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 or Section 30(h) of the Investment Company Act of 1940 |
|
| ||||||||||||||||||||||||||||||
|
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) |
||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Stock Option (right to buy) | (2) | 05/31/2029 | Common stock | 55,000 | $ 1.15 | D | |
Stock Option (right to buy) | (3) | 03/16/2030 | Common stock | 50,000 | $ 1.15 | D | |
Stock Option (right to buy) | (4) | 03/01/2031 | Common stock | 100,000 | $ 2.34 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
O'Malley Brendan M. 1330 AVENUE OF THE AMERICAS, 33RD FLOOR NEW YORK, NY 10019 |
SVP, General Counsel |
/s/ Brendan O'Malley | 09/22/2021 | |
**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) | Includes 130,113 shares of unvested restricted stock, which will vest on various dates between September 30, 2021 and March 1, 2025. |
(2) | The options vest 25% on May 31, 2020, and in 36 equal monthly installments thereafter. |
(3) | The options vest 25% on March 16, 2021, and in 36 equal monthly installments thereafter. |
(4) | The options vest 25% on March 1, 2022, and in 36 equal monthly installments thereafter. |