*
Less than 1%.
(1)
Percentage represents beneficial ownership percentage of common stock calculated in accordance with SEC rules and does not equate to voting percentages. Based upon 328,857,140 shares of common stock issued and outstanding as of January 3, 2017. Beneficial ownership is determined in accordance with the rules of the Securities and Exchange Commission. In computing the number of shares of common stock beneficially owned and the percentage of ownership of such person, we deemed to be outstanding all shares of common stock and preferred stock subject to options and warrants currently exercisable or convertible, or exercisable or convertible within 60 days of the filing date of this proxy statement. However, we did not deem such shares outstanding for the purpose of computing the percentage ownership of any other person.
(2)
Consists of (i) 12,189 shares held by Dr. Boynton and (ii) 2,268,619 shares of common stock underlying options that are currently exercisable.
(3)
Consists of (i) 9,802 shares held by Dr. Bosch and (ii) 5,434,692 shares of common stock underlying options that are currently exercisable.
(4)
Consists of (i) 1,572,200 shares of common stock held by Ms. Powers; (ii) 804,145 shares of common stock held by Toucan Capital Fund III, L.P.; (iii) 2,211,784 shares of common stock held by Toucan Partners, LLC; (iv) 13,684,294 shares of common stock held by Cognate BioServices, Inc.; (v) 13,684,294 shares of common stock underlying warrants held by Cognate BioServices, Inc.; (vi) 2,941,176 shares of Series A Preferred Stock held by Cognate BioServices, Inc. and (vii) 5,200,865 shares of Series B Preferred Stock held by Cognate BioServices, Inc. Ms. Powers has voting and dispositive power over the securities owned by the Toucan entities and Cognate BioServices, Inc. Ms. Powers’ beneficial ownership excludes an aggregate of 81,420,410 warrants held by Cognate BioServices, Inc., subject to certain beneficial ownership limitations.
(5)
Consists of (i) 172,742 shares held by Mr. Goldman, (ii) 28,384 shares of common stock underlying currently exercisable warrants, and (iii) 93,535 shares of common stock underlying currently exercisable options.
(6)
Consists of (i) 1,365,031 shares held by Mr. Jasinowski and (ii) 642,857 shares of common stock underlying currently exercisable warrants.
(7)
Consists of (i) 13,684,294 shares of common stock and (ii) 6,919,801 shares of common stock underlying currently exercisable warrants. Linda Powers holds the voting and dispositive power over the shares held by Cognate BioServices, Inc. Cognate’s beneficial ownership excludes an aggregate of 81,420,410 warrants owned by Cognate, subject to certain beneficial ownership limitations.
Cognate and the Company have entered into a voting agreement pursuant to which Cognate has agreed to vote its shares of common stock and preferred stock owned during the term of such voting agreement, in accordance with the recommendations of the Company’s Board with respect to any amendment of the Company’s certificate of incorporation as the Board may deem necessary or appropriate to increase the Company’s authorized common stock or preferred stock.
(8)
Upon information and belief, Neil Woodford holds the voting and dispositive power over the shares held by Woodford Investment Management LLP.
(9)
CF Woodford Equity Income Fund beneficially owns 18,316,679 shares of common stock.