(3)
Excludes 15,000 shares issued to CCM. Mr. Kerry Propper, Mr. Steven Urbach and Mr. Jonas Grossman, are CCM’s Chairman, Chief Executive Officer and President, respectively, and are each Members and Managers of Chardan Securities LLC, which holds a controlling interest in CCM. Mr. Urbach has all investment and voting power over the 15,000 shares held by CCM. The business address of Chardan, CCM, and Mr. Grossman is 17 State Street, 21st Floor, New York, NY 10004. CCM, an affiliate of Chardan and Chardan Warrant Holdings LLC (“Warrant Holdings”), is a broker-dealer and a member of the Financial Industry Regulatory Authority, Inc.
(4)
Includes 232,400 private warrants issuable upon exercise of outstanding warrants within 60 days of the Record Date. Excludes 4,627,858 private warrants, which Warrant Holdings LLC has agreed not to exercise to the extent that Warrant Holdings and its affiliates would be deemed to beneficially own more than 7.5% of the shares of common stock outstanding immediately after giving effect to such exercise. The business address of Warrant Holdings is 17 State Street, 21st Floor, New York, NY 10004.
(5)
Based on the Schedule 13D filed by Li Gong on October 12, 2022. Includes (i) 147,138 shares of common stock held on behalf of the SAKURA GRAT, dated February 11, 2021, of which Mr. Gong is a trustee, (ii) 2,217,042 shares of common stock on behalf of the LML Family Trust, dated January 14, 2019, of which Mr. Gong is a trustee and (iii) 635,370 shares of common stock issuable upon exercise of outstanding stock options exercisable within 60 days of the Record Date. The business address of Mr. Gong is 930 Tahoe Blvd. Suite 802, PMB 860, Incline Village, Nevada 89451.
(6)
Excludes 40,000,000 shares of common stock not yet payable as the earnout contingencies have not yet been met and will not be met within 60 days of the Record Date.
(7)
Includes (i) 1,217,906 shares held on behalf of the Phares 2021 GRAT dated July 9, 2021, of which Dr. Phares is the trustee, and (ii) 206,868 shares of common stock issuable upon exercise of outstanding stock options exercisable within 60 days of the Record Date.
(8)
Based on the Schedule 13D filed by Sean Nichols, our former Chief Operating Officer, on October 12, 2022 and information available to the Company. Includes 54,393 shares of common stock held on behalf of the Nichols GRAT I dated June 14, 2021, and 3,383,142 shares of common stock held on behalf of the Nichols Living Trust 2015, each of which Mr. Nichols is the trustee. On November 7, 2022, Mr. Nichols resigned from his position as Chief Operating Officer of the Company. Also includes 177,316 shares of common stock issuable upon exercise of outstanding stock options exercisable within 60 days of the Record Date.
(9)
Includes 49,650 shares of common stock issuable upon exercise of outstanding stock options exercisable within 60 days of the Record Date.
(10)
Includes 88,661 shares of common stock issuable upon exercise of outstanding stock options exercisable within 60 days of the Record Date.
(11)
Includes 51,471 shares of common stock issuable upon exercise of outstanding stock options exercisable within 60 days of the Record Date.
(12)
Includes 19,710 shares of common stock issuable upon exercise of outstanding stock options exercisable within 60 days of the Record Date.