
(2)
|
Â
(2)
|
Common Stock
|
28,560
|
$
(2)
|
I
|
by MGK 2008
(3)
(4)
|
Series E Convertible Preferred Stock
|
Â
(2)
|
Â
(2)
|
Common Stock
|
256,105
|
$
(2)
|
I
|
by MGK 2009
(3)
(4)
|
Series E Convertible Preferred Stock
|
Â
(2)
|
Â
(2)
|
Common Stock
|
258,592
|
$
(2)
|
I
|
by MGK 2011
(3)
(4)
|
Series E Convertible Preferred Stock
|
Â
(2)
|
Â
(2)
|
Common Stock
|
23,410
|
$
(2)
|
I
|
by ZSK 2008
(3)
(4)
|
Series E Convertible Preferred Stock
|
Â
(2)
|
Â
(2)
|
Common Stock
|
22,005
|
$
(2)
|
I
|
by ZSK 2009
(3)
(4)
|
Series E Convertible Preferred Stock
|
Â
(2)
|
Â
(2)
|
Common Stock
|
108,844
|
$
(2)
|
I
|
by Alana Czypinski
(4)
|
* |
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 Series F Convertible Preferred Stock is convertible into Common Stock on a 1-for-1.75 basis into the number of shares of Common Stock as shown in column 3 at any time at the holder's election, and automatically upon (i) the closing of the Issuer's firm commitment underwritten initial public offering in the event it results in net proceeds of at least $100,000,000 and (ii) upon the election of the holders of a majority of the then outstanding shares of such series. Upon conversion, all dividends that have accrued with respect to the Series F Preferred Stock will convert into shares of Common Stock at the then current fair market value. The Series F Convertible Preferred Stock has no expiration date. |
(2) |
The Series E Convertible Preferred Stock is convertible into Common Stock on a 1-for-1.75 basis into the number of shares of Common Stock as shown in column 3 at any time at the holder's election, and automatically upon (i) the closing of the Issuer's firm commitment underwritten initial public offering in the event it results in net proceeds of at least $100,000,000 and (ii) upon the election of the holders of a majority of the then outstanding shares of such series. Upon conversion, all dividends that have accrued with respect to the Series E Preferred Stock will convert into shares of Common Stock at the then current fair market value. The Series E Convertible Preferred Stock has no expiration date. |
(3) |
Randal J. Kirk controls each of Kapital Joe, LLC ("Kapital Joe"), Mascara Kaboom, LLC ("Mascara Kaboom"), JPK 2008 LLC ("JPK 2008"), JPK 2009 LLC ("JPK 2009"), JPK 2012 LLC ("JPK 2012"), the Kellie L. Banks (2009) Long Term Trust ("Kellie L. Banks LTT"), MGK 2008 LLC ("MGK 2008"), MGK 2009 LLC ("MGK 2009"), MGK 2011 LLC ("MGK 2011"), Third Security Incentive 2010 LLC ("Incentive 2010"), Third Security Senior Staff 2008 LLC ("Senior Staff 2008"), Third Security Staff 2010 LLC ("Staff 2010"), ZSK 2008 LLC ("ZSK 2008"), ZSK 2009 LLC ("ZSK 2009"), R.J. Kirk Declaration of Trust ("R.J. DOT") and NRM VI Holdings I, LLC ("NRM VI Holdings"). |
(4) |
The indicated shares may be deemed to be indirectly beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein. |