(1) Consists of (i) 3,921,075 shares of common stock held directly by PBM Capital Finance, of which Mr. Manning is the manager and sole beneficial owner, (ii) 737,646 shares of common stock held by PD Joint Holdings, (iii) 479,233 shares of common stock held by BKB Growth Investments, LLC (“BKB Growth”) and (iv) 10,346 shares of common stock underlying outstanding options which will have vested within 60 days of April 15, 2021. Paul B. Manning and Bradford Manning are each managers of Tiger Lily Capital, LLC, the manager of PD Joint Holdings and BKB Growth, and have joint voting and investment power with respect to the shares held by PD Joint Holdings and BKB Growth. The address for Mr. Manning is c/o PBM Capital Group, LLC, 200 Garrett Street, Suite S, Charlottesville, VA 22902.
(2) Consists of 2,917,169 shares of common stock held by Canaan VIII L.P (“Canaan”). Canaan Partners VIII LLC is the sole general partner of Canaan and may be deemed to have the sole investment and voting power over the shares held by Canaan. Brenton K. Ahrens, John V. Balen, Stephen M. Bloch, Wende S. Hutton, Maha S. Ibrahim, Deepak Kamra, Guy M. Russo and Eric A. Young are the managing members of Canaan Partners VIII LLC. Investment, voting and dispositive decisions with respect to the shares held by Canaan are made by a two-thirds vote of the interest of the managers of Canaan Partners VIII LLC (“Canaan LLC” and, together with Canaan, the “Canaan Entities”), collectively. Dr. Bloch, a member of our Board, is a managing member of Canaan Partners VIII LLC. No manager or member of Canaan LLC has beneficial ownership (within the meaning of Rule 13d-3 promulgated under the Exchange Act) of any shares held by Canaan. The address of Canaan is 285 Riverside Avenue, Suite 250, Westport, CT 06880.
(3) Consists of (i) 7,167,663 shares of common stock held by Caligan Partners CV IV LP (“Caligan IV”) and (ii) 1,160,755 shares of common stock held in an account managed (the “Managed Account”) by Caligan Partners LP (“Caligan Partners”). Caligan Partners CV IV GP LLC is the sole general partner of Caligan IV and may be deemed to have the sole investment and voting power over the shares held by Caligan IV. Caligan Partners LP is the investment manager of the Managed Account and may be deemed to have the sole investment and voting power over the shares held by the Managed Account. David Johnson is the sole managing member of Caligan Partners and Caligan Partners CV IV GP LLC. Investment, voting and dispositive decisions with respect to the shares held by Caligan IV and the Managed Account are made by Mr. Johnson. Mr. Johnson, a member of our Board, is the managing partner of Caligan Partners. The address of Caligan is 590 Madison Ave, 21st Floor, New York, NY 10022.
(4) Consists of 43,091 shares of common stock.
(5) Consists of (i) 51,545 shares of common stock and (ii) 451,723 shares of common stock underlying outstanding options which vested as of Mr. Fowler’s January 13, 2021 separation date.
(6) Consists of (i) 17,527 shares of common stock, (ii) 110,168 shares of common stock underlying outstanding options which will have vested within 60 days of April 15, 2021, and (iii) 948 shares of common stock issuable upon the conversion of an outstanding warrant.
(7) Consists of 66,042 shares of common stock underlying outstanding options which will have vested within 60 days of April 15, 2021.
(8) Consists of 50,602 shares of common stock underlying outstanding options which will have vested within 60 days of April 15, 2021.
(9) Consists of 22,823 shares of common stock underlying outstanding options which will have vested within 60 days of April 15, 2021.
(10) Consists of (i) 6,095 shares of common stock held by Roger A. Jeffs 2019 GRAT dtd 05/01/2019, of which Dr. Jeffs is the trustee, (ii) 111,706 shares of common stock held by Dr. Jeffs, (iii) 1,387,500 shares of common stock held by Serendipity BioPharma LLC, and (iv) 12,588 shares of common stock underlying outstanding options which will have vested within 60 days of April 15, 2021. Dr. Jeffs is a manager of Serendipity and has sole voting and dispositive power over the common units held by Serendipity.
(11) Consists of 23,829 shares of common stock underlying outstanding options which will have vested within 60 days of April 15, 2021.
(12) Consists of (i) 2,000 shares of common stock and (ii) 48,094 shares of common stock underlying outstanding options which will have vested within 60 days of April 15, 2021.
(13) Consists of 44,128 shares of common stock underlying outstanding options which will have vested within 60 days of April 15, 2021.