(2)
Consists of 50,000 outstanding shares of our common stock and 1,062,500 shares of our common stock issuable upon exercise of outstanding options within 60 days of April 1, 2019. Does not include 1,137,500 shares of our common stock underlying options that will not vest within 60 days of April 1, 2019.
(3)
Consists of shares of our common stock held by EBC Holdings Ltd., an investment company wholly-owned by Mr. Bronfeld.
(4)
Consists of 185,000 outstanding shares of our common stock and 467,500 shares of our common stock issuable upon exercise of outstanding options within 60 days of April 1, 2019. Does not include 612,500 shares of our common stock underlying options that will not vest within 60 days of April 1, 2019.
(5)
Consists of 195,000 outstanding shares of our common stock and 467,500 shares of our common stock issuable upon exercise of outstanding options within 60 days of April 1, 2019. Does not include 612,500 shares of our common stock underlying options that will not vest within 60 days of April 1, 2019.
(6)
Consists of 199,563 outstanding shares of our common stock held and 240,000 shares of our common stock issuable upon exercise of outstanding options within 60 days of April 1, 2019. Does not include 525,000 shares of our common stock underlying options that will not vest within 60 days of April 1, 2019.
(7)
Consists of 795,916 outstanding shares of our common stock and 507,500 shares of our common stock issuable upon exercise of outstanding options within 60 days of April 1, 2019. Does not include 612,500 shares of our common stock underlying options that will not vest within 60 days of April 1, 2019.
(8)
Consists of 3,589,640 outstanding shares of our common stock and 2,895,000 shares of our common stock issuable upon exercise of outstanding options within 60 days of April 1, 2019. Does not include 3,500,000 shares of our common stock underlying options that will not vest within 60 days of April 1, 2019.
(9)
The principal business office of Highbridge Capital Management LLC, or Highbridge is 40 West 57
th
Street, 32
nd
Floor, New York, New York 10019. Holdings are based on a Form 13F-HR filed by Highbridge on February 14, 2019 for December 31, 2018. Consists of 16,468,605 shares of common stock issuable upon conversion of convertible notes held by funds managed by Highbridge. Each such note is subject to a blocker provision of such notes pursuant to which the holder of each such note does not have the right to convert the note to the extent that such conversion would result in beneficial ownership by the holder thereof, together with any persons whose beneficial ownership of the common stock would be aggregated with such holder’s for purposes of Section 13(d) or Section 16 of the Exchange Act, for more than 9.99% of the common stock, and, accordingly, the disclosed amounts do not include shares that exceed the blocker provision.
(10)
The address of UBS O’Connor LLC, or UBS O’Connor, is One North Wacker Drive, 32
nd
Floor, Chicago, Illinois 60606. Based solely on a Schedule 13G/A filed on February 12, 2019 for December 31, 2018 by UBS O’Connor, Kevin Russell, or Mr. Russell, and Andrew Martin, or Mr. Martin, and on a Schedule 13F-HR filed by UBS O’Connor on February 15, 2019 for December 31, 2018. UBS O’Connor serves as the investment manager to Nineteen77 Global Multi-Strategy Alpha Master Limited, or GLEA. In such capacity, UBS O’Connor exercises voting and investment power over the shares of common stock held for the account of GLEA. Mr. Russell is the Chief Investment Officer of UBS O’Connor and Mr. Martin is a Portfolio Manager for O’Connor, and each also exercises voting and investment power over the shares of common stock held for the account of GLEA. As a result, each of UBS O’Connor, Mr. Russell and Mr. Martin may be deemed to have beneficial ownership of the shares of common stock held for the account of GLEA. Includes 9,411,764 shares of common stock issuable upon conversion of a convertible note held by GLEA.