(4)
Includes (i) 1,285,499 shares of common stock, (ii) 7,288 RSUs that vest within 60 days of April 19, 2021, and (iii) 96,676 shares underlying options exercisable within 60 days of April 19, 2021, each held by Dr. Eshelman directly; additionally, includes (iv) 319,085 shares of common stock held by Eshelman Ventures LLC. Dr. Eshelman is the manager of Eshelman Ventures LLC and therefore, may be deemed to have beneficial ownership of the shares of common stock held by Eshelman Ventures LLC.
(5)
Includes (i) 1,223 RSUs that vest within 60 days of April 19, 2021 and (ii) 1,637 shares of common stock underlying options that are exercisable within 60 days of April 19, 2021.
(6)
Includes (i) 27,986 shares of common stock, (ii) 7,288 RSUs that vest within 60 days of April 19, 2021, and (iii) 210,810 shares of common stock underlying options that are exercisable within 60 days of April 19, 2021, both held by Dr. LaBelle directly; additionally, includes (iv) 606,667 shares of common stock and (v) 140,000 shares of common stock underlying options that are exercisable within 60 days of April 19, 2021, both held by PME. Dr. LaBelle is one of the two principal shareholders of PME and therefore, may be deemed to have beneficial ownership of the shares of common stock held by PME.
(7)
Includes (i) 12,071 shares of common stock, (ii) 7,288 RSUs that vest within 60 days of April 19, 2021, and (iii) 23,342 shares underlying options that are exercisable within 60 days of April 19, 2021.
(8)
Includes (i) 368,455 shares of common stock, (ii) 7,288 RSUs that vest within 60 days of April 19, 2021, (iii) 96,676 shares underlying options that are exercisable within 60 days of April 19, 2021, and (iv) 61,823 shares of common stock underlying warrants that are exercisable within 60 days of April 19, 2021.
(9)
Includes (i) 16,071 shares of common stock, (ii) 7,288 RSUs that vest within 60 days of April 19, 2021, and (iii) 23,342 shares underlying options that are exercisable within 60 days of April 19, 2021.
(10)
Includes (i) 3,720,235 shares of common stock, (ii) 44,951 RSUs that vest within 60 days of April 19, 2021, (iii) 1,659,784 shares of common stock underlying options that are exercisable within 60 days of April 19, 2021, and (iv) 123,646 shares of common stock underlying warrants that are exercisable within 60 days of April 19, 2021.
(11)
Based on a Schedule 13D/A filed with the SEC on November 13, 2020 and subsequent reports filed pursuant to Section 16 of the Exchange Act by Mr. Grant. Includes (i) 4,285,440 shares of common stock and (ii) 677,430 shares of common stock underlying warrants that are exercisable within 60 days of April 19, 2021. Mr. Grant’s address is 11 Summit Lane, Greenville, Delaware 19807.
(12)
Includes 1,718,566 shares of common stock. The address of Senju is 2-5-8, Hirano-machi, Chuo-ku, Osaka, Japan.