Applied Micro Circuits Corp. AMCC
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 |
|---|---|---|---|---|---|---|---|---|
| Hudson Bay Capital Management LP | 0 | 3861113 | 0 | 0 | 3861113 | 8.75 % | 10/02/2021 | |
| Sander Gerber | 0 | 3861113 | 0 | 0 | 3861113 | 8.75 % | 10/02/2021 | |
| Hudson Bay Capital Management, L.P. | Delaware | 0 | 0 | 0 | 13 | 4464229 | 9.985 % | 30/01/2017 |
| Sander Gerber | Delaware | 0 | 0 | 0 | 13 | 4464229 | 9.985 % | 30/01/2017 |
| Deerfield Management Company, L.P. | Delaware | 0 | 0 | 0 | 0 | 0 | 0 % | 16/02/2016 |
| Deerfield Mgmt, L.P. | Delaware | 0 | 0 | 0 | 0 | 0 | 0 % | 16/02/2016 |
| James E. Flynn | Delaware | 0 | 0 | 0 | 0 | 0 | 0 % | 16/02/2016 |
| Deerfield Special Situations International Master Fund, L.P. | Delaware | 0 | 0 | 0 | 0 | 0 | 0 % | 16/02/2016 |
| Deerfield Special Situations Fund, L.P. | Delaware | 0 | 0 | 0 | 0 | 0 | 0 % | 16/02/2016 |
| Heights Capital Management, Inc. | Cayman Islands | 0 | 4464229 | 0 | 0 | 4464229 | 9.9 % | 02/10/2015 |
| Heights Capital Management, Inc. | Cayman Islands | 0 | 4464229 | 0 | 0 | 4464229 | 9.9 % | 02/10/2015 |
| CVI Investments, Inc. | Cayman Islands | 0 | 4464229 | 0 | 0 | 4464229 | 9.9 % | 02/10/2015 |
| CVI Investments, Inc. | Cayman Islands | 0 | 4464229 | 0 | 0 | 4464229 | 9.9 % | 02/10/2015 |
| 2. | Delaware | 0 | 3859527 | 0 | 3859527 | 3859527 | 9.985 % | 17/02/2015 |
| 2. | Delaware | 0 | 3859527 | 0 | 3859527 | 3859527 | 9.985 % | 17/02/2015 |
| 2. | Delaware | 0 | 3859527 | 0 | 3859527 | 3859527 | 9.985 % | 17/02/2015 |
| 2. | Delaware | 0 | 2949957 | 0 | 2949957 | 2949957 | 7.73 % | 17/02/2015 |
| Peter Kolchinsky | Massachusetts | 0 | 3984267 | 0 | 0 | 3984267 | 9.9 % | 17/02/2015 |
| RA Capital Healthcare Fund, L.P. | Massachusetts | 0 | 2656178 | 0 | 0 | 2656178 | 6.6 % | 17/02/2015 |
| RA Capital Management, LLC | Massachusetts | 0 | 3984267 | 0 | 0 | 3984267 | 9.9 % | 17/02/2015 |
| Capital Ventures International | Cayman Islands | 0 | 4464253 | 0 | 0 | 4464253 | 9.9 % | 13/02/2015 |
| Heights Capital Management, Inc. | Cayman Islands | 0 | 4464253 | 0 | 0 | 4464253 | 9.9 % | 13/02/2015 |
| Hudson Bay Capital Management, L.P. | Delaware | 0 | 1083333 | 0 | 1083333 | 1083333 | 9.985 % | 11/02/2015 |
| Sander Gerber | Delaware | 0 | 1083333 | 0 | 1083333 | 1083333 | 9.985 % | 11/02/2015 |
| Deerfield Special Situations Fund, L.P. | Delaware | 0 | 56086171 | 0 | 0 | 56086171 | 9.985 % | 14/02/2014 |
| Deerfield Mgmt, L.P. | Delaware | 0 | 105185180 | 0 | 0 | 105185180 | 9.985 % | 14/02/2014 |
| Deerfield Special Situations International Master Fund, L.P. | Delaware | 0 | 49099009 | 0 | 0 | 49099009 | 9.985 % | 14/02/2014 |
| James E. Flynn | Delaware | 0 | 105185180 | 0 | 0 | 105185180 | 9.985 % | 14/02/2014 |
| Deerfield Management Company, L.P. | Delaware | 0 | 105185180 | 0 | 0 | 105185180 | 9.985 % | 14/02/2014 |
| 2. | Delaware | 0 | 1295563 | 0 | 1295563 | 1295563 | 9.985 % | 14/02/2014 |
| 2. | Delaware | 0 | 1007662 | 0 | 1007662 | 1007662 | 7.93 % | 14/02/2014 |
| 2. | Delaware | 0 | 1295563 | 0 | 1295563 | 1295563 | 9.985 % | 14/02/2014 |
| 2. | Delaware | 0 | 1295563 | 0 | 1295563 | 1295563 | 9.985 % | 14/02/2014 |
| 2. | Delaware | 0 | 1295563 | 0 | 1295563 | 1295563 | 9.985 % | 14/02/2014 |
| 2. | Delaware | 0 | 1007662 | 0 | 1007662 | 1007662 | 7.93 % | 14/02/2014 |
| 2. | Delaware | 0 | 1295563 | 0 | 1295563 | 1295563 | 9.985 % | 14/02/2014 |
| 2. | Delaware | 0 | 1295563 | 0 | 1295563 | 1295563 | 9.985 % | 14/02/2014 |
| Oak Investment Partners XI, Limited Partnership | Delaware | 0 | 0 | 0 | 0 | 0 | 0 % | 11/02/2014 |
| RA Capital Management, LLC | Massachusetts | 0 | 414198 | 0 | 0 | 414198 | 9.985 % | 12/07/2013 |
| RA Capital Healthcare Fund, L.P. | Massachusetts | 0 | 248519 | 0 | 0 | 248519 | 5.9 % | 12/07/2013 |
| Peter Kolchinsky | Massachusetts | 0 | 414198 | 0 | 0 | 414198 | 9.985 % | 12/07/2013 |
| RA Capital Healthcare Fund, L.P. | Massachusetts | 0 | 248519 | 0 | 0 | 248519 | 5.9 % | 12/07/2013 |
| Peter Kolchinsky | Massachusetts | 0 | 414198 | 0 | 0 | 414198 | 9.985 % | 12/07/2013 |
| RA Capital Management, LLC | Massachusetts | 0 | 414198 | 0 | 0 | 414198 | 9.985 % | 12/07/2013 |
| QVT Associates GP LLC | Delaware | 0 | 378329 | 0 | 0 | 378329 | 9.985 % | 08/07/2013 |
| QVT Financial LP | Delaware | 0 | 378329 | 0 | 0 | 378329 | 9.985 % | 08/07/2013 |
| QVT Financial GP LLC | Delaware | 0 | 378329 | 0 | 0 | 378329 | 9.985 % | 08/07/2013 |
| QVT Associates GP LLC | Delaware | 0 | 378329 | 0 | 0 | 378329 | 9.985 % | 08/07/2013 |
| QVT Financial GP LLC | Delaware | 0 | 378329 | 0 | 0 | 378329 | 9.985 % | 08/07/2013 |
| QVT Fund V LP | Delaware | 0 | 289403 | 0 | 0 | 289403 | 7.82 % | 08/07/2013 |
| QVT Financial LP | Delaware | 0 | 378329 | 0 | 0 | 378329 | 9.985 % | 08/07/2013 |
| QVT Fund V LP | Delaware | 0 | 289403 | 0 | 0 | 289403 | 7.82 % | 08/07/2013 |
| Capital Ventures International | Cayman Islands | 0 | 378329 | 0 | 0 | 378329 | 9.9 % | 08/07/2013 |
| Heights Capital Management, Inc. | Cayman Islands | 0 | 378329 | 0 | 0 | 378329 | 9.9 % | 08/07/2013 |
| Capital Ventures International | Cayman Islands | 0 | 378329 | 0 | 0 | 378329 | 9.9 % | 08/07/2013 |
| Heights Capital Management, Inc. | Cayman Islands | 0 | 378329 | 0 | 0 | 378329 | 9.9 % | 08/07/2013 |
| BAY CITY CAPITAL LLC | DELAWARE | 5333333 | 0 | 5333333 | 0 | 5333333 | 9.985 % | 27/02/2013 |
| BAY CITY CAPITAL MANAGEMENT V LLC | DELAWARE | 5333333 | 0 | 5333333 | 0 | 5333333 | 9.985 % | 27/02/2013 |
| BAY CITY CAPITAL FUND V CO-INVESTMENT FUND, L.P. | DELAWARE | 0 | 5333333 | 0 | 0 | 5333333 | 9.985 % | 27/02/2013 |
| BAY CITY CAPITAL FUND V, L.P. | DELAWARE | 0 | 5333333 | 0 | 0 | 5333333 | 9.985 % | 27/02/2013 |
| Oak Investment Partners XI, Limited Partnership | Delaware | 204378 | 0 | 204378 | 0 | 204378 | 8.3 % | 14/02/2013 |
| CELGENE CORPORATION | Delaware | 9 | 0 | 9 | 0 | 9 | 9.985 % | 09/10/2012 |
| Great Point Partners, LLC | USA | 0 | 1901603 | 0 | 1901603 | 1901603 | 7.62 % | 14/02/2012 |
| Mr. David Kroin | USA | 0 | 1901603 | 0 | 1901603 | 1901603 | 7.62 % | 14/02/2012 |
| Dr. Jeffrey R. Jay, M.D. | USA | 0 | 1901603 | 0 | 1901603 | 1901603 | 7.62 % | 14/02/2012 |
| RA Capital Management, LLC | Massachusetts | 1275620 | 0 | 1275620 | 0 | 1275620 | 5.4 % | 24/05/2011 |
| RA Capital Management, LLC | Massachusetts | 1275620 | 0 | 1275620 | 0 | 1275620 | 5.4 % | 24/05/2011 |
| RA Capital Healthcare Fund, L.P. | Massachusetts | 682128 | 0 | 682128 | 0 | 682128 | 2.9 % | 24/05/2011 |
| RA Capital Healthcare Fund, L.P. | Massachusetts | 682128 | 0 | 682128 | 0 | 682128 | 2.9 % | 24/05/2011 |
| Peter Kolchinsky | Massachusetts | 1275620 | 0 | 1275620 | 0 | 1275620 | 5.4 % | 24/05/2011 |
| Peter Kolchinsky | Massachusetts | 1275620 | 0 | 1275620 | 0 | 1275620 | 5.4 % | 24/05/2011 |
| Deerfield Special Situations Fund, L.P. | Delaware | 0 | 826854 | 0 | 0 | 826854 | 3.47 % | 11/03/2011 |
| Deerfield Management Company, L.P. | Delaware | 0 | 1293286 | 0 | 0 | 1293286 | 5.37 % | 11/03/2011 |
| Deerfield Special Situations Fund International Limited | Delaware | 0 | 1293286 | 0 | 0 | 1293286 | 5.37 % | 11/03/2011 |
| James E. Flynn | Delaware | 0 | 2120140 | 0 | 0 | 2120140 | 8.3 % | 11/03/2011 |
| Deerfield Special Situations Fund, L.P. | Delaware | 0 | 826854 | 0 | 0 | 826854 | 3.47 % | 11/03/2011 |
| Deerfield Management Company, L.P. | Delaware | 0 | 1293286 | 0 | 0 | 1293286 | 5.37 % | 11/03/2011 |
| Deerfield Capital, L.P. | Delaware | 0 | 826854 | 0 | 0 | 826854 | 3.47 % | 11/03/2011 |
| James E. Flynn | Delaware | 0 | 2120140 | 0 | 0 | 2120140 | 8.3 % | 11/03/2011 |
| Deerfield Special Situations Fund International Limited | Delaware | 0 | 1293286 | 0 | 0 | 1293286 | 5.37 % | 11/03/2011 |
| Deerfield Capital, L.P. | Delaware | 0 | 826854 | 0 | 0 | 826854 | 3.47 % | 11/03/2011 |
| BioAdvance GP II, Inc. | Delaware | 0 | 123951 | 0 | 0 | 123951 | 1 % | 14/02/2011 |
| Quaker BioVentures Capital, LLC | Delaware | 1762 | 795103 | 1762 | 0 | 796865 | 6.4 % | 14/02/2011 |
| Quaker BioVentures Capital, L.P. | Delaware | 0 | 795103 | 0 | 0 | 795103 | 6.4 % | 14/02/2011 |
| Quaker BioVentures, L.P. | Delaware | 0 | 520504 | 0 | 0 | 520504 | 4.2 % | 14/02/2011 |
| BioAdvance Ventures, L.P. | Delaware | 0 | 123951 | 0 | 0 | 123951 | 1 % | 14/02/2011 |
| Quaker BioVentures Tobacco Fund, L.P. | Delaware | 0 | 274599 | 0 | 0 | 274599 | 2.2 % | 14/02/2011 |
| BioAdvance GP I, L.P. | Delaware | 0 | 123951 | 0 | 0 | 123951 | 1 % | 14/02/2011 |
| Brookside Capital Trading Fund, L.P. | Delaware | 150000 | 0 | 150000 | 21 | 2010 | 1.21 % | 14/02/2011 |
| Brookside Capital Partners Fund, L.P. | Delaware | 546914 | 0 | 546914 | 0 | 546914 | 4.42 % | 14/02/2011 |
| Gerald R. Gallagher | Delaware | 0 | 2043779 | 0 | 2043779 | 2043779 | 16.5 % | 14/02/2011 |
| Edward F. Glassmeyer | Delaware | 0 | 2043779 | 0 | 2043779 | 2043779 | 16.5 % | 14/02/2011 |
| Fredric W. Harman | Delaware | 0 | 2043779 | 0 | 2043779 | 2043779 | 16.5 % | 14/02/2011 |
| Oak Investment Partners XI, Limited Partnership | Delaware | 2043779 | 0 | 2043779 | 0 | 2043779 | 16.5 % | 14/02/2011 |
| Oak Associates XI, LLC | Delaware | 0 | 2043779 | 0 | 2043779 | 2043779 | 16.5 % | 14/02/2011 |
| 06-0990851 | Delaware | 0 | 2043779 | 0 | 2043779 | 2043779 | 16.5 % | 14/02/2011 |
| Ann H. Lamont | Delaware | 0 | 2043779 | 0 | 2043779 | 2043779 | 16.5 % | 14/02/2011 |
| Bandel L. Carano | Delaware | 0 | 2043779 | 0 | 2043779 | 2043779 | 16.5 % | 14/02/2011 |
| L.P. | Delaware | 2010 | 0 | 2010 | 0 | 2010 | 5.64 % | 21/04/2010 |
| L.P. | Delaware | 2010 | 0 | 2010 | 0 | 2010 | 5.64 % | 21/04/2010 |
| 04-2683227 | Massachusetts | 0 | 5648752 | 0 | 0 | 6831926 | 10.01 % | 10/01/2008 |