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)
|
05/30/2003(1)
|
03/06/2013(2)
|
Common Stock
|
3,500
|
$
7.86
|
I
|
See Footnote
(3)
|
Stock Option (Right to Buy)
|
01/27/2005(1)
|
03/06/2013(2)
|
Common Stock
|
1,503
|
$
10.45
|
I
|
See Footnote
(3)
|
Stock Option (Right to Buy)
|
07/20/2005(1)
|
03/06/2013(2)
|
Common Stock
|
1,327
|
$
11.3
|
I
|
See Footnote
(3)
|
Stock Option (Right to Buy)
|
04/26/2006(1)
|
03/06/2013(2)
|
Common Stock
|
8,170
|
$
12.37
|
I
|
See Footnote
(3)
|
Stock Option (Right to Buy)
|
09/01/2008(4)
|
03/06/2013(2)
|
Common Stock
|
15,000
|
$
3.4
|
I
|
See Footnote
(3)
|
Stock Option (Right to Buy)
|
07/27/2009(4)
|
03/06/2013(2)
|
Common Stock
|
15,000
|
$
3
|
I
|
See Footnote
(3)
|
Stock Option (Right to Buy)
|
07/26/2010(4)
|
03/06/2013(2)
|
Common Stock
|
10,000
|
$
5.85
|
I
|
See Footnote
(3)
|
Stock Option (Right to Buy)
|
07/26/2011(4)
|
03/06/2013(2)
|
Common Stock
|
5,000
|
$
7.1
|
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) |
This option is fully exercisable. It vested over a five-year period at a rate of 20% on the anniversary of the date listed on the table, with the balance vesting in equal annual installments over the remaining four years. |
(2) |
Because the reporting person ceased serving on the Board of Directors of the Issuer as a representative of Housatonic Equity Investors L.P on December 6, 2012, such option will no longer be exercisable, and will be forfeited if not sooner exercised, as of March 6, 2013. The Reporting Person rejoined the Board of Directors of the Issuer on December 9, 2012 strictly in an individual capacity. |
(3) |
This option is held by Housatonic Equity Investors L.P. Housatonic Equity Partners I, LLC is the general partner of Housatonic Equity Investors L.P., and William N. Thorndike, Jr. is a managing director of Housatonic Equity Partners I, LLC and a limited partner of Housatonic Equity Investors L.P. In such capacities the reporting person may be deemed to share voting and investment power with respect to the securities held of record by Housatonic Equity Investors L.P. The reporting person disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein, if any, and the reporting herein of such securities shall not be construed as an admission of beneficial ownership thereof for purposes of Section 16 or for any other purpose. |
(4) |
This option is exercisable and vested to the extent set forth in column 3. To the extent the original grant was unvested on December 6, 2012, such portion of the grant was forfeited because the reporting person ceased serving on the Board of Directors of the Issuer as a representative of Housatonic Equity Investors L.P on such date. The Reporting Person rejoined the Board of Directors of the Issuer on December 9, 2012 strictly in an individual capacity. |