(1) Except as otherwise indicated, we believe that the beneficial owners of the common stock listed above, based on information
furnished by such owners, have sole investment and voting power with respect to shares, subject to community property laws where applicable. Beneficial ownership is determined in accordance with the rules of the SEC and generally includes voting or
investment power with respects to securities.
(2) Based on information disclosed in the Schedule 13G/A filed with the SEC on
March 28, 2017. Includes 257,590 shares of common stock outstanding owned by the Amzak Capital Management, LLC and 5,901 shares of common stock owned by Michael D. Kazma. In addition to these shares, Amzak Capital Management, LLC owns 63,750
shares subject to warrants. These warrants provide the holder may not exercise them to the extent doing so would result in it owning in excess of 9.99% of the outstanding shares of common stock of Zosano. Given the current ownership percentage
exceeds the limitation, Amzak Capital Management is prevented from exercising said warrants. Michael D. Kazma and Gerry Kazma may be deemed to share voting and investment power with respect to the securities held by Amzak. The address of the
principal business office of each reporting person is 980 N. Federal Highway, Suite 315, Boca Raton, FL 33432.
(3) Based on
the information disclosed in the Schedule 13G filed by BioMed Realty Trust, Inc., with the SEC on January 19, 2016, BMV Direct SO LP holds 27,272 shares of common stock and BMV Direct SOTRS LP holds 94,849 shares of common stock. The sole
general partner of BMV Direct SOTRS LP is BioMed Realty Holding, Inc. the sole stockholder of BioMed Realty Holdings, Inc. and the sole general partner of BMV Direct SO LP is BioMed Realty, L.P. The sole general partner of BioMed Realty, L.P. is
BioMed Realty Trust, Inc. BioMed Realty Trust, Inc. has sole voting and dispositive power with respect to the shares directly held by BMV Direct SOTRS LP and BMV Direct SO LP Bruce D. Steel is a limited partner with a variable economic interest in
each of BMV Direct SOTRS LP and BMV Direct SP LP. Mr. Steel disclaims beneficial ownership in the shares directly held by each of BMV Direct SOTRS LP and BMV Direct LP except to the extent of his pecuniary interest therin. The address of the
principal business office of each reporting person is 17190 Bernardo Center Drive, San Diego, California 92128.
(4) Based on
the information disclosed in the Schedule 13G/A filed by Atlantic Trust Group, LLC with the SEC on February 13, 2018, Atlantic Trust Group, LLC has sole power to vote or to direct the vote, and to dispose or to direct the disposition of 103,132
shares of common stock. The address of the principal business office of the reporting person is 3290 Northside Parkway, 7
th
Floor, Atlanta, GA 30327.
(5) Consists of: (i) 9,011 shares of common stock; (ii) 3,185 shares of common stock issuable upon exercise of outstanding warrant
exercisable within the
60-day
period following February 16, 2018, and (iii) 1,840 shares of common stock issuable upon exercise of outstanding options exercisable within the
60-day
period following February 16, 2018.
(6) Consists of: (i) 5,787 shares of
common stock, (ii) 2,387 shares of common stock issuable upon exercise of outstanding warrants exercisable within
60-day
period following February 16, 2018 and (iii) 4,987 shares of common stock issuable
upon exercise of outstanding options exercisable within the
60-day
period following February 16, 2018.
(7) Consists of : (i) 796 shares of common stock; (ii) 796 shares of common stock issuable upon exercise of outstanding warrants
exercisable within the
60-day
period following January 22, 2018 and (iii) 5,111 shares of common stock issuable upon exercise of outstanding options exercisable within the
60-day
period following February 16, 2018.
(8) Consists of 10,000 shares of
common stock.
(9) Consists of 1,991 shares of common stock issuable upon exercise of outstanding options exercisable within
the
60-day
period following February 16, 2018.
(10) Consists of : (i) 150 shares of common
stock and (ii) 2,326 shares of common stock issuable upon exercise of outstanding options exercisable within the
60-day
period following February 16, 2018.
(11) Consists of: (i) 1,096 shares of common stock, and (ii) 796 shares of common stock issuable upon exercise of outstanding warrants
exercisable within the
60-day
period following February 16, 2018 and (ii) 2,415 shares of common stock issuable upon exercise of outstanding options exercisable within the
60-day
period following February 16, 2018. A portion of the securities reported for Dr. Xanthopoulos are held by the Xanthopoulos Family Trust, for which Dr. Xanthopoulos may be deemed to
exercise voting and investment control.
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