the shares, (ii) Perceptive Advisors LLC (“Perceptive Advisors”) serves as the investment manager to the Master Fund and may be deemed to beneficially own the shares directly held by the Master Fund, (iii) Joseph Edelman is the managing member of Perceptive Advisors and may be deemed to beneficially own the securities directly held by the Master Fund and (iv) the business address of each of Master Fund, Perceptive Advisors and Mr. Edelman is 51 Astor Place, 10th Floor, New York, NY 10003. The amount included in this line does not include a warrant exercisable for 247,582 shares as such warrant is not currently exercisable.
(2)
The information reported is based on information contained in the Schedule 13G filed with the SEC on February 2, 2021. The Schedule 13G provides that (i) BlackRock is a parent holding company or control person and (ii) BlackRock, through its subsidiaries identified therein, had sole voting and dispositive power over 2,962,154 shares of the Company. The business address for BlackRock, Inc. is 55 East 52nd Street New York, NY 10055.
(3)
Includes 91,173 shares of common stock and 508,269 shares of common stock underlying options and restricted stock units that have vested or will vest within 60 days of May 17, 2021. Excludes 331,906 shares underlying restricted stock units and 609,619 shares underlying stock options that do not vest within 60 days of May 17, 2021.
(4)
Consists of (i) 51,180 shares of common stock, (ii) 64,821 shares of common stock held by The Shelter Trust under the Basta Revocable Trust (the “Shelter Trust”), (iii) 18,130 shares of common stock held by the Basta Revocable Trust dated August 4, 2017 (the “Basta Trust”), and (iv) 207,294 shares of common stock underlying options that have vested or will vest within 60 days of May 17, 2021. As the trustee of each of the Shelter Trust and the Basta Trust, Mr. Basta has voting and investment power over the shares of common stock held by each of the Shelter Trust and the Basta Trust. Excludes 8,906 shares of common stock underlying options that do not vest within 60 days of May 17, 2021.
(5)
Includes 12,364 shares of common stock and 39,847 shares of common stock underlying options and restricted stock units that have vested or will vest within 60 days of May 7, 2021. Excludes 84,679 shares underlying restricted stock units and 132,221 shares underlying stock options that do not vest within 60 days of May 17, 2021.
(6)
Includes 18,622 shares of common stock and 71,112 shares of common stock underlying options and restricted stock units that have vested or will vest within 60 days of May 17, 2021. Excludes 78,156 shares underlying restricted stock units and 144,166 shares underlying stock options that do not vest within 60 days of May 17, 2021.
(7)
Includes 18,750 shares of common stock and 11,461 shares of common stock underlying options that have vested or will vest within 60 days of May 17, 2021. Excludes 8,906 shares underlying stock options that do not vest within 60 days of May 17, 2021.
(8)
Includes 80,474 shares of common stock underlying options that have vested or will vest within 60 days of May 17, 2021. Excludes 8,906 shares underlying stock options that do not vest within 60 days of May 17, 2021.
(9)
Includes 33,763 shares of common stock and 7,969 shares of common stock underlying options that have vested or will vest within 60 days of May 17, 2021. Excludes 8,906 shares underlying stock options that do not vest within 60 days of May 17, 2021.
(10)
Includes 25,000 shares of common stock. Excludes 11,250 shares underlying stock options that do not vest within 60 days of May 17, 2021.
(11)
Includes 19,218 shares of common stock underlying options that have vested or will vest within 60 days of May 17, 2021. Excludes 8,906 shares underlying stock options that do not vest within 60 days of May 17, 2021.
(12)
Includes 376,816 shares of common stock and 1,093,107 shares of common stock underlying options and restricted stock units that have vested or will vest within 60 days of May 17, 2021. Excludes 642,853 shares underlying restricted stock units and 1,196,026 shares underlying stock options that do not vest within 60 days of May 17, 2021.