SEC Form 4 · accession 0001140361-15-028591

· WINT

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — SVP, Chief Development Officer

Period of report

Jul 22, 2015

Accepted (ET)

Jul 24, 2015 · 4:37 pm EDT

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0000946486

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I	Nature of ownership
Common Stock^F1	Jul 22, 2015	P$0	16,667	—	A	16,687	D
Common Stock^F2	Mar 31, 2015	A	2,836	$1.19	A	8,168	I	By Trust
Common Stock^F2	Jun 30, 2015	A	4,964	$0.68	A	13,132	I	By Trust

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Series A Warrants (Right to Buy)^F3	$0.70	Jul 22, 2015	P	16,667	A	Jul 22, 2015	Jul 22, 2022	Common Stock	16,667	16,667	D

F1Common Stock in connection with the purchase of Series A units acquired in an underwritten public offering of Series A units and Series B units with a unit purchase price of $0.60. Each Series A unit consists of one share of common stock and one Series A warrant to purchase one share of common stock at an initial exercise price of $0.70 per share. Refer to Table II for related Series A warrant information.
F2Transaction reported on Table I represents Issuer's matching stock contribution pursuant to 401(k) plan.
F3Series A Warrants in connection with the purchase of Series A units acquired in an underwritten public offering of Series A units and Series B units with a unit purchase price of $0.60. Each Series A unit consists of one share of common stock and one Series A warrant to purchase one share of common stock at an initial exercise price of $0.70 per share. Refer to Table I for related common stock information.