9 is Peter J. Barris. Partners 9 and Peter J. Barris may be deemed to share voting and dispositive power over, and be the indirect beneficial owners of, the shares held by NEA 9. This information has been obtained from a Schedule 13D/A filed on June 12, 2020 by NEA 10, NEA 9, Partners 10, Partners 9, and Scott D. Sandell. The principal business address of NEA 10 and NEA 9 is 1954 Greenspring Drive, Suite 600, Timonium, MD 21093.
(2)
Consists of 28,345,276 shares of common stock and 973,734 shares of common stock underlying immediately exercisable warrants held by Roche Finance Ltd. Roche Finance Ltd is a wholly-owned subsidiary of Roche Holding Ltd, a publicly-held corporation. This information has been obtained from a Schedule 13D/A filed on March 20, 2019 by Roche Holding Ltd and Roche Finance Ltd. The principal business address of Roche Finance Ltd is Grenzacherstrasse 122, 4070 Basel, Switzerland.
(3)
Consists of 19,636,139 shares of common stock held by Energy Capital, LLC and 80,000 shares of common stock held by Plato & Associates, LLC. Robert L. Smith, the sole Managing Member of Energy Capital, LLC and Plato & Associates, LLC, may be deemed to have voting and dispositive power over the shares held by Energy Capital, LLC and Plato & Associates, LLC. This information has been obtained from a Schedule 13D/A filed on January 28, 2020 by Robert J. Smith, Energy Capital, LLC and Plato & Associates, LLC. The address of Robert J. Smith, Energy Capital, LLC and Plato & Associates, LLC is 13650 Fiddlesticks Blvd., Suite 202-324, Ft. Myers, FL 33912.
(4)
Consists of 15,780,806 shares of common stock held in customer accounts over which partners and/or employees of Gilder, Gagnon, Howe & Co. LLC have discretionary authority to dispose of or direct the disposition of the shares. This information has been obtained from a Schedule 13G/A filed on February 14, 2020 by Gilder, Gagnon, Howe & Co. LLC. The principal business address of Gilder, Gagnon, Howe & Co. LLC is 475 10th Avenue New York, New York 10018.
(5)
Consists of 13,357,466 shares of common stock owned of record by clients of Wellington Investment Advisors. Wellington Investment Advisors Holdings LLP controls directly, or indirectly through Wellington Management Global Holdings, Ltd., the Wellington Investment Advisors. Wellington Investment Advisors Holdings LLP is owned by Wellington Group Holdings LLP, which is owned by Wellington Management Group LLP. This information has been obtained from a Schedule 13G filed on February 14, 2020 by Wellington Management Group LLP, Wellington Group Holdings LLP, Wellington Investment Advisors Holdings LLP, and Wellington Management Company LLP. The principal business address of Wellington Management Company LLP and its affiliates is 280 Congress Street, Boston, MA 02210.
(6)
This represents the number of shares of common stock equal to 9.9% of the total shares of common stock outstanding if the stockholder converted the maximum number of securities permitted by the conversion caps discussed in further detail below. This information was provided to the Company by the stockholder as of April 24, 2020 in connection with the Company’s filing of a registration statement on Form S-3. Without giving effect to the conversion limitation, the number of shares would consist of (i) 12,526,086 shares of common stock, (ii) 4,500,000 shares underlying currently exercisable warrants to purchase common stock, and (iii) 14,894,466 shares of common stock issuable upon conversion of Second Lien Notes, based on a conversion price as of April 28, 2020 of $0.543 per share, which represents a 10% discount to the daily volume weighted average price of the common stock on April 28, 2020 and excludes an aggregate of 18,458,499 shares of common stock issuable upon conversion of Second Lien Notes, based on a conversion price as of April 28, 2020 of $0.543 per share, which represents a 10% discount to the daily volume weighted average price of the common stock on April 28, 2020, as such conversion rights are not exercisable by the stockholder within sixty days of April 28, 2020 or exercisability is outside the control of the stockholder as of April 28, 2020. Excludes all shares of common stock issuable upon conversion of first lien term notes previously held by entities affiliated with Highbridge Capital Management, LLC, as such conversion rights were not exercisable by the stockholder within sixty days of April 28, 2020 or exercisability was outside of the control of the stockholder as of April 28, 2020. As detailed in the Company’s Current Report on Form 8-K filed with the SEC on August 10, 2020, the Company has subsequently repaid the first lien term notes in full and the conversion price floor of the Second Lien Notes has been reduced to $0.33 per share. In addition, pursuant to terms of the warrants, first lien term notes and Second Lien Notes, such instruments are not exercisable or convertible to the extent that, upon such conversion or exercise, the number of shares of common stock then beneficially owned by the stockholder and its affiliates and any other persons