| (2) |
California |
0 |
678338 |
0 |
678338 |
711766 |
2.8 % |
06/05/2020 |
| (2) |
California |
0 |
678338 |
0 |
678338 |
678338 |
2.6 % |
06/05/2020 |
| Altamont Pharmaceutical Holdings, LLC |
California |
2330000 |
0 |
2330000 |
0 |
2330000 |
14.1 % |
09/07/2018 |
| Amir L. Ecker |
Delaware |
472000 |
325000 |
0 |
0 |
872000 |
9.9 % |
07/11/2017 |
| Carol G. Frankenfield |
Delaware |
25000 |
275000 |
0 |
0 |
872000 |
9.9 % |
07/11/2017 |
| ( |
Delaware |
250000 |
0 |
250000 |
0 |
872000 |
9.9 % |
07/11/2017 |
| John T. Bird |
Delaware |
0 |
345191 |
0 |
0 |
345191 |
5.81 % |
11/10/2017 |
| Neil H. Koffler |
Delaware |
0 |
345191 |
0 |
0 |
345191 |
5.81 % |
11/10/2017 |
| Peter M. Collery |
Delaware |
0 |
345191 |
0 |
0 |
345191 |
5.81 % |
11/10/2017 |
| SC Fundamental Value Fund, L.P. |
Delaware |
0 |
345191 |
0 |
0 |
345191 |
5.81 % |
11/10/2017 |
| SC Fundamental LLC |
Delaware |
0 |
345191 |
0 |
0 |
345191 |
5.81 % |
11/10/2017 |
| David A. Hurwitz |
Delaware |
0 |
345191 |
0 |
0 |
345191 |
5.81 % |
11/10/2017 |
| 10 |
Delaware |
3529412 |
0 |
0 |
0 |
3529412 |
9.43 % |
19/09/2016 |
| Hy BioPharma, Inc. |
Delaware |
1608354 |
0 |
1608354 |
0 |
1608354 |
7.3 % |
03/10/2014 |
| Randal J. Kirk |
United States |
0 |
0 |
0 |
10 |
1034483 |
8.5 % |
09/05/2013 |
| Intrexon Corporation |
Virginia |
0 |
0 |
0 |
10 |
1034483 |
8.5 % |
09/05/2013 |
| BAM Opportunity Fund, L.P. |
Delaware, U.S.A. |
0 |
489130 |
0 |
489130 |
489130 |
0.22 % |
30/01/2012 |
| BAM Opportunity Fund SPV, LLC |
Delaware, U.S.A. |
0 |
0 |
0 |
0 |
0 |
0 % |
30/01/2012 |
| Hal Mintz |
Delaware, U.S.A. |
0 |
489130 |
0 |
489130 |
489130 |
0.22 % |
30/01/2012 |
| BAM Management, LLC |
Delaware, U.S.A. |
0 |
489130 |
0 |
489130 |
489130 |
0.22 % |
30/01/2012 |
| BAM Capital, LLC |
Delaware, U.S.A. |
0 |
0 |
0 |
0 |
0 |
0 % |
30/01/2012 |
| Ross Berman |
Delaware, U.S.A. |
0 |
0 |
0 |
0 |
0 |
0 % |
30/01/2012 |
| Mark Friedman |
Delaware, U.S.A. |
0 |
13793272 |
0 |
0 |
13793272 |
7.38 % |
18/05/2010 |
| Ross Berman |
Delaware, U.S.A. |
0 |
13793272 |
0 |
0 |
13793272 |
7.38 % |
18/05/2010 |
| Hal Mintz |
Delaware, U.S.A. |
0 |
13793272 |
0 |
0 |
13793272 |
7.38 % |
18/05/2010 |
| BAM Opportunity Fund SPV, LLC |
Delaware, U.S.A. |
0 |
12800 |
0 |
0 |
12800 |
0.01 % |
18/05/2010 |
| BAM Opportunity Fund, L.P. |
Delaware, U.S.A. |
0 |
13780472 |
0 |
0 |
13780472 |
7.37 % |
18/05/2010 |
| BAM Capital, LLC |
Delaware, U.S.A. |
0 |
13780472 |
0 |
0 |
13780472 |
7.37 % |
18/05/2010 |
| BAM Management, LLC |
Delaware, U.S.A. |
0 |
13793272 |
0 |
0 |
13793272 |
7.38 % |
18/05/2010 |
| AM Investment Partners, LLC |
Delaware, U.S.A. |
0 |
13793272 |
0 |
0 |
13793272 |
7.38 % |
18/05/2010 |
| Adam Stern |
Delaware, U.S.A. |
0 |
13793272 |
0 |
0 |
13793272 |
7.38 % |
18/05/2010 |
| Hal Mintz |
United States of America |
0 |
9298076 |
0 |
0 |
9298076 |
5.01 % |
30/11/2009 |
| BAM Capital, LLC |
Delaware, U.S.A. |
0 |
9298076 |
0 |
0 |
9298076 |
5.01 % |
30/11/2009 |
| BAM Management, LLC |
Delaware, U.S.A. |
0 |
9298076 |
0 |
0 |
9298076 |
5.01 % |
30/11/2009 |
| BAM Opportunity Fund, L.P. |
Delaware, U.S.A. |
0 |
9298076 |
0 |
0 |
9298076 |
5.01 % |
30/11/2009 |
| Ross Berman |
United States of America |
0 |
9298076 |
0 |
0 |
9298076 |
5.01 % |
30/11/2009 |
| 20-0975900 |
: |
0 |
0 |
0 |
0 |
8510638 |
9.94 % |
16/02/2007 |
| 20-0975910 |
: |
0 |
0 |
0 |
0 |
8510638 |
9.94 % |
16/02/2007 |
| 20-1095514 |
: |
0 |
0 |
0 |
0 |
8510638 |
9.94 % |
16/02/2007 |
| 20-1064783 |
: |
0 |
0 |
0 |
0 |
8510638 |
9.94 % |
16/02/2007 |
| Robert W. Butts |
: |
0 |
0 |
0 |
0 |
8510638 |
9.94 % |
16/02/2007 |
| John S. Clark II |
: |
0 |
0 |
0 |
0 |
8510638 |
9.94 % |
16/02/2007 |
| International S.A. |
Luxembourg |
4065041 |
0 |
4065041 |
0 |
4065041 |
5.58 % |
12/01/2007 |
| Cavazza |
Italy |
1546870 |
4065041 |
1546870 |
0 |
5611911 |
7.7 % |
12/01/2007 |
| Finanzaria S.p.A. |
Italy |
4065041 |
0 |
4065041 |
0 |
4065041 |
5.58 % |
12/01/2007 |
| Cavazza |
Italy |
0 |
4065041 |
0 |
0 |
4065041 |
5.58 % |
12/01/2007 |
| Pharmaceuticals, Inc. |
Jersey |
4065041 |
0 |
4065041 |
0 |
4065041 |
5.58 % |
12/01/2007 |
| Holding America, Inc. |
Nevada |
4065041 |
0 |
4065041 |
0 |
4065041 |
5.58 % |
12/01/2007 |
| America S.A. |
Luxembourg |
4065041 |
0 |
4065041 |
0 |
4065041 |
5.58 % |
12/01/2007 |
| America S.A. |
Luxembourg |
4065041 |
0 |
4065041 |
0 |
4065041 |
5.58 % |
12/01/2007 |
| Holding America, Inc. |
Nevada |
4065041 |
0 |
4065041 |
0 |
4065041 |
5.58 % |
12/01/2007 |
| Cavazza |
Italy |
1546870 |
4065041 |
1546870 |
0 |
5611911 |
7.7 % |
12/01/2007 |
| Cavazza |
Italy |
0 |
4065041 |
0 |
0 |
4065041 |
5.58 % |
12/01/2007 |
| Finanzaria S.p.A. |
Italy |
4065041 |
0 |
4065041 |
0 |
4065041 |
5.58 % |
12/01/2007 |
| International S.A. |
Luxembourg |
4065041 |
0 |
4065041 |
0 |
4065041 |
5.58 % |
12/01/2007 |
| Pharmaceuticals, Inc. |
Jersey |
4065041 |
0 |
4065041 |
0 |
4065041 |
5.58 % |
12/01/2007 |
| Cavazza |
Italy |
0 |
4065041 |
0 |
0 |
4065041 |
5.58 % |
12/01/2007 |
| International S.A. |
Luxembourg |
4065041 |
0 |
4065041 |
0 |
4065041 |
5.58 % |
12/01/2007 |
| America S.A. |
Luxembourg |
4065041 |
0 |
4065041 |
0 |
4065041 |
5.58 % |
12/01/2007 |
| Cavazza |
Italy |
1546870 |
4065041 |
1546870 |
0 |
5611911 |
7.7 % |
12/01/2007 |
| Pharmaceuticals, Inc. |
Jersey |
4065041 |
0 |
4065041 |
0 |
4065041 |
5.58 % |
12/01/2007 |
| Holding America, Inc. |
Nevada |
4065041 |
0 |
4065041 |
0 |
4065041 |
5.58 % |
12/01/2007 |
| Finanzaria S.p.A. |
Italy |
4065041 |
0 |
4065041 |
0 |
4065041 |
5.58 % |
12/01/2007 |
| Cavazza |
Italy |
1546870 |
4065041 |
1546870 |
0 |
5611911 |
7.7 % |
12/01/2007 |
| Cavazza |
Italy |
0 |
4065041 |
0 |
0 |
4065041 |
5.58 % |
12/01/2007 |
| America S.A. |
Luxembourg |
4065041 |
0 |
4065041 |
0 |
4065041 |
5.58 % |
12/01/2007 |
| Holding America, Inc. |
Nevada |
4065041 |
0 |
4065041 |
0 |
4065041 |
5.58 % |
12/01/2007 |
| Pharmaceuticals, Inc. |
Jersey |
4065041 |
0 |
4065041 |
0 |
4065041 |
5.58 % |
12/01/2007 |
| International S.A. |
Luxembourg |
4065041 |
0 |
4065041 |
0 |
4065041 |
5.58 % |
12/01/2007 |
| Finanzaria S.p.A. |
Italy |
4065041 |
0 |
4065041 |
0 |
4065041 |
5.58 % |
12/01/2007 |
| Finanzaria S.p.A. |
Italy |
4065041 |
0 |
4065041 |
0 |
4065041 |
5.58 % |
12/01/2007 |
| Cavazza |
Italy |
0 |
4065041 |
0 |
0 |
4065041 |
5.58 % |
12/01/2007 |
| Holding America, Inc. |
Nevada |
4065041 |
0 |
4065041 |
0 |
4065041 |
5.58 % |
12/01/2007 |
| America S.A. |
Luxembourg |
4065041 |
0 |
4065041 |
0 |
4065041 |
5.58 % |
12/01/2007 |
| Cavazza |
Italy |
1546870 |
4065041 |
1546870 |
0 |
5611911 |
7.7 % |
12/01/2007 |
| International S.A. |
Luxembourg |
4065041 |
0 |
4065041 |
0 |
4065041 |
5.58 % |
12/01/2007 |
| Pharmaceuticals, Inc. |
Jersey |
4065041 |
0 |
4065041 |
0 |
4065041 |
5.58 % |
12/01/2007 |
| Cavazza |
Italy |
0 |
4065041 |
0 |
0 |
4065041 |
5.58 % |
12/01/2007 |
| Finanzaria S.p.A. |
Italy |
4065041 |
0 |
4065041 |
0 |
4065041 |
5.58 % |
12/01/2007 |
| Holding America, Inc. |
Nevada |
4065041 |
0 |
4065041 |
0 |
4065041 |
5.58 % |
12/01/2007 |
| Pharmaceuticals, Inc. |
Jersey |
4065041 |
0 |
4065041 |
0 |
4065041 |
5.58 % |
12/01/2007 |
| America S.A. |
Luxembourg |
4065041 |
0 |
4065041 |
0 |
4065041 |
5.58 % |
12/01/2007 |
| Cavazza |
Italy |
1546870 |
4065041 |
1546870 |
0 |
5611911 |
7.7 % |
12/01/2007 |
| International S.A. |
Luxembourg |
4065041 |
0 |
4065041 |
0 |
4065041 |
5.58 % |
12/01/2007 |
| Cavazza |
Italy |
0 |
4065041 |
0 |
0 |
4065041 |
5.58 % |
12/01/2007 |
| Finanzaria S.p.A. |
Italy |
4065041 |
0 |
4065041 |
0 |
4065041 |
5.58 % |
12/01/2007 |
| International S.A. |
Luxembourg |
4065041 |
0 |
4065041 |
0 |
4065041 |
5.58 % |
12/01/2007 |
| America S.A. |
Luxembourg |
4065041 |
0 |
4065041 |
0 |
4065041 |
5.58 % |
12/01/2007 |
| Holding America, Inc. |
Nevada |
4065041 |
0 |
4065041 |
0 |
4065041 |
5.58 % |
12/01/2007 |
| Cavazza |
Italy |
1546870 |
4065041 |
1546870 |
0 |
5611911 |
7.7 % |
12/01/2007 |
| Pharmaceuticals, Inc. |
Jersey |
4065041 |
0 |
4065041 |
0 |
4065041 |
5.58 % |
12/01/2007 |
| Elliot Bossen |
United States of America |
3521000 |
0 |
3521000 |
0 |
3521000 |
5.02 % |
03/10/2006 |
| ARIES SELECT, LTD. |
CAYMAN ISLANDS |
0 |
0 |
0 |
0 |
0 |
0 % |
11/02/2005 |
| LINDSAY A. ROSENWALD, M.D. |
UNITED STATES |
0 |
120791 |
0 |
120791 |
120791 |
0.3 % |
11/02/2005 |
| ARIES SELECT I LLC |
DELAWARE |
0 |
0 |
0 |
0 |
0 |
0 % |
11/02/2005 |
| ARIES SELECT II LLC |
DELAWARE |
0 |
0 |
0 |
0 |
0 |
0 % |
11/02/2005 |
| PARAMOUNT BIOCAPITAL ASSET MANAGEMENT, INC. |
DELAWARE |
0 |
0 |
0 |
0 |
0 |
0 % |
11/02/2005 |
| Elliot Bossen |
United States of America |
0 |
3468750 |
0 |
3468750 |
3468750 |
6.69 % |
11/02/2005 |
| Silverback Master, Ltd. |
Cayman Islands |
0 |
2775000 |
0 |
2775000 |
2775000 |
5.35 % |
11/02/2005 |
| Silverback Asset Management, LLC |
Delaware |
0 |
3468750 |
0 |
3468750 |
3468750 |
6.69 % |
11/02/2005 |
| LESTER E. LIPSCHUTZ |
United States |
0 |
0 |
2200172 |
0 |
2200172 |
11 % |
10/02/2005 |
| LESTER E. LIPSCHUTZ |
United States |
2842172 |
0 |
2842172 |
0 |
2842172 |
11 % |
17/12/2004 |
| Rule 13d-1(k) |
United States of America |
0 |
2531646 |
0 |
2531646 |
2531646 |
6.5 % |
18/03/2004 |