| ADAR1 Capital Management GP, LLC |
Texas |
0 |
3645155 |
0 |
3645155 |
3645155 |
8.42 % |
14/11/2024 |
| ADAR1 Capital Management, LLC |
Texas |
0 |
3684708 |
0 |
3684708 |
3684708 |
8.51 % |
14/11/2024 |
| Daniel Schneeberger |
Switzerland |
0 |
3684708 |
0 |
3684708 |
3684708 |
8.51 % |
14/11/2024 |
| Laurence W. Lytton |
USA |
4389969 |
0 |
4389969 |
0 |
4389969 |
9.99 % |
14/11/2024 |
| Advisors, Inc. |
ONTARIO, CANADA |
0 |
5077933 |
0 |
5077933 |
5077933 |
9.9 % |
14/08/2024 |
| Master Fund L.P. |
CAYMAN ISLANDS |
0 |
3147008 |
0 |
3147008 |
3147008 |
9.9 % |
14/08/2024 |
| Opportunities Fund I L.P. |
CAYMAN ISLANDS |
0 |
1930925 |
0 |
1930925 |
1930925 |
1.6 % |
14/08/2024 |
| Salamon |
ONTARIO, CANADA |
0 |
5077933 |
0 |
3671550 |
5077933 |
9.9 % |
14/08/2024 |
| Aharon |
ONTARIO, CANADA |
3900 |
5077933 |
3900 |
5077933 |
5077933 |
9.9 % |
14/08/2024 |
| Opportunities Fund I L.P. |
CAYMAN ISLANDS |
0 |
1271585 |
0 |
1271585 |
1271585 |
5.9 % |
11/07/2024 |
| Advisors, Inc. |
ONTARIO, CANADA |
0 |
3992586 |
0 |
3992586 |
3992586 |
9.9 % |
11/07/2024 |
| Salamon |
ONTARIO, CANADA |
0 |
3992586 |
0 |
2705616 |
3992586 |
9.9 % |
11/07/2024 |
| Aharon |
ONTARIO, CANADA |
3900 |
3992586 |
3900 |
3992586 |
3992586 |
9.9 % |
11/07/2024 |
| Master Fund L.P. |
CAYMAN ISLANDS |
0 |
2721001 |
0 |
2721001 |
2721001 |
9.9 % |
11/07/2024 |
| Opportunities Fund I L.P. |
CAYMAN ISLANDS |
0 |
1271585 |
0 |
1271585 |
1271585 |
8.5 % |
14/02/2024 |
| Master Fund L.P. |
CAYMAN ISLANDS |
0 |
5405348 |
0 |
5405348 |
5405348 |
9.9 % |
14/02/2024 |
| Aharon |
ONTARIO, CANADA |
0 |
6676933 |
3900 |
6676933 |
6676933 |
9.9 % |
14/02/2024 |
| Salamon |
ONTARIO, CANADA |
0 |
6676933 |
0 |
1488400 |
6676933 |
9.9 % |
14/02/2024 |
| Advisors, Inc. |
ONTARIO, CANADA |
0 |
6676933 |
0 |
6676933 |
6676933 |
9.9 % |
14/02/2024 |
| Daniel Mack |
USA |
0 |
3229903 |
0 |
3229903 |
3229903 |
9.9 % |
14/02/2024 |
| Nantahala Capital Management, LLC |
MA |
0 |
3229903 |
0 |
3229903 |
3229903 |
9.9 % |
14/02/2024 |
| Wilmot B. Harkey |
USA |
0 |
3229903 |
0 |
3229903 |
3229903 |
9.9 % |
14/02/2024 |
| Jonathan I. Cope |
United States |
0 |
1307049 |
0 |
1307049 |
1307049 |
9.676 % |
14/02/2024 |
| Alex Noah Investors, Inc. |
Illinois |
0 |
1307049 |
0 |
1307049 |
1307049 |
9.676 % |
14/02/2024 |
| Joshua B. Scheinfeld |
United States |
0 |
1307049 |
0 |
1307049 |
1307049 |
9.676 % |
14/02/2024 |
| Rockledge Capital Corporation |
Texas |
0 |
1307049 |
0 |
1307049 |
1307049 |
9.676 % |
14/02/2024 |
| Lincoln Park Capital, LLC |
Illinois |
0 |
1307049 |
0 |
1307049 |
1307049 |
9.676 % |
14/02/2024 |
| Lincoln Park Capital Fund, LLC |
Illinois |
0 |
1307049 |
0 |
1307049 |
1307049 |
9.676 % |
14/02/2024 |
| Laurence W. Lytton |
USA |
3280178 |
0 |
3280178 |
0 |
3280178 |
9.99 % |
14/02/2024 |
| Orin Hirschman |
United States |
2662324 |
0 |
26623241 |
|
26623241 |
8.7 % |
07/02/2024 |
| AIGH Capital Management, LLC |
Maryland |
2662324 |
0 |
26623241 |
|
26623241 |
8.7 % |
07/02/2024 |
| ADAR1 Capital Management GP, LLC |
Texas |
0 |
1824063 |
0 |
1824063 |
1824063 |
6.21 % |
31/01/2024 |
| Daniel Schneeberger |
Switzerland |
0 |
1824063 |
0 |
1824063 |
1824063 |
6.21 % |
31/01/2024 |
| ADAR1 Partners, LP |
Delaware |
0 |
1824063 |
0 |
1824063 |
1824063 |
6.21 % |
31/01/2024 |
| ADAR1 Capital Management, LLC |
Texas |
0 |
1824063 |
0 |
1824063 |
1824063 |
6.21 % |
31/01/2024 |
| Laurence W. Lytton |
USA |
1885073 |
0 |
1885073 |
0 |
1885073 |
9.99 % |
07/12/2023 |
| AIGH Capital Management, LLC |
Maryland |
1915220 |
0 |
19152201 |
|
19152201 |
9.9 % |
05/12/2023 |
| 2. Check the Appropriate Box if a Member of a Group |
United States |
1915220 |
0 |
19152201 |
|
19152201 |
9.9 % |
05/12/2023 |
| Salamon |
|
|
2158272 |
|
|
2158272 |
9.9 % |
13/02/2023 |
| Salamon |
|
|
2158272 |
|
|
2158272 |
9.9 % |
13/02/2023 |
| Advisors, Inc. |
|
|
2158272 |
|
2158272 |
2158272 |
9.9 % |
13/02/2023 |
| Master Fund L.P. |
|
|
2158272 |
|
2158272 |
2158272 |
9.9 % |
13/02/2023 |
| Aharon |
|
|
2158272 |
|
2158272 |
2158272 |
9.97 % |
13/02/2023 |
| Master Fund L.P. |
|
|
2158272 |
|
2158272 |
2158272 |
9.9 % |
13/02/2023 |
| Aharon |
|
|
2158272 |
|
2158272 |
2158272 |
9.97 % |
13/02/2023 |
| Advisors, Inc. |
|
|
2158272 |
|
2158272 |
2158272 |
9.9 % |
13/02/2023 |
| Laurence W. Lytton |
USA |
482430 |
0 |
482430 |
0 |
482430 |
4.99 % |
13/02/2023 |
| Laurence W. Lytton |
USA |
482430 |
0 |
482430 |
0 |
482430 |
4.99 % |
13/02/2023 |
| Salamon |
|
|
2158272 |
|
|
2158272 |
9.9 % |
02/11/2022 |
| Advisors, Inc. |
|
|
2158272 |
|
2158272 |
2158272 |
9.9 % |
02/11/2022 |
| Master Fund L.P. |
|
|
2158272 |
|
2158272 |
2158272 |
9.9 % |
02/11/2022 |
| Aharon |
|
|
2158272 |
|
2158272 |
2158272 |
9.97 % |
02/11/2022 |
| Salamon |
|
|
2158272 |
|
|
2158272 |
9.9 % |
02/11/2022 |
| Advisors, Inc. |
|
|
2158272 |
|
2158272 |
2158272 |
9.9 % |
02/11/2022 |
| Master Fund L.P. |
|
|
2158272 |
|
2158272 |
2158272 |
9.9 % |
02/11/2022 |
| Aharon |
|
|
2158272 |
|
2158272 |
2158272 |
9.97 % |
02/11/2022 |
| Alex Noah Investors, Inc. |
Illinois |
0 |
937588 |
0 |
937588 |
937588 |
9.99 % |
25/10/2022 |
| Lincoln Park Capital Fund, LLC |
Illinois |
0 |
937588 |
0 |
937588 |
937588 |
9.99 % |
25/10/2022 |
| Rockledge Capital Corporation |
Texas |
0 |
937588 |
0 |
937588 |
937588 |
9.99 % |
25/10/2022 |
| Lincoln Park Capital, LLC |
Illinois |
0 |
937588 |
0 |
937588 |
937588 |
9.99 % |
25/10/2022 |
| Rockledge Capital Corporation |
Texas |
0 |
937588 |
0 |
937588 |
937588 |
9.99 % |
25/10/2022 |
| Joshua B. Scheinfeld |
United States |
0 |
937588 |
0 |
937588 |
937588 |
9.99 % |
25/10/2022 |
| Lincoln Park Capital Fund, LLC |
Illinois |
0 |
937588 |
0 |
937588 |
937588 |
9.99 % |
25/10/2022 |
| Lincoln Park Capital, LLC |
Illinois |
0 |
937588 |
0 |
937588 |
937588 |
9.99 % |
25/10/2022 |
| Jonathan I. Cope |
United States |
0 |
937588 |
0 |
937588 |
937588 |
9.99 % |
25/10/2022 |
| Joshua B. Scheinfeld |
United States |
0 |
937588 |
0 |
937588 |
937588 |
9.99 % |
25/10/2022 |
| Jonathan I. Cope |
United States |
0 |
937588 |
0 |
937588 |
937588 |
9.99 % |
25/10/2022 |
| Alex Noah Investors, Inc. |
Illinois |
0 |
937588 |
0 |
937588 |
937588 |
9.99 % |
25/10/2022 |
| Laurence W. Lytton |
USA |
4169292 |
8500 |
4169292 |
8500 |
4177792 |
6.6 % |
14/02/2022 |
| Consonance Capital Management LP |
Delaware USA |
0 |
0 |
0 |
0 |
0 |
0 % |
14/02/2022 |
| Consonance Capman GP LLC |
Delaware USA |
0 |
0 |
0 |
0 |
0 |
0 % |
14/02/2022 |
| Mitchell Blutt |
USA |
0 |
0 |
0 |
0 |
0 |
0 % |
14/02/2022 |
| Sio Capital Management, LLC |
Delaware |
0 |
0 |
0 |
0 |
0 |
0.002 % |
10/02/2022 |
| Sio Capital Management, LLC |
|
0 |
0 |
0 |
0 |
0 |
0 % |
10/02/2022 |
| Steven Salamon |
ONTARIO, CANADA |
0 |
6052282 |
0 |
6052282 |
6052282 |
9.9 % |
21/01/2022 |
| Rosalind Advisors, Inc. |
ONTARIO, CANADA |
0 |
6052282 |
0 |
6052282 |
6052282 |
9.9 % |
21/01/2022 |
| Gilad Aharon |
ONTARIO, CANADA |
0 |
6052282 |
39000 |
6052282 |
6052282 |
9.97 % |
21/01/2022 |
| Rosalind Master Fund L.P. |
CAYMAN ISLANDS |
0 |
6052282 |
0 |
6052282 |
6052282 |
9.9 % |
21/01/2022 |
| Gilad Aharon |
ONTARIO, CANADA |
0 |
6052282 |
39000 |
6052282 |
6052282 |
9.97 % |
21/01/2022 |
| Steven Salamon |
ONTARIO, CANADA |
0 |
6052282 |
0 |
6052282 |
6052282 |
9.9 % |
21/01/2022 |
| Rosalind Master Fund L.P. |
CAYMAN ISLANDS |
0 |
6052282 |
0 |
6052282 |
6052282 |
9.9 % |
21/01/2022 |
| Rosalind Advisors, Inc. |
ONTARIO, CANADA |
0 |
6052282 |
0 |
6052282 |
6052282 |
9.9 % |
21/01/2022 |
| Steven Salamon |
ONTARIO, CANADA |
0 |
3207160 |
0 |
3207160 |
3207160 |
6 % |
08/07/2021 |
| Rosalind Advisors, Inc. |
ONTARIO, CANADA |
0 |
3207160 |
0 |
3207160 |
3207160 |
6 % |
08/07/2021 |
| Steven Salamon |
ONTARIO, CANADA |
0 |
3207160 |
0 |
3207160 |
3207160 |
6 % |
08/07/2021 |
| Gilad Aharon |
ONTARIO, CANADA |
0 |
3207160 |
0 |
3207160 |
3207160 |
6 % |
08/07/2021 |
| Rosalind Master Fund L.P. |
CAYMAN ISLANDS |
0 |
3207160 |
0 |
3207160 |
3207160 |
6 % |
08/07/2021 |
| Rosalind Advisors, Inc. |
ONTARIO, CANADA |
0 |
3207160 |
0 |
3207160 |
3207160 |
6 % |
08/07/2021 |
| Gilad Aharon |
ONTARIO, CANADA |
0 |
3207160 |
0 |
3207160 |
3207160 |
6 % |
08/07/2021 |
| Rosalind Master Fund L.P. |
CAYMAN ISLANDS |
0 |
3207160 |
0 |
3207160 |
3207160 |
6 % |
08/07/2021 |
| Consonance Capital Management LP |
Delaware USA |
0 |
4703435 |
0 |
4703435 |
4703435 |
9.99 % |
17/02/2021 |
| Consonance Capital Opportunity Fund Management LP |
Delaware USA |
0 |
2844444 |
0 |
2844444 |
2844444 |
6.03 % |
17/02/2021 |
| Mitchell Blutt |
USA |
0 |
4587679 |
0 |
4587679 |
4587679 |
9.99 % |
17/02/2021 |
| Consonance Capman GP LLC |
Delaware USA |
0 |
4587679 |
0 |
4587679 |
4587679 |
9.99 % |
17/02/2021 |
| Consonance Capman GP LLC |
Delaware USA |
0 |
4587679 |
0 |
4587679 |
4587679 |
9.99 % |
17/02/2021 |
| Consonance Capital Management LP |
Delaware USA |
0 |
4703435 |
0 |
4703435 |
4703435 |
9.99 % |
17/02/2021 |
| Mitchell Blutt |
USA |
0 |
4587679 |
0 |
4587679 |
4587679 |
9.99 % |
17/02/2021 |
| Consonance Capital Opportunity Fund Management LP |
Delaware USA |
0 |
2844444 |
0 |
2844444 |
2844444 |
6.03 % |
17/02/2021 |
| Joe Lewis |
United Kingdom |
0 |
1840000 |
0 |
1840000 |
1840000 |
4 % |
16/02/2021 |
| Boxer Capital, LLC |
Delaware |
0 |
1840000 |
0 |
1840000 |
1840000 |
4 % |
16/02/2021 |
| Boxer Asset Management Inc. |
Bahamas |
0 |
1840000 |
0 |
1840000 |
1840000 |
4 % |
16/02/2021 |
| Joe Lewis |
United Kingdom |
0 |
1840000 |
0 |
1840000 |
1840000 |
4 % |
16/02/2021 |
| Boxer Capital, LLC |
Delaware |
0 |
1840000 |
0 |
1840000 |
1840000 |
4 % |
16/02/2021 |
| Boxer Asset Management Inc. |
Bahamas |
0 |
1840000 |
0 |
1840000 |
1840000 |
4 % |
16/02/2021 |
| Consonance Capital Management LP |
Delaware USA |
0 |
4703435 |
0 |
4703435 |
4703435 |
9.99 % |
16/02/2021 |
| Consonance Capman GP LLC |
Delaware USA |
0 |
6058505 |
0 |
6058505 |
6058505 |
9.99 % |
16/02/2021 |
| Consonance Capital Opportunity Fund Management LP |
Delaware USA |
0 |
1193518 |
0 |
1193518 |
1193518 |
2.04 % |
16/02/2021 |
| Mitchell Blutt |
USA |
0 |
6058505 |
0 |
6058505 |
6058505 |
9.99 % |
16/02/2021 |
| Consonance Capital Opportunity Fund Management LP |
Delaware USA |
0 |
1193518 |
0 |
1193518 |
1193518 |
2.04 % |
16/02/2021 |
| Consonance Capman GP LLC |
Delaware USA |
0 |
6058505 |
0 |
6058505 |
6058505 |
9.99 % |
16/02/2021 |
| Consonance Capital Management LP |
Delaware USA |
0 |
4703435 |
0 |
4703435 |
4703435 |
9.99 % |
16/02/2021 |
| Mitchell Blutt |
USA |
0 |
6058505 |
0 |
6058505 |
6058505 |
9.99 % |
16/02/2021 |
| Sio Capital Management, LLC |
|
0 |
2331123 |
0 |
2331123 |
2331123 |
0 % |
16/02/2021 |
| Sio Capital Management, LLC |
|
0 |
2331123 |
0 |
2331123 |
2331123 |
0 % |
16/02/2021 |
| Laurence W. Lytton |
USA |
4730003 |
14000 |
4730003 |
14000 |
4744003 |
9.99 % |
16/02/2021 |
| OR |
Delaware |
2164950 |
0 |
2164950 |
0 |
2164950 |
4.8 % |
16/02/2021 |
| OR |
Delaware |
2164950 |
0 |
2164950 |
0 |
2164950 |
4.8 % |
16/02/2021 |
| Lincoln Park Capital, LLC |
Illinois |
0 |
2313683 |
0 |
2313683 |
2313683 |
8.92 % |
13/07/2020 |
| Alex Noah Investors, Inc. |
Illinois |
0 |
2313683 |
0 |
2313683 |
2313683 |
8.92 % |
13/07/2020 |
| Jonathan I. Cope |
United States |
0 |
2313683 |
0 |
2313683 |
2313683 |
8.92 % |
13/07/2020 |
| Lincoln Park Capital Fund, LLC |
Illinois |
0 |
2313683 |
0 |
2313683 |
2313683 |
8.92 % |
13/07/2020 |
| Rockledge Capital Corporation |
Texas |
0 |
2313683 |
0 |
2313683 |
2313683 |
8.92 % |
13/07/2020 |
| Joshua B. Scheinfeld |
United States |
0 |
2313683 |
0 |
2313683 |
2313683 |
8.92 % |
13/07/2020 |
| Alex Noah Investors, Inc. |
Illinois |
0 |
2313683 |
0 |
2313683 |
2313683 |
8.92 % |
13/07/2020 |
| Jonathan I. Cope |
United States |
0 |
2313683 |
0 |
2313683 |
2313683 |
8.92 % |
13/07/2020 |
| Lincoln Park Capital Fund, LLC |
Illinois |
0 |
2313683 |
0 |
2313683 |
2313683 |
8.92 % |
13/07/2020 |
| Lincoln Park Capital, LLC |
Illinois |
0 |
2313683 |
0 |
2313683 |
2313683 |
8.92 % |
13/07/2020 |
| Rockledge Capital Corporation |
Texas |
0 |
2313683 |
0 |
2313683 |
2313683 |
8.92 % |
13/07/2020 |
| Joshua B. Scheinfeld |
United States |
0 |
2313683 |
0 |
2313683 |
2313683 |
8.92 % |
13/07/2020 |
| AIGH Capital Management, LLC. |
Maryland |
1034232 |
0 |
10342321 |
|
10342321 |
4.31 % |
10/07/2020 |
| AIGH Capital Management, LLC. |
Maryland |
1034232 |
0 |
10342321 |
|
10342321 |
4.31 % |
10/07/2020 |
| Armistice Capital Master Fund Ltd. |
Cayman Islands |
0 |
1319617 |
0 |
1319617 |
1319617 |
4.99 % |
12/06/2020 |
| Steven Boyd |
United States of America |
0 |
1319617 |
0 |
1319617 |
1319617 |
4.99 % |
12/06/2020 |
| Armistice Capital, LLC |
Delaware |
0 |
1319617 |
0 |
1319617 |
1319617 |
4.99 % |
12/06/2020 |
| Armistice Capital Master Fund Ltd. |
Cayman Islands |
0 |
1319617 |
0 |
1319617 |
1319617 |
4.99 % |
12/06/2020 |
| Armistice Capital, LLC |
Delaware |
0 |
1319617 |
0 |
1319617 |
1319617 |
4.99 % |
12/06/2020 |
| Steven Boyd |
United States of America |
0 |
1319617 |
0 |
1319617 |
1319617 |
4.99 % |
12/06/2020 |
| Laurence W. Lytton |
USA |
2402621 |
0 |
2402621 |
0 |
2402621 |
9.99 % |
12/06/2020 |
| AIGH Capital Management, LLC. |
Maryland |
1565200 |
0 |
15652001 |
|
15652001 |
6.52 % |
10/06/2020 |
| S Bruce R. Winson |
United States |
0 |
493509 |
0 |
493509 |
493509 |
4.9 % |
14/02/2020 |
| S Anson Advisors Inc. |
Ontario Canada |
0 |
493509 |
0 |
493509 |
493509 |
4.9 % |
14/02/2020 |
| S Moez Kassam |
Canadian |
0 |
493509 |
0 |
493509 |
493509 |
4.9 % |
14/02/2020 |
| S Amin Nathoo |
Canadian |
0 |
493509 |
0 |
493509 |
493509 |
4.9 % |
14/02/2020 |
| S Anson Funds Management LP |
Texas |
0 |
493509 |
0 |
493509 |
493509 |
4.9 % |
14/02/2020 |
| S Anson Management GP LLC |
Texas |
0 |
493509 |
0 |
493509 |
493509 |
4.9 % |
14/02/2020 |
| KEVIN TANG |
UNITED STATES |
0 |
0 |
0 |
0 |
0 |
0 % |
14/02/2020 |
| TANG CAPITAL PARTNERS, LP |
DELAWARE |
0 |
0 |
0 |
0 |
0 |
0 % |
14/02/2020 |
| TANG CAPITAL MANAGEMENT, LLC |
DELAWARE |
0 |
0 |
0 |
0 |
0 |
0 % |
14/02/2020 |
| UBS Group AG directly and on behalf of certain subsidiaries |
Switzerland |
0 |
5 |
0 |
5 |
5 |
5 % |
11/02/2020 |
| Mitchell P. Kopin |
United States America |
0 |
439331 |
0 |
439331 |
439331 |
4.5 % |
11/02/2020 |
| Daniel B. Asher |
United States America |
0 |
439331 |
0 |
439331 |
439331 |
4.5 % |
11/02/2020 |
| Intracoastal Capital LLC |
Delaware |
0 |
439331 |
0 |
439331 |
439331 |
4.5 % |
11/02/2020 |
| OR |
Delaware |
925000 |
0 |
925000 |
0 |
925000 |
9.8 % |
07/02/2020 |
| OR |
Delaware |
925000 |
0 |
925000 |
0 |
925000 |
9.8 % |
07/02/2020 |
| OR |
Delaware |
850000 |
0 |
850000 |
0 |
850000 |
9 % |
28/06/2019 |
| OR |
Delaware |
850000 |
0 |
850000 |
0 |
850000 |
9 % |
28/06/2019 |
| Boxer Capital, LLC |
Delaware |
0 |
931764 |
0 |
931764 |
931764 |
9.99 % |
28/05/2019 |
| Boxer Asset Management Inc. |
Bahamas |
0 |
931764 |
0 |
931764 |
931764 |
9.99 % |
28/05/2019 |
| Joe Lewis |
United Kingdom |
0 |
931764 |
0 |
931764 |
931764 |
9.99 % |
28/05/2019 |
| Joe Lewis |
United Kingdom |
0 |
931764 |
0 |
931764 |
931764 |
9.99 % |
28/05/2019 |
| Boxer Capital, LLC |
Delaware |
0 |
931764 |
0 |
931764 |
931764 |
9.99 % |
28/05/2019 |
| Boxer Asset Management Inc. |
Bahamas |
0 |
931764 |
0 |
931764 |
931764 |
9.99 % |
28/05/2019 |
| TANG CAPITAL PARTNERS, LP |
DELAWARE |
0 |
637715 |
0 |
637715 |
637715 |
6.8 % |
28/05/2019 |
| TANG CAPITAL MANAGEMENT, LLC |
DELAWARE |
0 |
637715 |
0 |
637715 |
637715 |
6.8 % |
28/05/2019 |
| KEVIN TANG |
UNITED STATES |
0 |
637715 |
0 |
637715 |
637715 |
6.8 % |
28/05/2019 |
| KEVIN TANG |
UNITED STATES |
0 |
637715 |
0 |
637715 |
637715 |
6.8 % |
28/05/2019 |
| TANG CAPITAL MANAGEMENT, LLC |
DELAWARE |
0 |
637715 |
0 |
637715 |
637715 |
6.8 % |
28/05/2019 |
| TANG CAPITAL PARTNERS, LP |
DELAWARE |
0 |
637715 |
0 |
637715 |
637715 |
6.8 % |
28/05/2019 |
| Anson Management GP LLC |
Texas |
0 |
600000 |
0 |
600000 |
600000 |
6.4 % |
28/05/2019 |
| Bruce R. Winson |
United States Citizen |
0 |
600000 |
0 |
600000 |
600000 |
6.4 % |
28/05/2019 |
| Anson Advisors Inc. |
Ontario, Canada |
0 |
600000 |
0 |
600000 |
600000 |
6.4 % |
28/05/2019 |
| Moez Kassam |
Canadian Citizen |
0 |
600000 |
0 |
600000 |
600000 |
6.4 % |
28/05/2019 |
| Amin Nathoo |
Canadian Citizen |
0 |
600000 |
0 |
600000 |
600000 |
6.4 % |
28/05/2019 |
| Anson Advisors Inc. |
Ontario, Canada |
0 |
600000 |
0 |
600000 |
600000 |
6.4 % |
28/05/2019 |
| Bruce R. Winson |
United States Citizen |
0 |
600000 |
0 |
600000 |
600000 |
6.4 % |
28/05/2019 |
| Anson Management GP LLC |
Texas |
0 |
600000 |
0 |
600000 |
600000 |
6.4 % |
28/05/2019 |
| Anson Funds Management LP |
Texas |
0 |
600000 |
0 |
600000 |
600000 |
6.4 % |
28/05/2019 |
| Moez Kassam |
Canadian Citizen |
0 |
600000 |
0 |
600000 |
600000 |
6.4 % |
28/05/2019 |
| Anson Funds Management LP |
Texas |
0 |
600000 |
0 |
600000 |
600000 |
6.4 % |
28/05/2019 |
| Amin Nathoo |
Canadian Citizen |
0 |
600000 |
0 |
600000 |
600000 |
6.4 % |
28/05/2019 |
| Intracoastal Capital LLC |
Delaware |
0 |
601800 |
0 |
601800 |
601800 |
6.1 % |
24/05/2019 |
| Daniel B. Asher |
United States of America |
0 |
601800 |
0 |
601800 |
601800 |
6.1 % |
24/05/2019 |
| Mitchell P. Kopin |
United States of America |
0 |
601800 |
0 |
601800 |
601800 |
6.1 % |
24/05/2019 |
| UBS Group AG directly and on behalf of certain subsidiaries |
Switzerland |
0 |
325253 |
0 |
325253 |
325253 |
6.84 % |
15/02/2019 |
| Sabby Management, LLC |
Delaware, USA |
0 |
127276 |
0 |
127276 |
127276 |
0.8 % |
04/01/2018 |
| Sabby Healthcare Master Fund, Ltd. |
Cayman Islands |
0 |
84850 |
0 |
84850 |
84850 |
0.54 % |
04/01/2018 |
| Hal Mintz |
USA |
0 |
127276 |
0 |
127276 |
127276 |
0.8 % |
04/01/2018 |
| Sabby Volatility Warrant Master Fund, Ltd. |
Cayman Islands |
0 |
42426 |
0 |
42426 |
42426 |
0.27 % |
04/01/2018 |
| Cormorant Global Healthcare GP, LLC |
Delaware |
0 |
89304 |
0 |
89304 |
89304 |
1.3 % |
14/02/2017 |
| Cormorant Global Healthcare Master Fund, LP |
Cayman Islands |
0 |
89304 |
0 |
89304 |
89304 |
1.3 % |
14/02/2017 |
| Bihua Chen |
United States |
0 |
106648 |
0 |
106648 |
106648 |
1.5 % |
14/02/2017 |
| Cormorant Asset Management, LLC |
Delaware |
0 |
106648 |
0 |
106648 |
106648 |
1.5 % |
14/02/2017 |
| Abigail P. Johnson |
United States of America |
0 |
0 |
0 |
0 |
0 |
0 % |
10/01/2017 |
| FMR LLC |
Delaware |
0 |
0 |
0 |
0 |
0 |
0 % |
10/01/2017 |
| Sabby Volatility Warrant Master Fund, Ltd. |
Cayman Islands |
0 |
4201 |
0 |
4201 |
4201 |
0.04 % |
06/01/2017 |
| Hal Mintz |
USA |
0 |
663045 |
0 |
663045 |
663045 |
6.88 % |
06/01/2017 |
| Sabby Management, LLC |
Delaware USA |
0 |
663045 |
0 |
663045 |
663045 |
6.88 % |
06/01/2017 |
| Sabby Healthcare Master Fund, Ltd. |
Cayman Islands |
0 |
658844 |
0 |
658844 |
658844 |
6.84 % |
06/01/2017 |
| Select Biotechnology Portfolio |
Massachusetts |
118120 |
0 |
0 |
0 |
118120 |
5.002 % |
10/05/2016 |
| Abigail P. Johnson |
United States of America |
0 |
0 |
125000 |
0 |
125000 |
5.293 % |
10/05/2016 |
| FMR LLC |
Delaware |
0 |
0 |
125000 |
0 |
125000 |
5.293 % |
10/05/2016 |
| FMR LLC |
Delaware |
0 |
0 |
125000 |
0 |
125000 |
12.716 % |
11/04/2016 |
| Select Biotechnology Portfolio |
Massachusetts |
118120 |
0 |
0 |
0 |
118120 |
12.016 % |
11/04/2016 |
| Abigail P. Johnson |
United States of America |
0 |
0 |
125000 |
0 |
125000 |
12.716 % |
11/04/2016 |
| AWM Investment Company, Inc. |
Delaware, United States |
1066000 |
0 |
1066000 |
0 |
1066000 |
4.99 % |
11/01/2016 |
| Sabby Volatility Warrant Master Fund, Ltd. |
Cayman Islands |
0 |
218800 |
0 |
218800 |
218800 |
2.55 % |
11/01/2016 |
| Sabby Healthcare Master Fund, Ltd. |
Cayman Islands |
0 |
638800 |
0 |
638800 |
638800 |
7.44 % |
11/01/2016 |
| Sabby Management, LLC |
Delaware, USA |
0 |
857600 |
0 |
857600 |
857600 |
9.99 % |
11/01/2016 |
| Hal Mintz |
USA |
0 |
857600 |
0 |
857600 |
857600 |
9.99 % |
11/01/2016 |
| Deerfield Mgmt, L.P. |
Delaware |
0 |
145001 |
0 |
145001 |
145001 |
1.88 % |
17/02/2015 |
| Deerfield Special Situations International Master Fund, L.P. |
British Virgin Islands |
0 |
69298 |
0 |
69298 |
69298 |
0.91 % |
17/02/2015 |
| James E. Flynn |
United States |
0 |
145001 |
0 |
145001 |
145001 |
1.88 % |
17/02/2015 |
| Deerfield Special Situations Fund, L.P. |
Delaware |
0 |
75703 |
0 |
75703 |
75703 |
0.99 % |
17/02/2015 |
| Deerfield Management Company, L.P. |
Delaware |
0 |
145001 |
0 |
145001 |
145001 |
1.88 % |
17/02/2015 |
| AWM Investment Company, Inc. |
Delaware, United States |
2208368 |
0 |
2208368 |
0 |
2208368 |
25.6 % |
29/01/2015 |
| Sabby Healthcare Master Fund, Ltd. |
Cayman Islands |
0 |
539078 |
0 |
539078 |
539078 |
7.13 % |
12/01/2015 |
| Sabby Management, LLC |
Delaware, USA |
0 |
755520 |
0 |
755520 |
755520 |
9.99 % |
12/01/2015 |
| Sabby Volatility Warrant Master Fund, Ltd. |
Cayman Islands |
0 |
352330 |
0 |
352330 |
352330 |
4.66 % |
12/01/2015 |
| Hal Mintz |
USA |
0 |
755520 |
0 |
755520 |
755520 |
9.99 % |
12/01/2015 |
| Cormorant Global Healthcare Master Fund, LP |
Cayman Islands |
0 |
1060000 |
0 |
1060000 |
1060000 |
13.1 % |
02/09/2014 |
| Bihua Chen |
United States |
0 |
1060000 |
0 |
1060000 |
1060000 |
13.1 % |
02/09/2014 |
| Cormorant Asset Management, LLC |
Delaware |
0 |
1060000 |
0 |
1060000 |
1060000 |
13.1 % |
02/09/2014 |
| Cormorant Global Healthcare GP, LLC |
Delaware |
0 |
1060000 |
0 |
1060000 |
1060000 |
13.1 % |
02/09/2014 |
| Sabby Healthcare Volatility Master Fund, Ltd. |
Cayman Islands |
0 |
474545 |
0 |
474545 |
474545 |
6.49 % |
20/08/2014 |
| Hal Mintz |
USA |
0 |
730545 |
0 |
730545 |
730545 |
9.99 % |
20/08/2014 |
| Sabby Volatility Warrant Master Fund, Ltd. |
Cayman Islands |
0 |
256000 |
0 |
256000 |
256000 |
3.5 % |
20/08/2014 |
| Sabby Management, LLC |
Delaware, USA |
0 |
730545 |
0 |
730545 |
730545 |
9.99 % |
20/08/2014 |
| Deerfield Management Company, L.P. |
Delaware |
0 |
6163595 |
0 |
6163595 |
6163595 |
9.99 % |
14/03/2013 |
| Deerfield Special Situations International Master Fund, L.P. |
British Virgin Islands |
0 |
2914641 |
0 |
2914641 |
2914641 |
4.91 % |
14/03/2013 |
| James E. Flynn |
United States |
0 |
6163595 |
0 |
6163595 |
6163595 |
9.99 % |
14/03/2013 |
| Deerfield Mgmt, L.P. |
Delaware |
0 |
6163595 |
0 |
6163595 |
6163595 |
9.99 % |
14/03/2013 |
| Deerfield Special Situations Fund, L.P. |
Delaware |
0 |
3248954 |
0 |
3248954 |
3248954 |
5.45 % |
14/03/2013 |
| Longview Fund L.P. |
California |
|
0 |
34414145 |
0 |
34414145 |
7.6 % |
12/04/2011 |
| Xmark Opportunity Partners, LLC |
Delaware, United States |
34311724 |
0 |
34311724 |
0 |
34311724 |
7.6 % |
10/12/2010 |
