SEC Form 4/A · accession 0001555667-15-000018
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
Jonathan S Wolfson
Officer — Chief Executive Officer · Director
Period of report
Feb 19, 2015
Accepted (ET)
Feb 23, 2015 · 7:43 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 | 75,000 | A | — | Mar 8, 2021 | Common Stock | 75,000 | 75,000 | D |
| Employee Stock Option (right to buy)F4,F1,F2 | $2.58 | Feb 19, 2015 | A | 125,000 | A | — | Feb 10, 2022 | Common Stock | 125,000 | 125,000 | D |
| Employee Stock Option (right to buy)F6,F1,F5 | $2.58 | Feb 19, 2015 | A | 70,001 | A | — | Feb 24, 2023 | Common Stock | 70,001 | 70,001 | D |
| Employee Stock Option (right to buy)F8,F1,F7 | $2.58 | Feb 19, 2015 | A | 70,001 | A | — | Feb 11, 2024 | Common Stock | 70,001 | 70,001 | 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 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.
- F4On 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.
- F5The option vests as to 52,500 shares on January 1, 2016 and as to 1/48 of the underlying shares monthly thereafter.
- F6On 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.
- F7The option vests as to 35,000 shares on January 1, 2016 and as to 1/48 of the underlying shares monthly thereafter.
- F8On 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.