Paratek Pharmaceuticals, Inc. PRTK
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 |
|---|---|---|---|---|---|---|---|---|
| Continental General Holdings LLC | Texas | 0 | 0 | 0 | 3693981 | 3693981 | 6.4 % | 05/09/2023 |
| Michael Gorzynski | Texas | 0 | 0 | 0 | 3693981 | 3693981 | 6.4 % | 05/09/2023 |
| Continental Insurance Group, Ltd. | Texas | 0 | 0 | 0 | 3693981 | 3693981 | 6.4 % | 05/09/2023 |
| Michael Gorzynski | Texas | 0 | 0 | 0 | 3693981 | 3693981 | 6.4 % | 05/09/2023 |
| Continental General Insurance Company | Texas | 0 | 0 | 0 | 3693981 | 3693981 | 6.4 % | 05/09/2023 |
| Continental General Insurance Company | Texas | 0 | 0 | 0 | 3693981 | 3693981 | 6.4 % | 05/09/2023 |
| Continental Insurance Group, Ltd. | Texas | 0 | 0 | 0 | 3693981 | 3693981 | 6.4 % | 05/09/2023 |
| Continental General Holdings LLC | Texas | 0 | 0 | 0 | 3693981 | 3693981 | 6.4 % | 05/09/2023 |
| NexPoint Asset Management, L.P. | Delaware | 0 | 2445770 | 0 | 2445770 | 2445770 | 4.27 % | 30/03/2023 |
| NexPoint Advisors, L.P. | Delaware | 0 | 50000 | 0 | 50000 | 50000 | 0.09 % | 30/03/2023 |
| The Dugaboy Investment Trust | Delaware | 0 | 2889060 | 0 | 2889060 | 2889060 | 5.05 % | 30/03/2023 |
| NexPoint Real Estate Opportunities, LLC | 0 | 50000 | 0 | 50000 | 50000 | 0.09 % | 30/03/2023 | |
| James D. Dondero | 0 | 6692447 | 0 | 6692447 | 6692447 | 11.69 % | 30/03/2023 | |
| Nancy Marie Dondero | 0 | 2889060 | 0 | 2889060 | 2889060 | 5.05 % | 30/03/2023 | |
| The Dugaboy Investment Trust | 0 | 2889060 | 0 | 2889060 | 2889060 | 5.05 % | 30/03/2023 | |
| NexPoint Advisors, L.P. | 0 | 50000 | 0 | 50000 | 50000 | 0.09 % | 30/03/2023 | |
| NexPoint Asset Management, L.P. | 0 | 2445770 | 0 | 2445770 | 2445770 | 4.27 % | 30/03/2023 | |
| NexPoint Climate Tech Fund | Massachusetts | 0 | 64770 | 0 | 64770 | 64770 | 0.11 % | 30/03/2023 |
| Nancy Marie Dondero | United States | 0 | 2889060 | 0 | 2889060 | 2889060 | 5.05 % | 30/03/2023 |
| NexPoint Climate Tech Fund | 0 | 64770 | 0 | 64770 | 64770 | 0.11 % | 30/03/2023 | |
| NexPoint Event Driven Fund | 0 | 225000 | 0 | 225000 | 225000 | 0.39 % | 30/03/2023 | |
| Drugcrafters, LP | 0 | 1307617 | 0 | 1307617 | 1307617 | 2.28 % | 30/03/2023 | |
| NexPoint Real Estate Opportunities, LLC | Delaware | 0 | 50000 | 0 | 50000 | 50000 | 0.09 % | 30/03/2023 |
| Highland Global Allocation Fund | 0 | 2156000 | 0 | 2156000 | 2156000 | 3.76 % | 30/03/2023 | |
| Drugcrafters, LP | Delaware | 0 | 1307617 | 0 | 1307617 | 1307617 | 2.28 % | 30/03/2023 |
| James D. Dondero | United States | 0 | 6692447 | 0 | 6692447 | 6692447 | 11.69 % | 30/03/2023 |
| NexPoint Event Driven Fund | Delaware | 0 | 225000 | 0 | 225000 | 225000 | 0.39 % | 30/03/2023 |
| Highland Global Allocation Fund | Massachusetts | 0 | 2156000 | 0 | 2156000 | 2156000 | 3.76 % | 30/03/2023 |
| (1) BlackRock, Inc. | Delaware | 868262 | 0 | 869224 | 0 | 869224 | 1.6 % | 08/07/2022 |
| Identification Nos. of above persons (. | Maryland | 3887172 | 0 | 3887172 | 0 | 3887172 | 7.7 % | 07/07/2022 |
| 27-4413262 | Maryland | 3887172 | 0 | 3887172 | 0 | 3887172 | 7.7 % | 07/07/2022 |
| 27-4413262 | Maryland | 3887172 | 0 | 3887172 | 0 | 3887172 | 7.7 % | 07/07/2022 |
| Identification Nos. of above persons (. | States | 3887172 | 0 | 3887172 | 0 | 3887172 | 7.7 % | 07/07/2022 |
| Laurence W. Lytton | USA | 3209552 | 1000 | 3209552 | 1000 | 9 | 5.9 % | 18/05/2022 |
| Laurence W. Lytton | USA | 3209552 | 1000 | 3209552 | 1000 | 3210552 | 11 % | 18/05/2022 |
| Drugcrafters, LP | Delaware | 0 | 303367 | 0 | 303367 | 303367 | 0.6 % | 11/03/2022 |
| Highland Small-Cap Equity Fund | Delaware | 0 | 64770 | 0 | 64770 | 64770 | 0.13 % | 11/03/2022 |
| Drugcrafters, LP | Delaware | 0 | 303367 | 0 | 303367 | 303367 | 0.6 % | 11/03/2022 |
| The Dugaboy Investment Trust | Delaware | 0 | 2474060 | 0 | 2474060 | 2474060 | 4.93 % | 11/03/2022 |
| NexPoint Real Estate Opportunities, LLC | Delaware | 0 | 50000 | 0 | 50000 | 50000 | 0.01 % | 11/03/2022 |
| James D. Dondero | Delaware | 0 | 2892197 | 0 | 2892197 | 2892197 | 5.7 % | 11/03/2022 |
| Highland Small-Cap Equity Fund | Delaware | 0 | 64770 | 0 | 64770 | 64770 | 0.13 % | 11/03/2022 |
| The Dugaboy Investment Trust | Delaware | 0 | 2474060 | 0 | 2474060 | 2474060 | 4.93 % | 11/03/2022 |
| James D. Dondero | Delaware | 0 | 2892197 | 0 | 2892197 | 2892197 | 5.7 % | 11/03/2022 |
| NexPoint Real Estate Opportunities, LLC | Delaware | 0 | 50000 | 0 | 50000 | 50000 | 0.01 % | 11/03/2022 |
| Identification Nos. of above persons (. | States | 2820067 | 0 | 2820067 | 0 | 2820067 | 5.6 % | 09/03/2022 |
| Identification Nos. of above persons (. | Maryland | 2820067 | 0 | 2820067 | 0 | 2820067 | 5.6 % | 09/03/2022 |
| 27-4413262 | Maryland | 2820067 | 0 | 2820067 | 0 | 2820067 | 5.6 % | 09/03/2022 |
| 27-4413262 | Maryland | 2820067 | 0 | 2820067 | 0 | 2820067 | 5.6 % | 09/03/2022 |
| Highbridge Capital Management, LLC | 0 | 2239937 | 0 | 0 | 2239937 | 4.27 % | 11/02/2022 | |
| Highbridge Capital Management, LLC | 0 | 2239937 | 0 | 0 | 2239937 | 4.27 % | 11/02/2022 | |
| (1) BlackRock, Inc. | Delaware | 2953205 | 0 | 2977680 | 0 | 2977680 | 5.9 % | 02/02/2022 |
| James D. Dondero | Delaware | 0 | 2301555 | 0 | 0 | 2301555 | 5 % | 12/02/2021 |
| The Dugaboy Investment Trust | Delaware | 2161535 | 0 | 2161535 | 0 | 2161535 | 4.74 % | 12/02/2021 |
| Highland Capital Management Fund Advisors, L.P. | 0 | 90020 | 0 | 0 | 90020 | 0.2 % | 12/02/2021 | |
| NexPoint Advisors, L.P. | 0 | 50000 | 0 | 0 | 50000 | 0.1 % | 12/02/2021 | |
| Highland Capital Management Fund Advisors, L.P. | Delaware | 0 | 90020 | 0 | 0 | 90020 | 0.2 % | 12/02/2021 |
| James D. Dondero | 0 | 2301555 | 0 | 0 | 2301555 | 5 % | 12/02/2021 | |
| NexPoint Advisors, L.P. | Delaware | 0 | 50000 | 0 | 0 | 50000 | 0.1 % | 12/02/2021 |
| The Dugaboy Investment Trust | 2161535 | 0 | 2161535 | 0 | 2161535 | 4.74 % | 12/02/2021 | |
| Highland Capital Management, L.P. | Delaware | 0 | 779365 | 0 | 779365 | 779365 | 2.3 % | 14/02/2020 |
| The Dugaboy Investment Trust | Delaware | 2221535 | 0 | 2211535 | 0 | 2221535 | 6.6 % | 14/02/2020 |
| James D. Dondero | Delaware | 0 | 3178028 | 0 | 3178028 | 3178028 | 9.6 % | 14/02/2020 |
| Strand Advisors, Inc. | Delaware | 0 | 779365 | 0 | 779365 | 779365 | 2.3 % | 14/02/2020 |
| Strand Advisors, Inc. | Delaware | 0 | 779365 | 0 | 779365 | 779365 | 2.3 % | 14/02/2020 |
| The Dugaboy Investment Trust | Delaware | 2221535 | 0 | 2211535 | 0 | 2221535 | 6.6 % | 14/02/2020 |
| James D. Dondero | Delaware | 0 | 3178028 | 0 | 3178028 | 3178028 | 9.6 % | 14/02/2020 |
| Highland Capital Management, L.P. | Delaware | 0 | 779365 | 0 | 779365 | 779365 | 2.3 % | 14/02/2020 |
| Armistice Capital Master Fund Ltd. | Delaware | 0 | 1258000 | 0 | 1258000 | 1258000 | 3.8 % | 14/02/2020 |
| Armistice Capital, LLC | Delaware | 0 | 1258000 | 0 | 1258000 | 1258000 | 3.8 % | 14/02/2020 |
| Steven Boyd | Delaware | 0 | 1258000 | 0 | 1258000 | 1258000 | 3.8 % | 14/02/2020 |
| Highbridge Capital Management, LLC | Delaware | 0 | 2378931 | 0 | 0 | 2378931 | 6.67 % | 13/02/2020 |
| as 1992 Tactical Credit Master Fund, L.P.) | Delaware | 0 | 2378931 | 0 | 0 | 2378931 | 6.67 % | 13/02/2020 |
| Highbridge Capital Management, LLC | Delaware | 0 | 2378931 | 0 | 0 | 2378931 | 6.67 % | 13/02/2020 |
| as 1992 Tactical Credit Master Fund, L.P.) | Delaware | 0 | 2378931 | 0 | 0 | 2378931 | 6.67 % | 13/02/2020 |
| (1) BlackRock, Inc. | Delaware | 2284660 | 0 | 2323912 | 0 | 2323912 | 7 % | 05/02/2020 |
| Baupost Group GP, L.L.C.82-3254604 | Delaware | 0 | 1552286 | 0 | 1552286 | 1552286 | 4.66 % | 09/12/2019 |
| Baupost Group GP, L.L.C.82-3254604 | Delaware | 0 | 1552286 | 0 | 1552286 | 1552286 | 4.66 % | 09/12/2019 |
| The Baupost Group, L.L.C.04-3402144 | Delaware | 0 | 1552286 | 0 | 1552286 | 1552286 | 4.66 % | 09/12/2019 |
| Seth A. Klarman | Delaware | 0 | 1552286 | 0 | 1552286 | 1552286 | 4.66 % | 09/12/2019 |
| Seth A. Klarman | Delaware | 0 | 1552286 | 0 | 1552286 | 1552286 | 4.66 % | 09/12/2019 |
| The Baupost Group, L.L.C.04-3402144 | Delaware | 0 | 1552286 | 0 | 1552286 | 1552286 | 4.66 % | 09/12/2019 |
| UBS Group AG directly and on behalf of certain subsidiaries | Switzerland | 0 | 2119933 | 0 | 2119933 | 2119933 | 6.6 % | 15/02/2019 |
| Strand Advisors, Inc. | Delaware | 0 | 2204865 | 0 | 2204865 | 2204865 | 6.9 % | 14/02/2019 |
| Strand Advisors, Inc. | Delaware | 0 | 2204865 | 0 | 2204865 | 2204865 | 6.9 % | 14/02/2019 |
| Highland Capital Management, L.P. | Delaware | 0 | 2204865 | 0 | 2204865 | 2204865 | 6.9 % | 14/02/2019 |
| James D. Dondero | Delaware | 0 | 3153028 | 0 | 3153028 | 3153028 | 9.8 % | 14/02/2019 |
| James D. Dondero | Delaware | 0 | 3153028 | 0 | 3153028 | 3153028 | 9.8 % | 14/02/2019 |
| Highland Capital Management, L.P. | Delaware | 0 | 2204865 | 0 | 2204865 | 2204865 | 6.9 % | 14/02/2019 |
| Highbridge Capital Management, LLC | Delaware | 0 | 2799479 | 0 | 0 | 2799479 | 8.04 % | 14/02/2019 |
| Steven Boyd | Delaware | 0 | 1672000 | 0 | 1672000 | 1672000 | 5.2 % | 13/11/2018 |
| Armistice Capital, LLC | Delaware | 0 | 1672000 | 0 | 1672000 | 1672000 | 5.2 % | 13/11/2018 |
| Armistice Capital, LLC | Cayman Islands | 0 | 1672000 | 0 | 1672000 | 1672000 | 5.2 % | 13/11/2018 |
| Armistice Capital Master Fund Ltd. | Delaware | 0 | 1672000 | 0 | 1672000 | 1672000 | 5.2 % | 13/11/2018 |
| Steven Boyd | Cayman Islands | 0 | 1672000 | 0 | 1672000 | 1672000 | 5.2 % | 13/11/2018 |
| Armistice Capital Master Fund Ltd. | Cayman Islands | 0 | 1672000 | 0 | 1672000 | 1672000 | 5.2 % | 13/11/2018 |
| Highbridge Capital Management, LLC | State of Delaware | 0 | 2201258 | 0 | 0 | 2201258 | 6.54 % | 30/04/2018 |
| Highbridge Capital Management, LLC | State of Delaware | 0 | 2201258 | 0 | 0 | 2201258 | 6.54 % | 30/04/2018 |
| VI, LP | England | 0 | 1041131 | 0 | 0 | 1041131 | 3.7 % | 14/02/2018 |
| 98-051-8585 | England | 0 | 1041131 | 0 | 0 | 1041131 | 3.7 % | 14/02/2018 |
| Seth A. Klarman | Delaware | 0 | 2394498 | 0 | 2394498 | 2394498 | 8.57 % | 13/02/2018 |
| Seth A. Klarman | Delaware | 0 | 2394498 | 0 | 2394498 | 2394498 | 8.57 % | 13/02/2018 |
| The Baupost Group, L.L.C.04-3402144 | Delaware | 0 | 2394498 | 0 | 2394498 | 2394498 | 8.57 % | 13/02/2018 |
| Baupost Group GP, L.L.C.82-3254604 | Delaware | 0 | 2394498 | 0 | 2394498 | 2394498 | 8.57 % | 13/02/2018 |
| The Baupost Group, L.L.C.04-3402144 | Delaware | 0 | 2394498 | 0 | 2394498 | 2394498 | 8.57 % | 13/02/2018 |
| Baupost Group GP, L.L.C.82-3254604 | Delaware | 0 | 2394498 | 0 | 2394498 | 2394498 | 8.57 % | 13/02/2018 |
| HBM Healthcare Investments (Cayman) Ltd. | Cayman Islands British West Indies | 1353202 | 0 | 1353202 | 0 | 1353202 | 5.97 % | 14/02/2017 |
| Seth A. Klarman | Commonwealth Massachusetts | 0 | 2044498 | 0 | 2044498 | 2044498 | 9.04 % | 14/02/2017 |
| The Baupost Group, L.L.C.04-3402144 | Commonwealth Massachusetts | 0 | 2044498 | 0 | 2044498 | 2044498 | 9.04 % | 14/02/2017 |
| The Baupost Group, L.L.C.04-3402144 | Commonwealth Massachusetts | 0 | 2044498 | 0 | 2044498 | 2044498 | 9.04 % | 14/02/2017 |
| SAK Corporation04-3334541 | Commonwealth Massachusetts | 0 | 2044498 | 0 | 2044498 | 2044498 | 9.04 % | 14/02/2017 |
| (1) BlackRock, Inc. | Delaware | 1280676 | 0 | 1300022 | 0 | 1300022 | 5.7 % | 30/01/2017 |
| VI, LP | England | 0 | 1301413 | 0 | 0 | 1301413 | 7.4 % | 16/02/2016 |
| 98-051-8585 | England | 0 | 1301413 | 0 | 0 | 1301413 | 7.4 % | 16/02/2016 |
| Seth A. Klarman | Commonwealth Massachusetts | 0 | 1544498 | 0 | 1544498 | 1544498 | 8.77 % | 12/02/2016 |
| SAK Corporation04-3334541 | Commonwealth Massachusetts | 0 | 1544498 | 0 | 1544498 | 1544498 | 8.77 % | 12/02/2016 |
| The Baupost Group, L.L.C.04-3402144 | Commonwealth Massachusetts | 0 | 1544498 | 0 | 1544498 | 1544498 | 8.77 % | 12/02/2016 |
| 98-051-8585 | England | 0 | 1310482 | 0 | 0 | 1310482 | 9.1 % | 06/02/2015 |
| 98-051-8585 | England | 0 | 1310482 | 0 | 0 | 1310482 | 9.1 % | 06/02/2015 |
| VI, LP | England | 0 | 1301413 | 0 | 0 | 1301413 | 9 % | 06/02/2015 |
| VI, LP | England | 0 | 1301413 | 0 | 0 | 1301413 | 9 % | 06/02/2015 |
| Seth A. Klarman | Commonwealth Massachusetts | 0 | 1735218 | 0 | 1735218 | 1735218 | 12.04 % | 11/12/2014 |
| SAK Corporation04-3334541 | Commonwealth Massachusetts | 0 | 1735218 | 0 | 1735218 | 1735218 | 12.04 % | 11/12/2014 |
| The Baupost Group, L.L.C.04-3402144 | Commonwealth Massachusetts | 0 | 1735218 | 0 | 1735218 | 1735218 | 12.04 % | 11/12/2014 |
| SAK Corporation04-3334541 | Commonwealth Massachusetts | 0 | 1735218 | 0 | 1735218 | 1735218 | 12.04 % | 11/12/2014 |
| Seth A. Klarman | Commonwealth Massachusetts | 0 | 1735218 | 0 | 1735218 | 1735218 | 12.04 % | 11/12/2014 |
| The Baupost Group, L.L.C.04-3402144 | Commonwealth Massachusetts | 0 | 1735218 | 0 | 1735218 | 1735218 | 12.04 % | 11/12/2014 |
| Edward C. Johnson 3d | Delaware | 0 | 0 | 1735218 | 0 | 1735218 | 12.035 % | 10/12/2014 |
| Edward C. Johnson 3d | Delaware | 0 | 0 | 1735218 | 0 | 1735218 | 12.035 % | 10/12/2014 |
| FMR LLC | Delaware | 0 | 0 | 1735218 | 0 | 1735218 | 12.035 % | 10/12/2014 |
| Abigail P. Johnson | Delaware | 0 | 0 | 1735218 | 0 | 1735218 | 12.035 % | 10/12/2014 |
| Select Biotechnology Portfolio | Delaware | 1336118 | 0 | 0 | 0 | 1336118 | 9.267 % | 10/12/2014 |
| Select Biotechnology Portfolio | Delaware | 1336118 | 0 | 0 | 0 | 1336118 | 9.267 % | 10/12/2014 |
| Abigail P. Johnson | Delaware | 0 | 0 | 1735218 | 0 | 1735218 | 12.035 % | 10/12/2014 |
| FMR LLC | Delaware | 0 | 0 | 1735218 | 0 | 1735218 | 12.035 % | 10/12/2014 |
| HBM Healthcare Investments (Cayman) Ltd. | Cayman Islands, British West Indies | 1771462 | 0 | 1771462 | 10 | 1771462 | 12.28 % | 12/11/2014 |
| James C. Roumell (“Roumell”) | U.S.A. | 130345 | 134989 | 130345 | 0 | 265334 | 8 % | 10/11/2014 |
| 52-2145132 | Maryland | 128305 | 134989 | 128305 | 0 | 263294 | 8 % | 10/11/2014 |
| 52-2145132 | Maryland | 128305 | 134989 | 128305 | 0 | 263294 | 8 % | 10/11/2014 |
| James C. Roumell (“Roumell”) | Maryland | 130345 | 134989 | 130345 | 0 | 265334 | 8 % | 10/11/2014 |
| EcoR1 Capital Fund, L.P. | Delaware | 0 | 478514 | 0 | 0 | 478514 | 2.5 % | 29/08/2014 |
| EcoR1 Capital Fund Qualified, L.P. | Delaware | 0 | 579686 | 0 | 0 | 579686 | 3 % | 29/08/2014 |
| Oleg Nodelman | United States | 0 | 1058200 | 0 | 0 | 1058200 | 5.5 % | 29/08/2014 |
| EcoR1 Capital Fund, L.P. | Delaware | 0 | 478514 | 0 | 0 | 478514 | 2.5 % | 29/08/2014 |
| Oleg Nodelman | Delaware | 0 | 1058200 | 0 | 0 | 1058200 | 5.5 % | 29/08/2014 |
| EcoR1 Capital, LLC | Delaware | 0 | 1058200 | 0 | 0 | 1058200 | 5.5 % | 29/08/2014 |
| EcoR1 Capital, LLC | Delaware | 0 | 1058200 | 0 | 0 | 1058200 | 5.5 % | 29/08/2014 |
| EcoR1 Capital Fund Qualified, L.P. | Delaware | 0 | 579686 | 0 | 0 | 579686 | 3 % | 29/08/2014 |
| Franklin Advisers, Inc. | Maryland | 300000 | 1882991 | 300000 | 1882991 | 12840000 | 10.5 % | 18/12/2013 |
| John T. Bird | UNITED STATES OF AMERICA | 0 | 1123381 | 0 | 0 | 1123381 | 6 % | 14/08/2013 |
| Peter M. Collery | UNITED STATES OF AMERICA | 0 | 1265365 | 0 | 0 | 1265365 | 6.7 % | 14/08/2013 |
| David A. Hurwitz | UNITED STATES OF AMERICA | 1750 | 1123381 | 1750 | 0 | 1125131 | 6 % | 14/08/2013 |
| SC Fundamental LLC | NEW YORK | 0 | 1123381 | 0 | 0 | 1123381 | 6 % | 14/08/2013 |
| Fundamental Value Fund, L.P. | DELAWARE | 0 | 1123381 | 0 | 0 | 1123381 | 6 % | 14/08/2013 |
| SC Fundamental LLC Employee Savings and Profit Sharing Plan | UNITED STATES OF AMERICA | 0 | 141984 | 0 | 0 | 141984 | 0.8 % | 14/08/2013 |
| Neil H. Koffler | UNITED STATES OF AMERICA | 0 | 1123381 | 0 | 0 | 1123381 | 6 % | 14/08/2013 |
| David A. Hurwitz | Delaware | 0 | 1123381 | 0 | 0 | 1123381 | 6 % | 02/08/2013 |
| SC Fundamental LLC | Delaware | 0 | 1123381 | 0 | 0 | 1123381 | 6 % | 02/08/2013 |
| Peter M. Collery | Delaware | 0 | 1265365 | 0 | 0 | 1265365 | 6.7 % | 02/08/2013 |
| Savings and Profit Sharing Plan | Delaware | 0 | 141984 | 0 | 0 | 141984 | 0.8 % | 02/08/2013 |
| SC Fundamental Value Fund, L.P. | Delaware | 0 | 1123381 | 0 | 0 | 1123381 | 6 % | 02/08/2013 |
| John T. Bird | Delaware | 0 | 1123381 | 0 | 0 | 1123381 | 6 % | 02/08/2013 |
| Neil H. Koffler | Delaware | 0 | 1123381 | 0 | 0 | 1123381 | 6 % | 02/08/2013 |
| Sabby Healthcare Volatility Master Fund, Ltd. | Cayman Islands | 0 | 1434976 | 0 | 1434976 | 1434976 | 7.74 % | 08/06/2012 |
| KEVIN C. TANG | DELAWARE | 0 | 1750000 | 0 | 1750000 | 1750000 | 9.5 % | 04/05/2012 |
| KEVIN C. TANG | DELAWARE | 0 | 1750000 | 0 | 1750000 | 1750000 | 9.5 % | 04/05/2012 |
| TANG CAPITAL MANAGEMENT, LLC | DELAWARE | 0 | 1750000 | 0 | 1750000 | 1750000 | 9.5 % | 04/05/2012 |
| TANG CAPITAL PARTNERS, LP | DELAWARE | 0 | 1750000 | 0 | 1750000 | 1750000 | 9.5 % | 04/05/2012 |
| TANG CAPITAL MANAGEMENT, LLC | DELAWARE | 0 | 1750000 | 0 | 1750000 | 1750000 | 9.5 % | 04/05/2012 |
| TANG CAPITAL PARTNERS, LP | DELAWARE | 0 | 1750000 | 0 | 1750000 | 1750000 | 9.5 % | 04/05/2012 |
| HealthCor Offshore GP, LLC | Delaware | 0 | 412993 | 0 | 412993 | 412993 | 2.97 % | 30/03/2012 |
| Arthur Cohen | Delaware | 0 | 700000 | 0 | 700000 | 700000 | 5.03 % | 30/03/2012 |
| HealthCor Hybrid Offshore GP, LLC | Delaware | 0 | 24867 | 0 | 24867 | 24867 | 0.18 % | 30/03/2012 |
| HealthCor Group, LLC | Delaware | 0 | 700000 | 0 | 700000 | 700000 | 5.03 % | 30/03/2012 |
| HealthCor Hybrid Offshore Master Fund, L.P. | Delaware | 0 | 24867 | 0 | 24867 | 24867 | 0.18 % | 30/03/2012 |
| HealthCor Associates, LLC | Delaware | 0 | 13 | 0 | 700000 | 700000 | 5.03 % | 30/03/2012 |
| HealthCor Offshore Master Fund, L.P. | Delaware | 0 | 412993 | 0 | 412993 | 412993 | 2.97 % | 30/03/2012 |
| HealthCor Management, L.P. | Delaware | 0 | 13 | 0 | 700000 | 700000 | 5.03 % | 30/03/2012 |
| HealthCor Long Master GP, LLC | Delaware | 0 | 13 | 0 | 100000 | 100000 | 0.72 % | 30/03/2012 |
| HealthCor Long Offshore Master Fund, L.P. | Delaware | 0 | 13 | 0 | 100000 | 100000 | 0.72 % | 30/03/2012 |
| Joseph Healey | Delaware | 0 | 13 | 0 | 700000 | 700000 | 5.03 % | 30/03/2012 |
| Arthur Cohen | Delaware | 0 | 13 | 0 | 700000 | 700000 | 5.03 % | 30/03/2012 |
| HealthCor, L.P. | Delaware | 0 | 13 | 0 | 162140 | 162140 | 1.17 % | 30/03/2012 |
| HealthCor Capital, L.P. | Delaware | 0 | 13 | 0 | 162140 | 162140 | 1.17 % | 30/03/2012 |
| HealthCor Group, LLC | Delaware | 0 | 13 | 0 | 13 | 700000 | 5.03 % | 30/03/2012 |
| HealthCor Hybrid Offshore GP, LLC | Delaware | 0 | 0 | 13 | 24867 | 24867 | 0.18 % | 30/03/2012 |
| HealthCor Hybrid Offshore Master Fund, L.P. | Delaware | 0 | 13 | 24867 | 24867 | 24867 | 0.18 % | 30/03/2012 |
| HealthCor Offshore GP, LLC | Delaware | 0 | 13 | 0 | 412993 | 412993 | 2.97 % | 30/03/2012 |
| HealthCor Offshore Master Fund, L.P. | Delaware | 0 | 13 | 0 | 412993 | 412993 | 2.97 % | 30/03/2012 |
| HealthCor Management, L.P. | Delaware | 0 | 700000 | 0 | 700000 | 700000 | 5.03 % | 30/03/2012 |
| HealthCor Associates, LLC | Delaware | 0 | 700000 | 0 | 700000 | 700000 | 5.03 % | 30/03/2012 |
| HealthCor Capital, L.P. | Delaware | 0 | 162140 | 0 | 162140 | 162140 | 1.17 % | 30/03/2012 |
| HealthCor, L.P. | Delaware | 0 | 162140 | 0 | 162140 | 162140 | 1.17 % | 30/03/2012 |
| HealthCor Long Master GP, LLC | Delaware | 0 | 100000 | 0 | 100000 | 100000 | 0.72 % | 30/03/2012 |
| HealthCor Long Offshore Master Fund, L.P. | Delaware | 0 | 100000 | 0 | 100000 | 100000 | 0.72 % | 30/03/2012 |
| Joseph Healey | Delaware | 0 | 700000 | 0 | 700000 | 700000 | 5.03 % | 30/03/2012 |
| Manish Chapekar | United States | 0 | 58178 | 0 | 10 | 58178 | 0.4 % | 05/03/2010 |
| Howard D. Palefsky | United States | 0 | 1265202 | 0 | 10 | 1265202 | 9.5 % | 05/03/2010 |
| Daniel K. Turner, III | United States | 0 | 1265202 | 0 | 10 | 1265202 | 9.5 % | 05/03/2010 |
| Montreux Equity Partners III SBIC, L.P. | California | 0 | 652318 | 0 | 10 | 652318 | 4.9 % | 05/03/2010 |
| Montreux Equity Partners II SBIC, L.P. | California | 0 | 554706 | 0 | 10 | 554706 | 4.2 % | 05/03/2010 |
| Montreux Equity Management II SBIC, LLC | California | 0 | 554706 | 0 | 10 | 554706 | 4.2 % | 05/03/2010 |
| Montreux IV Associates, L.L.C. | California | 0 | 58178 | 0 | 10 | 58178 | 0.4 % | 05/03/2010 |
| Montreux Equity Management III SBIC, LLC | California | 0 | 652318 | 0 | 10 | 652318 | 4.9 % | 05/03/2010 |
| Montreux Equity Management IV, LLC | California | 0 | 58178 | 0 | 10 | 58178 | 0.4 % | 05/03/2010 |
| John Savarese, M.D. | United States | 0 | 58178 | 0 | 10 | 58178 | 0.4 % | 05/03/2010 |
| Gilbert H. Kliman (a Managing Director of InterWest Management Partners IX, LLC) | United States | 0 | 0 | 0 | 1251808 | 1251808 | 9.4 % | 16/02/2010 |
| Thomas L. Rosch (a Managing Director of InterWest Management Partners IX, LLC) | United States | 0 | 0 | 0 | 1251808 | 1251808 | 9.4 % | 16/02/2010 |
| Harvey B. Cash (a Managing Director of InterWest Management Partners IX, LLC) | United States | 0 | 0 | 0 | 1251808 | 1251808 | 9.4 % | 16/02/2010 |
| W. Stephen Holmes III (a Managing Director of InterWest Management Partners IX, LLC) | United States | 0 | 0 | 0 | 1251808 | 1251808 | 9.4 % | 16/02/2010 |
| Khaled A. Nasr (a Venture Member of InterWest Management Partners IX, LLC) | United States | 0 | 0 | 0 | 1251808 | 1251808 | 9.4 % | 16/02/2010 |
| InterWest Partners IX, LP | United States | 0 | 0 | 0 | 0 | 1251808 | 9.4 % | 16/02/2010 |
| Michael B. Sweeney (a Managing Director of InterWest Management Partners IX, LLC) | United States | 0 | 0 | 0 | 1251808 | 1251808 | 9.4 % | 16/02/2010 |
| InterWest Management Partners IX, LLC (the General Partner of InterWest Partners IX, LP) | United States | 0 | 0 | 0 | 0 | 1251808 | 9.4 % | 16/02/2010 |
| Christopher B. Ehrlich (a Venture Member of InterWest Management Partners IX, LLC) | United States | 0 | 0 | 0 | 1251808 | 1255502 | 9.4 % | 16/02/2010 |
| Arnold L. Oronsky (a Managing Director of InterWest Management Partners IX, LLC) | United States | 0 | 0 | 0 | 1251808 | 1251808 | 9.4 % | 16/02/2010 |
| Philip T. Gianos (a Managing Director of InterWest Management Partners IX, LLC) | United States | 0 | 0 | 0 | 1251808 | 1251808 | 9.4 % | 16/02/2010 |
| Linda S. Grais (a Venture Member of InterWest Management Partners IX, LLC) | United States | 0 | 0 | 0 | 1251808 | 1251808 | 9.4 % | 16/02/2010 |
| Nina S. Kjellson (a Venture Member of InterWest Management Partners IX, LLC) | United States | 0 | 0 | 0 | 1251808 | 1251808 | 9.4 % | 16/02/2010 |
| Bruce A. Cleveland (a Venture Member of InterWest Management Partners IX, LLC) | United States | 0 | 0 | 0 | 1251808 | 1251808 | 9.4 % | 16/02/2010 |
| Douglas A. Pepper (a Venture Member of InterWest Management Partners IX, LLC) | United States | 0 | 0 | 0 | 1251808 | 1251808 | 9.4 % | 16/02/2010 |
| DP V Associates, L.P. | Delaware | 0 | 0 | 0 | 0 | 0 | 0 % | 19/01/2010 |
| Domain Associates, L.L.C. | Delaware | 0 | 0 | 0 | 0 | 0 | 0 % | 19/01/2010 |
| Domain Partners V, L.P. | Delaware | 0 | 0 | 0 | 0 | 0 | 0 % | 19/01/2010 |
| Florian Schönharting | Denmark | 0 | 757688 | 0 | 757688 | 757688 | 5.78 % | 13/10/2009 |
| Christian Hansen | Denmark | 0 | 757688 | 0 | 757688 | 757688 | 5.78 % | 13/10/2009 |
| Cora Madsen | United States | 0 | 757688 | 0 | 757688 | 757688 | 5.78 % | 13/10/2009 |
| ApS | Denmark | 0 | 757688 | 0 | 757688 | 757688 | 5.78 % | 13/10/2009 |
| NB Public Equity K/S | Denmark | 0 | 757688 | 0 | 757688 | 757688 | 5.78 % | 13/10/2009 |
| WILLIAM J. LINK | : | 0 | 0 | 0 | 2074668 | 2074668 | 8.2 % | 12/02/2008 |
| SAMUEL D. COLELLA | : | 0 | 0 | 0 | 2074668 | 2074668 | 8.2 % | 12/02/2008 |
| CHARLES M. WARDEN | : | 0 | 0 | 0 | 2074668 | 2074668 | 8.2 % | 12/02/2008 |
| REBECCA B. ROBERTSON | : | 0 | 0 | 0 | 2074668 | 2074668 | 8.2 % | 12/02/2008 |
| VERSANT VENTURES CAPITAL II, L.P | :: | 0 | 0 | 0 | 0 | 2044744 | 8.1 % | 12/02/2008 |
| DONALD B. MILDER | : | 0 | 0 | 0 | 2074668 | 2074668 | 8.2 % | 12/02/2008 |
| CAMILLE D. SAMUELS | : | 0 | 0 | 0 | 2074668 | 2142881 | 8.5 % | 12/02/2008 |
| BARBARA N. LUBASH | : | 0 | 0 | 0 | 2074668 | 2074668 | 8.2 % | 12/02/2008 |
| BRADLEY J. BOLZON | : | 0 | 0 | 0 | 2074668 | 2074668 | 8.2 % | 12/02/2008 |
| BRIAN G. ATWOOD | : | 0 | 0 | 0 | 2074668 | 2074668 | 8.2 % | 12/02/2008 |
| VERSANT VENTURES II, LLC | : | 0 | 0 | 0 | 0 | 2074668 | 8.2 % | 12/02/2008 |
| VERSANT SIDE FUND II, L.P. | : | 0 | 0 | 0 | 0 | 16211 | 0.06 % | 12/02/2008 |
| VERSANT AFFILIATES FUND II-A, LP | : | 0 | 0 | 0 | 0 | 13713 | 0.05 % | 12/02/2008 |
| ROSS A. JAFFE | : | 0 | 0 | 0 | 2074668 | 2074668 | 8.2 % | 12/02/2008 |
| Sofinnova Venture Affiliates V, L.P. (“SVA V”) | Delaware | 50861 | 50861 | 50861 | 0 | 50861 | 0.2 % | 11/02/2008 |
| Sofinnova Venture Principals V, LP (“SVPr V”) | Delaware | 32451 | 32451 | 32451 | 0 | 32451 | 0.1 % | 11/02/2008 |
| Sofinnova Management V, L.L.C. (“SM V”) | Delaware | 83312 | 2135224 | 83312 | 0 | 2218536 | 8.9 % | 11/02/2008 |
| Sofinnova Management V 2005 L.L.C. (“SMV 2005”) | Delaware | 0 | 2135224 | 0 | 0 | 2135224 | 8.5 % | 11/02/2008 |
| Sofinnova Venture Partners V, L.P. (“SVP V”) | Delaware | 2135224 | 0 | 2135224 | 0 | 2135224 | 8.5 % | 11/02/2008 |
| ACCIPITER LIFE SCIENCES FUND II, LP | DELAWARE | 5012 | 0 | 5012 | 0 | 5012 | 0.02 % | 21/12/2007 |
| FUND II (QP), LP | DELAWARE | 5767 | 0 | 5767 | 0 | 5767 | 0.02 % | 21/12/2007 |
| LP | DELAWARE | 717877 | 0 | 717877 | 0 | 717877 | 2.9 % | 21/12/2007 |
| CAPITAL, LLC | DELAWARE | 0 | 728656 | 0 | 0 | 728656 | 2.9 % | 21/12/2007 |
| ACCIPITER LIFE SCIENCES FUND (OFFSHORE), LTD. | CAYMAN ISLANDS | 716132 | 0 | 716132 | 0 | 716132 | 2.8 % | 21/12/2007 |
| HOFFMAN | USA | 0 | 1454689 | 0 | 0 | 1454689 | 5.8 % | 21/12/2007 |
| CAPITAL MANAGEMENT, LLC | DELAWARE | 0 | 726033 | 0 | 0 | 726033 | 2.9 % | 21/12/2007 |
| ACCIPITER LIFE SCIENCES FUND II (OFFSHORE), LTD. | CAYMAN ISLANDS | 9901 | 0 | 9901 | 0 | 9901 | 0.04 % | 21/12/2007 |
| (ii) | Bermuda | 0 | 800000 | 0 | 800000 | 800000 | 3.4 % | 11/06/2007 |
| (ii) | Bermuda | 0 | 1168159 | 0 | 1168159 | 1168159 | 5.1 % | 20/04/2007 |
| Edward C. Johnson 3d | United States of America | 0 | 0 | 1678163 | 0 | 1678163 | 7.241 % | 14/02/2007 |
| FMR Corp. | Delaware | 0 | 0 | 1678163 | 0 | 1678163 | 7.241 % | 14/02/2007 |
| EIN No.: | : | 0 | 0 | 0 | 0 | 1662864 | 7.18 % | 14/02/2007 |
| EIN No.: | : | 0 | 0 | 0 | 0 | 1662864 | 7.18 % | 14/02/2007 |
| VERSANT VENTURE CAPITAL II, L.P | : | 0 | 0 | 0 | 0 | 2044744 | 8.9 % | 09/02/2007 |
| BRADLEY J. BOLZON | : | 0 | 0 | 0 | 2074668 | 2074668 | 9.1 % | 09/02/2007 |
| BRIAN G. ATWOOD | : | 0 | 0 | 0 | 2074668 | 2074668 | 9.1 % | 09/02/2007 |
| CHARLES M. WARDEN | : | 0 | 0 | 0 | 2074668 | 2074668 | 9.1 % | 09/02/2007 |
| BARBARA N. LUBASH | : | 0 | 0 | 0 | 2074668 | 2074668 | 9.1 % | 09/02/2007 |
| WILLIAM J. LINK | : | 0 | 0 | 0 | 2074668 | 2074668 | 9.1 % | 09/02/2007 |
| ROSS A. JAFFE | : | 0 | 0 | 0 | 2074668 | 2074668 | 9.1 % | 09/02/2007 |
| SAMUEL D. COLELLA | : | 0 | 0 | 0 | 2074668 | 2074668 | 9.1 % | 09/02/2007 |
| REBECCA B. ROBERTSON | : | 0 | 0 | 0 | 2074668 | 2074668 | 9.1 % | 09/02/2007 |
| VERSANT VENTURES II, LLC | : | 0 | 0 | 0 | 0 | 2074668 | 9.1 % | 09/02/2007 |
| DONALD B. MILDER | : | 0 | 0 | 0 | 2074668 | 2074668 | 9.1 % | 09/02/2007 |
| VERSANT SIDE FUND II, L.P. | : | 0 | 0 | 0 | 0 | 16211 | 0.07 % | 09/02/2007 |
| VERSANT AFFILIATES FUND II-A, LP | : | 0 | 0 | 0 | 0 | 13713 | 0.06 % | 09/02/2007 |
| CAMILLE D. SAMUELS | : | 0 | 0 | 0 | 2074668 | 2130381 | 9.3 % | 09/02/2007 |