(3)
The address for each of our executive officers and directors is c/o Arbutus Biopharma Corporation, 701 Veterans Circle, Warminster, Pennsylvania 18974, United States.
(4)
Consists of 841,709 stock options exercisable within 60 days of April 7, 2021.
(5)
Consists of 1,670,565 Common Shares and 602,917 stock options exercisable within 60 days of April 7, 2021.
(6)
Consists of 1,307,457 Common Shares and 213,998 stock options exercisable within 60 days of April 7, 2021.
(7)
Consists of 73,333 stock options exercisable within 60 days of April 7, 2021.
(8)
Consists of 138,000 stock options exercisable within 60 days of April 7, 2021.
(9)
Consists of 1,000 Common Shares and 118,000 stock options exercisable within 60 days of April 7, 2021.
(10)
Consists of 157,915 stock options exercisable within 60 days of April 7, 2021.
(11)
Consists of 73,333 stock options exercisable within 60 days of April 7, 2021.
(12)
Consists of 42,000 stock options exercisable within 60 days of April 7, 2021.
(13)
Consists of 2,979,022 Common Shares and 3,394,591 stock options exercisable within 60 days of April 7, 2021.
(14)
As reported in Schedule 13D/A filed with the SEC on July 16, 2019, Roivant Sciences Ltd. (“RSL”) directly owns and has voting and dispositive power over 16,013,540 Common Shares. This amount excludes approximately 23 million Common Shares underlying 1,164,000 of our Preferred Shares assuming conversion on October 18, 2021. The Preferred Shares are not convertible into Common Shares until they become mandatorily convertible on October 18, 2021 (subject to adjustment and subject to limited exceptions in the event of certain transactions or fundamental changes that would permit earlier conversion at Roivant’s option). RSL is governed by a board of directors consisting of Sakshi Chhabra, Andrew Lo, Patrick Machado, Keith Manchester, M.D., Daniel Gold, Ilan Oren, Masayo Tada and Vivek Ramaswamy. These individuals disclaim beneficial ownership with respect to such shares except to the extent of their pecuniary interest therein. The principal business address of RSL is Suite 1, 6th Floor, 11-12 St. James’s Square, London SW1Y 4LB, United Kingdom.
(15)
Based on information contained in Schedule 13G/A filed by RTW Investment, LP (the “Adviser”) on February 12, 2021. The filing indicated that as of December 31, 2020, the Common Shares were held by RTW Master Fund, Ltd. and one or more other funds (together the “Funds”) managed by the Adviser. The Adviser, in its capacity as the investment manager of the Funds, has the power to vote and the power to direct the disposition of all Common Shares held by the Funds. Accordingly, for the purposes of Reg. Section 240.13d-3, the Adviser may be deemed to beneficially own an aggregate of 5,978,355 Common Shares, or 7.05% of our 84,909,258 Common Shares issued and outstanding as of November 5, 2020, as disclosed in our Form 10-Q filed with the SEC on November 5, 2020. Roderick Wong is the Managing Partner of the Adviser. The report further indicated that it shall not be deemed an admission that the Adviser, the Funds or any other person is the beneficial owner of the securities reported herein for purposes of Section 13 of the Exchange Act, or for any other purpose. Each of the reporting persons disclaimed beneficial ownership of the Common Shares reported therein except to the extent of the reporting person’s pecuniary interest therein. The address for the Adviser is 40 10th Avenue, Floor 7, New York, New York 10014. The address for RTW Master Fund, Ltd. is c/o Intertrust Corporate Services (Cayman) Limited, 190 Elgin Avenue, George Town, Grand Cayman KY1-9001, Cayman Islands. The address for Mr. Wong is c/o RTW Investments, LP, 40 10th Avenue, Floor 7, New York, New York 10014.
EXECUTIVE COMPENSATION
Our named executive officers (“Named Executive Officers”) for the year ended December 31, 2020 are:
•
William H. Collier, our President and Chief Executive Officer;
•
Michael J. Sofia, Ph.D., our Chief Scientific Officer; and
•
Michael J. McElhaugh, our Chief Business Officer.