Alimera Sciences, Inc. ALIM
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 |
|---|---|---|---|---|---|---|---|---|
| Stonepine GP, LLC | Delaware | 0 | 0 | 0 | 0 | 0 | 0 % | 13/11/2024 |
| Jon M. Plexico | U.S.A. | 0 | 0 | 0 | 0 | 0 | 0 % | 13/11/2024 |
| Stonepine Capital Management, LLC | Delaware | 0 | 0 | 0 | 0 | 0 | 0 % | 13/11/2024 |
| Stonepine Capital, L.P. | Delaware | 0 | 0 | 0 | 0 | 0 | 0 % | 13/11/2024 |
| Boothbay Absolute Return Strategies, LP | Delaware | 0 | 0 | 0 | 0 | 0 | 0 % | 07/11/2024 |
| Boothbay Fund Management, LLC | Delaware | 0 | 0 | 0 | 0 | 0 | 0 % | 07/11/2024 |
| Ari Glass | United States | 0 | 0 | 0 | 0 | 0 | 0 % | 07/11/2024 |
| Laurence W. Lytton | USA | 2185364 | 0 | 2185364 | 0 | 2185364 | 4.2 % | 14/02/2024 |
| Laurence W. Lytton | USA | 2185364 | 0 | 2185364 | 0 | 2185364 | 4.2 % | 14/02/2024 |
| Boothbay Fund Management, LLC | Delaware | 0 | 3198708 | 0 | 3198708 | 3198708 | 6.1 % | 13/02/2024 |
| Ari Glass | United States | 0 | 3198708 | 0 | 3198708 | 3198708 | 6.1 % | 13/02/2024 |
| Boothbay Absolute Return Strategies, LP | Delaware | 0 | 1919127 | 0 | 1919127 | 1919127 | 3.7 % | 13/02/2024 |
| Stonepine Capital, L.P. | Delaware | 0 | 5373732 | 0 | 5373732 | 5373732 | 9.99 % | 13/02/2024 |
| Stonepine Capital Management, LLC | California | 0 | 5373732 | 0 | 5373732 | 5373732 | 9.99 % | 13/02/2024 |
| HBM Healthcare Investments | Cayman Islands, British West Indies | 466666 | 0 | 466666 | 0 | 466666 | 0.9 % | 13/02/2024 |
| HBM Healthcare Investments | Cayman Islands, British West Indies | 466666 | 0 | 466666 | 0 | 466666 | 0.9 % | 13/02/2024 |
| EIN | Delaware, United States of America | 2660000 | 0 | 2660000 | 2660000 | 5 % | 13/02/2024 | |
| Morgan Stanley Capital Services LLC | Delaware. | 910832 | 0 | 910832 | 910832 | 1.7 % | 08/12/2023 | |
| Morgan Stanley | Delaware. | 910832 | 0 | 916246 | 916246 | 1.8 % | 08/12/2023 | |
| EIN | Delaware, United States of America | 2984803 | 0 | 2984803 | 2984803 | 5.7 % | 23/08/2023 | |
| Anthony Joonkyoo Yun, MD | U.S.A. | 0 | 0 | 0 | 0 | 0 | 0 % | 03/04/2023 |
| Palo Alto Healthcare Master Fund II, L.P. | Cayman Islands | 0 | 0 | 0 | 0 | 0 | 0 % | 03/04/2023 |
| PAI LLC | California | 0 | 0 | 0 | 0 | 0 | 0 % | 03/04/2023 |
| Palo Alto Investors LP | California | 0 | 0 | 0 | 0 | 0 | 0 % | 03/04/2023 |
| Anthony Joonkyoo Yun, MD | U.S.A. | 0 | 0 | 0 | 0 | 0 | 0 % | 03/04/2023 |
| Patrick Lee, MD | U.S.A. | 0 | 0 | 0 | 0 | 0 | 0 % | 03/04/2023 |
| Palo Alto Healthcare Master Fund II, L.P. | Cayman Islands | 0 | 0 | 0 | 0 | 0 | 0 % | 03/04/2023 |
| PAI LLC | California | 0 | 0 | 0 | 0 | 0 | 0 % | 03/04/2023 |
| Patrick Lee, MD | U.S.A. | 0 | 0 | 0 | 0 | 0 | 0 % | 03/04/2023 |
| Palo Alto Investors LP | California | 0 | 0 | 0 | 0 | 0 | 0 % | 03/04/2023 |
| Morgan Stanley | Delaware. | 0 | 660832 | 0 | 666246 | 666246 | 9.5 % | 08/02/2023 |
| Morgan Stanley Capital Services LLC | Delaware. | 0 | 660832 | 0 | 660832 | 660832 | 9.4 % | 08/02/2023 |
| Morgan Stanley | Delaware. | 0 | 557910 | 0 | 563324 | 563324 | 8.1 % | 27/10/2022 |
| Morgan Stanley Capital Services LLC | Delaware. | 0 | 557910 | 0 | 557910 | 557910 | 8 % | 27/10/2022 |
| OR Palo Alto Healthcare Master Fund II, L.P. | Cayman Islands | 0 | 459385 | 0 | 459385 | 459385 | 6.62 % | 14/02/2022 |
| OR Patrick Lee, MD | USA | 0 | 802423 | 0 | 802423 | 802423 | 11.57 % | 14/02/2022 |
| OR Anthony Joonkyoo Yun, MD | USA | 0 | 802423 | 0 | 802423 | 802423 | 11.57 % | 14/02/2022 |
| OR Palo Alto Investors LP | California | 0 | 802423 | 0 | 802423 | 802423 | 11.57 % | 14/02/2022 |
| OR PAI LLC | California | 0 | 802423 | 0 | 802423 | 802423 | 11.57 % | 14/02/2022 |
| OR Palo Alto Healthcare Master Fund, L.P. | Cayman Islands | 0 | 312884 | 0 | 312884 | 312884 | 4.51 % | 14/02/2022 |
| Morgan Stanley Capital Services LLC | Delaware. | 0 | 424132 | 0 | 424132 | 424132 | 6.1 % | 10/02/2022 |
| Morgan Stanley & Co. LLC | Delaware. | 0 | 0 | 0 | 0 | 0 | 0 % | 10/02/2022 |
| Morgan Stanley | Delaware. | 0 | 424132 | 0 | 429546 | 429546 | 6.2 % | 10/02/2022 |
| AIGH Capital Management, LLC . | Maryland | 0 | 0 | 0 | 0 | 0 | 0 % | 03/02/2022 |
| Orin Hchman . | United States | 0 | 0 | 0 | 0 | 0 | 0 % | 03/02/2022 |
| AIGH Investment Partners, L.L.C. . | Delaware | 0 | 0 | 0 | 0 | 10 | 0 % | 03/02/2022 |
| Ocumension Therapeutics | Cayman Islands | 11449451 | 0 | 1144945 | 0 | 1144945 | 16.62 % | 30/04/2021 |
| Ocumension Therapeutics | Cayman Islands | 11449451 | 0 | 1144945 | 0 | 1144945 | 16.62 % | 30/04/2021 |
| Palo Alto Healthcare Master Fund II, L.P. | Cayman Islands | 0 | 459385 | 0 | 459385 | 459385 | 8.95 % | 16/02/2021 |
| Palo Alto Investors LP | California | 0 | 802423 | 0 | 802423 | 802423 | 15.64 % | 16/02/2021 |
| Palo Alto Healthcare Master Fund, L.P. | Cayman Islands | 0 | 312884 | 0 | 312884 | 312884 | 6.1 % | 16/02/2021 |
| Palo Alto Healthcare Master Fund II, L.P. | Cayman Islands | 0 | 459385 | 0 | 459385 | 459385 | 8.95 % | 16/02/2021 |
| PAI LLC | California | 0 | 802423 | 0 | 802423 | 802423 | 15.64 % | 16/02/2021 |
| Patrick Lee, MD | USA | 0 | 802423 | 0 | 802423 | 802423 | 15.64 % | 16/02/2021 |
| Anthony Joonkyoo Yun, MD | USA | 0 | 802423 | 0 | 802423 | 802423 | 15.64 % | 16/02/2021 |
| Palo Alto Investors LP | California | 0 | 802423 | 0 | 802423 | 802423 | 15.64 % | 16/02/2021 |
| Palo Alto Healthcare Master Fund, L.P. | Cayman Islands | 0 | 312884 | 0 | 312884 | 312884 | 6.1 % | 16/02/2021 |
| Patrick Lee, MD | USA | 0 | 802423 | 0 | 802423 | 802423 | 15.64 % | 16/02/2021 |
| Anthony Joonkyoo Yun, MD | USA | 0 | 802423 | 0 | 802423 | 802423 | 15.64 % | 16/02/2021 |
| PAI LLC | California | 0 | 802423 | 0 | 802423 | 802423 | 15.64 % | 16/02/2021 |
| S Deerfield Partners, L.P. | Delaware | 0 | 0 | 0 | 0 | 0 | 0 % | 12/02/2021 |
| S Deerfield Private Design Fund II, L.P. | Delaware | 0 | 0 | 0 | 0 | 0 | 0 % | 12/02/2021 |
| S Deerfield Private Design International II, L.P. | British Virgin Islands | 0 | 0 | 0 | 0 | 0 | 0 % | 12/02/2021 |
| S Deerfield Private Design Fund III, L.P. | Delaware | 0 | 0 | 0 | 0 | 0 | 0 % | 12/02/2021 |
| S James E. Flynn | United States | 0 | 0 | 0 | 0 | 0 | 0 % | 12/02/2021 |
| S Deerfield Management Company, L.P. | Delaware | 0 | 0 | 0 | 0 | 0 | 0 % | 12/02/2021 |
| S Deerfield Mgmt III, L.P. | Delaware | 0 | 0 | 0 | 0 | 0 | 0 % | 12/02/2021 |
| S Deerfield Mgmt, L.P. | Delaware | 0 | 0 | 0 | 0 | 0 | 0 % | 12/02/2021 |
| Behzad Aghazadeh | United States | 0 | 0 | 0 | 0 | 0 | 0 % | 12/02/2021 |
| Avoro Capital Advisors LLC | Delaware | 0 | 0 | 0 | 0 | 0 | 0 % | 12/02/2021 |
| Morgan Stanley | Delaware. | 0 | 420698 | 0 | 420712 | 420712 | 8.2 % | 10/02/2021 |
| Morgan Stanley & Co. LLC | Delaware. | 0 | 415999 | 0 | 415999 | 415999 | 8.1 % | 10/02/2021 |
| Morgan Stanley Capital Services LLC | Delaware. | 0 | 4699 | 0 | 4699 | 4699 | 0.1 % | 10/02/2021 |
| Morgan Stanley | Delaware. | 0 | 420698 | 0 | 420738 | 420738 | 8.2 % | 09/11/2020 |
| Morgan Stanley Capital Services LLC | Delaware. | 0 | 420698 | 0 | 420698 | 420698 | 8.2 % | 09/11/2020 |
| Armistice Capital Master Fund Ltd. | Cayman Islands | 0 | 148000 | 0 | 148000 | 148000 | 3 % | 14/02/2020 |
| Steven Boyd | United States America | 0 | 228000 | 0 | 228000 | 228000 | 4.6 % | 14/02/2020 |
| Armistice Capital, LLC | Delaware | 0 | 228000 | 0 | 228000 | 228000 | 4.6 % | 14/02/2020 |
| Palo Alto Investors LP | California | 0 | 802424 | 0 | 802424 | 802424 | 16.16 % | 14/02/2020 |
| Anthony Joonkyoo Yun, MD | USA | 0 | 802424 | 0 | 802424 | 802424 | 16.16 % | 14/02/2020 |
| Patrick Lee, MD | USA | 0 | 802424 | 0 | 802424 | 802424 | 16.16 % | 14/02/2020 |
| Palo Alto Healthcare Master Fund II, L.P. | Cayman Islands | 0 | 459390 | 0 | 459390 | 459390 | 9.25 % | 14/02/2020 |
| Palo Alto Healthcare Master Fund, L.P. | Cayman Islands | 0 | 312885 | 0 | 312885 | 312885 | 6.3 % | 14/02/2020 |
| PAI LLC | California | 0 | 802424 | 0 | 802424 | 802424 | 16.16 % | 14/02/2020 |
| Behzad Aghazadeh | United States | 415999 | 0 | 415999 | 0 | 415999 | 8.4 % | 14/02/2020 |
| Avoro Capital Advisors LLC | Delaware | 415999 | 0 | 415999 | 0 | 415999 | 8.4 % | 14/02/2020 |
| Behzad Aghazadeh | United States | 415999 | 0 | 415999 | 0 | 415999 | 8.4 % | 14/02/2020 |
| Avoro Capital Advisors LLC | Delaware | 415999 | 0 | 415999 | 0 | 415999 | 8.4 % | 14/02/2020 |
| Stonepine Capital, L.P. | Delaware | 0 | 0 | 0 | 0 | 0 | 0 % | 13/02/2020 |
| Jon M. Plexico | U.S.A. | 0 | 0 | 0 | 0 | 0 | 0 % | 13/02/2020 |
| Stonepine Capital Management, LLC | California | 0 | 0 | 0 | 0 | 0 | 0 % | 13/02/2020 |
| Timothy P. Lynch | U.S.A. | 0 | 0 | 0 | 0 | 0 | 0 % | 13/02/2020 |
| Timothy P. Lynch | U.S.A. | 0 | 0 | 0 | 0 | 0 | 0 % | 13/02/2020 |
| Jon M. Plexico | U.S.A. | 0 | 0 | 0 | 0 | 0 | 0 % | 13/02/2020 |
| Stonepine Capital Management, LLC | California | 0 | 0 | 0 | 0 | 0 | 0 % | 13/02/2020 |
| Stonepine Capital, L.P. | Delaware | 0 | 0 | 0 | 0 | 0 | 0 % | 13/02/2020 |
| HBM Healthcare Investments Ltd. | Cayman Islands British West Indies | 466666 | 0 | 466666 | 0 | 466666 | 9.4 % | 11/02/2020 |
| UBS Group AG directly and on behalf of certain subsidiaries | Switzerland | 0 | 5 | 0 | 5 | 5 | 5 % | 11/02/2020 |
| James E. Flynn | United States | 0 | 676667 | 0 | 676667 | 676667 | 9.98 % | 23/01/2020 |
| James E. Flynn | United States | 0 | 676667 | 0 | 676667 | 676667 | 9.98 % | 23/01/2020 |
| Deerfield Private Design Fund III, L.P. | Delaware | 0 | 304500 | 0 | 304500 | 304500 | 5.78 % | 23/01/2020 |
| Deerfield Private Design International II, L.P. | British Virgin Islands | 0 | 162603 | 0 | 162603 | 162603 | 3.17 % | 23/01/2020 |
| Deerfield Private Design Fund II, L.P. | Delaware | 0 | 141897 | 0 | 141897 | 141897 | 2.78 % | 23/01/2020 |
| Deerfield Partners, L.P. | Delaware | 0 | 67667 | 0 | 67667 | 67667 | 1.34 % | 23/01/2020 |
| Deerfield Special Situations Fund, L.P. | Delaware | 0 | 0 | 0 | 0 | 0 | 0 % | 23/01/2020 |
| Deerfield Management Company, L.P. | Delaware | 0 | 676667 | 0 | 676667 | 676667 | 9.98 % | 23/01/2020 |
| Deerfield Mgmt, L.P. | Delaware | 0 | 372167 | 0 | 372167 | 372167 | 6.97 % | 23/01/2020 |
| Deerfield Mgmt III, L.P. | Delaware | 0 | 304500 | 0 | 304500 | 304500 | 5.78 % | 23/01/2020 |
| Deerfield Management Company, L.P. | Delaware | 0 | 676667 | 0 | 676667 | 676667 | 9.98 % | 23/01/2020 |
| Deerfield Special Situations Fund, L.P. | Delaware | 0 | 0 | 0 | 0 | 0 | 0 % | 23/01/2020 |
| Deerfield Partners, L.P. | Delaware | 0 | 67667 | 0 | 67667 | 67667 | 1.34 % | 23/01/2020 |
| Deerfield Private Design Fund II, L.P. | Delaware | 0 | 141897 | 0 | 141897 | 141897 | 2.78 % | 23/01/2020 |
| Deerfield Private Design International II, L.P. | British Virgin Islands | 0 | 162603 | 0 | 162603 | 162603 | 3.17 % | 23/01/2020 |
| Deerfield Private Design Fund III, L.P. | Delaware | 0 | 304500 | 0 | 304500 | 304500 | 5.78 % | 23/01/2020 |
| Deerfield Mgmt III, L.P. | Delaware | 0 | 304500 | 0 | 304500 | 304500 | 5.78 % | 23/01/2020 |
| Deerfield Mgmt, L.P. | Delaware | 0 | 372167 | 0 | 372167 | 372167 | 6.97 % | 23/01/2020 |
| AIGH Investment Partners, L.L.C. . | Delaware | 0 | 0 | 0 | 0 | 10 | 0 % | 20/11/2019 |
| AIGH Capital Management, LLC . | Maryland | 460214 | 0 | 460214 | 0 | 460214 | 9.3 % | 20/11/2019 |
| AIGH Capital Management, LLC . | Maryland | 460214 | 0 | 460214 | 0 | 460214 | 9.3 % | 20/11/2019 |
| Orin Hchman . | United States | 460214 | 0 | 460214 | 0 | 460214 | 9.3 % | 20/11/2019 |
| AIGH Investment Partners, L.L.C. . | Delaware | 0 | 0 | 0 | 0 | 10 | 0 % | 20/11/2019 |
| Orin Hchman . | United States | 460214 | 0 | 460214 | 0 | 460214 | 9.3 % | 20/11/2019 |
| HBM Healthcare Investments (Cayman) Ltd. | Cayman Islands, British West Indies | 7000000 | 0 | 7000000 | 0 | 7000000 | 9.9 % | 01/11/2019 |
| UBS Group AG directly and on behalf of certain subsidiaries | Switzerland | 4900534 | 4900534 | 4900534 | 6.99 % | 14/02/2019 | ||
| HBM Healthcare Investments Ltd. | Cayman Islands British West Indies | 3500000 | 0 | 3500000 | 0 | 3500000 | 4.99 % | 14/02/2019 |
| PAI LLC | California | 0 | 0 | 0 | 0 | 9 | 17.18 % | 14/02/2019 |
| Palo Alto Investors LP | California | 0 | 0 | 0 | 0 | 9 | 17.18 % | 14/02/2019 |
| Palo Alto Healthcare Master Fund, L.P. | Cayman Islands | 0 | 0 | 0 | 0 | 9 | 6.7 % | 14/02/2019 |
| Patrick Lee, MD | USA | 0 | 0 | 0 | 0 | 9 | 17.18 % | 14/02/2019 |
| Palo Alto Healthcare Master Fund II, L.P. | Cayman Islands | 0 | 0 | 0 | 0 | 9 | 9.83 % | 14/02/2019 |
| Anthony Joonkyoo Yun, MD | USA | 0 | 0 | 0 | 0 | 9 | 17.18 % | 14/02/2019 |
| Armistice Capital, LLC | Delaware | 0 | 6936000 | 0 | 6936000 | 6936000 | 9.9 % | 14/02/2019 |
| Armistice Capital Master Fund Ltd. | Cayman Islands | 0 | 6936000 | 0 | 6936000 | 6936000 | 9.9 % | 14/02/2019 |
| Steven Boyd | United States America | 0 | 6936000 | 0 | 6936000 | 6936000 | 9.9 % | 14/02/2019 |
| Jon M. Plexico | U.S.A. | 6547774 | 0 | 6547774 | 0 | 6547774 | 9.3 % | 14/02/2019 |
| Timothy P. Lynch | U.S.A. | 6547774 | 0 | 6547774 | 0 | 6547774 | 9.3 % | 14/02/2019 |
| Stonepine Capital Management, LLC | California | 6547774 | 0 | 6547774 | 0 | 6547774 | 9.3 % | 14/02/2019 |
| Stonepine Capital, L.P. | Delaware | 6547774 | 0 | 6547774 | 0 | 6547774 | 9.3 % | 14/02/2019 |
| Timothy P. Lynch | U.S.A. | 6547774 | 0 | 6547774 | 0 | 6547774 | 9.3 % | 14/02/2019 |
| Jon M. Plexico | U.S.A. | 6547774 | 0 | 6547774 | 0 | 6547774 | 9.3 % | 14/02/2019 |
| Stonepine Capital Management, LLC | California | 6547774 | 0 | 6547774 | 0 | 6547774 | 9.3 % | 14/02/2019 |
| Stonepine Capital, L.P. | Delaware | 6547774 | 0 | 6547774 | 0 | 6547774 | 9.3 % | 14/02/2019 |
| Behzad Aghazadeh | United States | 6240000 | 0 | 6240000 | 0 | 6240000 | 8.9 % | 14/02/2019 |
| venBio Select Advisor LLC | Delaware | 6240000 | 0 | 6240000 | 0 | 6240000 | 8.9 % | 14/02/2019 |
| S Deerfield Mgmt, L.P. | Delaware | 0 | 10906717 | 0 | 10906717 | 10906717 | 9.98 % | 12/02/2019 |
| S Deerfield Management Company, L.P. | Delaware | 0 | 16202935 | 0 | 16202935 | 16202935 | 9.98 % | 12/02/2019 |
| S Deerfield Mgmt III, L.P. | Delaware | 0 | 5296218 | 0 | 5296218 | 5296218 | 7.1 % | 12/02/2019 |
| S Deerfield Private Design International II, L.P. | British Virgin Islands | 0 | 2646712 | 0 | 2646712 | 2646712 | 3.65 % | 12/02/2019 |
| S Deerfield Private Design Fund III, L.P. | Delaware | 0 | 5296218 | 0 | 5296218 | 5296218 | 7.1 % | 12/02/2019 |
| S Deerfield Special Situations Fund, L.P. | Delaware | 0 | 5950328 | 0 | 5950328 | 5950328 | 8.37 % | 12/02/2019 |
| S Deerfield Private Design Fund II, L.P. | Delaware | 0 | 2309677 | 0 | 2309677 | 2309677 | 3.2 % | 12/02/2019 |
| S James E. Flynn | United States | 0 | 16202935 | 0 | 16202935 | 16202935 | 9.98 % | 12/02/2019 |
| Palo Alto Investors, LLC | California | 0 | 0 | 0 | 0 | 9 | 17.41 % | 14/02/2018 |
| Palo Alto Healthcare Master Fund II, L.P. | Cayman Islands | 0 | 0 | 0 | 0 | 9 | 9.97 % | 14/02/2018 |
| Patrick Lee, MD | USA | 0 | 0 | 0 | 0 | 9 | 17.41 % | 14/02/2018 |
| Anthony Joonkyoo Yun, MD | USA | 0 | 0 | 0 | 0 | 9 | 17.41 % | 14/02/2018 |
| Palo Alto Healthcare Master Fund, L.P. | Cayman Islands | 0 | 0 | 0 | 0 | 9 | 6.79 % | 14/02/2018 |
| HBM Healthcare Investments Ltd. | Cayman Islands British West Indies | 3500000 | 0 | 3500000 | 0 | 3500000 | 5.06 % | 14/02/2018 |
| S Deerfield Mgmt III, L.P. | Delaware | 0 | 4516031 | 0 | 4516031 | 4516031 | 6.19 % | 14/02/2018 |
| S Deerfield Mgmt, L.P. | Delaware | 0 | 9953155 | 0 | 9953155 | 9953155 | 9.98 % | 14/02/2018 |
| S Deerfield Management Company, L.P. | Delaware | 0 | 14469186 | 0 | 14469186 | 14469186 | 9.98 % | 14/02/2018 |
| S Deerfield Special Situations Fund, L.P. | Delaware | 0 | 5776953 | 0 | 5776953 | 5776953 | 8.25 % | 14/02/2018 |
| S Deerfield Private Design Fund II, L.P. | Delaware | 0 | 1946110 | 0 | 1946110 | 1946110 | 2.74 % | 14/02/2018 |
| S Deerfield Private Design International II, L.P. | British Virgin Islands | 0 | 2230092 | 0 | 2230092 | 2230092 | 3.13 % | 14/02/2018 |
| S Deerfield Private Design Fund III, L.P. | Delaware | 0 | 4516031 | 0 | 4516031 | 4516031 | 6.19 % | 14/02/2018 |
| S James E. Flynn | United States | 0 | 14469186 | 0 | 14469186 | 14469186 | 9.98 % | 14/02/2018 |
| Stonepine Capital, L.P. | Delaware | 3559899 | 0 | 3559899 | 0 | 3559899 | 5.1 % | 13/02/2018 |
| Timothy P. Lynch | U.S.A. | 3559899 | 0 | 3559899 | 0 | 3559899 | 5.1 % | 13/02/2018 |
| Stonepine Capital Management, LLC | California | 3559899 | 0 | 3559899 | 0 | 3559899 | 5.1 % | 13/02/2018 |
| Jon M. Plexico | U.S.A. | 3559899 | 0 | 3559899 | 0 | 3559899 | 5.1 % | 13/02/2018 |
| venBio Select Advisor LLC | Delaware | 6241581 | 0 | 6241581 | 0 | 6241581 | 9 % | 12/02/2018 |
| Behzad Aghazadeh | United States | 6241581 | 0 | 6241581 | 0 | 6241581 | 9 % | 12/02/2018 |
| Armistice Capital, LLC | Delaware | 0 | 6936000 | 0 | 6936000 | 6936000 | 10 % | 09/02/2018 |
| Steven Boyd | United States America | 0 | 6936000 | 0 | 6936000 | 6936000 | 10 % | 09/02/2018 |
| Armistice Capital Master Fund Ltd. | Cayman Islands | 0 | 6936000 | 0 | 6936000 | 6936000 | 10 % | 09/02/2018 |
| Palo Alto Healthcare Master Fund II, L.P. | Cayman Islands | 0 | 6890786 | 0 | 6890786 | 6890786 | 9.98 % | 12/10/2017 |
| Anthony Joonkyoo Yun, MD | U.S.A. | 0 | 12036349 | 0 | 12036349 | 12036349 | 17.43 % | 12/10/2017 |
| Patrick Lee, MD | U.S.A. | 0 | 12036349 | 0 | 12036349 | 12036349 | 17.43 % | 12/10/2017 |
| Palo Alto Investors, LLC | California | 0 | 12036349 | 0 | 12036349 | 12036349 | 17.43 % | 12/10/2017 |
| Palo Alto Healthcare Master Fund, L.P. | Cayman Islands | 0 | 4693255 | 0 | 4693255 | 4693255 | 6.8 % | 12/10/2017 |
| HBM Healthcare Investments | Cayman Islands, British West Indies | 3250000 | 0 | 3250000 | 0 | 3250000 | 5.01 % | 14/02/2017 |
| Dr. Jeffrey R. Jay, M.D. | USA | 0 | 2293675 | 0 | 2293675 | 2293675 | 3.54 % | 14/02/2017 |
| Mr. David Kroin | USA | 0 | 2293675 | 0 | 2293675 | 2293675 | 3.54 % | 14/02/2017 |
| Great Point Partners, LLC | USA | 0 | 2293675 | 0 | 2293675 | 2293675 | 3.54 % | 14/02/2017 |
| Stonepine Capital Management, LLC | California | 4615813 | 0 | 4615813 | 0 | 4615813 | 7.1 % | 14/02/2017 |
| Jon M. Plexico | U.S.A. | 4615813 | 0 | 4615813 | 0 | 4615813 | 7.1 % | 14/02/2017 |
| Stonepine Capital, L.P. | Delaware | 4615813 | 0 | 4615813 | 0 | 4615813 | 7.1 % | 14/02/2017 |
| Timothy P. Lynch | U.S.A. | 4615813 | 0 | 4615813 | 0 | 4615813 | 7.1 % | 14/02/2017 |
| Deerfield Mgmt III, L.P. | Delaware | 0 | 4516031 | 0 | 4516031 | 4516031 | 6.58 % | 14/02/2017 |
| Deerfield Special Situations Fund, L.P. | Delaware | 0 | 5602033 | 0 | 5602033 | 5602033 | 8.53 % | 14/02/2017 |
| Deerfield Private Design Fund II, L.P. | Delaware | 0 | 1946110 | 0 | 1946110 | 1946110 | 2.92 % | 14/02/2017 |
| James E. Flynn | United States | 0 | 14294266 | 0 | 14294266 | 14294266 | 9.985 % | 14/02/2017 |
| Deerfield Private Design Fund III, L.P. | Delaware | 0 | 4516031 | 0 | 4516031 | 4516031 | 6.58 % | 14/02/2017 |
| Deerfield Private Design International II, L.P. | British Virgin Islands | 0 | 2230092 | 0 | 2230092 | 2230092 | 3.33 % | 14/02/2017 |
| Deerfield Mgmt, L.P. | Delaware | 0 | 9778235 | 0 | 9778235 | 9778235 | 9.985 % | 14/02/2017 |
| Deerfield Management Company, L.P. | Delaware | 0 | 14294266 | 0 | 14294266 | 14294266 | 9.985 % | 14/02/2017 |
| venBio Select Advisor LLC | Delaware | 4034488 | 0 | 4034488 | 0 | 4034488 | 6.2 % | 09/02/2017 |
| Behzad Aghazadeh | United States | 4034488 | 0 | 4034488 | 0 | 4034488 | 6.2 % | 09/02/2017 |
| Armistice Capital Master Fund Ltd. | Cayman Islands | 0 | 3358000 | 0 | 3358000 | 3358000 | 5.2 % | 19/01/2017 |
| Armistice Capital, LLC | Delaware | 0 | 3358000 | 0 | 3358000 | 3358000 | 5.2 % | 19/01/2017 |
| Steven Boyd | United States of America | 0 | 3358000 | 0 | 3358000 | 3358000 | 5.2 % | 19/01/2017 |
| Palo Alto Healthcare Master Fund, L.P. | Cayman Islands | 0 | 5736384 | 0 | 5736384 | 5736384 | 8.84 % | 12/01/2017 |
| Palo Alto Investors, LLC | California | 0 | 14743433 | 0 | 14743433 | 14743433 | 22.73 % | 12/01/2017 |
| Palo Alto Healthcare Master Fund II, L.P. | Cayman Islands | 0 | 8457737 | 0 | 8457737 | 8457737 | 13.04 % | 12/01/2017 |
| Patrick Lee, MD | U.S.A. | 0 | 14743433 | 0 | 14743433 | 14743433 | 22.73 % | 12/01/2017 |
| Anthony Joonkyoo Yun, MD | U.S.A. | 0 | 14743433 | 0 | 14743433 | 14743433 | 22.73 % | 12/01/2017 |
| Stonepine Capital, L.P. | Delaware | 3529139 | 0 | 3529139 | 0 | 3529139 | 5.4 % | 17/11/2016 |
| Stonepine Capital Management, LLC | California | 3529139 | 0 | 3529139 | 0 | 3529139 | 5.4 % | 17/11/2016 |
| Mr. David Kroin | USA | 0 | 3245000 | 0 | 3245000 | 3245000 | 5.12 % | 22/08/2016 |
| Great Point Partners, LLC | USA | 0 | 3245000 | 0 | 3245000 | 3245000 | 5.12 % | 22/08/2016 |
| Dr. Jeffrey R. Jay, M.D. | USA | 0 | 3245000 | 0 | 3245000 | 3245000 | 5.12 % | 22/08/2016 |
| Palo Alto Investors, LLC | California | 0 | 14743433 | 0 | 14743433 | 14743433 | 33.1 % | 16/02/2016 |
| Palo Alto Healthcare Master Fund, L.P. | Cayman Islands | 0 | 5736384 | 0 | 5736384 | 5736384 | 12.88 % | 16/02/2016 |
| Palo Alto Healthcare Master Fund II, L.P. | Cayman Islands | 0 | 8457737 | 0 | 8457737 | 8457737 | 18.99 % | 16/02/2016 |
| Palo Alto Healthcare Fund II, L.P. | Cayman Islands | 0 | 7442808 | 0 | 7442808 | 7442808 | 16.71 % | 16/02/2016 |
| Palo Alto Healthcare Fund, L.P. | Cayman Islands | 0 | 4322939 | 0 | 4322939 | 4322939 | 9.7 % | 16/02/2016 |
| Patrick Lee, MD | U.S.A. | 0 | 14743433 | 0 | 14743433 | 14743433 | 33.1 % | 16/02/2016 |
| Anthony Joonkyoo Yun, MD | U.S.A. | 0 | 14743433 | 0 | 14743433 | 14743433 | 33.1 % | 16/02/2016 |
| Dr. Jeffrey R. Jay, M.D. | USA | 0 | 0 | 0 | 0 | 0 | 0 % | 16/02/2016 |
| Great Point Partners, LLC | USA | 0 | 0 | 0 | 0 | 0 | 0 % | 16/02/2016 |
| Mr. David Kroin | USA | 0 | 0 | 0 | 0 | 0 | 0 % | 16/02/2016 |
| Deerfield Mgmt III, L.P. | Delaware | 0 | 4516031 | 0 | 4516031 | 4516031 | 9.34 % | 16/02/2016 |
| Deerfield Mgmt, L.P. | Delaware | 0 | 9778233 | 0 | 9778233 | 9778233 | 11.56 % | 16/02/2016 |
| James E. Flynn | United States | 0 | 14294264 | 0 | 14294264 | 14294264 | 13.2 % | 16/02/2016 |
| Deerfield Private Design Fund III, L.P. | Delaware | 0 | 4516031 | 0 | 4516031 | 4516031 | 9.34 % | 16/02/2016 |
| Deerfield Private Design International II, L.P. | British Virgin Islands | 0 | 2230092 | 0 | 2230092 | 2230092 | 4.79 % | 16/02/2016 |
| Deerfield Private Design Fund II, L.P. | Delaware | 0 | 1946108 | 0 | 1946108 | 1946108 | 4.2 % | 16/02/2016 |
| Deerfield Special Situations Fund, L.P. | Delaware | 0 | 5602033 | 0 | 5602033 | 5602033 | 10.69 % | 16/02/2016 |
| Deerfield Management Company, L.P. | Delaware | 0 | 14294264 | 0 | 14294264 | 14294264 | 13.2 % | 16/02/2016 |
| Deerfield Private Design Fund II, L.P. | Delaware | 0 | 1946108 | 0 | 1946108 | 1946108 | 0.41 % | 13/10/2015 |
| Deerfield Private Design International II, L.P. | British Virgin Islands | 0 | 2230092 | 0 | 2230092 | 2230092 | 0.47 % | 13/10/2015 |
| Deerfield Mgmt, L.P. | Delaware | 0 | 9220714 | 0 | 9220714 | 9220714 | 10.34 % | 13/10/2015 |
| Deerfield Private Design Fund III, L.P. | Delaware | 0 | 3958511 | 0 | 3958511 | 3958511 | 0.39 % | 13/10/2015 |
| Deerfield Mgmt III, L.P. | Delaware | 0 | 3958511 | 0 | 3958511 | 3958511 | 0.39 % | 13/10/2015 |
| Deerfield Management Company, L.P. | Delaware | 0 | 13179225 | 0 | 13179225 | 13179225 | 10.72 % | 13/10/2015 |
| Deerfield Special Situations Fund, L.P. | Delaware | 0 | 5044514 | 0 | 5044514 | 5044514 | 9.46 % | 13/10/2015 |
| Deerfield Special Situations International Master Fund, L.P. | British Virgin Islands | 0 | 0 | 0 | 0 | 0 | 0 % | 13/10/2015 |
| James E. Flynn | United States | 0 | 13179225 | 0 | 13179225 | 13179225 | 10.72 % | 13/10/2015 |
| Palo Alto Healthcare Master Fund, L.P. | Cayman Islands | 0 | 5736262 | 0 | 5736262 | 5736262 | 12.95 % | 17/02/2015 |
| Palo Alto Healthcare Fund II, L.P. | Cayman Islands | 0 | 6172025 | 0 | 6172025 | 6172025 | 13.93 % | 17/02/2015 |
| Palo Alto Healthcare Master Fund II, L.P. | Cayman Islands | 0 | 6172025 | 0 | 6172025 | 6172025 | 19.09 % | 17/02/2015 |
| Palo Alto Healthcare Fund, L.P. | Cayman Islands | 0 | 5008787 | 0 | 5008787 | 5008787 | 11.31 % | 17/02/2015 |
| Patrick Lee, MD | U.S.A. | 0 | 14743116 | 0 | 14743116 | 14743116 | 33.28 % | 17/02/2015 |
| Anthony Joonkyoo Yun, MD | U.S.A. | 0 | 14743116 | 0 | 14743116 | 14743116 | 33.28 % | 17/02/2015 |
| Palo Alto Investors, LLC | California | 0 | 14743116 | 0 | 14743116 | 14743116 | 33.28 % | 17/02/2015 |
| Mr. David Kroin | USA | 0 | 2619853 | 0 | 2619853 | 2619853 | 5.91 % | 17/02/2015 |
| Dr. Jeffrey R. Jay, M.D. | USA | 0 | 2619853 | 0 | 2619853 | 2619853 | 5.91 % | 17/02/2015 |
| Great Point Partners, LLC | USA | 0 | 2619853 | 0 | 2619853 | 2619853 | 5.91 % | 17/02/2015 |
| Deerfield Private Design Fund II, L.P. | Delaware | 0 | 1946110 | 0 | 1946110 | 1946110 | 4.23 % | 17/02/2015 |
| Deerfield Private Design International II, L.P. | British Virgin Islands | 0 | 2230092 | 0 | 2230092 | 2230092 | 4.81 % | 17/02/2015 |
| Deerfield Private Design Fund III, L.P. | Delaware | 0 | 3787313 | 0 | 3787313 | 3787313 | 7.88 % | 17/02/2015 |
| James E. Flynn | United States | 0 | 12462452 | 0 | 12462452 | 12462452 | 9.98 % | 17/02/2015 |
| Deerfield Mgmt, L.P. | Delaware | 0 | 8675139 | 0 | 8675139 | 8675139 | 9.98 % | 17/02/2015 |
| Deerfield Special Situations International Master Fund, L.P. | British Virgin Islands | 0 | 2042248 | 0 | 2042248 | 2042248 | 4.57 % | 17/02/2015 |
| Deerfield Special Situations Fund, L.P. | Delaware | 0 | 2456689 | 0 | 2456689 | 2456689 | 5.49 % | 17/02/2015 |
| Deerfield Management Company, L.P. | Delaware | 0 | 12462452 | 0 | 12462452 | 12462452 | 9.98 % | 17/02/2015 |
| Deerfield Mgmt III, L.P. | Delaware | 0 | 3787313 | 0 | 3787313 | 3787313 | 7.88 % | 17/02/2015 |
| North Run Capital, LP | Delaware | 0 | 2125730 | 0 | 2125730 | 2125730 | 4.8 % | 13/02/2015 |
| Thomas B. Ellis | United States | 0 | 2125730 | 0 | 2125730 | 2125730 | 4.8 % | 13/02/2015 |
| Todd B. Hammer | United States | 0 | 2125730 | 0 | 2125730 | 2125730 | 4.8 % | 13/02/2015 |
| North Run Advisors, LLC | Delaware | 0 | 2125730 | 0 | 2125730 | 2125730 | 4.8 % | 13/02/2015 |
| S : Columbia Wanger Asset Management, LLC | Delaware | 0 | 0 | 0 | 0 | 10 | 5 % | 10/02/2015 |
| Deerfield Special Situations International Master Fund, L.P. | British Virgin Islands | 0 | 912599 | 0 | 912599 | 912599 | 2.12 % | 17/10/2014 |
| James E. Flynn | United States | 0 | 2399024 | 0 | 2399024 | 2399024 | 5.58 % | 17/10/2014 |
| Deerfield Mgmt, L.P. | Delaware | 0 | 2399024 | 0 | 2399024 | 2399024 | 5.58 % | 17/10/2014 |
| Deerfield Management Company, L.P. | Delaware | 0 | 2399024 | 0 | 2399024 | 2399024 | 5.58 % | 17/10/2014 |
| Deerfield Special Situations Fund, L.P. | Delaware | 0 | 1097536 | 0 | 1097536 | 1097536 | 2.55 % | 17/10/2014 |
| Deerfield Private Design International II, L.P. | British Virgin Islands | 0 | 207667 | 0 | 207667 | 207667 | 0.48 % | 17/10/2014 |
| Deerfield Private Design Fund II, L.P. | Delaware | 0 | 181222 | 0 | 181222 | 181222 | 0.42 % | 17/10/2014 |
| Mr. David Kroin | USA | 0 | 2468662 | 0 | 2468662 | 2468662 | 6.11 % | 25/09/2014 |
| Great Point Partners, LLC | USA | 0 | 2468662 | 0 | 2468662 | 2468662 | 6.11 % | 25/09/2014 |
| Dr. Jeffrey R. Jay, M.D. | USA | 0 | 2468662 | 0 | 2468662 | 2468662 | 6.11 % | 25/09/2014 |
| Anthony Joonkyoo Yun, MD | U.S.A. | 0 | 15364307 | 0 | 15364307 | 15364307 | 35.5 % | 14/02/2014 |
| Palo Alto Healthcare Fund, L.P. | Cayman Islands | 0 | 4998471 | 0 | 4998471 | 4998471 | 11.5 % | 14/02/2014 |
| Palo Alto Healthcare Master Fund, L.P. | Cayman Islands | 0 | 5736262 | 0 | 5736262 | 5736262 | 13.2 % | 14/02/2014 |
| Patrick Lee, MD | U.S.A. | 0 | 15364307 | 0 | 15364307 | 15364307 | 35.5 % | 14/02/2014 |
| Palo Alto Healthcare Fund II, L.P. | Cayman Islands | 0 | 6175058 | 0 | 6175058 | 6175058 | 14.3 % | 14/02/2014 |
| Palo Alto Healthcare Master Fund II, L.P. | Cayman Islands | 0 | 8457553 | 0 | 8457553 | 8457553 | 19.5 % | 14/02/2014 |
| Palo Alto Investors, LLC | California | 0 | 15364307 | 0 | 15364307 | 15364307 | 35.5 % | 14/02/2014 |
| Columbia Acorn Fund | Massachusetts | 2040000 | 0 | 2040000 | 0 | 2040000 | 6.4 % | 06/02/2014 |
| Columbia Wanger Asset Management, LLC | Delaware | 2646280 | 0 | 3016280 | 0 | 3016280 | 9.5 % | 06/02/2014 |
| Palo Alto Investors, LLC | California | 0 | 13508402 | 0 | 13508402 | 13508402 | 32.7 % | 11/10/2012 |
| William Leland Edwards | U.S.A. | 0 | 13508402 | 0 | 13508402 | 13508402 | 32.7 % | 11/10/2012 |
| Palo Alto Investors, Inc. | California | 0 | 13508402 | 0 | 13508402 | 13508402 | 32.7 % | 11/10/2012 |
| Anthony Joonkyoo Yun, MD | U.S.A. | 0 | 13508402 | 0 | 13508402 | 13508402 | 32.7 % | 11/10/2012 |
| Palo Alto Healthcare Fund II, L.P. | Delaware | 0 | 5891129 | 0 | 5891129 | 5891129 | 15.9 % | 11/10/2012 |
| Palo Alto Healthcare Fund, L.P. | Delaware | 0 | 4397999 | 0 | 4397999 | 4397999 | 12.4 % | 11/10/2012 |
| Palo Alto Healthcare Master Fund II, L.P. | Cayman Islands | 0 | 7383293 | 0 | 7383293 | 7383293 | 19.9 % | 11/10/2012 |
| Palo Alto Healthcare Master Fund, L.P. | Cayman Islands | 0 | 5021120 | 0 | 5021120 | 5021120 | 14.2 % | 11/10/2012 |
| Scott D. Sandell | United States citizen | 2681250 | 0 | 2681250 | 2681250 | 7.9 % | 27/07/2012 | |
| Peter W. Sonsini | United States citizen | 2681250 | 0 | 2681250 | 2681250 | 7.9 % | 27/07/2012 | |
| Peter J. Barris | United States citizen | 2681250 | 0 | 2681250 | 2681250 | 7.9 % | 27/07/2012 | |
| Harry R. Weller | United States citizen | 2681250 | 0 | 2681250 | 2681250 | 7.9 % | 27/07/2012 | |
| Ravi Viswanathan | United States citizen | 2681250 | 0 | 2681250 | 2681250 | 7.9 % | 27/07/2012 | |
| Patrick J. Kerins | United States citizen | 2681250 | 0 | 2681250 | 2681250 | 7.9 % | 27/07/2012 | |
| Growth Equity Opportunities Fund III, LLC | Delaware | 2681250 | 0 | 2681250 | 2681250 | 7.9 % | 27/07/2012 | |
| New Enterprise Associates 14, L.P. | Cayman Islands Exempted | 2681250 | 0 | 2681250 | 2681250 | 7.9 % | 27/07/2012 | |
| NEA Partners 14, L.P. | Cayman Islands Exempted | 2681250 | 0 | 2681250 | 2681250 | 7.9 % | 27/07/2012 | |
| Forest Baskett | United States citizen | 2681250 | 0 | 2681250 | 2681250 | 7.9 % | 27/07/2012 | |
| Ryan D. Drant | United States citizen | 2681250 | 0 | 2681250 | 2681250 | 7.9 % | 27/07/2012 | |
| Anthony A. Florence, Jr. | United States citizen | 2681250 | 0 | 2681250 | 2681250 | 7.9 % | 27/07/2012 | |
| Michael James Barrett | United States citizen | 2681250 | 0 | 2681250 | 2681250 | 7.9 % | 27/07/2012 | |
| Krishna S. Kolluri | United States citizen | 2681250 | 0 | 2681250 | 2681250 | 7.9 % | 27/07/2012 | |
| David M. Mott | United States citizen | 2681250 | 0 | 2681250 | 2681250 | 7.9 % | 27/07/2012 | |
| William Leland Edwards | USA | 0 | 3206272 | 0 | 3206272 | 3206272 | 10.2 % | 05/04/2012 |
| Anthony Joonkyoo Yun, MD | USA | 0 | 3206272 | 0 | 3206272 | 3206272 | 10.2 % | 05/04/2012 |
| Palo Alto Investors, Inc. | California | 0 | 3206272 | 0 | 3206272 | 3206272 | 10.2 % | 05/04/2012 |
| Palo Alto Investors, LLC | California | 0 | 3206272 | 0 | 3206272 | 3206272 | 10.2 % | 05/04/2012 |
| Palo Alto Healthcare Master Fund II, L.P. | Cayman Islands | 0 | 1574300 | 0 | 1574300 | 1574300 | 5 % | 05/04/2012 |
| S : Columbia Wanger Asset Management, LLC | Delaware | 2332580 | 0 | 2513680 | 0 | 2513680 | 7.9 % | 10/02/2012 |