(3)
This information has been obtained from a Schedule 13D/A jointly filed on February 20, 2020 with the SEC by Eastern Capital Limited (“Eastern Capital”) and its affiliates. Consists of (a) 4,050,001 shares of common stock held directly by Eastern Capital and (b) 1,250,001 shares of common stock issuable upon exercise of warrants held directly by Eastern Capital. All warrants are subject to a limit of exercise to the extent (and only to the extent) that Eastern Capital Limited or any of its affiliates would beneficially own in excess of 49.9% of the common stock of the Company after giving effect to such exercise. Eastern Capital is wholly owned by Portfolio Services Ltd., of which Kenneth B. Dart is the sole owner. Eastern Capital, Portfolio Services Ltd. and Kenneth B. Dart share voting and dispositive power with regard to the shares owned directly by Eastern Capital . The principal business address for all entities and individuals affiliated with Eastern Capital Limited is 10 Market Street, #773 Camana Bay Grand Cayman, KY1-9006 Cayman Islands.
(4)
This information has been obtained from a Schedule 13D filed on October 19, 2018 with the SEC by Aisling Capital IV, LP (“Aisling”) and its affiliates. Consists of (a) 2,000,000 shares of common stock held directly by Aisling (b) 1,500,000 shares of common stock issuable upon exercise of warrants held directly by Aisling. Aisling Capital Partners IV, LP, (“Aisling LP”) is the general partner of Aisling and Aisling Capital Partners IV LLC, (“Aisling LLC”) is the general partner of Aisling LLC. Steven Elms, a member of the Company’s board of directors, and Mr. Andrew Schiff are the managing members of Aisling LLC (together, the “Managing Members”). Aisling, Aisling LP, Aisling LLC and the Managing Members share voting and dispositive power with regard to the shares owned directly by Aisling. The principal business address for all entities and individuals affiliated with Aisling is Aisling Capital, 888 Seventh Avenue, 12th Floor, New York, NY 10106.
(5)
Consists of (a) 1,993,059 shares of common stock, (b) 722,783 shares of common stock issuable upon exercise of warrants within 60 days of March 1, 2020 and (c) 187,502 shares of common stock issuable upon exercise of options within 60 days of March 1, 2020.
(6)
Consists of (a) 189,711 shares of common stock and (b) 547,244 shares of common stock issuable upon exercise of options within 60 days of March 1, 2020.
(7)
Consists of 153,327 shares of common stock issuable upon exercise of options within 60 days of March 1, 2020.
(8)
Consists of 100,417 shares of common stock issuable upon exercise of options within 60 days of March 1, 2020.
(9)
Consists of (a) 7,260 shares of common stock and (b) 9,899 shares of common stock issuable upon exercise of options within 60 days of March 1, 2020.
(10)
Consists of (a) 2,000,000 shares of common stock held directly by Aisling as described above in footnote 4, (b) 1,500,000 shares of common stock issuable upon exercise of warrants held directly by Aisling as described above in footnote 4 and (c) 4,168 shares of common stock issuable upon exercise of options within 60 days of March 1, 2020. Mr. Elms disclaims beneficial ownership of Aisling’s interest in the Company except to the extent of his pecuniary interest therein.
(11)
Consists of (a) 25,543 shares of common stock and (b) 12,500 shares of common stock issuable upon exercise of options within 60 days of March 1, 2020.
(12)
Consists of (a) 1,993,059 shares of common stock, (b) 722,783 shares of common stock issuable upon exercise of warrants within 60 days of March 1, 2020 and (c) 190,419 shares of common stock issuable upon exercise of options within 60 days of March 1, 2020.
(13)
Consists of (a) 25,543 shares of common stock and (b) 12,500 shares of common stock issuable upon exercise of options within 60 days of March 1, 2020.
(14)
Consists of (a) 6,068,043 shares of common stock, (b) 2,197,944 shares of common stock issuable upon exercise of warrants within 60 days of March 1, 2020 and (c) 9,899 shares of common stock issuable upon exercise of options within 60 days of March 1, 2020.
(15)
Consists of (a) 10,309,159 shares of common stock, (b) 4,420,727 shares of common stock issuable upon exercise of warrants within 60 days of March 1, 2020 and (c) 1,350,376 shares of common stock issuable upon exercise of options within 60 days of March 1, 2020.