| Iliad Management, LLC20-0411071 |
Utah |
4875000 |
0 |
4875000 |
0 |
4875000 |
9.6 % |
29/12/2023 |
| Iliad Research & Trading, L.P.11-3688679 |
Utah |
4875000 |
0 |
4875000 |
0 |
4875000 |
9.6 % |
29/12/2023 |
| John M. Fife |
Utah |
4875000 |
0 |
4875000 |
0 |
4875000 |
9.6 % |
29/12/2023 |
| Fife Trading, Inc.36-4151891 |
Utah |
4875000 |
0 |
4875000 |
0 |
4875000 |
9.6 % |
29/12/2023 |
| John Fife and Fredrick Waid |
United States America |
1908651 |
0 |
1908651 |
0 |
19086 |
9 % |
13/07/2023 |
| John M. Fife |
Utah |
11500000 |
0 |
11500000 |
0 |
11500000 |
9.75 % |
26/08/2022 |
| Streeterville Management LLC85-3223919 |
Utah |
11500000 |
0 |
11500000 |
0 |
11500000 |
9.75 % |
26/08/2022 |
| Streeterville Capital LLC85-2954598 |
Utah |
11500000 |
0 |
11500000 |
0 |
11500000 |
9.75 % |
26/08/2022 |
| Joshua Mailman Foundation |
United States |
0 |
4366665 |
0 |
4366665 |
4366665 |
5.6 % |
10/05/2022 |
| Joshua Mailman |
United States |
4088758 |
4525380 |
4088758 |
4525380 |
8614138 |
11.1 % |
10/05/2022 |
| Keith Coulston |
United States |
0 |
0 |
0 |
0 |
0 |
0 % |
10/02/2021 |
| Ionic Ventures LLC |
California, United States |
0 |
0 |
0 |
0 |
0 |
0 % |
10/02/2021 |
| Brendan O’Neil |
United States |
0 |
0 |
0 |
0 |
0 |
0 % |
10/02/2021 |
| Iliad Management, LLC20-0411071 |
Utah |
4750000 |
0 |
4750000 |
0 |
4750000 |
7.88 % |
04/11/2020 |
| Iliad Research & Trading, L.P.11-3688679 |
Utah |
4750000 |
0 |
4750000 |
0 |
4750000 |
7.88 % |
04/11/2020 |
| Fife Trading, Inc.36-4151891 |
Utah |
4750000 |
0 |
4750000 |
0 |
4750000 |
7.88 % |
04/11/2020 |
| John M. Fife |
Utah |
4750000 |
0 |
4750000 |
0 |
4750000 |
7.88 % |
04/11/2020 |
| CHICAGO VENTURE PARTNERS L P36-4236727 |
Utah |
3333333 |
0 |
3333333 |
0 |
3333333 |
8.28 % |
25/09/2020 |
| CVM, Inc.36-4243549 |
Utah |
3333333 |
0 |
3333333 |
0 |
3333333 |
8.28 % |
25/09/2020 |
| John M. Fife |
Utah |
3333333 |
0 |
3333333 |
0 |
3333333 |
8.28 % |
25/09/2020 |
| Chicago Venture Management, LLC52-2102651 |
Utah |
3333333 |
0 |
3333333 |
0 |
3333333 |
8.28 % |
25/09/2020 |
| 2. |
United States of America, Territory of Puerto Rico |
1849468 |
0 |
1849468 |
0 |
10 |
12 % |
07/07/2020 |
| Nantucket Investments Limited |
Guernsey |
0 |
36362 |
0 |
0 |
36362 |
0.3 % |
31/03/2020 |
| Burford Capital Limited |
Guernsey |
0 |
36362 |
0 |
0 |
36362 |
0.3 % |
31/03/2020 |
| Ionic Ventures LLC |
Virgin Islands |
0 |
1500703 |
0 |
1500703 |
1500703 |
9.99 % |
12/02/2020 |
| Keith Coulston |
States |
0 |
1500703 |
0 |
1500703 |
1500703 |
9.99 % |
12/02/2020 |
| Brendan O’Neil |
States |
0 |
1500703 |
0 |
1500703 |
1500703 |
9.99 % |
12/02/2020 |
| Kingdon Capital Management, L.L.C. |
Delaware |
0 |
270 |
0 |
270 |
270 |
0 % |
10/02/2020 |
| Mark Kingdon |
Delaware |
0 |
270 |
0 |
270 |
270 |
0 % |
10/02/2020 |
| M. Kingdon Offshore Master Fund L.P. |
Delaware |
0 |
270 |
0 |
270 |
270 |
0 % |
10/02/2020 |
| S |
U.S. Virgin Islands |
0 |
1114645 |
0 |
1114645 |
1114645 |
9.99 % |
11/10/2019 |
| S |
U.S. Virgin Islands |
0 |
1114645 |
0 |
1114645 |
1114645 |
9.99 % |
11/10/2019 |
| S |
U.S. Virgin Islands |
0 |
1114645 |
0 |
1114645 |
1114645 |
9.99 % |
11/10/2019 |
| Nancy E. Glaser |
USA |
45935 |
292172 |
45935 |
292172 |
338107 |
4.99 % |
23/08/2019 |
| 98-0557567 |
Bermuda |
25604 |
0 |
25604 |
0 |
25604 |
1.2 % |
12/08/2019 |
| John M. Fife |
Utah |
1766641 |
0 |
1766641 |
0 |
1766641 |
6.77 % |
12/03/2019 |
| Chicago Venture Management, LLC52-2102651 |
Utah |
1766641 |
0 |
1766641 |
0 |
1766641 |
6.77 % |
12/03/2019 |
| CHICAGO VENTURE PARTNERS L P36-4236727 |
Utah |
1766641 |
0 |
1766641 |
0 |
1766641 |
6.77 % |
12/03/2019 |
| CVM, Inc.36-4243549 |
Utah |
1766641 |
0 |
1766641 |
0 |
1766641 |
6.77 % |
12/03/2019 |
| Jonathan M. Glaser |
USA |
203040 |
2153159 |
203040 |
0 |
2356199 |
9.58 % |
14/02/2019 |
| Pacific Capital Management, LLC |
USA |
2111659 |
0 |
2111659 |
0 |
2111659 |
8.58 % |
14/02/2019 |
| The Jonathan & Nancy Glaser Family Trust DTD 12/16/1998 |
USA |
2153159 |
0 |
2153159 |
0 |
2153159 |
8.75 % |
14/02/2019 |
| Nancy E. Glaser |
USA |
0 |
2153159 |
0 |
0 |
2153159 |
8.75 % |
14/02/2019 |
| S |
CANADA |
291389 |
0 |
291389 |
0 |
291389 |
1.12 % |
14/02/2019 |
| M. Kingdon Offshore Master Fund L.P. |
Delaware |
0 |
1993015 |
0 |
1993015 |
1993015 |
7.06 % |
08/02/2019 |
| Mark Kingdon |
Delaware |
0 |
1993015 |
0 |
1993015 |
1993015 |
7.06 % |
08/02/2019 |
| Kingdon Capital Management, L.L.C. |
Delaware |
0 |
1993015 |
0 |
1993015 |
1993015 |
7.06 % |
08/02/2019 |
| 98-0557567 |
Bermuda |
1803524 |
0 |
1803524 |
0 |
1803524 |
6.8 % |
13/11/2018 |
| Sabby Healthcare Master Fund, Ltd. |
Cayman Islands |
0 |
1246308 |
0 |
1246308 |
1246308 |
5.13 % |
31/10/2018 |
| Burford Capital Limited |
Guernsey |
0 |
1231987 |
0 |
0 |
1231987 |
5.5 % |
24/10/2018 |
| Nantucket Investments Limited |
Guernsey |
0 |
1231987 |
0 |
0 |
1231987 |
5.5 % |
24/10/2018 |
| S |
CANADA |
1500000 |
0 |
1500000 |
0 |
1500000 |
7.08 % |
17/10/2018 |
| Bryan Ezralow |
USA |
1250000 |
416667 |
1250000 |
0 |
1666667 |
17.49 % |
12/10/2018 |
| Bryan Ezralow 1994 Trust u/t/d December 22, 1994 |
USA |
1250000 |
416667 |
1250000 |
0 |
1666667 |
17.49 % |
12/10/2018 |
| Jonathan M. Glaser |
USA |
105548 |
806905 |
105548 |
806905 |
912453 |
10.44 % |
03/08/2018 |
| Jonathan M. Glaser |
USA |
80548 |
599942 |
80548 |
599942 |
680490 |
5.96 % |
30/07/2018 |
| Jonathan M. Glaser |
USA |
80548 |
504137 |
80548 |
0 |
584685 |
5.12 % |
30/07/2018 |
| Nantucket Investments Limited |
Guernsey |
0 |
23634341 |
0 |
0 |
23634341 |
16.06 % |
27/04/2018 |
| Burford Capital Limited |
Guernsey |
0 |
23634341 |
0 |
0 |
23634341 |
16.06 % |
27/04/2018 |
| 98-0557567 |
Bermuda |
26885838 |
0 |
26885838 |
0 |
26885838 |
12.3 % |
10/04/2018 |
| Kingdon Capital Management, L.L.C. |
Delaware |
0 |
5462248 |
0 |
5462248 |
5462248 |
5.75 % |
14/02/2018 |
| Burford Capital Limited |
Guernsey |
0 |
23634341 |
0 |
10 |
23634341 |
24.9 % |
12/02/2018 |
| Nantucket Investments Limited |
Guernsey |
0 |
23634341 |
0 |
10 |
23634341 |
24.9 % |
12/02/2018 |
| 98-0557567 |
Bermuda |
6297603 |
0 |
6297603 |
0 |
6297603 |
7.1 % |
16/11/2017 |
| 98-0557567 |
Bermuda |
6297603 |
0 |
6297603 |
0 |
6297603 |
7.1 % |
13/11/2017 |
| Nantucket Investments Limited |
Guernsey |
0 |
4884245 |
0 |
0 |
4884245 |
19.9 % |
09/08/2017 |
| Burford Capital Limited |
Guernsey |
0 |
4884245 |
0 |
0 |
4884245 |
19.9 % |
09/08/2017 |
| Mark Kingdon |
Delaware |
0 |
1297815 |
0 |
1297815 |
1297815 |
9.27 % |
14/02/2017 |
| M. Kingdon Offshore Master Fund L.P. |
Delaware |
0 |
716418 |
0 |
716418 |
716418 |
5.11 % |
14/02/2017 |
| Kingdon Capital Management, L.L.C. |
Delaware |
0 |
1297815 |
0 |
1297815 |
1297815 |
9.27 % |
14/02/2017 |
| 98-0557567 |
Bermuda |
1974360 |
0 |
1974360 |
0 |
1974360 |
14.1 % |
08/02/2017 |
| Napo Pharmaceuticals Inc. |
Delaware |
2666666 |
0 |
2666666 |
0 |
2666666 |
32.8 % |
29/03/2016 |
| Kingdon Capital Management, L.L.C. |
Delaware |
0 |
734746 |
0 |
734746 |
734746 |
9.04 % |
16/02/2016 |
| Kingdon Capital Management, L.L.C. |
Delaware |
0 |
726576 |
0 |
726576 |
726576 |
8.94 % |
23/12/2015 |
| M. Kingdon Offshore Master Fund L.P. |
Delaware |
0 |
406798 |
0 |
406798 |
406798 |
5.01 % |
23/12/2015 |
| Mark Kingdon |
Delaware |
0 |
726576 |
0 |
726576 |
726576 |
8.94 % |
23/12/2015 |
| Master Power Holdings Group |
Invesco Ltd. – Bermuda |
1428500 |
0 |
1428500 |
0 |
9120000 |
20.4 % |
10/06/2015 |
