Aerie Pharmaceuticals, Inc. AERI
Trading inactive
| Name of reporting person | Citizenship or organization | Sole voting power | Shared voting power | Sole dispositive power | Shared dispositive power | Amount beneficially owned | Percent of class | Accepted date |
|---|---|---|---|---|---|---|---|---|
| Morgan Stanley | Delaware. | 0 | 340041 | 0 | 384245 | 384245 | 0.8 % | 10/11/2022 |
| James E. Flynn | United States | 0 | 4695020 | 0 | 0 | 4695020 | 9.91 % | 11/02/2022 |
| Deerfield Private Design Fund III, L.P. | Delaware | 0 | 494216 | 0 | 0 | 494216 | 1.04 % | 11/02/2022 |
| Deerfield Mgmt, L.P. | Delaware | 0 | 4200804 | 0 | 0 | 4200804 | 8.87 % | 11/02/2022 |
| Company, L.P. | Delaware | 0 | 4695020 | 0 | 0 | 4695020 | 9.91 % | 11/02/2022 |
| Deerfield Mgmt III, L.P. | Delaware | 0 | 494216 | 0 | 0 | 494216 | 1.04 % | 11/02/2022 |
| Deerfield Partners, L.P. | Delaware | 0 | 4200804 | 0 | 0 | 4200804 | 8.87 % | 11/02/2022 |
| The Vanguard Group - 23-1945930 | Pennsylvania | 0 | 80332 | 0 | 0 | 3381368 | 7.14 % | 09/02/2022 |
| Morgan Stanley | 13 | 3503699 | 0 | 13 | 4070392 | 8.6 % | 09/02/2022 | |
| (1) BlackRock, Inc. | Delaware | 3316560 | 0 | 3386015 | 0 | 3386015 | 7.1 % | 02/02/2022 |
| Deerfield Mgmt, L.P. | Delaware | 0 | 2041285 | 0 | 0 | 2041285 | 4.32 % | 16/08/2021 |
| Company, L.P. | Delaware | 0 | 2535501 | 0 | 0 | 2535501 | 5.37 % | 16/08/2021 |
| Deerfield Partners, L.P. | Delaware | 0 | 2041285 | 0 | 0 | 2041285 | 4.32 % | 16/08/2021 |
| Deerfield Private Design Fund III, L.P. | Delaware | 0 | 494216 | 0 | 0 | 494216 | 1.05 % | 16/08/2021 |
| James E. Flynn | Delaware | 0 | 2535501 | 0 | 0 | 2535501 | 5.37 % | 16/08/2021 |
| Deerfield Mgmt III, L.P. | Delaware | 0 | 494216 | 0 | 0 | 494216 | 1.05 % | 16/08/2021 |
| The Vanguard Group - 23-1945930 | Pennsylvania | 0 | 85840 | 0 | 0 | 4217071 | 9.01 % | 10/02/2021 |
| Fund | Maryland | 0 | 0 | 0 | 0 | 0 | 0 % | 09/02/2021 |
| (1) BlackRock, Inc. | Delaware | 0 | 0 | 0 | 3779546 | 3892241 | 8.3 % | 05/02/2021 |
| Wellington Group Holdings LLP | Massachusetts | 0 | 1063495 | 0 | 0 | 1194841 | 2.57 % | 09/07/2020 |
| Wellington Investment Advisors Holdings LLP | Massachusetts | 0 | 1063495 | 0 | 0 | 1194841 | 2.57 % | 09/07/2020 |
| Wellington Management Group LLP | Massachusetts | 0 | 1063495 | 0 | 0 | 1194841 | 2.57 % | 09/07/2020 |
| Deerfield Mgmt III, L.P. | Delaware | 0 | 494216 | 0 | 0 | 494216 | 1.06 % | 30/06/2020 |
| Deerfield Private Design Fund III, L.P. | Delaware | 0 | 494216 | 0 | 0 | 494216 | 1.06 % | 30/06/2020 |
| James E. Flynn | Delaware | 0 | 494216 | 0 | 0 | 494216 | 1.06 % | 30/06/2020 |
| Deerfield Mgmt, L.P. | Delaware | 0 | 0 | 0 | 0 | 0 | 0 % | 30/06/2020 |
| Company, L.P. | Delaware | 0 | 494216 | 0 | 0 | 494216 | 1.06 % | 30/06/2020 |
| Deerfield Partners, L.P. | Delaware | 0 | 0 | 0 | 0 | 0 | 0 % | 30/06/2020 |
| Foresite Capital Fund III, L.P. (“FCF III”) | Delaware | 356492 | 356492 | 356492 | 356492 | 356492 | 0.8 % | 12/06/2020 |
| Foresite Capital Management II, LLC (“FCM II”) | Delaware | 253698 | 253698 | 253698 | 253698 | 253698 | 0.5 % | 12/06/2020 |
| Foresite Capital Fund II, L.P. (“FCF II”) | Delaware | 253698 | 253698 | 253698 | 253698 | 253698 | 0.5 % | 12/06/2020 |
| Foresite Capital Management III, LLC (“FCM III”) | Delaware | 356492 | 356492 | 356492 | 356492 | 356492 | 0.8 % | 12/06/2020 |
| Foresite Capital Fund IV, L.P. (“FCF IV”) | Delaware | 227717 | 227717 | 227717 | 227717 | 227717 | 0.5 % | 12/06/2020 |
| Foresite Capital Management IV, LLC (“FCM IV”) | Delaware | 227717 | 227717 | 227717 | 227717 | 227717 | 0.5 % | 12/06/2020 |
| James Tananbaum (“Tananbaum”) | United States | 837907 | 837907 | 837907 | 837907 | 837907 | 1.8 % | 12/06/2020 |
| Wellington Investment Advisors Holdings LLP | Massachusetts | 0 | 3831279 | 0 | 0 | 4291200 | 9.23 % | 09/06/2020 |
| Wellington Group Holdings LLP | Massachusetts | 0 | 3831279 | 0 | 0 | 4291200 | 9.23 % | 09/06/2020 |
| Wellington Management Group LLP | Massachusetts | 0 | 3831279 | 0 | 0 | 4291200 | 9.23 % | 09/06/2020 |
| Wellington Management Company LLP | Massachusetts | 0 | 3801768 | 0 | 0 | 4164232 | 8.96 % | 09/06/2020 |
| Deerfield Mgmt III, L.P. | Delaware | 0 | 494216 | 0 | 0 | 494216 | 1.06 % | 24/03/2020 |
| Deerfield Private Design Fund III, L.P. | Delaware | 0 | 494216 | 0 | 0 | 494216 | 1.06 % | 24/03/2020 |
| James E. Flynn | United States | 0 | 2532147 | 0 | 0 | 2532147 | 5.45 % | 24/03/2020 |
| Deerfield Partners, L.P. | Delaware | 0 | 2037931 | 0 | 0 | 2037931 | 4.39 % | 24/03/2020 |
| Company, L.P. | Delaware | 0 | 2532147 | 0 | 0 | 2532147 | 5.45 % | 24/03/2020 |
| Deerfield Mgmt, L.P. | Delaware | 0 | 2037931 | 0 | 0 | 2037931 | 4.39 % | 24/03/2020 |
| Hartford Midcap Fund and Hartford Small Company Fund. | Maryland | 0 | 2597265 | 0 | 2597265 | 2597265 | 5.61 % | 14/02/2020 |
| Foresite Capital Fund II, L.P. (“FCF II”) | Delaware | 1672714 | 1672714 | 1672714 | 1672714 | 1672714 | 3.6 % | 13/02/2020 |
| Foresite Capital Management III, LLC (“FCM III”) | Delaware | 2350477 | 2350477 | 2350477 | 2350477 | 2350477 | 5.1 % | 13/02/2020 |
| Foresite Capital Fund IV, L.P. (“FCF IV”) | Delaware | 1501400 | 1501400 | 1501400 | 1501400 | 1501400 | 3.2 % | 13/02/2020 |
| James Tananbaum (“Tananbaum”) | Delaware | 5524591 | 5524591 | 5524591 | 5524591 | 5524591 | 11.9 % | 13/02/2020 |
| Foresite Capital Management IV, LLC (“FCM IV”) | Delaware | 1501400 | 1501400 | 1501400 | 1501400 | 1501400 | 3.2 % | 13/02/2020 |
| Foresite Capital Fund III, L.P. (“FCF III”) | Delaware | 2350477 | 2350477 | 2350477 | 2350477 | 2350477 | 5.1 % | 13/02/2020 |
| Foresite Capital Management II, LLC (“FCM II”) | Delaware | 1672714 | 1672714 | 1672714 | 1672714 | 1672714 | 3.6 % | 13/02/2020 |
| Deerfield Mgmt, L.P. | Delaware | 0 | 1278039 | 0 | 0 | 1278039 | 2.76 % | 13/02/2020 |
| Fund, L.P. | Delaware | 0 | 43307 | 0 | 0 | 43307 | 0.09 % | 13/02/2020 |
| Deerfield Mgmt III, L.P. | Delaware | 0 | 494216 | 0 | 0 | 494216 | 1.07 % | 13/02/2020 |
| Deerfield Private Design Fund III, L.P. | Delaware | 0 | 494216 | 0 | 0 | 494216 | 1.07 % | 13/02/2020 |
| James E. Flynn | United States | 0 | 1772255 | 0 | 0 | 1772255 | 3.83 % | 13/02/2020 |
| Deerfield Partners, L.P. | Delaware | 0 | 1234732 | 0 | 0 | 1234732 | 2.67 % | 13/02/2020 |
| Company, L.P. | Delaware | 0 | 1772255 | 0 | 0 | 1772255 | 3.83 % | 13/02/2020 |
| Phillip Gross | United States | 0 | 0 | 0 | 0 | 0 | 0 % | 12/02/2020 |
| Adage Capital Advisors, L.L.C. | Delaware | 0 | 0 | 0 | 0 | 0 | 0 % | 12/02/2020 |
| Robert Atchinson | United States | 0 | 0 | 0 | 0 | 0 | 0 % | 12/02/2020 |
| Adage Capital Partners, L.P. | Delaware | 0 | 0 | 0 | 0 | 0 | 0 % | 12/02/2020 |
| Adage Capital Partners GP, L.L.C. | Delaware | 0 | 0 | 0 | 0 | 0 | 0 % | 12/02/2020 |
| The Vanguard Group - 23-1945930 | Pennsylvania | 89317 | 0 | 0 | 0 | 4237491 | 9.14 % | 12/02/2020 |
| (1) BlackRock, Inc. | Delaware | 3398287 | 0 | 3482212 | 0 | 3482212 | 7.5 % | 10/02/2020 |
| Wellington Investment Advisors Holdings LLP | Massachusetts | 0 | 6087044 | 0 | 0 | 6742697 | 14.56 % | 28/01/2020 |
| Wellington Group Holdings LLP | Massachusetts | 0 | 6087044 | 0 | 0 | 6742697 | 14.56 % | 28/01/2020 |
| Wellington Management Company LLP | Massachusetts | 0 | 6001908 | 0 | 0 | 6488168 | 14.01 % | 28/01/2020 |
| Wellington Management Group LLP | Massachusetts | 0 | 6087044 | 0 | 0 | 6742697 | 14.56 % | 28/01/2020 |
| Company, L.P. | Delaware | 0 | 2932987 | 0 | 0 | 2932987 | 6.39 % | 17/06/2019 |
| Fund, L.P. | Delaware | 0 | 43307 | 0 | 0 | 43307 | 0.09 % | 17/06/2019 |
| Deerfield Private Design Fund III, L.P. | Delaware | 0 | 494216 | 0 | 0 | 494216 | 1.08 % | 17/06/2019 |
| Deerfield Mgmt, L.P. | Delaware | 0 | 2438771 | 0 | 0 | 2438771 | 5.31 % | 17/06/2019 |
| Deerfield Partners, L.P. | Delaware | 0 | 2395464 | 0 | 0 | 2395464 | 5.22 % | 17/06/2019 |
| Deerfield Mgmt III, L.P. | Delaware | 0 | 494216 | 0 | 0 | 494216 | 1.08 % | 17/06/2019 |
| James E. Flynn | United States | 0 | 2932987 | 0 | 0 | 2932987 | 6.39 % | 17/06/2019 |
| Small Company Fund. | Maryland | 0 | 2697905 | 0 | 2697905 | 2697905 | 5.94 % | 14/02/2019 |
| James Tananbaum (“Tananbaum”) | Delaware | 3885014 | 0 | 3885014 | 0 | 3885014 | 8.6 % | 13/02/2019 |
| Foresite Capital Management IV, LLC (“FCM IV”) | Delaware | 261823 | 0 | 261823 | 0 | 261823 | 0.6 % | 13/02/2019 |
| Foresite Capital Fund IV, L.P. (“FCF IV”) | Delaware | 261823 | 0 | 261823 | 0 | 261823 | 0.6 % | 13/02/2019 |
| Foresite Capital Management III, LLC (“FCM III”) | Delaware | 1950477 | 0 | 1950477 | 0 | 1950477 | 4.3 % | 13/02/2019 |
| Foresite Capital Fund III, L.P. (“FCF III”) | Delaware | 1950477 | 0 | 1950477 | 0 | 1950477 | 4.3 % | 13/02/2019 |
| Foresite Capital Fund II, L.P. (“FCF II”) | Delaware | 1672714 | 0 | 1672714 | 0 | 1672714 | 3.7 % | 13/02/2019 |
| Foresite Capital Management II, LLC (“FCM II”) | Delaware | 1672714 | 0 | 1672714 | 0 | 1672714 | 3.7 % | 13/02/2019 |
| Deerfield Mgmt, L.P. | Delaware | 0 | 1024380 | 0 | 0 | 1024380 | 2.25 % | 12/02/2019 |
| James E. Flynn | United States | 0 | 1518596 | 0 | 0 | 1518596 | 3.34 % | 12/02/2019 |
| Deerfield Private Design Fund III, L.P. | Delaware | 0 | 494216 | 0 | 0 | 494216 | 1.09 % | 12/02/2019 |
| Deerfield Partners, L.P. | Delaware | 0 | 981073 | 0 | 0 | 981073 | 2.16 % | 12/02/2019 |
| Deerfield Mgmt III, L.P. | Delaware | 0 | 494216 | 0 | 0 | 494216 | 1.09 % | 12/02/2019 |
| Deerfield Special Situations Fund, L.P. | Delaware | 0 | 43307 | 0 | 0 | 43307 | 0.1 % | 12/02/2019 |
| Company, L.P. | Delaware | 0 | 1518596 | 0 | 0 | 1518596 | 3.34 % | 12/02/2019 |
| Wellington Management Company LLP | Massachusetts | 0 | 5599068 | 0 | 0 | 6061756 | 13.34 % | 12/02/2019 |
| Wellington Management Group LLP | Massachusetts | 0 | 5649481 | 0 | 0 | 6252699 | 13.76 % | 12/02/2019 |
| Wellington Group Holdings LLP | Massachusetts | 0 | 5649481 | 0 | 0 | 6252699 | 13.76 % | 12/02/2019 |
| Wellington Investment Advisors Holdings LLP | Massachusetts | 0 | 5649481 | 0 | 0 | 6252699 | 13.76 % | 12/02/2019 |
| Partner Fund Management, L.P. | Delaware | 0 | 2650367 | 0 | 2650367 | 6 | 5.8 % | 04/02/2019 |
| (1) BlackRock, Inc. | Delaware | 3059332 | 0 | 0 | 3059332 | 3208945 | 7.1 % | 04/02/2019 |
| Company, L.P. | Delaware | 0 | 3891051 | 0 | 0 | 3891051 | 8.61 % | 23/07/2018 |
| Deerfield Mgmt, L.P. | Delaware | 0 | 1215413 | 0 | 0 | 1215413 | 2.69 % | 23/07/2018 |
| James E. Flynn | Delaware | 0 | 3891051 | 0 | 0 | 3891051 | 8.61 % | 23/07/2018 |
| Deerfield Private Design Fund III, L.P. | Delaware | 0 | 2675638 | 0 | 0 | 2675638 | 5.92 % | 23/07/2018 |
| Deerfield Mgmt III, L.P. | Delaware | 0 | 2675638 | 0 | 0 | 2675638 | 5.92 % | 23/07/2018 |
| Deerfield International Master Fund, L.P. | Delaware | 0 | 0 | 0 | 0 | 0 | 0 % | 23/07/2018 |
| Deerfield Special Situations Fund, L.P. | Delaware | 0 | 188357 | 0 | 0 | 188357 | 0.42 % | 23/07/2018 |
| Deerfield Partners, L.P. | Delaware | 0 | 1027056 | 0 | 0 | 1027056 | 2.27 % | 23/07/2018 |
| Company, L.P. | Delaware | 0 | 5524375 | 0 | 0 | 5524375 | 9.985 % | 14/02/2018 |
| Deerfield Partners, L.P. | Delaware | 0 | 760763 | 0 | 0 | 760763 | 2.05 % | 14/02/2018 |
| Deerfield International Master Fund, L.P. | British Virgin Islands | 0 | 731355 | 0 | 0 | 731355 | 1.96 % | 14/02/2018 |
| Mgmt III, L.P. | Delaware | 0 | 3629032 | 0 | 0 | 3629032 | 9 % | 14/02/2018 |
| Deerfield Private Design Fund III, L.P. | Delaware | 0 | 3629032 | 0 | 0 | 3629032 | 9 % | 14/02/2018 |
| James E. Flynn | United States | 0 | 5524375 | 0 | 0 | 5524375 | 9.985 % | 14/02/2018 |
| Fund, L.P. | Delaware | 0 | 403225 | 0 | 0 | 403225 | 1.09 % | 14/02/2018 |
| Deerfield Mgmt, L.P. | Delaware | 0 | 1895343 | 0 | 0 | 1895343 | 4.97 % | 14/02/2018 |
| Robert Atchinson | United States | 0 | 2611635 | 0 | 0 | 2611635 | 7.12 % | 13/02/2018 |
| Adage Capital Advisors, L.L.C. | Delaware | 0 | 2611635 | 0 | 0 | 2611635 | 7.12 % | 13/02/2018 |
| Adage Capital Partners, L.P. | Delaware | 0 | 2611635 | 0 | 0 | 2611635 | 7.12 % | 13/02/2018 |
| Adage Capital Partners GP, L.L.C. | Delaware | 0 | 2611635 | 0 | 0 | 2611635 | 7.12 % | 13/02/2018 |
| Phillip Gross | United States | 0 | 2611635 | 0 | 0 | 2611635 | 7.12 % | 13/02/2018 |
| Foresite Capital Fund II, L.P. (“FCF II”) | Delaware | 1672714 | 1672714 | 1672714 | 1672714 | 1672714 | 4.6 % | 13/02/2018 |
| Foresite Capital Management II, LLC (“FCM II”) | Delaware | 1672714 | 1672714 | 1672714 | 1672714 | 1672714 | 4.6 % | 13/02/2018 |
| Foresite Capital Fund III, L.P. (“FCF III”) | Delaware | 1950477 | 1950477 | 1950477 | 1950477 | 1950477 | 5.3 % | 13/02/2018 |
| James Tananbaum (“Tananbaum”) | United States | 3623191 | 3623191 | 3623191 | 3623191 | 3623191 | 9.9 % | 13/02/2018 |
| Foresite Capital Management III, LLC (“FCM III”) | Delaware | 1950477 | 1950477 | 1950477 | 1950477 | 1950477 | 5.3 % | 13/02/2018 |
| Wellington Group Holdings LLP | Massachusetts | 0 | 4614105 | 0 | 0 | 5061463 | 13.79 % | 08/02/2018 |
| Wellington Management Group LLP | Massachusetts | 0 | 4614105 | 0 | 0 | 5061463 | 13.79 % | 08/02/2018 |
| Wellington Management Company LLP | Massachusetts | 0 | 4536284 | 0 | 0 | 4880898 | 13.3 % | 08/02/2018 |
| Wellington Investment Advisors Holdings LLP | Massachusetts | 0 | 4614105 | 0 | 0 | 5061463 | 13.79 % | 08/02/2018 |
| Vanguard Group - 23-1945930 | Pennsylvania | 64994 | 4811 | 2988707 | 67436 | 3056143 | 8.32 % | 08/02/2018 |
| (1) BlackRock, Inc. | Delaware | 2711061 | 0 | 2784539 | 0 | 2784539 | 7.6 % | 29/01/2018 |
| Wellington Management Company LLP | Massachusetts | 0 | 3387553 | 0 | 0 | 3600810 | 9.92 % | 10/08/2017 |
| Wellington Management Group LLP | Massachusetts | 0 | 3414835 | 0 | 0 | 3698419 | 10.19 % | 10/08/2017 |
| Wellington Investment Advisors Holdings LLP | Massachusetts | 0 | 3414835 | 0 | 0 | 3698419 | 10.19 % | 10/08/2017 |
| Wellington Group Holdings LLP | Massachusetts | 0 | 3414835 | 0 | 0 | 3698419 | 10.19 % | 10/08/2017 |
| Gabelli Funds, LLC | Delaware | 0 | 2210020 | 0 | 2210020 | 379646 | 1.68 % | 17/07/2017 |
| Identification #52-2069785 (formerly 13-2631108) | Delaware | 0 | 0 | 0 | 0 | 1885075 | 11 % | 10/07/2017 |
| Deerfield Mgmt, L.P. | Delaware | 0 | 3250117 | 0 | 0 | 3250117 | 9.34 % | 17/02/2017 |
| Deerfield Partners, L.P. | Delaware | 0 | 1254483 | 0 | 0 | 1254483 | 3.71 % | 17/02/2017 |
| James E. Flynn | Delaware | 0 | 6879149 | 0 | 0 | 6879149 | 9.985 % | 17/02/2017 |
| Deerfield Private Design Fund III, L.P. | Delaware | 0 | 3629032 | 0 | 0 | 3629032 | 9.81 % | 17/02/2017 |
| Deerfield Mgmt III, L.P. | Delaware | 0 | 3629032 | 0 | 0 | 3629032 | 9.81 % | 17/02/2017 |
| Deerfield International Master Fund, L.P. | Delaware | 0 | 1592409 | 0 | 0 | 1592409 | 4.69 % | 17/02/2017 |
| Deerfield Special Situations Fund, L.P. | Delaware | 0 | 403225 | 0 | 0 | 403225 | 1.19 % | 17/02/2017 |
| Deerfield Management Company, L.P. | Delaware | 0 | 6879149 | 0 | 0 | 6879149 | 9.985 % | 17/02/2017 |
| Deerfield Special Situations Fund, L.P. | Delaware | 0 | 403225 | 0 | 0 | 403225 | 1.19 % | 14/02/2017 |
| Deerfield Mgmt, L.P. | Delaware | 0 | 3250117 | 0 | 0 | 3250117 | 9.34 % | 14/02/2017 |
| James E. Flynn | Delaware | 0 | 3619149 | 0 | 0 | 3619149 | 9.985 % | 14/02/2017 |
| Deerfield Private Design Fund III, L.P. | Delaware | 0 | 369032 | 0 | 0 | 369032 | 1.09 % | 14/02/2017 |
| Deerfield Mgmt III, L.P. | Delaware | 0 | 369032 | 0 | 0 | 369032 | 1.09 % | 14/02/2017 |
| Deerfield International Master Fund, L.P. | Delaware | 0 | 1592409 | 0 | 0 | 1592409 | 4.69 % | 14/02/2017 |
| Deerfield Partners, L.P. | Delaware | 0 | 1254483 | 0 | 0 | 1254483 | 3.71 % | 14/02/2017 |
| Deerfield Management Company, L.P. | Delaware | 0 | 3619149 | 0 | 0 | 3619149 | 9.985 % | 14/02/2017 |
| Adage Capital Partners, L.P. | Delaware | 0 | 2200000 | 0 | 0 | 2200000 | 6.59 % | 09/02/2017 |
| Robert Atchinson | Delaware | 0 | 2200000 | 0 | 0 | 2200000 | 6.59 % | 09/02/2017 |
| Adage Capital Advisors, L.L.C. | Delaware | 0 | 2200000 | 0 | 0 | 2200000 | 6.59 % | 09/02/2017 |
| Adage Capital Partners GP, L.L.C. | Delaware | 0 | 2200000 | 0 | 0 | 2200000 | 6.59 % | 09/02/2017 |
| Phillip Gross | Delaware | 0 | 2200000 | 0 | 0 | 2200000 | 6.59 % | 09/02/2017 |
| Wellington Group Holdings LLP | Massachusetts | 0 | 2672540 | 0 | 0 | 2897135 | 8.68 % | 09/02/2017 |
| Wellington Management Company LLP | Massachusetts | 0 | 2654421 | 0 | 0 | 2830071 | 8.48 % | 09/02/2017 |
| Wellington Investment Advisors Holdings LLP | Massachusetts | 0 | 2672540 | 0 | 0 | 2897135 | 8.68 % | 09/02/2017 |
| Wellington Management Group LLP | Massachusetts | 0 | 2672540 | 0 | 0 | 2897135 | 8.68 % | 09/02/2017 |
| Identification #52-2069785 (formerly 13-2631108) | Delaware | 3428860 | 0 | 0 | 3428860 | 3428860 | 11 % | 03/02/2017 |
| (1) BlackRock, Inc. | Delaware | 2512498 | 0 | 0 | 2566897 | 2566897 | 7.7 % | 19/01/2017 |
| Foresite Capital Management III, LLC (“FCM III”) | Delaware | 492203 | 0 | 492203 | 0 | 492203 | 1.9 % | 19/02/2016 |
| James Tananbaum (“Tananbaum”) | Delaware | 1336443 | 0 | 1336443 | 0 | 1336443 | 5.1 % | 19/02/2016 |
| Foresite Capital Fund II, L.P. (“FCF II”) | Delaware | 844240 | 0 | 844240 | 0 | 844240 | 3.2 % | 19/02/2016 |
| Foresite Capital Management II, LLC (“FCM II”) | Delaware | 844240 | 0 | 844240 | 0 | 844240 | 3.2 % | 19/02/2016 |
| Foresite Capital Fund III, L.P. (“FCF III”) | Delaware | 492203 | 0 | 492203 | 0 | 492203 | 1.9 % | 19/02/2016 |
| Adage Capital Partners, L.P. | Delaware | 0 | 1625000 | 0 | 0 | 1625000 | 6.16 % | 16/02/2016 |
| Adage Capital Partners GP, L.L.C. | Delaware | 0 | 1625000 | 0 | 0 | 1625000 | 6.16 % | 16/02/2016 |
| Adage Capital Advisors, L.L.C. | Delaware | 0 | 1625000 | 0 | 0 | 1625000 | 6.16 % | 16/02/2016 |
| Robert Atchinson | Delaware | 0 | 1625000 | 0 | 0 | 1625000 | 6.16 % | 16/02/2016 |
| Phillip Gross | Delaware | 0 | 1625000 | 0 | 0 | 1625000 | 6.16 % | 16/02/2016 |
| Deerfield International Master Fund, L.P. | Delaware | 0 | 977078 | 0 | 0 | 977078 | 3.63 % | 16/02/2016 |
| Deerfield Special Situations Fund, L.P. | Delaware | 0 | 467178 | 0 | 0 | 467178 | 1.75 % | 16/02/2016 |
| Deerfield Mgmt, L.P. | Delaware | 0 | 2219163 | 0 | 0 | 2219163 | 7.99 % | 16/02/2016 |
| Deerfield Partners, L.P. | Delaware | 0 | 774907 | 0 | 0 | 774907 | 2.89 % | 16/02/2016 |
| Deerfield Management Company, L.P. | Delaware | 0 | 5848195 | 0 | 0 | 5848195 | 9.985 % | 16/02/2016 |
| James E. Flynn | Delaware | 0 | 5848195 | 0 | 0 | 5848195 | 9.985 % | 16/02/2016 |
| Deerfield Private Design Fund III, L.P. | Delaware | 0 | 3629032 | 0 | 0 | 3629032 | 9.985 % | 16/02/2016 |
| Deerfield Mgmt III, L.P. | Delaware | 0 | 3629032 | 0 | 0 | 3629032 | 9.985 % | 16/02/2016 |
| Deerfield Special Situations International Master Fund, L.P. | Delaware | 0 | 0 | 0 | 0 | 0 | 0 % | 16/02/2016 |
| Wellington Investment Advisors Holdings LLP | Massachusetts | 0 | 3222435 | 0 | 0 | 3506646 | 13.3 % | 11/02/2016 |
| Wellington Management Group LLP | Massachusetts | 0 | 3222435 | 0 | 0 | 3506646 | 13.3 % | 11/02/2016 |
| Wellington Group Holdings LLP | Massachusetts | 0 | 3222435 | 0 | 0 | 3506646 | 13.3 % | 11/02/2016 |
| Wellington Management Company LLP | Massachusetts | 0 | 3194165 | 0 | 0 | 3411826 | 12.94 % | 11/02/2016 |
| Identification #52-2069785 (formerly 13-2631108) | Delaware | 3652010 | 0 | 0 | 3652010 | 3652010 | 11 % | 05/02/2016 |
| (1) BlackRock, Inc. | Delaware | 1496534 | 0 | 1537888 | 0 | 1537888 | 5.8 % | 28/01/2016 |
| Adage Capital Partners, L.P. | Delaware | 0 | 1500000 | 0 | 1500000 | 1500000 | 5.84 % | 25/09/2015 |
| David Bonderman | United States | 0 | 1237466 | 0 | 10 | 1237466 | 4.9 % | 22/06/2015 |
| James G. Coulter | United States | 0 | 1237466 | 0 | 10 | 1237466 | 4.9 % | 22/06/2015 |
| TPG Group Holdings (SBS) Advisors, Inc. | Delaware | 0 | 1237466 | 0 | 10 | 1237466 | 4.9 % | 22/06/2015 |
| David Bonderman | United States | 0 | 1837466 | 0 | 10 | 1837466 | 7.6 % | 02/04/2015 |
| TPG Group Holdings (SBS) Advisors, Inc. | Delaware | 0 | 1837466 | 0 | 10 | 1837466 | 7.6 % | 02/04/2015 |
| James G. Coulter | United States | 0 | 1837466 | 0 | 10 | 1837466 | 7.6 % | 02/04/2015 |
| Deerfield Mgmt III, L.P. | Delaware | 0 | 3629032 | 0 | 0 | 3629032 | 9.98 % | 17/02/2015 |
| Deerfield Special Situations International Master Fund, L.P. | Delaware | 0 | 249301 | 0 | 0 | 249301 | 1.03 % | 17/02/2015 |
| Deerfield International Master Fund, L.P. | Delaware | 0 | 1506304 | 0 | 0 | 1506304 | 6.14 % | 17/02/2015 |
| Deerfield Special Situations Fund, L.P. | Delaware | 0 | 301825 | 0 | 0 | 301825 | 1.25 % | 17/02/2015 |
| Deerfield Partners, L.P. | Delaware | 0 | 1212778 | 0 | 0 | 1212778 | 4.96 % | 17/02/2015 |
| Deerfield Management Company, L.P. | Delaware | 0 | 6899240 | 0 | 0 | 6899240 | 9.98 % | 17/02/2015 |
| Deerfield Mgmt, L.P. | Delaware | 0 | 3270208 | 0 | 0 | 3270208 | 9.98 % | 17/02/2015 |
| James E. Flynn | Delaware | 0 | 6899240 | 0 | 0 | 6899240 | 9.98 % | 17/02/2015 |
| Deerfield Private Design Fund III, L.P. | Delaware | 0 | 3629032 | 0 | 0 | 3629032 | 9.98 % | 17/02/2015 |
| Identification #52-2069785 (formerly 13-2631108) | Delaware | 0 | 0 | 0 | 0 | 2749588 | 11 % | 10/02/2015 |
| Identification #52-2069785 (formerly 13-2631108) | Delaware | 2363119 | 0 | 0 | 2369583 | 2369583 | 11 % | 09/02/2015 |
| James G. Coulter | United States | 0 | 2087466 | 0 | 10 | 2087466 | 8.7 % | 26/11/2014 |
| David Bonderman | United States | 0 | 2087466 | 0 | 10 | 2087466 | 8.7 % | 26/11/2014 |
| TPG Group Holdings (SBS) Advisors, Inc. | Delaware | 0 | 2087466 | 0 | 10 | 2087466 | 8.7 % | 26/11/2014 |
| TPG Group Holdings (SBS) Advisors, Inc. | Delaware | 0 | 3387466 | 0 | 10 | 3387466 | 14.5 % | 11/07/2014 |
| James G. Coulter | United States | 0 | 3387466 | 0 | 10 | 3387466 | 14.5 % | 11/07/2014 |
| David Bonderman | United States | 0 | 3387466 | 0 | 10 | 3387466 | 14.5 % | 11/07/2014 |
| Wellington Management Company, LLP | Massachusetts | 0 | 2208549 | 0 | 0 | 2459199 | 10.49 % | 10/07/2014 |
| Deerfield Management Company, L.P. | Delaware | 0 | 1417508 | 0 | 0 | 1417508 | 6.05 % | 03/07/2014 |
| Deerfield Mgmt, L.P. | Delaware | 0 | 1417508 | 0 | 0 | 1417508 | 6.05 % | 03/07/2014 |
| Deerfield Special Situations International Master Fund, L.P. | British Virgin Islands | 0 | 94989 | 0 | 0 | 94989 | 0.41 % | 03/07/2014 |
| James E. Flynn | United States | 0 | 1417508 | 0 | 0 | 1417508 | 6.05 % | 03/07/2014 |
| Deerfield Special Situations Fund, L.P. | Delaware | 0 | 117115 | 0 | 0 | 117115 | 0.5 % | 03/07/2014 |
| Deerfield Partners, L.P. | Delaware | 0 | 539290 | 0 | 0 | 539290 | 2.3 % | 03/07/2014 |
| Deerfield International Master Fund, L.P. | British Virgin Islands | 0 | 666114 | 0 | 0 | 666114 | 2.84 % | 03/07/2014 |
| 04-2683227 | Massachusetts | 0 | 1430503 | 0 | 0 | 1654803 | 7.11 % | 14/02/2014 |
| TPG Group Holdings (SBS) Advisors, Inc. | Delaware | 0 | 4387466 | 0 | 10 | 4387466 | 19.8 % | 12/11/2013 |
| James G. Coulter | United States | 0 | 4387466 | 0 | 10 | 4387466 | 19.8 % | 12/11/2013 |
| David Bonderman | United States | 0 | 4387466 | 0 | 10 | 4387466 | 19.8 % | 12/11/2013 |
| Sofinnova Venture Partners VII, L.P. (“SVP VII”) | Delaware | 3240589 | 0 | 3240589 | 0 | 3240589 | 14 % | 08/11/2013 |
| Dr. James I. Healy (“Healy”) | U.S. Citizen | 0 | 3240589 | 0 | 3240589 | 3240589 | 14 % | 08/11/2013 |
| Anand Mehra (“Mehra”) | U.S. Citizen | 28000 | 3240589 | 28000 | 3240589 | 3268589 | 14.1 % | 08/11/2013 |
| Eric P. Buatois (“Buatois”) | U.S. Permanent Resident | 0 | 3240589 | 0 | 3240589 | 3240589 | 14 % | 08/11/2013 |
| Sofinnova Management VII, L.L.C. (“SM VII”) | Delaware | 3240589 | 0 | 3240589 | 10 | 3240589 | 14 % | 08/11/2013 |
| Dr. Michael F. Powell (“Powell”) | U.S. Citizen | 0 | 3240589 | 0 | 3240589 | 3240589 | 14 % | 08/11/2013 |