1. Title of Derivative Security (Instr. 4)
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2. Date Exercisable and Expiration Date (Month/Day/Year)
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3. Title and Amount of Securities Underlying Derivative Security (Instr. 4)
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4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5)
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6. Nature of Indirect Beneficial Ownership (Instr. 5)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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| Warrants to Purchase Ordinary Shares |
03/26/2014 |
03/26/2024 |
Ordinary Shares |
259,258 (1) (4) |
$ 7.5 |
D |
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| Warrants to Purchase Ordinary Shares |
03/26/2014 |
03/26/2024 |
Ordinary Shares |
249,000 (2) (4) |
$ 7.5 |
I |
See footnote (2) |
| Warrants to Purchase Ordinary Shares |
03/26/2014 |
03/26/2024 |
Ordinary Shares |
39,000 (3) (4) |
$ 7.5 |
I |
See footnote (3) |
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*
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If the form is filed by more than one reporting person, see Instruction 5(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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(1)
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Ordinary Shares and Warrants held by Allan S. Martin and his wife, Marie B. Martin, jointly.
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(2)
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Ordinary Shares and Warrants indirectly held in the name of Fleur de Lis Partners, LLLP. As the general partner of Fleur de Lis Partners, LLLP, Mr. Martin has voting and investment power over the ordinary shares and warrants held by that entity. The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of the reporting person's pecuniary interest in such securities.
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(3)
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Ordinary Shares and Warrants indirectly held in the name of the Martin Family Foundation, Inc. As one of the directors of the Foundation, Inc. Mr. Martin has shared voting and shared investment power over the ordinary shares and warrants held by that entity. The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of the reporting person's pecuniary interest in such securities.
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(4)
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On November 16, 2018, the Warrants issued as part of the units in the Company's April 2014 initial public offering, expiration date were extended until March 26, 2024.
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