CTI BioPharma Corp. CTIC
Trading inactive
| Déclarant | Citoyenneté ou lieu d'organisation | Pouvoir de vote unique | Pouvoir de vote partagé | Pouvoir de disposition unique | Pouvoir de disposition partagé | Montant en propriété effective | Pourcentage détenu | Date d'achat |
|---|---|---|---|---|---|---|---|---|
| Stonepine Capital, L.P. | Delaware | 7018046 | 0 | 7018046 | 0 | 7018046 | 11 % | 14/04/2023 |
| Jon M. Plexico | Delaware | 7018046 | 0 | 7018046 | 0 | 7018046 | 11 % | 14/04/2023 |
| Stonepine Capital Management, LLC | Delaware | 7018046 | 0 | 7018046 | 0 | 7018046 | 11 % | 14/04/2023 |
| Timothy P. Lynch | U.S.A. | 6999275 | 0 | 6999275 | 0 | 6999275 | 11 % | 24/03/2023 |
| (1) BlackRock, Inc. | Delaware | 6866515 | 0 | 7060319 | 0 | 7060319 | 5.6 % | 03/02/2023 |
| W. Sonsini | States | 0 | 9613101 | 0 | 9613101 | 9613101 | 8.8 % | 17/06/2022 |
| D. Sandell | States | 0 | 9613101 | 0 | 9613101 | 9613101 | 8.8 % | 17/06/2022 |
| Partners 16, L.P. | Limited Partnership | 0 | 9613101 | 0 | 9613101 | 9613101 | 8.8 % | 17/06/2022 |
| H. Makhzoumi | States | 0 | 9613101 | 0 | 9613101 | 9613101 | 8.8 % | 17/06/2022 |
| A. Florence, Jr. | States | 0 | 9613101 | 0 | 9613101 | 9613101 | 8.8 % | 17/06/2022 |
| Behbahani | States | 0 | 9613101 | 0 | 9613101 | 9613101 | 8.8 % | 17/06/2022 |
| Baskett | States | 0 | 9613101 | 0 | 9613101 | 9613101 | 8.8 % | 17/06/2022 |
| 16 GP, LLC | Limited Liability Company | 0 | 9613101 | 0 | 9613101 | 9613101 | 8.8 % | 17/06/2022 |
| Equity Opportunities Fund V, LLC | Limited Liability Company | 0 | 9613101 | 0 | 9613101 | 9613101 | 8.8 % | 17/06/2022 |
| Enterprise Associates 16, L.P. | Limited Partnership | 0 | 9613101 | 0 | 9613101 | 9613101 | 8.8 % | 17/06/2022 |
| Chang | States | 0 | 9613101 | 0 | 9613101 | 9613101 | 8.8 % | 17/06/2022 |
| Walker | States | 0 | 9613101 | 0 | 9613101 | 9613101 | 8.8 % | 17/06/2022 |
| Millennium Management LLC | 0 | 5942285 | 0 | 5942285 | 5942285 | 5.5 % | 13/06/2022 | |
| Millennium Group Management LLC | 0 | 5942285 | 0 | 5942285 | 5942285 | 5.5 % | 13/06/2022 | |
| Israel A. Englander | 0 | 5942285 | 0 | 5942285 | 5942285 | 5.5 % | 13/06/2022 | |
| CDK Trading, LLC | 0 | 2239300 | 0 | 2239300 | 2239300 | 2.3 % | 14/02/2022 | |
| Bruce S. Kovner | 0 | 2239300 | 0 | 2239300 | 2239300 | 2.3 % | 14/02/2022 | |
| Caxton Corporation | 0 | 2239300 | 0 | 2239300 | 2239300 | 2.3 % | 14/02/2022 | |
| Timothy P. Lynch | California | 9754935 | 0 | 9754935 | 0 | 9754935 | 11 % | 11/02/2022 |
| Jon M. Plexico | California | 9754935 | 0 | 9754935 | 0 | 9754935 | 11 % | 11/02/2022 |
| Stonepine Capital, L.P. | California | 9754935 | 0 | 9754935 | 0 | 9754935 | 11 % | 11/02/2022 |
| Stonepine Capital Management, LLC | California | 9754935 | 0 | 9754935 | 0 | 9754935 | 11 % | 11/02/2022 |
| OrbiMed Capital GP VI LLC | Delaware | 0 | 4024821 | 0 | 4024821 | 4024821 | 4 % | 06/12/2021 |
| BVF INC. | 0 | 0 | 0 | 17123023 | 17123023 | 19.99 % | 15/03/2021 | |
| MATTHEW D. PERRY | 0 | 0 | 353139 | 0 | 353139 | 1 % | 15/03/2021 | |
| BVF PARTNERS L.P. | 0 | 0 | 0 | 17123023 | 17123023 | 19.99 % | 15/03/2021 | |
| BVF GP HOLDINGS LLC | 0 | 0 | 0 | 13141066 | 13141066 | 16.4 % | 15/03/2021 | |
| BVF PARTNERS OS LTD. | 0 | 0 | 0 | 1166374 | 1166374 | 1.5 % | 15/03/2021 | |
| BIOTECHNOLOGY VALUE TRADING FUND OS LP | 0 | 0 | 0 | 1166374 | 1166374 | 1.5 % | 15/03/2021 | |
| MARK N. LAMPERT | 0 | 0 | 0 | 17123023 | 17123023 | 19.99 % | 15/03/2021 | |
| BVF II GP LLC | 0 | 0 | 0 | 4535946 | 4535946 | 5.8 % | 15/03/2021 | |
| BVF I GP LLC | 0 | 0 | 0 | 8605120 | 8605120 | 10.6 % | 15/03/2021 | |
| BIOTECHNOLOGY VALUE FUND II, L.P. | 0 | 0 | 0 | 4535946 | 4535946 | 5.8 % | 15/03/2021 | |
| BIOTECHNOLOGY VALUE FUND, L.P. | 0 | 0 | 0 | 8605120 | 8605120 | 10.6 % | 15/03/2021 | |
| Caxton Corporation | Delaware | 0 | 3749890 | 0 | 3749890 | 3749890 | 5.1 % | 16/02/2021 |
| Bruce S. Kovner | Delaware | 0 | 3749890 | 0 | 3749890 | 3749890 | 5.1 % | 16/02/2021 |
| CDK Trading, LLC | Delaware | 0 | 3749890 | 0 | 3749890 | 3749890 | 5.1 % | 16/02/2021 |
| Stonepine Capital Management, LLC | California | 8148420 | 0 | 8148420 | 0 | 8148420 | 11 % | 12/02/2021 |
| Stonepine Capital, L.P. | California | 8148420 | 0 | 8148420 | 0 | 8148420 | 11 % | 12/02/2021 |
| Jon M. Plexico | California | 8148420 | 0 | 8148420 | 0 | 8148420 | 11 % | 12/02/2021 |
| Timothy P. Lynch | California | 8148420 | 0 | 8148420 | 0 | 8148420 | 11 % | 12/02/2021 |
| Caxton Corporation | Delaware | 0 | 4487317 | 0 | 4487317 | 4487317 | 6.1 % | 01/10/2020 |
| Scott D. Sandell | 0 | 7384816 | 0 | 7384816 | 7384816 | 9.99 % | 12/03/2020 | |
| Peter W. Sonsini | 0 | 7384816 | 0 | 7384816 | 7384816 | 9.99 % | 12/03/2020 | |
| Paul Walker | 0 | 7384816 | 0 | 7384816 | 7384816 | 9.99 % | 12/03/2020 | |
| Ali Behbahani | 0 | 7384816 | 0 | 7384816 | 7384816 | 9.99 % | 12/03/2020 | |
| Anthony A. Florence, Jr. | 0 | 7384816 | 0 | 7384816 | 7384816 | 9.99 % | 12/03/2020 | |
| Partners 16, L.P. | 0 | 7384816 | 0 | 7384816 | 7384816 | 9.99 % | 12/03/2020 | |
| Forest Baskett | 0 | 7384816 | 0 | 7384816 | 7384816 | 9.99 % | 12/03/2020 | |
| New Enterprise Associates 16, L.P. | 0 | 7384816 | 0 | 7384816 | 7384816 | 9.99 % | 12/03/2020 | |
| Carmen Chang | 0 | 7384816 | 0 | 7384816 | 7384816 | 9.99 % | 12/03/2020 | |
| Equity Opportunities Fund V, LLC | 0 | 7384816 | 0 | 7384816 | 7384816 | 9.99 % | 12/03/2020 | |
| Joshua Makower | 0 | 7384816 | 0 | 7384816 | 7384816 | 9.99 % | 12/03/2020 | |
| NEA 16 GP, LLC | 0 | 7384816 | 0 | 7384816 | 7384816 | 9.99 % | 12/03/2020 | |
| H. Makhzoumi | 0 | 7384816 | 0 | 7384816 | 7384816 | 9.99 % | 12/03/2020 | |
| OrbiMed Advisors LLC | Delaware | 0 | 9520000 | 0 | 0 | 9520000 | 12.9 % | 10/03/2020 |
| OrbiMed Capital GP VI LLC | Delaware | 0 | 9520000 | 0 | 0 | 9520000 | 12.9 % | 10/03/2020 |
| BIOTECHNOLOGY VALUE FUND II, L.P. | 0 | 0 | 0 | 4179280 | 4179280 | 7 % | 04/03/2020 | |
| BVF II GP LLC | 0 | 0 | 0 | 4179280 | 4179280 | 7 % | 04/03/2020 | |
| BIOTECHNOLOGY VALUE TRADING FUND OS LP | 0 | 0 | 0 | 483708 | 483708 | 1 % | 04/03/2020 | |
| MATTHEW D. PERRY | 0 | 0 | 153139 | 0 | 153139 | 1 % | 04/03/2020 | |
| MARK N. LAMPERT | 0 | 0 | 0 | 12753690 | 12753690 | 19.99 % | 04/03/2020 | |
| BVF INC. | 0 | 0 | 0 | 12753690 | 12753690 | 19.99 % | 04/03/2020 | |
| BVF PARTNERS L.P. | 0 | 0 | 0 | 12753690 | 12753690 | 19.99 % | 04/03/2020 | |
| BVF PARTNERS OS LTD. | 0 | 0 | 0 | 483708 | 483708 | 1 % | 04/03/2020 | |
| BVF GP HOLDINGS LLC | 0 | 0 | 0 | 10974400 | 10974400 | 17.2 % | 04/03/2020 | |
| BIOTECHNOLOGY VALUE FUND, L.P. | 0 | 0 | 0 | 6795120 | 6795120 | 11 % | 04/03/2020 | |
| BVF I GP LLC | 0 | 0 | 0 | 6795120 | 6795120 | 11 % | 04/03/2020 | |
| Stonepine Capital Management, LLC | California | 3613600 | 0 | 3613600 | 0 | 3613600 | 11 % | 13/02/2020 |
| Stonepine Capital, L.P. | California | 3613600 | 0 | 3613600 | 0 | 3613600 | 11 % | 13/02/2020 |
| Jon M. Plexico | California | 3613600 | 0 | 3613600 | 0 | 3613600 | 11 % | 13/02/2020 |
| Timothy P. Lynch | California | 3613600 | 0 | 3613600 | 0 | 3613600 | 11 % | 13/02/2020 |
| Paul Walker | 0 | 3750000 | 0 | 3750000 | 3750000 | 6.5 % | 13/02/2020 | |
| NEA Partners 16, L.P. | 0 | 3750000 | 0 | 3750000 | 3750000 | 6.5 % | 13/02/2020 | |
| Peter W. Sonsini | 0 | 3750000 | 0 | 3750000 | 3750000 | 6.5 % | 13/02/2020 | |
| Scott D. Sandell | 0 | 3750000 | 0 | 3750000 | 3750000 | 6.5 % | 13/02/2020 | |
| Joshua Makower | 0 | 3750000 | 0 | 3750000 | 3750000 | 6.5 % | 13/02/2020 | |
| Mohamad H. Makhzoumi | 0 | 3750000 | 0 | 3750000 | 3750000 | 6.5 % | 13/02/2020 | |
| Anthony A. Florence, Jr. | 0 | 3750000 | 0 | 3750000 | 3750000 | 6.5 % | 13/02/2020 | |
| Carmen Chang | 0 | 3750000 | 0 | 3750000 | 3750000 | 6.5 % | 13/02/2020 | |
| Ali Behbahani | 0 | 3750000 | 0 | 3750000 | 3750000 | 6.5 % | 13/02/2020 | |
| Growth Equity Opportunities Fund V, LLC | 0 | 3750000 | 0 | 3750000 | 3750000 | 6.5 % | 13/02/2020 | |
| Forest Baskett | 0 | 3750000 | 0 | 3750000 | 3750000 | 6.5 % | 13/02/2020 | |
| NEA 16 GP, LLC | 0 | 3750000 | 0 | 3750000 | 3750000 | 6.5 % | 13/02/2020 | |
| New Enterprise Associates 16, L.P. | 0 | 3750000 | 0 | 3750000 | 3750000 | 6.5 % | 13/02/2020 | |
| BIOTECHNOLOGY VALUE FUND, L.P. | 0 | 0 | 0 | 6795120 | 6795120 | 11 % | 04/02/2020 | |
| BVF I GP LLC | 0 | 0 | 0 | 6795120 | 6795120 | 11 % | 04/02/2020 | |
| MARK N. LAMPERT | 0 | 0 | 0 | 12753690 | 12753690 | 19.99 % | 04/02/2020 | |
| BIOTECHNOLOGY VALUE FUND II, L.P. | 0 | 0 | 0 | 4179280 | 4179280 | 7 % | 04/02/2020 | |
| BVF INC. | 0 | 0 | 0 | 12753690 | 12753690 | 19.99 % | 04/02/2020 | |
| BVF PARTNERS L.P. | 0 | 0 | 0 | 12753690 | 12753690 | 19.99 % | 04/02/2020 | |
| MATTHEW D. PERRY | 0 | 0 | 153139 | 0 | 153139 | 1 % | 04/02/2020 | |
| BVF PARTNERS OS LTD. | 0 | 0 | 0 | 483708 | 483708 | 1 % | 04/02/2020 | |
| BIOTECHNOLOGY VALUE TRADING FUND OS LP | 0 | 0 | 0 | 483708 | 483708 | 1 % | 04/02/2020 | |
| BVF II GP LLC | 0 | 0 | 0 | 4179280 | 4179280 | 7 % | 04/02/2020 | |
| BVF GP HOLDINGS LLC | 0 | 0 | 0 | 10974400 | 10974400 | 17.2 % | 04/02/2020 | |
| Timothy P. Lynch | California | 5726579 | 0 | 5726579 | 0 | 5726579 | 11 % | 13/02/2019 |
| Stonepine Capital Management, LLC | California | 5726579 | 0 | 5726579 | 0 | 5726579 | 11 % | 13/02/2019 |
| Stonepine Capital, L.P. | California | 4620261 | 0 | 4620261 | 0 | 4620261 | 11 % | 13/02/2019 |
| Jon M. Plexico | California | 5726579 | 0 | 5726579 | 0 | 5726579 | 11 % | 13/02/2019 |
| Baxalta Incorporated | Delaware | 0 | 0 | 0 | 0 | 0 | 0 % | 05/02/2018 |
| Baxalta GmbH | Delaware | 0 | 0 | 0 | 0 | 0 | 0 % | 05/02/2018 |
| Shire plc | Delaware | 0 | 0 | 0 | 0 | 0 | 0 % | 05/02/2018 |
| information which would alter the disclosures provided in a prior cover page. | California | 2150000 | 0 | 2150000 | 0 | 2150000 | 11 % | 11/01/2018 |
| Timothy P. Lynch | California | 2307446 | 0 | 2307446 | 0 | 2307446 | 11 % | 22/06/2017 |
| Stonepine Capital Management, LLC | California | 2307446 | 0 | 2307446 | 0 | 2307446 | 11 % | 22/06/2017 |
| Jon M. Plexico | California | 2307446 | 0 | 2307446 | 0 | 2307446 | 11 % | 22/06/2017 |
| Stonepine Capital, L.P. | California | 2307446 | 0 | 2307446 | 0 | 2307446 | 11 % | 22/06/2017 |
| OrbiMed Capital GP VI LLC | Delaware | 0 | 5000000 | 0 | 0 | 5000000 | 11.6 % | 15/06/2017 |
| Samuel D. Isaly | Delaware | 0 | 5000000 | 0 | 0 | 5000000 | 11.6 % | 15/06/2017 |
| OrbiMed Advisors LLC | Delaware | 0 | 5000000 | 0 | 0 | 5000000 | 11.6 % | 15/06/2017 |
| Baxalta Incorporated | Delaware | 0 | 1567398 | 0 | 0 | 1567398 | 5.5 % | 06/02/2017 |
| Shire plc | Delaware | 0 | 1567398 | 0 | 0 | 1567398 | 5.5 % | 06/02/2017 |
| Baxalta GmbH | Delaware | 0 | 1567398 | 0 | 0 | 1567398 | 5.5 % | 06/02/2017 |
| Florian Schönharting | Denmark | 0 | 13566354 | 0 | 13566354 | 13566354 | 4.8 % | 31/01/2017 |
| Cora Madsen | Denmark | 0 | 13566354 | 0 | 13566354 | 13566354 | 4.8 % | 31/01/2017 |
| NB Public Equity Komplementar ApS | Denmark | 0 | 13566354 | 0 | 13566354 | 13566354 | 4.8 % | 31/01/2017 |
| NB Public Equity K/S | Denmark | 0 | 13566354 | 0 | 13566354 | 13566354 | 4.8 % | 31/01/2017 |
| Baxalta Incorporated | Delaware | 0 | 15673981 | 0 | 0 | 15673981 | 5.5 % | 06/06/2016 |
| Baxalta GmbH | Delaware | 0 | 15673981 | 0 | 0 | 15673981 | 5.5 % | 06/06/2016 |
| Shire plc | Delaware | 0 | 15673981 | 0 | 0 | 15673981 | 5.5 % | 06/06/2016 |
| Select Biotechnology Portfolio | Delaware | 19931435 | 0 | 0 | 0 | 19931435 | 7.082 % | 11/04/2016 |
| FMR LLC | Delaware | 0 | 0 | 24664248 | 0 | 24664248 | 8.764 % | 11/04/2016 |
| Abigail P. Johnson | Delaware | 0 | 0 | 24664248 | 0 | 24664248 | 8.764 % | 11/04/2016 |
| 6.8% (2)(3) | Delaware | 0 | 15673981 | 0 | 15673981 | 15673981 | 6.8 % | 29/02/2016 |
| 6.8% (2)(3) | Delaware | 0 | 15673981 | 0 | 15673981 | 15673981 | 6.8 % | 29/02/2016 |
| (1) BlackRock, Inc. | Delaware | 12310295 | 0 | 12693653 | 0 | 12693653 | 4.5 % | 10/02/2016 |
| Florian Schönharting | Denmark | 0 | 12666354 | 0 | 12666354 | 12666354 | 5.5 % | 29/01/2016 |
| NB Public Equity Komplementar ApS | Denmark | 0 | 12666354 | 0 | 12666354 | 12666354 | 5.5 % | 29/01/2016 |
| Cora Madsen | Denmark | 0 | 12666354 | 0 | 12666354 | 12666354 | 5.5 % | 29/01/2016 |
| NB Public Equity K/S | Denmark | 0 | 12666354 | 0 | 12666354 | 12666354 | 5.5 % | 29/01/2016 |
| (1) BlackRock, Inc. | Delaware | 11479132 | 0 | 11815119 | 0 | 11815119 | 5.1 % | 28/01/2016 |
| BVF INC. | DELAWARE | 0 | 44796940 | 0 | 10 | 44796940 | 15.9 % | 13/01/2016 |
| BIOTECHNOLOGY VALUE FUND, L.P. | DELAWARE | 0 | 15592160 | 0 | 10 | 15592160 | 5.5 % | 13/01/2016 |
| BVF PARTNERS OS LTD. | CAYMAN ISLANDS | 0 | 3090744 | 0 | 10 | 3090744 | 1.1 % | 13/01/2016 |
| BVF PARTNERS L.P. | DELAWARE | 0 | 44796940 | 0 | 10 | 44796940 | 15.9 % | 13/01/2016 |
| MARK N. LAMPERT | USA | 0 | 44796940 | 0 | 10 | 44796940 | 15.9 % | 13/01/2016 |
| MATTHEW D. PERRY | USA | 0 | 0 | 0 | 10 | 0 | 0 % | 13/01/2016 |
| BIOTECHNOLOGY VALUE FUND II, L.P. | DELAWARE | 0 | 8850836 | 0 | 10 | 8850836 | 3.1 % | 13/01/2016 |
| BIOTECHNOLOGY VALUE TRADING FUND OS LP | CAYMAN ISLANDS | 0 | 3090744 | 0 | 10 | 3090744 | 1.1 % | 13/01/2016 |
| BIOTECHNOLOGY VALUE FUND, L.P. | DELAWARE | 0 | 15592160 | 0 | 10 | 15592160 | 5.5 % | 11/01/2016 |
| BIOTECHNOLOGY VALUE FUND II, L.P. | DELAWARE | 0 | 8850836 | 0 | 10 | 8850836 | 3.1 % | 11/01/2016 |
| BVF PARTNERS OS LTD. | CAYMAN ISLANDS | 0 | 3090744 | 0 | 10 | 3090744 | 1.1 % | 11/01/2016 |
| BIOTECHNOLOGY VALUE TRADING FUND OS LP | CAYMAN ISLANDS | 0 | 3090744 | 0 | 10 | 3090744 | 1.1 % | 11/01/2016 |
| MARK N. LAMPERT | USA | 0 | 44796940 | 0 | 10 | 44796940 | 15.9 % | 11/01/2016 |
| BVF INC. | DELAWARE | 0 | 44796940 | 0 | 10 | 44796940 | 15.9 % | 11/01/2016 |
| BVF PARTNERS L.P. | DELAWARE | 0 | 44796940 | 0 | 10 | 44796940 | 15.9 % | 11/01/2016 |
| BIOTECHNOLOGY VALUE TRADING FUND OS LP | CAYMAN ISLANDS | 0 | 3028518 | 0 | 10 | 3028518 | 1.1 % | 10/12/2015 |
| BIOTECHNOLOGY VALUE FUND II, L.P. | DELAWARE | 0 | 8673040 | 0 | 10 | 8673040 | 3.1 % | 10/12/2015 |
| MARK N. LAMPERT | USA | 0 | 43795613 | 0 | 10 | 43795613 | 15.5 % | 10/12/2015 |
| BVF PARTNERS OS LTD. | CAYMAN ISLANDS | 0 | 3028518 | 0 | 10 | 3028518 | 1.1 % | 10/12/2015 |
| BVF PARTNERS L.P. | DELAWARE | 0 | 43795613 | 0 | 10 | 43795613 | 15.5 % | 10/12/2015 |
| BVF INC. | DELAWARE | 0 | 43795613 | 0 | 10 | 43795613 | 15.5 % | 10/12/2015 |
| BIOTECHNOLOGY VALUE FUND, L.P. | DELAWARE | 0 | 14897559 | 0 | 10 | 14897559 | 5.3 % | 10/12/2015 |
| (1) BlackRock, Inc. | Delaware | 9880533 | 0 | 10184243 | 0 | 10184243 | 4.4 % | 10/12/2015 |
| Biotechnology Value Trading Fund OS LP | Delaware | 0 | 3028518 | 0 | 0 | 3028518 | 1.1 % | 04/12/2015 |
| BVF Partners OS Ltd. | Delaware | 0 | 3028518 | 0 | 0 | 3028518 | 1.1 % | 04/12/2015 |
| Biotechnology Value Fund II, L.P. | Delaware | 0 | 8673040 | 0 | 0 | 8673040 | 3.1 % | 04/12/2015 |
| Mark N. Lampert | Delaware | 0 | 43795613 | 0 | 0 | 43795613 | 15.5 % | 04/12/2015 |
| BVF Partners L.P. | Delaware | 0 | 43795613 | 0 | 0 | 43795613 | 15.5 % | 04/12/2015 |
| MSI BVF SPV, LLC | Delaware | 0 | 5370755 | 0 | 0 | 5370755 | 1.9 % | 04/12/2015 |
| Investment 10, L.L.C. | Delaware | 0 | 2734832 | 0 | 0 | 2734832 | 1 % | 04/12/2015 |
| BVF Inc. | Delaware | 0 | 43795613 | 0 | 0 | 43795613 | 15.5 % | 04/12/2015 |
| Biotechnology Value Fund, L.P. | Delaware | 0 | 14897559 | 0 | 0 | 14897559 | 5.3 % | 04/12/2015 |
| FMR LLC | Delaware | 0 | 0 | 28801722 | 0 | 28801722 | 13.896 % | 10/11/2015 |
| Biotechnology Value Fund, L.P. | Delaware | 0 | 4875471 | 0 | 0 | 4875471 | 2.6 % | 02/10/2015 |
| Mark N. Lampert | Delaware | 0 | 10000000 | 0 | 0 | 10000000 | 5.2 % | 02/10/2015 |
| BVF Inc. | Delaware | 0 | 10000000 | 0 | 0 | 10000000 | 5.2 % | 02/10/2015 |
| BVF Partners L.P. | Delaware | 0 | 10000000 | 0 | 0 | 10000000 | 5.2 % | 02/10/2015 |
| MSI BVF SPV, LLC | Delaware | 0 | 1427557 | 0 | 0 | 1427557 | 1 % | 02/10/2015 |
| Investment 10, L.L.C. | Delaware | 0 | 892814 | 0 | 0 | 892814 | 1 % | 02/10/2015 |
| Biotechnology Value Fund II, L.P. | Delaware | 0 | 2804158 | 0 | 0 | 2804158 | 1.5 % | 02/10/2015 |
| 59-2385219 | Florida | 972419 | 0 | 972419 | 0 | 972419 | 0.54 % | 08/06/2015 |
| 2. | Delaware | 0 | 15673981 | 0 | 15673981 | 15673981 | 8.7 % | 01/05/2015 |
| 2. | Delaware | 0 | 0 | 0 | 0 | 0 | 0 % | 01/05/2015 |
| 8.7%(2) | Delaware | 0 | 15673981 | 0 | 15673981 | 15673981 | 8.7 % | 01/05/2015 |
| 8.7%(2) | Delaware | 0 | 15673981 | 0 | 15673981 | 15673981 | 8.7 % | 01/05/2015 |
| Edward C. Johnson 3d | United States of America | 0 | 0 | 4279150 | 0 | 4279150 | 2.412 % | 13/02/2015 |
| FMR LLC | Delaware | 5020 | 0 | 4279150 | 0 | 4279150 | 2.412 % | 13/02/2015 |
| Abigail P. Johnson | United States of America | 0 | 0 | 4279150 | 0 | 4279150 | 2.412 % | 13/02/2015 |
| (1) BlackRock, Inc. | Delaware | 9470717 | 0 | 9744234 | 0 | 9744234 | 5.5 % | 02/02/2015 |
| 59-2385219 | State of Florida | 0 | 59 | 12713051 | 0 | 12713051 | 7.2 % | 07/01/2015 |
| (1) BlackRock, Inc. | Delaware | 8471319 | 0 | 8653975 | 0 | 8653975 | 5.9 % | 28/01/2014 |
| 10.8 % (2) | Delaware | 0 | 15673981 | 0 | 15673981 | 15673981 | 10.8 % | 25/11/2013 |
| 10.8 % (2) | Delaware | 0 | 15673981 | 0 | 15673981 | 15673981 | 10.8 % | 25/11/2013 |
| FMR LLC | Delaware | 0 | 0 | 8036957 | 0 | 8036957 | 8.211 % | 14/02/2013 |
| Edward C. Johnson 3d | United States of America | 0 | 0 | 8036957 | 0 | 8036957 | 8.211 % | 14/02/2013 |
| KEVIN C. TANG | UNITED STATES | 0 | 0 | 0 | 0 | 0 | 0 % | 14/02/2013 |
| TANG CAPITAL MANAGEMENT, LLC | DELAWARE | 0 | 0 | 0 | 0 | 0 | 0 % | 14/02/2013 |
| TANG CAPITAL PARTNERS, LP | DELAWARE | 0 | 0 | 0 | 0 | 0 | 0 % | 14/02/2013 |
| Edward C. Johnson 3d | Delaware | 0 | 0 | 8034958 | 0 | 8034958 | 12.843 % | 13/11/2012 |
| FMR LLC | Delaware | 0 | 0 | 8034958 | 0 | 8034958 | 12.843 % | 13/11/2012 |
| TANG CAPITAL PARTNERS, LP | DELAWARE | 0 | 6911221 | 0 | 6911221 | 6911221 | 9.9 % | 09/10/2012 |
| KEVIN C. TANG | DELAWARE | 0 | 6911221 | 0 | 6911221 | 6911221 | 9.9 % | 09/10/2012 |
| TANG CAPITAL MANAGEMENT, LLC | DELAWARE | 0 | 6911221 | 0 | 6911221 | 6911221 | 9.9 % | 09/10/2012 |
| 27-1051956 | Bermuda | 0 | 0 | 0 | 0 | 87029396 | 9.7 % | 24/01/2011 |
| S. Peizer | Bermuda | 0 | 0 | 0 | 0 | 87029396 | 9.7 % | 24/01/2011 |
| 27-0901060 | Bermuda | 0 | 0 | 0 | 0 | 87029396 | 9.7 % | 24/01/2011 |
| N/A | Bermuda | 0 | 0 | 0 | 0 | 87029396 | 9.7 % | 24/01/2011 |
| Peizer | Bermuda | 0 | 0 | 0 | 0 | 87029396 | 9.7 % | 24/01/2011 |
| Mitchell S. Levine | United States | 2051195 | 0 | 2051195 | 0 | 2051195 | 9.99 % | 06/10/2008 |
| Enable Capital Management, LLC | Delaware | 2051195 | 0 | 2051195 | 0 | 2051195 | 9.99 % | 06/10/2008 |
| Enable Growth Partners, L.P. | Delaware | 2051195 | 0 | 2051195 | 0 | 2051195 | 9.99 % | 06/10/2008 |
| Enable Growth Partners, L.P. | Delaware | 2051195 | 0 | 2051195 | 0 | 2051195 | 9.99 % | 06/10/2008 |
| Enable Capital Management, LLC | Delaware | 2051195 | 0 | 2051195 | 0 | 2051195 | 9.99 % | 06/10/2008 |
| Mitchell S. Levine | United States | 2051195 | 0 | 2051195 | 0 | 2051195 | 9.99 % | 06/10/2008 |
| 52-2038706 | United Kingdom | 25200 | 0 | 25200 | 0 | 25200 | 0 % | 25/08/2008 |
| N/A | England | 25200 | 0 | 25200 | 0 | 25200 | 0 % | 25/08/2008 |
| N/A | England | 25200 | 0 | 25200 | 0 | 25200 | 0 % | 25/08/2008 |
| 13-3216325 | Delaware | 26800 | 0 | 26800 | 0 | 26800 | 0 % | 25/08/2008 |
| 13-2518466 | Delaware | 1600 | 0 | 1600 | 0 | 1600 | 0 % | 25/08/2008 |
| 22-3335453 | Delaware | 25200 | 0 | 25200 | 0 | 25200 | 0 % | 25/08/2008 |
| 98-0338449 | United Kingdom | 25200 | 0 | 25200 | 0 | 25200 | 0 % | 25/08/2008 |
| Ross Berman | United States of America | 0 | 10503254 | 0 | 0 | 10503254 | 9.99 % | 12/05/2008 |
| BAM Capital, LLC | Delaware, U.S.A. | 0 | 10503254 | 0 | 0 | 10503254 | 9.99 % | 12/05/2008 |
| BAM Opportunity Fund, L.P. | Delaware, U.S.A. | 0 | 10503254 | 0 | 0 | 10503254 | 9.99 % | 12/05/2008 |
| Hal Mintz | United States of America | 0 | 10503254 | 0 | 0 | 10503254 | 9.99 % | 12/05/2008 |
| Siu Min Wong | China | 0 | 7566631 | 0 | 7566631 | 7566631 | 9.5 % | 15/02/2006 |
| Linden Capital LP | Bermuda | 0 | 7566631 | 0 | 7566631 | 7566631 | 9.5 % | 15/02/2006 |
| Duquesne Capital Management, L.L.C. | Pennsylvania | 0 | 200000 | 0 | 200000 | 200000 | 0.3 % | 23/03/2005 |
| Steeler Fund, Ltd. | Cayman Islands | 0 | 0 | 0 | 0 | 0 | 0 % | 23/03/2005 |
| Stanley F. Druckenmiller | United States | 0 | 200000 | 0 | 200000 | 200000 | 0.3 % | 23/03/2005 |
| Duquesne Capital Management, L.L.C. | Pennsylvania | 0 | 4208200 | 0 | 4208200 | 4208200 | 6.8 % | 01/02/2005 |
| Steeler Fund, Ltd. | Cayman Islands | 0 | 3087500 | 0 | 3087500 | 3087500 | 5 % | 01/02/2005 |
| Stanley F. Druckenmiller | United States | 0 | 4208200 | 0 | 4208200 | 4208200 | 6.8 % | 01/02/2005 |
| (. | United States | 0 | 0 | 0 | 0 | 2535000 | 11 % | 03/08/2004 |
| (. | United States | 0 | 0 | 0 | 0 | 2535000 | 11 % | 07/07/2004 |
| ARIES SELECT II LLC | DELAWARE | 0 | 63632 | 0 | 63632 | 63632 | 0.13 % | 16/04/2004 |
| ARIES SELECT I LLC | DELAWARE | 0 | 293474 | 0 | 293474 | 293474 | 0.58 % | 16/04/2004 |
| LINDSAY A. ROSENWALD, M.D. | UNITED STATES | 1579510 | 822301 | 1579510 | 822301 | 2401811 | 4.76 % | 16/04/2004 |
| ARIES SELECT, LTD. | CAYMAN ISLANDS | 0 | 465195 | 0 | 465195 | 465165 | 0.92 % | 16/04/2004 |
| PARAMOUNT CAPITAL ASSET MANAGEMENT, INC. | DELAWARE | 0 | 822301 | 0 | 822301 | 822301 | 1.63 % | 16/04/2004 |
| ARIES SELECT, LTD. | CAYMAN ISLANDS | 0 | 663886 | 0 | 663886 | 663886 | 1.33 % | 12/02/2004 |
| ARIES SELECT II LLC | DELAWARE | 0 | 100032 | 0 | 100032 | 100032 | 0.2 % | 12/02/2004 |
| ARIES SELECT I LLC | DELAWARE | 0 | 446792 | 0 | 446792 | 446792 | 0.9 % | 12/02/2004 |
| LINDSAY A. ROSENWALD, M.D. | UNITED STATES | 1579510 | 1210710 | 1579510 | 1210710 | 2790220 | 5.59 % | 12/02/2004 |
| PARAMOUNT CAPITAL ASSET MANAGEMENT, INC. | DELAWARE | 0 | 1210710 | 0 | 1210710 | 1210710 | 2.43 % | 12/02/2004 |
| (. | United States | 0 | 0 | 0 | 0 | 1657000 | 11 % | 13/06/2003 |
| ARIES DOMESTIC FUND, L.P. | DELAWARE | 0 | 583645 | 0 | 583645 | 583645 | 1.79 % | 18/02/2003 |
| ARIES DOMESTIC FUND II, L.P. | CAYMAN ISLANDS | 0 | 119372 | 0 | 119372 | 119372 | 0.37 % | 18/02/2003 |
| PARAMOUNT CAPITAL ASSET MANAGEMENT, INC. | DELAWARE | 0 | 1546411 | 0 | 1546411 | 1546411 | 4.73 % | 18/02/2003 |
| LINDSAY A. ROSENWALD, M.D.** | UNITED STATES | 1579510 | 1546411 | 1579510 | 1546411 | 3160921 | 9.66 % | 18/02/2003 |
| ARIES MASTER FUND II | CAYMAN ISLANDS | 0 | 843394 | 0 | 843394 | 843394 | 2.58 % | 18/02/2003 |
| 84-1474315 | Massachusetts | 0 | 0 | 0 | 0 | 0 | 0 % | 14/02/2003 |
| EIN #75-3019302 | Colorado | 0 | 0 | 0 | 0 | 0 | 0 % | 14/02/2003 |
| Aries Domestic Fund, L.P. | Delaware | 0 | 510095 | 0 | 510095 | 510095 | 1.46 % | 14/02/2002 |
| Paramount Capital Asset Management, Inc. | Delaware | 0 | 1903981 | 0 | 1903981 | 1903981 | 5.4 % | 14/02/2002 |
| The Aries Master Fund II | Cayman Islands | 0 | 1264700 | 0 | 1264700 | 1264700 | 3.6 % | 14/02/2002 |
| The Aries Domestic Fund II, L.P. | Delaware | 0 | 129186 | 0 | 129186 | 129186 | 0.4 % | 14/02/2002 |
| Lindsay A. Rosenwald, M.D. | United States | 1579510 | 1903981 | 1579510 | 1903981 | 3518491 | 9.9 % | 14/02/2002 |
| Thomas H. Bailey | USA | 2515370 | 0 | 2515370 | 0 | 2515370 | 7.5 % | 13/02/2002 |
| EIN #84-0765359 | Colorado | 2515370 | 0 | 2515370 | 0 | 2515370 | 7.5 % | 13/02/2002 |
| EIN #84-1474315 | Massachusetts | 1773055 | 0 | 1773055 | 0 | 1773055 | 5.2 % | 13/02/2002 |
| 84-0235630 | State of Delaware, USA | 0 | 0 | 0 | 0 | 0 | 0 % | 08/02/2002 |
| EIN #84-0765359 | Colorado | 2781130 | 0 | 2781130 | 0 | 2781130 | 9.5 % | 15/02/2001 |
| EIN #84-1474315 | Massachusetts | 1952185 | 0 | 1952185 | 0 | 1952185 | 6.7 % | 15/02/2001 |
| Thomas H. Bailey | USA | 2781130 | 0 | 2781130 | 0 | 2781130 | 9.5 % | 15/02/2001 |
| Paramount Capital Asset Management, Inc. | Delaware | 0 | 2932140 | 0 | 2932140 | 2932140 | 9.6 % | 14/02/2001 |
| The Aries Domestic Fund II, L.P. | Delaware | 0 | 291503 | 0 | 291503 | 291503 | 1 % | 14/02/2001 |
| Aries Domestic Fund, L.P. | Delaware | 0 | 859813 | 0 | 859813 | 859813 | 2.9 % | 14/02/2001 |
| The Aries Master Fund II | Cayman Islands | 0 | 1780824 | 0 | 1780824 | 1780824 | 5.9 % | 14/02/2001 |
| Lindsay A. Rosenwald, M.D. | United States | 2469795 | 2932140 | 2469795 | 2932140 | 5401935 | 16.9 % | 14/02/2001 |
| Lindsay A. Rosenwald, M.D. | United States | 0 | 1157407 | 0 | 1157407 | 1157407 | 9.4 % | 21/12/1999 |
| The Aries Master Fund | Cayman Islands | 0 | 805555 | 0 | 805555 | 805555 | 6.8 % | 21/12/1999 |
| The Aries Domestic Fund II, L.P. | Cayman Islands | 0 | 25463 | 0 | 25463 | 25463 | 0.2 % | 21/12/1999 |
| Aries Domestic Fund, L.P. | Delaware | 0 | 326388 | 0 | 326388 | 326388 | 2.9 % | 21/12/1999 |
| Paramount Capital Asset Management, Inc. | Delaware | 0 | 1157407 | 0 | 1157407 | 1157407 | 9.4 % | 21/12/1999 |
| holding company for Chancellor LGT Asset Management, Inc. | LGT Asset Management, Inc. - California | 1881700 | 0 | 1881700 | 0 | 1881700 | 12.24 % | 06/02/1998 |