| Mitchell P. Kopin |
United States of America |
0 |
811832 |
0 |
811832 |
811832 |
5.7 % |
11/02/2022 |
| Daniel B. Asher |
United States of America |
0 |
811832 |
0 |
811832 |
811832 |
5.7 % |
11/02/2022 |
| Intracoastal Capital LLC |
Delaware |
0 |
811832 |
0 |
811832 |
811832 |
5.7 % |
11/02/2022 |
| Ryan M. Lane |
United States |
0 |
789063 |
0 |
0 |
789063 |
4.99 % |
20/01/2022 |
| Empery Asset Management, LP |
Delaware |
0 |
789063 |
0 |
0 |
789063 |
4.99 % |
20/01/2022 |
| Martin D. Hoe |
United States |
0 |
789063 |
0 |
0 |
789063 |
4.99 % |
20/01/2022 |
| Martin D. Hoe |
United States |
0 |
789063 |
0 |
0 |
789063 |
6.76 % |
19/02/2021 |
| Empery Asset Management, LP |
Delaware |
0 |
789063 |
0 |
0 |
789063 |
6.76 % |
19/02/2021 |
| Ryan M. Lane |
United States |
0 |
789063 |
0 |
0 |
789063 |
6.76 % |
19/02/2021 |
| Heights Capital Management, Inc. |
Cayman Islands |
0 |
228896 |
0 |
228896 |
228896 |
4 % |
16/02/2021 |
| Mitchell P. Kopin |
United States of America |
0 |
445383 |
0 |
445383 |
445383 |
7.2 % |
29/01/2021 |
| Heights Capital Management, Inc. |
Delaware |
0 |
428266 |
0 |
428266 |
428266 |
9.3 % |
09/04/2020 |
| CVI Investments, Inc. |
Cayman Islands |
0 |
428266 |
0 |
428266 |
428266 |
9.3 % |
09/04/2020 |
| Steven Boyd |
Delaware |
0 |
240592 |
0 |
240592 |
240592 |
4.99 % |
08/04/2020 |
| Armistice Capital Master Fund Ltd. |
Delaware |
0 |
240592 |
0 |
240592 |
240592 |
4.99 % |
08/04/2020 |
| Armistice Capital, LLC |
Delaware |
0 |
240592 |
0 |
240592 |
240592 |
4.99 % |
08/04/2020 |
| Armistice Capital, LLC |
Delaware |
0 |
120742 |
0 |
120742 |
120742 |
4.99 % |
14/02/2020 |
| Armistice Capital Master Fund Ltd. |
Delaware |
0 |
120742 |
0 |
120742 |
120742 |
4.99 % |
14/02/2020 |
| Steven Boyd |
Delaware |
0 |
120742 |
0 |
120742 |
120742 |
4.99 % |
14/02/2020 |
| Intracoastal Capital LLC |
Delaware |
0 |
188316 |
0 |
188316 |
188316 |
9.99 % |
13/02/2020 |
| Daniel B. Asher |
United States of America |
0 |
188316 |
0 |
188316 |
188316 |
9.99 % |
13/02/2020 |
| Mitchell
P. Kopin |
United States of America |
0 |
188316 |
0 |
188316 |
188316 |
9.99 % |
13/02/2020 |
| Heights Capital Management, Inc. |
Delaware |
0 |
1933761 |
0 |
1933761 |
1933761 |
4.9 % |
10/02/2020 |
| CVI Investments, Inc. |
Cayman Islands |
0 |
1933761 |
0 |
1933761 |
1933761 |
4.9 % |
10/02/2020 |
| CVI Investments, Inc. |
Cayman Islands |
0 |
1998801 |
0 |
1998801 |
1998801 |
9.9 % |
14/02/2019 |
| Heights Capital Management, Inc. |
Delaware |
0 |
1998801 |
0 |
1998801 |
1998801 |
9.9 % |
14/02/2019 |
| Daniel B. Asher |
United States America |
0 |
256935 |
0 |
256935 |
256935 |
1.4 % |
08/02/2019 |
| Intracoastal Capital LLC |
United States America |
0 |
256935 |
0 |
256935 |
256935 |
1.4 % |
08/02/2019 |
| Mitchell P. Kopin |
United States America |
0 |
256935 |
0 |
256935 |
256935 |
1.4 % |
08/02/2019 |
| Heights Capital Management, Inc. |
Delaware |
0 |
814237 |
0 |
814237 |
814237 |
9.9 % |
10/10/2018 |
| CVI Investments, Inc. |
Cayman Islands |
0 |
814237 |
0 |
814237 |
814237 |
9.9 % |
10/10/2018 |
| Anson FundsManagement LP |
Texas |
0 |
377652 |
0 |
377652 |
377652 |
8.9 % |
18/04/2018 |
| Mitchell P. Kopin |
United States of America |
0 |
411835 |
0 |
397210 |
411835 |
9.2 % |
18/04/2018 |
| Intracoastal Capital LLC |
United States of America |
0 |
411835 |
0 |
397210 |
411835 |
9.2 % |
18/04/2018 |
| Daniel B. Asher |
United States of America |
0 |
411835 |
0 |
397210 |
411835 |
9.2 % |
18/04/2018 |
| Jonathan I. Cope |
United States |
0 |
428638 |
0 |
0 |
428638 |
9.99 % |
12/04/2018 |
| Rockledge Capital Corporation |
Texas |
0 |
428638 |
0 |
0 |
428638 |
9.99 % |
12/04/2018 |
| Joshua B. Scheinfeld |
United States |
0 |
428638 |
0 |
0 |
428638 |
9.99 % |
12/04/2018 |
| Alex Noah Investors, Inc. |
Illinois |
0 |
428638 |
0 |
0 |
428638 |
9.99 % |
12/04/2018 |
| Lincoln Park Capital Fund, LLC |
Illinois |
0 |
428638 |
0 |
0 |
428638 |
9.99 % |
12/04/2018 |
| Lincoln Park Capital, LLC |
Illinois |
0 |
428638 |
0 |
0 |
428638 |
9.99 % |
12/04/2018 |
| Sabby Volatility Warrant Master Fund, Ltd. |
USA |
0 |
377652 |
0 |
377652 |
377652 |
8.87 % |
11/04/2018 |
| OPKO Health, Inc. |
Delaware |
66857 |
0 |
66857 |
0 |
66857 |
2.8 % |
12/02/2018 |
| (2) |
Delaware |
446360 |
0 |
446360 |
0 |
446360 |
5.11 % |
12/01/2017 |
| TANG CAPITAL MANAGEMENT, LLC |
DELAWARE |
0 |
0 |
0 |
0 |
0 |
0 % |
16/02/2016 |
| TANG CAPITAL PARTNERS, LP |
DELAWARE |
0 |
0 |
0 |
0 |
0 |
0 % |
16/02/2016 |
| KEVIN C. TANG |
UNITED STATES |
0 |
0 |
0 |
0 |
0 |
0 % |
16/02/2016 |
| 13G/A |
Ontario Canada |
0 |
3388068 |
0 |
3388068 |
3388068 |
4.99 % |
05/02/2016 |
| 13G/A |
Ontario Canada |
0 |
3388068 |
0 |
3388068 |
3388068 |
4.99 % |
05/02/2016 |
| 13G/A |
Ontario Canada |
0 |
3388068 |
0 |
3388068 |
3388068 |
4.99 % |
05/02/2016 |
| 13G/A |
Ontario Canada |
0 |
3388068 |
0 |
3388068 |
3388068 |
4.99 % |
05/02/2016 |
| 13G/A |
Ontario Canada |
0 |
3388068 |
0 |
3388068 |
3388068 |
4.99 % |
05/02/2016 |
| 13G/A |
Ontario Canada |
0 |
3388068 |
0 |
3388068 |
3388068 |
4.99 % |
05/02/2016 |
| Ryan M. Lane |
Delaware |
0 |
2250000 |
0 |
0 |
2250000 |
4.99 % |
19/01/2016 |
| Empery Asset Management, LP |
Delaware |
0 |
2250000 |
0 |
0 |
2250000 |
4.99 % |
19/01/2016 |
| Martin D. Hoe |
Delaware |
0 |
2250000 |
0 |
0 |
2250000 |
4.99 % |
19/01/2016 |
| 10. |
United States of America |
0 |
3405688 |
0 |
3405688 |
3405688 |
4.99 % |
08/06/2015 |
| 10. |
United States of America |
0 |
3405688 |
0 |
3405688 |
3405688 |
4.99 % |
08/06/2015 |
| 4.99% (see Item 4) |
United States of America |
0 |
3405688 |
0 |
3405688 |
3405688 |
4.99 % |
08/06/2015 |
| Sabby Healthcare Master Fund, Ltd. |
Cayman Islands |
0 |
2750000 |
0 |
2750000 |
2750000 |
4.24 % |
05/06/2015 |
| 2 |
Texas |
0 |
4262750 |
0 |
4262750 |
4262750 |
6.9 % |
05/06/2015 |
| 2 |
Texas |
0 |
4262750 |
0 |
4262750 |
4262750 |
6.9 % |
05/06/2015 |
| 2 |
Texas |
0 |
4262750 |
0 |
4262750 |
4262750 |
6.9 % |
05/06/2015 |
| 2 |
Texas |
0 |
4262750 |
0 |
4262750 |
4262750 |
6.9 % |
05/06/2015 |
| 2 |
Texas |
0 |
4262750 |
0 |
4262750 |
4262750 |
6.9 % |
05/06/2015 |
| 2 |
Texas |
0 |
4262750 |
0 |
4262750 |
4262750 |
6.9 % |
05/06/2015 |
| Martin D. Hoe |
United States |
0 |
2250000 |
0 |
0 |
2250000 |
7.86 % |
01/06/2015 |
| Ryan M. Lane |
United States |
0 |
2250000 |
0 |
0 |
2250000 |
7.86 % |
01/06/2015 |
| Empery Asset Management, LP |
Delaware |
0 |
2250000 |
0 |
0 |
2250000 |
7.86 % |
01/06/2015 |
| Advanced RNA Technologies, LLC |
Colorado |
0 |
0 |
0 |
0 |
1221723 |
5.5 % |
25/02/2015 |
| Advanced RNA Technologies, LLC |
Citizenship or Place of Organization Colorado |
0 |
0 |
0 |
0 |
1294015 |
9.7 % |
25/02/2015 |
| (. |
Colorado |
0 |
0 |
0 |
0 |
41259266 |
12.8 % |
25/02/2015 |
| TANG CAPITAL PARTNERS, LP |
DELAWARE |
0 |
2236438 |
0 |
2236438 |
2236438 |
9.9 % |
27/01/2015 |
| KEVIN C. TANG |
DELAWARE |
0 |
2236438 |
0 |
2236438 |
2236438 |
9.9 % |
27/01/2015 |
| TANG CAPITAL MANAGEMENT, LLC |
DELAWARE |
0 |
2236438 |
0 |
2236438 |
2236438 |
9.9 % |
27/01/2015 |
| Kevin Kotler |
Delaware |
0 |
1126482 |
0 |
1126482 |
1126482 |
9.6 % |
14/02/2014 |
| Broadfin Capital, LLC |
Delaware |
0 |
1126482 |
0 |
1126482 |
1126482 |
9.6 % |
14/02/2014 |
| Broadfin Healthcare Master Fund, Ltd. |
Delaware |
0 |
1126482 |
0 |
1126482 |
1126482 |
9.6 % |
14/02/2014 |
| TANG CAPITAL PARTNERS, LP |
DELAWARE |
0 |
1298094 |
0 |
1298094 |
1298094 |
9.9 % |
16/01/2014 |
| Kevin Kotler |
Delaware |
0 |
31034483 |
0 |
31034483 |
31034483 |
9.6 % |
19/03/2013 |
| Broadfin Capital, LLC |
Delaware |
0 |
31034483 |
0 |
31034483 |
31034483 |
9.6 % |
19/03/2013 |
| Broadfin Healthcare Master Fund, Ltd. |
Delaware |
0 |
31034483 |
0 |
31034483 |
31034483 |
9.6 % |
19/03/2013 |
| TANG CAPITAL PARTNERS, LP |
DELAWARE |
0 |
32677161 |
0 |
32677161 |
32677161 |
9.9 % |
18/03/2013 |
| TANG CAPITAL MANAGEMENT, LLC |
DELAWARE |
0 |
32677161 |
0 |
32677161 |
32677161 |
9.9 % |
18/03/2013 |
| KEVIN C. TANG |
UNITED STATES |
0 |
32677161 |
0 |
32677161 |
32677161 |
9.9 % |
18/03/2013 |
| Roderick Wong |
Delaware |
0 |
14186638 |
0 |
14186638 |
14186638 |
9.97 % |
09/07/2012 |
| RTW Master Fund, Ltd. |
Delaware |
0 |
14186638 |
0 |
14186638 |
14186638 |
9.97 % |
09/07/2012 |
| RTW Investments, LLC |
Delaware |
0 |
14186638 |
0 |
14186638 |
14186638 |
9.97 % |
09/07/2012 |
