*
Represents beneficial ownership of less than 1%.
(1)
Consists of (a) 2,941,176 shares of common stock and (b) 68,300,652 shares of common stock issuable upon the conversion of the 2024 Notes. This information has been obtained from a Schedule 13D filed on November 5, 2020 by PHC Holdings Corporation. The principal business address of PHC Holdings Corporation is 2-38-5 Nishishimbashi, Minato-ku, Tokyo, 105-8433 Japan.
(2)
Consists of (a) 2,000,003 shares of common stock and (b) 24,754,198 shares of Series A Convertible Preferred Shares that are convertible to Common Stock. Each of Masters Capital Management, LLC and Michael Masters, the managing member of Masters Capital Management, LLC, may be deemed to have voting and dispositive power over the shares held by Masters Capital Management, LLC. This information has been obtained from a Schedule 13D/A filed on February 3, 2021 by Masters Capital Management, LLC and Michael Masters. The address of Masters Capital Management, LLC is 3060 Peachtree Road, VW, Suite 1425, Atlanta, GA 30305.
(3)
Consists of (1) 19,636,139 shares of common stock held by Energy Capital, LLC (2) 80,000 shares of common stock held by Plato & Associates, LLC and (3) 10,000,000 shares of common stock issuable upon the exercise of a warrant held by Energy Capital, LLC within sixty days of March 31, 2021. 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, in part, 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 (a) 1,379,790 shares of common stock, (b) 2,443,576 shares of common stock underlying options that are exercisable within 60 days of March 31, 2021 and (c) 460,115 shares issuable upon the vesting of restricted stock units that vest within 60 days of March 31, 2021.
(5)
Consists of (a) 244,362 shares of common stock, (b) 286,456 shares of common stock underlying options that are exercisable within 60 days of March 31, 2021 and (c) 122,180 shares issuable upon the vesting of restricted stock units that vest within 60 days of March 31, 2021.
(6)
Consists of (a) 209,470 shares of common stock, (b) 1,693,752 shares of common stock underlying options that are exercisable within 60 days of March 31, 2021 and (c) 228,141 shares issuable upon the vesting of restricted stock units that vest within 60 days of March 31, 2021.
(7)
Consists of (a) 93,639 shares of common stock, (b) 324,014 shares of common stock underlying options that are exercisable within 60 days of March 31, 2021 and (c) 273,077 shares issuable upon the vesting of restricted stock units that vest within 60 days of March 31, 2021.
(8)
Consists of (a) 938,245 shares of common stock, (b) 321,223 shares of common stock underlying options that are exercisable within 60 days of March 31, 2021 and (c) 273,077 shares issuable upon the vesting of restricted stock units that vest within 60 days of March 31, 2021.
(9)
Consists of (a) 164,857 shares of common stock, (b) 405,123 shares of common stock underlying options that are exercisable within 60 days of March 31, 2021 and (c) 273,077 shares issuable upon the vesting of restricted stock units that vest within 60 days of March 31, 2021.
(10)
Consists of (a) 92,338 shares of common stock, (b) 405,123 shares of common stock underlying options that are exercisable within 60 days of March 31, 2021 and (c) 273,077 shares issuable upon the vesting of restricted stock units that vest within 60 days of March 31, 2021.
(11)
Consists of (a) 9,751,725 shares of common stock held by Delphi Ventures VIII, L.P., or Delphi VIII, (b) 94,569 shares of common stock held by Delphi BioInvestments VIII, L.P., or Delphi Bio, (c) 321,223 shares of common stock underlying options that are held by Douglas Roeder and are exercisable within 60 days of March 31, 2021 and (d) 273,077 shares issuable upon the vesting of restricted stock units that vest within 60 days of March 31, 2021. Delphi Management Partners VIII, L.L.C., or DMP VIII, is the general partner of each of Delphi VIII and Delphi Bio, collectively referred to herein as the Delphi VIII Funds. Mr. Roeder is a Managing Member of DMP VIII and may be deemed to share voting and dispositive power over the shares held by the Delphi VIII Funds. This information has been obtained from a Schedule 13G/A filed on February 7, 2020 by Delphi VIII, Delphi Bio, DMP VIII, Douglas A. Roeder, James J. Bochnowski, David L. Douglass and Deepika R. Pakianathan.