Each of SOF II, Winchester and SMC may be deemed to be the beneficial owner of warrants to purchase an
aggregate amount of 475,000 shares of Common Stock, warrants to purchase an aggregate amount of 4,656,132 shares of Common Stock, and options to acquire an aggregate amount of 900,000 shares of Common Stock.
Each of PFCM, PFP, PFH and Mr. Druker may be deemed to be the beneficial owner of warrants to purchase an aggregate amount of 142,804 shares of Common
Stock.
Mr. Schottenfeld may be deemed to be the beneficial owner of 2.9% of the outstanding shares of Common Stock of the Company.
Each of Koyote Trading and Koyote Capital may be deemed to be the beneficial owner of 0.4% of the outstanding shares of Common Stock of the Company.
Each of SOF II, Winchester and SMC may be deemed to be the beneficial owner of 2.5% of the outstanding shares of Common Stock of the Company.
Each of PFCM, PFP, PFH and Mr. Druker may be deemed to be the beneficial owner 0.1% of the outstanding shares of Common Stock of the Company.
The foregoing percentages are calculated by dividing the number of shares beneficially owned by each of the Reporting Persons by the total amount outstanding.
The total amount outstanding for the purposes of this statement is calculated based on (i) 239,211,413 shares of Common Stock outstanding as of November 4, 2020, as reported in the Issuers Form 10-Q
filed with the SEC on November 6, 2020 (and does not take into account any shares of Common Stock that may have been issued by the Issuer since the filing of the Form 10-Q), plus (ii) 5,183,551 shares of
Common Stock issuable upon the exercise of the warrants, which are exercisable within 60 days.
(c)
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Number of shares as to which such person has:
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The information in Rows 5-9 of the cover page for each Reporting Person is incorporated herein by reference for each
such Reporting Person.
The foregoing information set forth in this Item 4 should not be construed as an admission by any Reporting Person as to
beneficial ownership of any shares of Common Stock owned by another Reporting Person. Each of the Reporting Persons disclaims beneficial ownership of the shares of Common Stock that are not directly owned by such Reporting Person, except to the
extent of their pecuniary interest therein.
Item 5.
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Ownership of Five Percent or Less of a Class.
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If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five
percent of the class of securities, check the following: [X]
Item 6.
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Ownership of more than Five Percent on Behalf of Another Person.
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Not Applicable.
Item 7.
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Identification and classification of the subsidiary which acquired the security being reported on by the
parent holding company or control person.
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Not Applicable.
Page 14 of 17 Pages