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Shares Beneficially Owned
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Name of Beneficial Owners
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Number
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Percent
(1)
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5% Stockholders:
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Bank of NY Mellon Corp.
(17)
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31,451,359
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13.04%
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FMR LLC
(18)
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18,088,341
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7.50%
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JP Morgan Chase & Co.
(19)
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19,863,673
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8.23%
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T. Rowe Price Associates, Inc.
(20)
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21,522,345
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8.92%
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BlackRock, Inc.
(21)
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16,687,563
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5.92%
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The Vanguard Group
(22)
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13,295,496
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5.51%
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*
Represents less than 1% of the outstanding shares of our
common stock.
(1)
Applicable percentage of ownership is based on 241,221,840 shares of common stock outstanding as of April 22, 2019, as adjusted for
each stockholder.
(2)
Includes (i) 18,366,559 shares held by Mr. Finizio directly, (ii) 1,335,136 shares held indirectly by Mr. Finizio through a grantor-retained annuity trust, (iii) 664,864 shares held by Robert Finizio Revocable Trust, (iv) 2,011,807 shares issuable upon the exercise of vested stock options and (v) 179,000 shares issuable to Mr. Finizio upon the exercise of a
vested warrant.
(3)
Represents (i) 3,557,373 shares held by John C.K. Milligan Revocable Trust U/A 08/10/2009, as amended 11/22/2011, or the Trust, (ii) 1,472,419 shares held by Goldman Sachs & Co f/b/o John Milligan IRA, (iii) 434,814 shares held indirectly by the Milligan Irrevocable Nonexempt Trust – 2014, (iv) 2,033,332 shares issuable upon the exercise of vested stock options and (v) 179,000 shares issuable to Mr. Milligan upon the exercise of a vested warrant. Mr. Milligan serves as the trustee and is the beneficiary of
the Trust.
(4)
Represents (i) 1,375,001 shares issuable to Mr. Cartwright upon the exercise of vested stock options and (ii) 600,000 shares issuable to Mr. Cartwright upon the exercise of a
vested warrant.
(5)
Represents 1,184,657 shares issuable to Mr. Krassan upon the exercise of vested
stock options.
(6)
Represents 284,999 shares issuable to Mr. Donegan upon the exercise of vested
stock options.
(7)
Represents (i) 6,557,371 shares held by BF Investment Enterprises, Ltd., or BF Investment, (ii) 52,000 shares held by Dr. Bernick and Beth Familant, as tenants by the entirety, (iii) 3,000 shares held by BF Management, LLC, or the GP, a general partner of BF Investment, (iv) 250,000 shares issuable to BF Investment upon the exercise of vested stock options and (v) 540,001 shares issuable to Dr. Bernick upon the exercise of vested stock options. Dr. Bernick serves as the Manager of the GP and holds (x) together with his wife as tenants by the entirety, a 70.6% membership interest in the GP, (y) together with his wife as tenants by the entirety, a 73% limited partner interest in BF Investment, and (z) in the aggregate, with his spouse in their individual capacities, a 3.272% limited partner interest in BF Investment. Accordingly, Dr. Bernick may be deemed to beneficially own the shares owned by BF Investment and the GP. Dr. Bernick disclaims beneficial ownership of any such shares in which he does not have a
pecuniary interest.
(8)
Represents (i) 683,500 shares held by Thompson Family Investments, LLC, an entity solely owned by Thompson Family Holdings, LLC, an entity solely owned by Mr. Thompson, (ii) 3,555 shares held by Mr. Thompson, (iii) 1,001 shares held indirectly by Thompson Family Holdings and (iv) 907,500 shares issuable to Mr. Thompson upon exercise of vested
stock options.
(9)
Includes 50,000 shares issuable to Dr. Barlow upon the exercise of vested
stock options.
(10)
Includes (i) 10,000 shares held by Mr. Carroll directly and (ii) 225,000 shares issuable to Mr. Carroll upon the exercise of vested
stock options.
(11)
Includes (i) 36,000 shares held by Mr. Collins directly and (ii) 445,000 shares issuable to Mr. Collins upon the exercise of vested
stock options.
(12)
Includes (i) 5,000 shares held by Mr. LaPenta, Jr. directly, (ii) 5,000 shares held indirectly by trusts for Mr. LaPenta’s minor children and (iii) 445,000 shares issuable to Mr. LaPenta, Jr. upon the exercise of vested
stock options.
(
13)
Includes (i) 5,000 shares held directly by Mr. Musing and (ii) 570,000 shares issuable to Mr. Musing upon the exercise of vested
stock options.
(14)
Includes (i) 48,500 shares held by Mr. Russell directly and (ii) 225,000 shares issuable to Mr. Russell upon the exercise of vested
stock options.
(15)
Represents (i) 601,019 shares held directly by Mr. Segal, (ii) 462,057 shares issuable to Mr. Segal upon the exercise of vested stock options, (iii) Mr. Segal’s pro rata portion (139,455 shares) of the shares held by Fourth Generation Private Equity Partners, or Fourth Generation, and (iv) Mr. Segal’s pro rata portion (8,803 shares) of the shares held by D
JS Beneficiar
ies, LLC. Mr. Segal does not have voting or dispositive power over the shares held by Fourth Generation or DJS Beneficiaries. Richard Segal, in his official capacity, exercises sole voting and dispositive power over the shares held by
Fourth Generation.
(16)
This amount includes all shares directly and indirectly owned by all executive officers and directors and all shares issuable directly and indirectly upon the exercise of vested stock options and warrants held by our executive officers
and directors.
(17)
Bank of New York Mellon Corporation has sole voting power over 29,505,919 shares and sole dispositive power over 29,478,836 shares. Bank of New York Mellon Corporation’s address is 240 Greenwich Street, New York, New York 10286. This information is based on Amendment No. 5 to Schedule 13G filed with the SEC on January
29, 2019.
(18)
FMR LLC has sole voting power over 1,310,301 shares and sole dispositive power over 18,088,341 shares. The address of FMR LLC is 245 Summer Street, Boston, MA 02210. This information is based on Amendment No. 8 to Schedule 13G filed with the SEC on
February 13, 2019.
(19)
JP Morgan Chase & Co. has sole voting power over 17,375,087 shares and sole dispositive power over 19,836,673 shares. JP Morgan Chase & Co.’s address is 270 Park Ave., New York, NY 10017. This information is based on Amendment No. 2 to Schedule 13G filed with the SEC on January
28
, 2019.
(20)
T. Rowe Price Associates, Inc. has sole voting power over 4,332,577 shares and sole dispositive power over 21,522,345 shares. T. Rowe Price Associates, Inc.’s address is 100 E. Pratt Street, Baltimore, Maryland 21202. This information is based on Amendment No. 6 to Schedule 13G filed with the SEC on February
14, 2019.
(21)
BlackRock, Inc. has sole voting power over 16,223,068 shares and sole dispositive power over 16,687,563 shares. BlackRock, Inc.’s address is 55 East 52
nd
Street, New York, NY 10055. This information is based on Amendment No. 2 to Schedule 13G filed with the SEC on February
6, 2019.
(22)
The Vanguard Group has sole voting power over 380,437 shares and sole dispositive power over 12,919,609 shares. The Vanguard Group’s address is 100 Vanguard Blvd., Malvern, PA 19355. This information is based on Amendment No. 1 to Schedule 13G filed with the SEC on February
12, 2019.