Alpine Immune Sciences, Inc. ALPN
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 |
|---|---|---|---|---|---|---|---|---|
| (1) BlackRock, Inc. | Delaware | 3008066 | 0 | 3058498 | 0 | 3058498 | 5.3 % | 02/02/2024 |
| Cormorant Asset Management, LP | Delaware | 0 | 2850000 | 0 | 2850000 | 2850000 | 5.79 % | 23/10/2023 |
| Cormorant Global Healthcare GP, LLC | Delaware | 0 | 2850000 | 0 | 2850000 | 2850000 | 5.79 % | 23/10/2023 |
| Cormorant Asset Management, LP | Delaware | 0 | 2850000 | 0 | 2850000 | 2850000 | 5.79 % | 23/10/2023 |
| Bihua Chen | Delaware | 0 | 2850000 | 0 | 2850000 | 2850000 | 5.79 % | 23/10/2023 |
| Cormorant Global Healthcare Master Fund, LP | Delaware | 0 | 2850000 | 0 | 2850000 | 2850000 | 5.79 % | 23/10/2023 |
| Cormorant Global Healthcare Master Fund, LP | Cayman Islands | 0 | 2850000 | 0 | 2850000 | 2850000 | 5.79 % | 23/10/2023 |
| Cormorant Global Healthcare GP, LLC | Delaware | 0 | 2850000 | 0 | 2850000 | 2850000 | 5.79 % | 23/10/2023 |
| Bihua Chen | United States | 0 | 2850000 | 0 | 2850000 | 2850000 | 5.79 % | 23/10/2023 |
| Paradigm BioCapital Advisors LP | Cayman Islands | 1554920 | 0 | 1554920 | 0 | 2214722 | 5.03 % | 03/10/2022 |
| Rajeev Shah | Delaware | 0 | 4356632 | 0 | 0 | 4356632 | 9.91 % | 03/10/2022 |
| RA Capital Management, L.P. | Delaware | 0 | 4356632 | 0 | 0 | 4356632 | 9.91 % | 03/10/2022 |
| RA Capital Healthcare Fund, L.P. | Delaware | 0 | 4356632 | 0 | 0 | 4356632 | 9.91 % | 03/10/2022 |
| RA Capital Management, L.P. | Delaware | 0 | 4356632 | 0 | 0 | 4356632 | 9.91 % | 03/10/2022 |
| Peter Kolchinsky | Delaware | 0 | 4356632 | 0 | 0 | 4356632 | 9.91 % | 03/10/2022 |
| Rajeev Shah | Delaware | 0 | 4356632 | 0 | 0 | 4356632 | 9.91 % | 03/10/2022 |
| RA Capital Healthcare Fund, L.P. | Delaware | 0 | 4356632 | 0 | 0 | 4356632 | 9.91 % | 03/10/2022 |
| Peter Kolchinsky | Delaware | 0 | 4356632 | 0 | 0 | 4356632 | 9.91 % | 03/10/2022 |
| Dr. Jeffrey R. Jay, M.D. | Delaware | 0 | 3448521 | 0 | 0 | 3448521 | 7.85 % | 30/09/2022 |
| Dr. Jeffrey R. Jay, M.D. | USA | 0 | 3448521 | 0 | 0 | 3448521 | 7.85 % | 30/09/2022 |
| Mr. Ortav Yehudai | USA | 0 | 3448521 | 0 | 0 | 3448521 | 7.85 % | 30/09/2022 |
| Mr. Ortav Yehudai | Delaware | 0 | 3448521 | 0 | 0 | 3448521 | 7.85 % | 30/09/2022 |
| Great Point Partners, LLC | Delaware | 0 | 3448521 | 0 | 0 | 3448521 | 7.85 % | 30/09/2022 |
| Great Point Partners, LLC | Delaware | 0 | 3448521 | 0 | 0 | 3448521 | 7.85 % | 30/09/2022 |
| Jay Venkatesan | 388042 | 2675421 | 388042 | 2675421 | 3063463 | 6.9 % | 27/09/2022 | |
| Mitchell H. Gold | 1230169 | 2675421 | 1230169 | 2675421 | 3905590 | 8.6 % | 27/09/2022 | |
| Alpine Immunosciences, L.P. | 0 | 2675421 | 0 | 2675421 | 2675421 | 6.1 % | 27/09/2022 | |
| Alpine BioVentures, GP, LLC | 0 | 2675421 | 0 | 2675421 | 2675421 | 6.1 % | 27/09/2022 | |
| Weston Nichols | Delaware | 0 | 1537345 | 0 | 0 | 1537345 | 5.1 % | 22/04/2022 |
| Lynx1 Capital Management LP | Delaware | 0 | 1537345 | 0 | 0 | 1537345 | 5.1 % | 22/04/2022 |
| Lynx1 Capital Management LP | Delaware | 0 | 1537345 | 0 | 0 | 1537345 | 5.1 % | 22/04/2022 |
| Weston Nichols | Delaware | 0 | 1537345 | 0 | 0 | 1537345 | 5.1 % | 22/04/2022 |
| James Brush | 0 | 1501642 | 0 | 1501642 | 1501642 | 5.1 % | 15/02/2022 | |
| FHMLSP, L.P. | 0 | 1501642 | 0 | 1501642 | 1501642 | 5.1 % | 15/02/2022 | |
| Frazier Life Sciences VIII, L.P. | 0 | 1629366 | 0 | 1629366 | 1629366 | 5.5 % | 15/02/2022 | |
| FHM Life Sciences VIII, L.P. | 0 | 1629366 | 0 | 1629366 | 1629366 | 5.5 % | 15/02/2022 | |
| FHM Life Sciences VIII, L.L.C. | 0 | 1629366 | 0 | 1629366 | 1629366 | 5.5 % | 15/02/2022 | |
| Frazier Life Sciences Public Fund L.P. | 0 | 1501642 | 0 | 1501642 | 1501642 | 5.1 % | 15/02/2022 | |
| FHMLSP, L.L.C. | 0 | 1501642 | 0 | 1501642 | 1501642 | 5.1 % | 15/02/2022 | |
| James N. Topper | 33100 | 3131008 | 33100 | 3131008 | 3164108 | 10.8 % | 15/02/2022 | |
| Patrick J. Heron | 0 | 3131008 | 0 | 3131008 | 3131008 | 10.7 % | 15/02/2022 | |
| Albert Cha | 0 | 1501642 | 0 | 1501642 | 1501642 | 5.1 % | 15/02/2022 | |
| Omega Fund VI GP Manager, Ltd. | 0 | 2415050 | 0 | 2415050 | 2415050 | 8.2 % | 14/02/2022 | |
| Omega Fund VI GP, L.P. | 0 | 2415050 | 0 | 2415050 | 2415050 | 8.2 % | 14/02/2022 | |
| Omega Fund VI, L.P. | 0 | 2415050 | 0 | 2415050 | 2415050 | 8.2 % | 14/02/2022 | |
| Otello Stampacchia | 0 | 2415050 | 0 | 2415050 | 2415050 | 8.2 % | 14/02/2022 | |
| Anne-Mari Paster | 0 | 2415050 | 0 | 2415050 | 2415050 | 8.2 % | 14/02/2022 | |
| Claudio Nessi | 0 | 2415050 | 0 | 2415050 | 2415050 | 8.2 % | 14/02/2022 | |
| Decheng Capital Management III (Cayman), LLC | 4708288 | 0 | 4708288 | 0 | 4708288 | 16.11 % | 14/02/2022 | |
| Decheng Capital Management III (Cayman), LLC | 4708288 | 0 | 4708288 | 0 | 4708288 | 16.11 % | 14/02/2022 | |
| Avidity Partners Management (GP) LLC | 0 | 2205687 | 0 | 2205687 | 2205687 | 7.3 % | 11/02/2022 | |
| Avidity Master Fund LP | 0 | 1773592 | 0 | 1773592 | 1773592 | 5.9 % | 11/02/2022 | |
| David Witzke | 0 | 2205687 | 0 | 2205687 | 2205687 | 7.3 % | 11/02/2022 | |
| Michael Gregory | 0 | 2205687 | 0 | 2205687 | 2205687 | 7.3 % | 11/02/2022 | |
| Avidity Partners Management LP | 0 | 2205687 | 0 | 2205687 | 2205687 | 7.3 % | 11/02/2022 | |
| Avidity Capital Partners Fund (GP) LP | 0 | 2205687 | 0 | 2205687 | 2205687 | 7.3 % | 11/02/2022 | |
| Avidity Capital Partners (GP) LLC | 0 | 2205687 | 0 | 2205687 | 2205687 | 7.3 % | 11/02/2022 | |
| Decheng Capital Management III (Cayman), LLC | 0 | 5942924 | 0 | 5942924 | 5942924 | 19.5 % | 21/09/2021 | |
| L.P. | 0 | 5942924 | 0 | 5942924 | 5942924 | 19.5 % | 21/09/2021 | |
| Xiangmin Cui | 21037 | 5942924 | 21037 | 5942924 | 5963961 | 19.6 % | 21/09/2021 | |
| David Witzke | United States America | 0 | 1470390 | 0 | 1470390 | 1470390 | 6.2 % | 16/02/2021 |
| Avidity Capital Partners Fund (GP) LP | United States America | 0 | 1470390 | 0 | 1470390 | 1470390 | 6.2 % | 16/02/2021 |
| Michael Gregory | United States America | 0 | 1470390 | 0 | 1470390 | 1470390 | 6.2 % | 16/02/2021 |
| Avidity Partners Management LP | United States America | 0 | 1470390 | 0 | 1470390 | 1470390 | 6.2 % | 16/02/2021 |
| Avidity Capital Partners (GP) LLC | United States America | 0 | 1470390 | 0 | 1470390 | 1470390 | 6.2 % | 16/02/2021 |
| Avidity Master Fund LP | United States America | 0 | 1312916 | 0 | 1312916 | 1312916 | 5.5 % | 16/02/2021 |
| Avidity Partners Management (GP) LLC | United States America | 0 | 1470390 | 0 | 1470390 | 1470390 | 6.2 % | 16/02/2021 |
| OrbiMed Advisors LLC | Delaware | 0 | 3216206 | 0 | 10 | 3216206 | 13.4 % | 30/12/2020 |
| OrbiMed Capital GP VI LLC | Delaware | 0 | 3216206 | 0 | 10 | 3216206 | 13.4 % | 30/12/2020 |
| I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) | Delaware | 0 | 1337413 | 0 | 1337413 | 1337413 | 5.62 % | 23/12/2020 |
| I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) | Delaware | 0 | 1337413 | 0 | 1337413 | 1337413 | 5.64 % | 23/12/2020 |
| I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) | Delaware | 0 | 1337413 | 0 | 1337413 | 1337413 | 5.66 % | 23/12/2020 |
| David Witzke | Delaware | 0 | 1337413 | 0 | 1337413 | 1337413 | 5.6 % | 23/12/2020 |
| Avidity Partners Management (GP) LLC | Delaware | 0 | 1337413 | 0 | 1337413 | 1337413 | 5.6 % | 23/12/2020 |
| Avidity Partners Management LP | Delaware | 0 | 1337413 | 0 | 1337413 | 1337413 | 5.6 % | 23/12/2020 |
| I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) | Delaware | 0 | 1337413 | 0 | 1337413 | 1211485 | 5.15 % | 23/12/2020 |
| I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) | Delaware | 0 | 1337413 | 0 | 1337413 | 1337413 | 5.63 % | 23/12/2020 |
| I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) | Delaware | 0 | 1337413 | 0 | 1337413 | 1337413 | 5.67 % | 23/12/2020 |
| Michael Gregory | Delaware | 0 | 1337413 | 0 | 1337413 | 1337413 | 5.6 % | 23/12/2020 |
| Avidity Master Fund LP | Delaware | 0 | 1211485 | 0 | 1211485 | 1211485 | 5.1 % | 23/12/2020 |
| Avidity Capital Partners Fund (GP) LP | Delaware | 0 | 1337413 | 0 | 1337413 | 1337413 | 5.6 % | 23/12/2020 |
| Avidity Capital Partners (GP) LLC | Delaware | 0 | 1337413 | 0 | 1337413 | 1337413 | 5.6 % | 23/12/2020 |
| I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) | Delaware | 0 | 1337413 | 0 | 1337413 | 1337413 | 5.61 % | 23/12/2020 |
| Mitchell H. Gold | 1137187 | 3075421 | 1137187 | 3075421 | 4212608 | 17.1 % | 22/12/2020 | |
| Alpine BioVentures, GP, LLC | 0 | 3075421 | 0 | 3075421 | 3075421 | 12.9 % | 22/12/2020 | |
| Alpine Immunosciences, L.P. | 0 | 3075421 | 0 | 3075421 | 3075421 | 12.9 % | 22/12/2020 | |
| Jay Venkatesan | 327396 | 3112687 | 327396 | 3112687 | 3440083 | 14.3 % | 22/12/2020 | |
| of 11 Pages | Cayman Islands | 0 | 1670370 | 0 | 1670370 | 1670370 | 6.9 % | 06/08/2020 |
| of 11 Pages | Cayman Islands | 0 | 1670370 | 0 | 1670370 | 1670370 | 6.9 % | 06/08/2020 |
| of 11 Pages | Cayman Islands | 0 | 1670370 | 0 | 1670370 | 1670370 | 6.9 % | 06/08/2020 |
| of 11 Pages | Cayman Islands | 0 | 1670370 | 0 | 1670370 | 1670370 | 6.9 % | 06/08/2020 |
| of 11 Pages | Cayman Islands | 0 | 1670370 | 0 | 1670370 | 1670370 | 6.9 % | 06/08/2020 |
| of 11 Pages | Cayman Islands | 0 | 1670370 | 0 | 1670370 | 1670370 | 6.9 % | 06/08/2020 |
| of 11 Pages | Cayman Islands | 0 | 1670370 | 0 | 1670370 | 1670370 | 6.9 % | 06/08/2020 |
| of 11 Pages | Cayman Islands | 0 | 1670370 | 0 | 1670370 | 1670370 | 6.9 % | 06/08/2020 |
| of 11 Pages | Cayman Islands | 0 | 1670370 | 0 | 1670370 | 1670370 | 6.9 % | 06/08/2020 |
| of 11 Pages | Cayman Islands | 0 | 1670370 | 0 | 1670370 | 1670370 | 6.9 % | 06/08/2020 |
| of 11 Pages | Cayman Islands | 0 | 1670370 | 0 | 1670370 | 1670370 | 6.9 % | 06/08/2020 |
| of 11 Pages | Cayman Islands | 0 | 1670370 | 0 | 1670370 | 1670370 | 6.9 % | 06/08/2020 |
| James Topper | 20400 | 2716701 | 20400 | 11 | 2737101 | 11.5 % | 30/07/2020 | |
| FHM Life Sciences VIII, L.L.C. | 0 | 2716701 | 0 | 11 | 2716701 | 11.4 % | 30/07/2020 | |
| FHM Life Sciences VIII, L.P. | 0 | 2716701 | 0 | 11 | 2716701 | 11.4 % | 30/07/2020 | |
| Frazier Life Sciences VIII, L.P. | 0 | 2716701 | 0 | 11 | 2716701 | 11.4 % | 30/07/2020 | |
| Patrick J. Heron | 0 | 2716701 | 0 | 11 | 2716701 | 11.4 % | 30/07/2020 | |
| OrbiMed Capital GP VI LLC | Delaware | 0 | 3816206 | 0 | 10 | 3816206 | 16 % | 30/07/2020 |
| OrbiMed Advisors LLC | Delaware | 0 | 3816206 | 0 | 10 | 3816206 | 16 % | 30/07/2020 |
| BVF Partners OS Ltd. | 0 | 0 | 0 | 83002 | 83002 | 1 % | 14/02/2020 | |
| BVF GP HOLDINGS LLC | 0 | 0 | 0 | 1032499 | 1032499 | 5.6 % | 14/02/2020 | |
| BVF Partners L.P. | 0 | 0 | 0 | 1137764 | 1137764 | 6.1 % | 14/02/2020 | |
| BVF Inc. | 0 | 0 | 0 | 1137764 | 1137764 | 6.1 % | 14/02/2020 | |
| Biotechnology Value Fund, L.P. | 0 | 0 | 0 | 571646 | 571646 | 3.1 % | 14/02/2020 | |
| BVF I GP LLC | 0 | 0 | 0 | 571646 | 571646 | 3.1 % | 14/02/2020 | |
| Biotechnology Value Fund II, L.P. | 0 | 0 | 0 | 460853 | 460853 | 2.5 % | 14/02/2020 | |
| BVF II GP LLC | 0 | 0 | 0 | 460853 | 460853 | 2.5 % | 14/02/2020 | |
| Biotechnology Value Trading Fund OS LP | 0 | 0 | 0 | 83002 | 83002 | 1 % | 14/02/2020 | |
| Mark N. Lampert | 0 | 0 | 0 | 1137764 | 1137764 | 6.1 % | 14/02/2020 | |
| Biotechnology Value Fund, L.P. | Delaware | 0 | 0 | 0 | 584078 | 584078 | 3.1 % | 28/01/2019 |
| Biotechnology Value Trading Fund OS LP | Delaware | 0 | 0 | 0 | 84524 | 84524 | 1 % | 28/01/2019 |
| BVF Partners OS Ltd. | Delaware | 0 | 0 | 0 | 84524 | 84524 | 1 % | 28/01/2019 |
| BVF Partners L.P. | Delaware | 0 | 0 | 0 | 1201718 | 1201718 | 6.5 % | 28/01/2019 |
| BVF Inc. | Delaware | 0 | 0 | 0 | 1201718 | 1201718 | 6.5 % | 28/01/2019 |
| Mark N. Lampert | Delaware | 0 | 0 | 0 | 1201718 | 1201718 | 6.5 % | 28/01/2019 |
| Biotechnology Value Fund II, L.P. | Delaware | 0 | 0 | 0 | 460853 | 460853 | 2.5 % | 28/01/2019 |
| Mark N. Lampert | Delaware | 0 | 0 | 0 | 1201718 | 1201718 | 6.5 % | 28/01/2019 |
| BVF Inc. | Delaware | 0 | 0 | 0 | 1201718 | 1201718 | 6.5 % | 28/01/2019 |
| BVF Partners L.P. | Delaware | 0 | 0 | 0 | 1201718 | 1201718 | 6.5 % | 28/01/2019 |
| BVF Partners OS Ltd. | Delaware | 0 | 0 | 0 | 84524 | 84524 | 1 % | 28/01/2019 |
| Biotechnology Value Trading Fund OS LP | Delaware | 0 | 0 | 0 | 84524 | 84524 | 1 % | 28/01/2019 |
| Biotechnology Value Fund II, L.P. | Delaware | 0 | 0 | 0 | 460853 | 460853 | 2.5 % | 28/01/2019 |
| Biotechnology Value Fund, L.P. | Delaware | 0 | 0 | 0 | 584078 | 584078 | 3.1 % | 28/01/2019 |
| Decheng Capital Management III (Cayman), LLC | Cayman Islands | 0 | 3845952 | 0 | 3845952 | 3845952 | 19.9 % | 24/01/2019 |
| Xiangmin Cui | United States | 637 | 3845952 | 637 | 3845952 | 3846589 | 19.9 % | 24/01/2019 |
| Decheng Capital China Life Sciences USD Fund III, L.P. | Cayman Islands | 0 | 3845952 | 0 | 3845952 | 3845952 | 19.9 % | 24/01/2019 |
| OrbiMed Advisors LLC | Delaware | 0 | 3816206 | 0 | 10 | 3816206 | 20.4 % | 23/01/2019 |
| OrbiMed Capital GP VI LLC | Delaware | 0 | 3816206 | 0 | 10 | 3816206 | 20.4 % | 23/01/2019 |
| OrbiMed Advisors LLC | Delaware | 0 | 3298516 | 0 | 10 | 3298516 | 23.76 % | 26/01/2018 |
| OrbiMed Capital GP VI LLC | Delaware | 0 | 3298516 | 0 | 10 | 3298516 | 23.76 % | 26/01/2018 |
| Deerfield Private Design Fund II, L.P. | Delaware | 0 | 181560 | 0 | 10 | 181560 | 1.31 % | 22/08/2017 |
| Deerfield Private Design International II, L.P. | British Virgin Islands | 0 | 208053 | 0 | 10 | 208053 | 1.5 % | 22/08/2017 |
| Deerfield Private Design Fund, L.P. | Delaware | 0 | 100515 | 0 | 10 | 100515 | 0.72 % | 22/08/2017 |
| L.P. | Delaware | 0 | 933100 | 0 | 10 | 933100 | 6.72 % | 22/08/2017 |
| Deerfield Management Company, L.P. | Delaware | 0 | 936175 | 0 | 10 | 936175 | 6.74 % | 22/08/2017 |
| Situations Fund, L.P. | Delaware | 0 | 281184 | 0 | 10 | 281184 | 2.03 % | 22/08/2017 |
| James E. Flynn | United States of America | 0 | 936175 | 0 | 10 | 936175 | 6.74 % | 22/08/2017 |
| Deerfield Private Design International, L.P. | British Virgin Islands | 0 | 161788 | 0 | 10 | 161788 | 1.17 % | 22/08/2017 |
| Samuel D. Isaly | United States | 0 | 3298516 | 0 | 10 | 3298516 | 23.76 % | 03/08/2017 |
| OrbiMed Capital GP VI LLC | Delaware | 0 | 3298516 | 0 | 10 | 3298516 | 23.76 % | 03/08/2017 |
| OrbiMed Advisors LLC | Delaware | 0 | 3298516 | 0 | 10 | 3298516 | 23.76 % | 03/08/2017 |
| Deerfield Management Company, L.P. | Delaware | 0 | 936175 | 0 | 10 | 936175 | 6.74 % | 28/07/2017 |
| Deerfield Private Design International II, L.P. | British Virgin Islands | 0 | 208053 | 0 | 10 | 208053 | 1.5 % | 28/07/2017 |
| Deerfield Private Design Fund II, L.P. | Delaware | 0 | 181560 | 0 | 10 | 181560 | 1.31 % | 28/07/2017 |
| Deerfield Private Design International, L.P. | British Virgin Islands | 0 | 161788 | 0 | 10 | 161788 | 1.17 % | 28/07/2017 |
| Deerfield Private Design Fund, L.P. | Delaware | 0 | 100515 | 0 | 10 | 100515 | 0.72 % | 28/07/2017 |
| Situations Fund, L.P. | Delaware | 0 | 281184 | 0 | 10 | 281184 | 2.03 % | 28/07/2017 |
| James E. Flynn | United States of America | 0 | 936175 | 0 | 10 | 936175 | 6.74 % | 28/07/2017 |
| L.P. | Delaware | 0 | 933100 | 0 | 10 | 933100 | 6.72 % | 28/07/2017 |
| BVF Partners L.P. | Delaware | 0 | 0 | 0 | 661200 | 661200 | 4.8 % | 27/07/2017 |
| Biotechnology Value Fund, L.P. | Delaware | 0 | 0 | 0 | 277314 | 277314 | 2 % | 27/07/2017 |
| Biotechnology Value Fund II, L.P. | Delaware | 0 | 0 | 0 | 179272 | 179272 | 1.3 % | 27/07/2017 |
| Biotechnology Value Trading Fund OS LP | Delaware | 0 | 0 | 0 | 50452 | 50452 | 1 % | 27/07/2017 |
| BVF Partners OS Ltd. | Delaware | 0 | 0 | 0 | 50452 | 50452 | 1 % | 27/07/2017 |
| BVF Inc. | Delaware | 0 | 0 | 0 | 661200 | 661200 | 4.8 % | 27/07/2017 |
| Mark N. Lampert | Delaware | 0 | 0 | 0 | 661200 | 661200 | 4.8 % | 27/07/2017 |
| Wellington Management Group LLP | Massachusetts | 0 | 0 | 0 | 0 | 0 | 0 % | 10/02/2017 |
| Wellington Management Group LLP | Massachusetts | 0 | 1180531 | 0 | 0 | 1272256 | 8.19 % | 09/02/2017 |
| Wellington Group Holdings LLP | Delaware | 0 | 1180531 | 0 | 0 | 1272256 | 8.19 % | 09/02/2017 |
| Wellington Investment Advisors Holdings LLP | Delaware | 0 | 1180531 | 0 | 0 | 1272256 | 8.19 % | 09/02/2017 |
| Wellington Management Company LLP | Delaware | 0 | 1155991 | 0 | 0 | 1213291 | 7.81 % | 09/02/2017 |
| Mark N. Lampert | Delaware | 0 | 1546743 | 0 | 0 | 1546743 | 10 % | 22/03/2016 |
| BVF Partners L.P. | Delaware | 0 | 1546743 | 0 | 0 | 1546743 | 10 % | 22/03/2016 |
| BVF Partners OS Ltd. | Delaware | 0 | 134133 | 0 | 0 | 134133 | 1 % | 22/03/2016 |
| Biotechnology Value Trading Fund OS LP | Delaware | 0 | 134133 | 0 | 0 | 134133 | 1 % | 22/03/2016 |
| Biotechnology Value Fund, L.P. | Delaware | 0 | 671798 | 0 | 0 | 671798 | 4.3 % | 22/03/2016 |
| Biotechnology Value Fund II, L.P. | Delaware | 0 | 417486 | 0 | 0 | 417486 | 2.7 % | 22/03/2016 |
| BVF Inc. | Delaware | 0 | 1546743 | 0 | 0 | 1546743 | 10 % | 22/03/2016 |
| Wellington Management Group LLP | Massachusetts | 0 | 1701724 | 0 | 0 | 1811453 | 11.72 % | 11/02/2016 |
| Wellington Investment Advisors Holdings LLP | Delaware | 0 | 1701724 | 0 | 0 | 1811453 | 11.72 % | 11/02/2016 |
| Wellington Management Company LLP | Delaware | 0 | 1691124 | 0 | 0 | 1771174 | 11.46 % | 11/02/2016 |
| Wellington Group Holdings LLP | Delaware | 0 | 1701724 | 0 | 0 | 1811453 | 11.72 % | 11/02/2016 |
| Estate of Arnold H. Snider, III | United States | 1557228 | 0 | 1557228 | 0 | 1557228 | 10.1 % | 04/02/2016 |
| Biotechnology Value Trading Fund OS LP | Delaware | 0 | 105335 | 0 | 0 | 105335 | 1 % | 21/12/2015 |
| Mark N. Lampert | Delaware | 0 | 1195013 | 0 | 0 | 1195013 | 7.7 % | 21/12/2015 |
| BVF Partners L.P. | Delaware | 0 | 1195013 | 0 | 0 | 1195013 | 7.7 % | 21/12/2015 |
| BVF Partners L.P. | Delaware | 0 | 1195013 | 0 | 0 | 1195013 | 7.7 % | 21/12/2015 |
| Mark N. Lampert | Delaware | 0 | 1195013 | 0 | 0 | 1195013 | 7.7 % | 21/12/2015 |
| BVF Partners OS Ltd. | Delaware | 0 | 105335 | 0 | 0 | 105335 | 1 % | 21/12/2015 |
| Biotechnology Value Fund, L.P. | Delaware | 0 | 512140 | 0 | 0 | 512140 | 3.3 % | 21/12/2015 |
| Biotechnology Value Fund, L.P. | Delaware | 0 | 512140 | 0 | 0 | 512140 | 3.3 % | 21/12/2015 |
| BVF Partners OS Ltd. | Delaware | 0 | 105335 | 0 | 0 | 105335 | 1 % | 21/12/2015 |
| BVF Inc. | Delaware | 0 | 1195013 | 0 | 0 | 1195013 | 7.7 % | 21/12/2015 |
| Biotechnology Value Fund II, L.P. | Delaware | 0 | 298247 | 0 | 0 | 298247 | 1.9 % | 21/12/2015 |
| Biotechnology Value Trading Fund OS LP | Delaware | 0 | 105335 | 0 | 0 | 105335 | 1 % | 21/12/2015 |
| Biotechnology Value Fund II, L.P. | Delaware | 0 | 298247 | 0 | 0 | 298247 | 1.9 % | 21/12/2015 |
| BVF Inc. | Delaware | 0 | 1195013 | 0 | 0 | 1195013 | 7.7 % | 21/12/2015 |
| Wellington Management Company LLP | Massachusetts | 0 | 1595000 | 0 | 0 | 1629900 | 11.14 % | 10/07/2015 |
| Wellington Investment Advisors Holdings LLP | Massachusetts | 0 | 1604300 | 0 | 0 | 1646700 | 11.26 % | 10/07/2015 |
| Wellington Management Company LLP | Massachusetts | 0 | 1595000 | 0 | 0 | 1629900 | 11.14 % | 10/07/2015 |
| Wellington Management Group LLP | Massachusetts | 0 | 1604300 | 0 | 0 | 1646700 | 11.26 % | 10/07/2015 |
| Wellington Investment Advisors Holdings LLP | Massachusetts | 0 | 1604300 | 0 | 0 | 1646700 | 11.26 % | 10/07/2015 |
| Wellington Group Holdings LLP | Massachusetts | 0 | 1604300 | 0 | 0 | 1646700 | 11.26 % | 10/07/2015 |
| Wellington Management Group LLP | Massachusetts | 0 | 1604300 | 0 | 0 | 1646700 | 11.26 % | 10/07/2015 |
| Wellington Group Holdings LLP | Massachusetts | 0 | 1604300 | 0 | 0 | 1646700 | 11.26 % | 10/07/2015 |