(4)
Includes
5,208
unvested restricted stock units that will vest on March 31, 2019.
(5)
Includes
5,208
unvested restricted stock units that will vest on March 31, 2019.
(6)
Includes
5,208
unvested restricted stock units that will vest on March 31, 2019.
(7)
Includes
29,212
shares of common stock issuable upon the exercise of warrants.
(8)
Includes
13,786
shares of common stock issuable upon the exercise of warrants and
25,508
shares of common stock issuable upon the exercise of options.
(9)
Includes
3,632
shares of common stock issuable upon the exercise of warrants and
11,848
shares of common stock issuable upon the exercise of options.
(10)
Includes
1,852
shares of common stock issuable upon the exercise of warrant and
9,876
shares of common stock issuable upon the exercise of options.
The following table sets forth, certain information regarding the beneficial ownership of common stock by each person, other than our directors or executive officers, who is known by us to beneficially own more than 5% of the outstanding shares of our common stock.
|
|
|
Shares Beneficially Owned
|
|
Name and Address of Beneficial Owner
|
|
|
Number
|
|
|
Percent
|
|
Soter Capital, LLC(1)
360 North Crescent Drive, South Building
Beverly Hills, CA 90210
|
|
|
|
|
10,204,609
|
|
|
|
|
|
50.11
%
|
|
|
Rutabaga Capital Management(2)
64 Broad Street, 3
rd
Floor
Boston, MA 02109
|
|
|
|
|
2,285,871
|
|
|
|
|
|
11.26
%
|
|
|
Contrarian Capital Management, L.L.C.(3)
411 West Putnam Avenue, Suite 425
Greenwich, CT 06830
|
|
|
|
|
1,803,736
|
|
|
|
|
|
8.89
%
|
|
|
Goldman Sachs & Co LLC(4)
200 West Street
New York, NY 10282
|
|
|
|
|
1,514,591
|
|
|
|
|
|
7.5
%
|
|
|
(1)
Number of shares beneficially owned is based solely on a Schedule 13D/A filed with the SEC on February 26, 2019 and a Form 4 filed on March 14, 2019 on behalf of each of: (i) Soter Capital, LLC, a Delaware limited liability company, (ii) Soter Capital Holdings, LLC, a Delaware limited liability company, (iii) PE Soter Holdings, LLC, a Delaware limited liability company, (iv) Platinum Equity Capital Soter Partners, L.P., a Delaware limited partnership, (v) Platinum Equity Partners III, LLC, a Delaware limited liability company, (vi) Platinum Equity Investment Holdings III, LLC, a Delaware limited liability company, (vii) Platinum Equity InvestCo, L.P., a Cayman Islands limited partnership, (viii) Platinum Equity Investment Holdings IC (Cayman), LLC, a Delaware limited liability company, (ix) Platinum InvestCo (Cayman), LLC, a Cayman Islands limited liability company (x) Platinum Equity Investment Holdings, LLC, a Delaware limited liability company, (xi) Platinum Equity Investment Holdings III Manager, LLC, a Delaware limited liability company, (xii) Platinum Equity, LLC, a Delaware limited liability company and (xiii) Tom Gores, an individual.
(2)
Number of shares beneficially owned is based solely on a Schedule 13G/A filed with the SEC on March 7, 2019 on behalf of Rutabaga Capital Management.
(3)
Number of shares beneficially owned is based solely on a Schedule 13G/A filed with the SEC on February 14, 2019 on behalf of Contrarian Capital Management, L.L.C.
(4)
Number of shares beneficially owned is based solely on a Schedule 13G filed jointly with the SEC on February 12, 2019 by the Goldman Sachs Group, Inc. and Goldman Sachs & Co. LLC relating to securities beneficially owned by certain operating units (collectively, the “Goldman Sachs Reporting Units”) of the Goldman Sachs Group, Inc. and its subsidiaries and affiliates. The Goldman Sachs