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(h) ☐
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A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);
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(i) ☐
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A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the
Investment Company Act of 1940 (15 U.S.C. 80a 3);
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(j) ☐
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Group, in accordance with § 240.13d-1(b)(1)(ii)(J).
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Item 4. Ownership.
Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1.
(a) Amount Beneficially Owned.
For each of Essex IX Fund, the Essex IX Fund GP and the Essex IX General Partner, 1,981,888.
For each of the Managers, 1,981,888 shares.
(b) Percent of Class.
The
following percentages are calculated based on 40,126,253 shares Common Stock outstanding on October 27, 2020, as set forth in the Issuers Form 10-Q filed with the Securities and Exchange Commission
on October 30, 2020.
For each of Essex IX Fund, the Essex IX Fund GP and the Essex IX General Partner, 4.94%.
For each of the Managers, 4.94%.
(c) Number of shares as to which such person has:
(i) Sole power to vote or to direct the vote:
For each of Essex IX Fund, the Essex IX Fund GP and the Essex IX General Partner, 1,981,888 shares.
(ii) Shared power to vote or to direct the vote:
For each of the Managers, 1,981,888 shares.
(iii) Sole power to dispose or to direct the disposition of:
For each of Essex IX Fund, the Essex IX Fund GP and the Essex IX General Partner, 1,981,888 shares.
(iv) Shared power to dispose or to direct the disposition of:
For each of the Managers, 1,981,888 shares.