(1)
Based on information provided to the Company in connection with the registration statement on Form F-1 filed with the SEC on February 9, 2018 by the Company. Consists of 2,109,624 common shares beneficially held by Empery Asset Master Ltd (“EAM”), 887,447 common shares beneficially held by Empery Tax Efficient, LP (“ETE”) and 1,747,669 common shares beneficially held by Empery Tax Efficient II, LP (“ETE II”). Empery Asset Management LP, the authorized agent of EAM, ETE and ETE II, has discretionary authority to vote and dispose of the shares held by EAM, ETE and ETE II and may be deemed to be the beneficial owner of these shares. Martin Hoe and Ryan Lane, in their capacity as investment managers of Empery Asset Management LP, may also be deemed to have investment discretion and voting power over the shares held by EAM, ETE and ETE II, Mr. Hoe and Mr. Lane each disclaim any beneficial ownership of these shares. The address of EAM, ETE and ETE II is c/o Empery Asset Management, LP, 1 Rockefeller Plaza, Suite 1205, New York, New York 10020. The number of common shares shown in the table reflect the 10:1 “reverse stock split” effected through the Merger.
(2)
Based on information provided to the Company in connection with the registration statement on Form F-1 filed with the SEC on February 9, 2018 by the Company. The address of Sabby Volatility Warrant Master Fund, Ltd. is c/o Ogier Fiduciary Services (Cayman) Limited, 89 Nexus Way, Camana Bay, Grand Cayman KY1-9007, Cayman Islands. This shareholder has indicated that Hal Mintz has voting and investment power over the shares held by it. This shareholder has indicated that Sabby Management, LLC serves as its investment manager, that Hal Mintz is the manager of Sabby Management, LLC and that each of Sabby Management, LLC and Hal Mintz disclaims beneficial ownership over such shares except to the extent of any pecuniary interest therein. The number of common shares shown in the table reflect the 10:1 “reverse stock split” effected through the Merger.
(3)
Based on information reported on a Schedule 13D/A filed with the SEC on April 23, 2018 by Sofinnova Capital VII FCPR. Consists of 331,147 common shares held by Sofinnova Capital VII FCPR (“SC VII”), Sofinnova Partners SAS, a French corporation (“SP SAS”), and Denis Lucquin, Antoine Papiernik and Monique Saulnier, the managing partners of SP SAS. Rafaèle Tordjman ceased to be a managing partner of SP SAS on February 28, 2017. All of the managing partners of SP SAS disclaim beneficial ownership of such shares except to the extent of their pecuniary interest therein. The address for Sofinnova Capital VII FCPR is 16-18 Rue du Quatre Septembre, 75002 Paris, France.
(4)
Based on information provided to the Company in connection with the registration statement on Form F-1 filed with the SEC on February 9, 2018 by the Company. Anson Advisors Inc. and Anson Funds Management LP, the Co-Investment Advisers of Anson Investments Master Fund LP (“Anson”), hold voting and dispositive power over the common shares held by Anson. Bruce Winson is the managing member of Anson Management GP LLC, which is the general partner of Anson Funds Management LP. Moez Kassam and Adam Spears are directors of Anson Advisors Inc. Mr. Winson, Mr. Kassam and Mr. Spears each disclaim beneficial ownership of such common shares except to the extent of their pecuniary interest therein. The principal business address of Anson is 190 Elgin Ave; George Town, Grand Cayman. The number of common shares shown in the table reflect the 10:1 “reverse stock split” effected through the Merger.
(5)
Based on a Schedule 13G filed with the SEC on May 17, 2018 by Morgan Stanley and Morgan Stanley Capital Services LLC. Consists of 325,823 common shares held by Morgan Stanley and 324,683 common shares held by Morgan Stanley Capital Services LLC . The address for Morgan Stanley and Morgan Stanley Capital Services LLC is 1585 Broadway New York, NY 10036.
(6)
Consists of 724,250 common shares, warrants to purchase 36,645 common shares, options to purchase 6,000 common shares under the Company’s Stock Option Plan C, and options to purchase 7,645 common shares under the Company’s Long Term Equity Incentive Plan (the “EIP”).
(7)
Consists of options to purchase common shares under the Company’s EIP.
(8)
Consists of options to purchase common shares under the Company’s EIP.
(9)
Consists of 1,250 common shares owned by Alain Munoz, options to purchase an additional 625 common shares under the Company’s Stock Option Plan C, and 782 options to purchase common shares under the Company’s EIP.