SEC Form 4 · accession 0001555667-15-000015
TerraVia Holdings, Inc. · TVIA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
Jonathan S Wolfson
Officer — Chief Executive Officer · Director
Period of report
Feb 19, 2015
Accepted (ET)
Feb 20, 2015 · 6:10 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001311230
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (right to buy)F2,F1 | $8.77 | Feb 19, 2015 | D | 150,000 | D | — | Mar 8, 2021 | Common Stock | 150,000 | 0 | D |
| Employee Stock Option (right to buy)F2,F3 | $2.50 | Feb 19, 2015 | A | 75,000 | A | — | Mar 8, 2021 | Common Stock | 75,000 | 75,000 | D |
| Employee Stock Option (right to buy)F5,F4 | $11.49 | Feb 19, 2015 | D | 250,000 | D | — | Feb 10, 2022 | Common Stock | 250,000 | 0 | D |
| Employee Stock Option (right to buy)F5,F3 | $2.50 | Feb 19, 2015 | A | 125,000 | A | — | Feb 10, 2022 | Common Stock | 125,000 | 125,000 | D |
| Employee Stock Option (right to buy)F7,F6 | $8.35 | Feb 19, 2015 | D | 140,000 | D | — | Feb 24, 2023 | Common Stock | 140,000 | 0 | D |
| Employee Stock Option (right to buy)F7,F8 | $2.50 | Feb 19, 2015 | A | 70,001 | A | — | Feb 24, 2023 | Common Stock | 70,001 | 70,001 | D |
| Employee Stock Option (right to buy)F10,F9 | $11.11 | Feb 19, 2015 | D | 140,000 | D | — | Feb 11, 2024 | Common Stock | 140,000 | 0 | D |
| Employee Stock Option (right to buy)F10,F11 | $2.50 | Feb 19, 2015 | A | 70,001 | A | — | Feb 11, 2024 | Common Stock | 70,001 | 70,001 | D |
Explanation of responses
- F1The option provided for monthly vesting as to 1/48 of the underlying shares beginning on March 9, 2011.
- F10On February 19, 2015, the issuer canceled, pursuant to the issuer's option exchange program, an option for 140,000 shares of SZYM common stock granted to the reporting person on February 12, 2014. In exchange, the reporting person received a replacement option, for 70,001 shares, having an excercise price of $2.58 a share.
- F11The option vests as to 35,000 shares on January 1, 2016 and as to 1/48 of the underlying shares monthly thereafter.
- F2On February 19, 2015, the issuer canceled, pursuant to the issuer's option exchange program, an option for 150,000 shares of SZYM common stock granted to the reporting person on March 9, 2011. In exchange, the reporting person received a replacement option, for 75,000 shares, having an excercise price of $2.58 a share.
- F3The option vests in full on January 1, 2016.
- F4The option provided for monthly vesting as to 1/48 of the underlying shares beginning on January 1, 2012.
- F5On February 19, 2015, the issuer canceled, pursuant to the issuer's option exchange program, an option for 250,000 shares of SZYM common stock granted to the reporting person on February 11, 2012. In exchange, the reporting person received a replacement option, for 125,000 shares, having an excercise price of $2.58 a share.
- F6The option provided for monthly vesting as to 1/48 of the underlying shares beginning on January 1, 2013.
- F7On February 19, 2015, the issuer canceled, pursuant to the issuer's option exchange program, an option for 140,000 shares of SZYM common stock granted to the reporting person on February 25, 2013. In exchange, the reporting person received a replacement option, for 70,001 shares, having an excercise price of $2.58 a share.
- F8The option vests as to 52,500 shares on January 1, 2016 and as to 1/48 of the underlying shares monthly thereafter.
- F9The option provided for monthly vesting as to 1/48 of the underlying shares beginning on January 1, 2014.