SEC Form 4/A · accession 0001555667-15-000016
TerraVia Holdings, Inc. · TVIA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Paul T Quinlan
Officer — General Counsel
Period of report
Feb 19, 2015
Accepted (ET)
Feb 23, 2015 · 7:42 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)F3,F1,F2 | $2.58 | Feb 19, 2015 | A | 20,000 | A | — | Dec 15, 2020 | Common Stock | 20,000 | 20,000 | D |
| Employee Stock Option (right to buy)F4,F1,F2 | $2.58 | Feb 19, 2015 | A | 30,000 | A | — | Mar 8, 2021 | Common Stock | 30,000 | 30,000 | D |
| Employee Stock Option (right to buy)F5,F1,F2 | $2.58 | Feb 19, 2015 | A | 50,000 | A | — | Feb 10, 2022 | Common Stock | 50,000 | 50,000 | D |
| Employee Stock Option (right to buy)F7,F1,F6 | $2.58 | Feb 19, 2015 | A | 25,001 | A | — | Feb 24, 2023 | Common Stock | 25,001 | 25,001 | D |
| Employee Stock Option (right to buy)F9,F1,F8 | $2.58 | Feb 19, 2015 | A | 27,500 | A | — | Feb 11, 2024 | Common Stock | 27,500 | 27,500 | D |
Explanation of responses
- F1The reporting person is amending the Form 4 originally filed to report this option grant, for the purposes of correcting the exercise price of the option.
- F2The option vests in full on January 1, 2016.
- F3On February 19, 2015, the issuer canceled, pursuant to the issuer's option exchange program, an option for 40,000 shares of SZYM common stock granted to the reporting person on December 16, 2010. In exchange, the reporting person received a replacement option, for 20,000 shares, having an excercise price of $2.58 a share.
- F4On February 19, 2015, the issuer canceled, pursuant to the issuer's option exchange program, an option for 60,000 shares of SZYM common stock granted to the reporting person on March 9, 2011. In exchange, the reporting person received a replacement option, for 30,000 shares, having an excercise price of $2.58 a share.
- F5On February 19, 2015, the issuer canceled, pursuant to the issuer's option exchange program, an option for 100,000 shares of SZYM common stock granted to the reporting person on February 11, 2012. In exchange, the reporting person received a replacement option, for 50,000 shares, having an excercise price of $2.58 a share.
- F6The option vests as to 18,750 shares on January 1, 2016 and as to 1/48 of the underlying shares monthly thereafter.
- F7On February 19, 2015, the issuer canceled, pursuant to the issuer's option exchange program, an option for 50,000 shares of SZYM common stock granted to the reporting person on February 25, 2013. In exchange, the reporting person received a replacement option, for 25,001 shares, having an excercise price of $2.58 a share.
- F8The option vests as to 13,750 shares on January 1, 2016 and as to 1/48 of the underlying shares monthly thereafter.
- F9On February 19, 2015, the issuer canceled, pursuant to the issuer's option exchange program, an option for 55,000 shares of SZYM common stock granted to the reporting person on February 12, 2014. In exchange, the reporting person received a replacement option, for 27,500 shares, having an excercise price of $2.58 a share.