Zogenix, Inc. ZGNX
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 |
|---|---|---|---|---|---|---|---|---|
| Peter Kolchinsky | United States of America | 0 | 0 | 0 | 0 | 0 | 0 % | 16/05/2022 |
| RA Capital Management, L.P. | Delaware | 0 | 0 | 0 | 0 | 0 | 0 % | 16/05/2022 |
| Peter Kolchinsky | United States of America | 0 | 0 | 0 | 0 | 0 | 0 % | 16/05/2022 |
| RA Capital Management, L.P. | Delaware | 0 | 0 | 0 | 0 | 0 | 0 % | 16/05/2022 |
| RA Capital Healthcare Fund, L.P. | Delaware | 0 | 0 | 0 | 0 | 0 | 0 % | 16/05/2022 |
| Rajeev Shah | United States of America | 0 | 0 | 0 | 0 | 0 | 0 % | 16/05/2022 |
| RA Capital Healthcare Fund, L.P. | Delaware | 0 | 0 | 0 | 0 | 0 | 0 % | 16/05/2022 |
| Rajeev Shah | United States of America | 0 | 0 | 0 | 0 | 0 | 0 % | 16/05/2022 |
| Corbin Hedged Equity Fund, L.P. | Delaware | 0 | 163052 | 0 | 163052 | 163052 | 0.29 % | 11/03/2022 |
| Delaware Domiciled Single Investor Limited Partnership – 101 | Delaware | 0 | 622468 | 0 | 622468 | 622468 | 1.11 % | 11/03/2022 |
| Clint D. Carlson | United States | 0 | 4000000 | 0 | 4000000 | 4000000 | 7.11 % | 11/03/2022 |
| Asgard Investment Corp. II | Delaware | 0 | 4000000 | 0 | 4000000 | 4000000 | 7.11 % | 11/03/2022 |
| Carlson Capital, L.P. | Delaware | 0 | 4000000 | 0 | 4000000 | 4000000 | 7.11 % | 11/03/2022 |
| Double Black Diamond Offshore Ltd. | Cayman Islands | 0 | 746927 | 0 | 746927 | 746927 | 1.33 % | 11/03/2022 |
| Black Diamond Arbitrage Offshore Ltd. | Cayman Islands | 0 | 2467553 | 0 | 2467553 | 2467553 | 4.39 % | 11/03/2022 |
| Peter Kolchinsky | United States America | 0 | 3333700 | 0 | 3333700 | 3333700 | 6 % | 14/02/2022 |
| RA Capital Healthcare Fund, L.P. | Delaware | 0 | 3333700 | 0 | 3333700 | 3333700 | 6 % | 14/02/2022 |
| RA Capital Management, L.P. | Delaware | 0 | 3333700 | 0 | 3333700 | 3333700 | 6 % | 14/02/2022 |
| RA Capital Healthcare Fund, L.P. | Delaware | 0 | 3333700 | 0 | 3333700 | 3333700 | 6 % | 14/02/2022 |
| Rajeev Shah | United States America | 0 | 3333700 | 0 | 3333700 | 3333700 | 6 % | 14/02/2022 |
| Peter Kolchinsky | United States America | 0 | 3333700 | 0 | 3333700 | 3333700 | 6 % | 14/02/2022 |
| RA Capital Management, L.P. | Delaware | 0 | 3333700 | 0 | 3333700 | 3333700 | 6 % | 14/02/2022 |
| Rajeev Shah | United States America | 0 | 3333700 | 0 | 3333700 | 3333700 | 6 % | 14/02/2022 |
| Eric Bannasch | United States America | 0 | 4240846 | 0 | 4240846 | 4240846 | 7.6 % | 14/02/2022 |
| Cadian Capital Management GP, LLC | Delaware | 0 | 4240846 | 0 | 4240846 | 4240846 | 7.6 % | 14/02/2022 |
| Cadian Capital Management, LP | Delaware | 0 | 4240846 | 0 | 4240846 | 4240846 | 7.6 % | 14/02/2022 |
| Morgan Stanley Capital Services LLC | Delaware. | 0 | 3580649 | 0 | 3580649 | 3580649 | 6.4 % | 11/02/2022 |
| Morgan Stanley | Delaware. | 0 | 3650913 | 0 | 3696860 | 3696860 | 6.6 % | 11/02/2022 |
| The Vanguard Group | Pennsylvania For | 0 | 42871 | 3872922 | 85857 | 3958779 | 7.07 % | 10/02/2022 |
| Franklin Advisers, Inc. | California | 3209857 | 0 | 3209857 | 0 | 3209857 | 5.7 % | 03/02/2022 |
| Rupert H. Johnson, Jr. | USA | 4 | 4 | 4 | 4 | 3210788 | 5.7 % | 03/02/2022 |
| Charles B. Johnson | USA | 4 | 4 | 4 | 4 | 3210788 | 5.7 % | 03/02/2022 |
| Franklin Resources, Inc. | Delaware | 4 | 4 | 4 | 4 | 3210788 | 5.7 % | 03/02/2022 |
| BlackRock, Inc. | Delaware | 5402285 | 0 | 5734099 | 0 | 5734099 | 10.2 % | 27/01/2022 |
| BlackRock, Inc. | Delaware | 5433809 | 0 | 5734099 | 0 | 5734099 | 10.2 % | 26/01/2022 |
| BlackRock, Inc. | Delaware | 5360637 | 0 | 5678868 | 0 | 5678868 | 10.2 % | 12/07/2021 |
| RA Capital Healthcare Fund, L.P. | United States | 0 | 4923421 | 0 | 4923421 | 4923421 | 8.8 % | 16/02/2021 |
| Peter Kolchinsky | United States | 0 | 5345631 | 0 | 5345631 | 5345631 | 9.6 % | 16/02/2021 |
| RA Capital Healthcare Fund, L.P. | United States | 0 | 4923421 | 0 | 4923421 | 4923421 | 8.8 % | 16/02/2021 |
| Rajeev Shah | United States | 0 | 5345631 | 0 | 5345631 | 5345631 | 9.6 % | 16/02/2021 |
| Peter Kolchinsky | United States | 0 | 5345631 | 0 | 5345631 | 5345631 | 9.6 % | 16/02/2021 |
| RA Capital Management, L.P. | Delaware | 0 | 5345631 | 0 | 5345631 | 5345631 | 9.6 % | 16/02/2021 |
| RA Capital Management, L.P. | Delaware | 0 | 5345631 | 0 | 5345631 | 5345631 | 9.6 % | 16/02/2021 |
| Rajeev Shah | United States | 0 | 5345631 | 0 | 5345631 | 5345631 | 9.6 % | 16/02/2021 |
| Perceptive Advisors LLC | Delaware | 0 | 0 | 0 | 0 | 0 | 0 % | 16/02/2021 |
| Joseph Edelman | United States of America | 0 | 0 | 0 | 0 | 0 | 0 % | 16/02/2021 |
| Perceptive Life Sciences Master Fund, Ltd. | Cayman Islands | 0 | 0 | 0 | 0 | 0 | 0 % | 16/02/2021 |
| Cadian Capital Management GP, LLC | Delaware | 0 | 5271016 | 0 | 5271016 | 5271016 | 9.5 % | 12/02/2021 |
| Eric Bannasch | United States of America | 0 | 5271016 | 0 | 5271016 | 5271016 | 9.5 % | 12/02/2021 |
| Cadian Capital Management, LP | Delaware | 0 | 5271016 | 0 | 5271016 | 5271016 | 9.5 % | 12/02/2021 |
| Eventide Asset Management, LLC | 0 | 0 | 0 % | 12/02/2021 | ||||
| Eventide Asset Management, LLC | 0 | 0 | 0 % | 12/02/2021 | ||||
| Morgan Stanley | Delaware. | 0 | 3200352 | 0 | 3236165 | 3236165 | 5.8 % | 12/02/2021 |
| Morgan Stanley Capital Services LLC | Delaware. | 0 | 3080681 | 0 | 3080681 | 3080681 | 5.5 % | 12/02/2021 |
| The Vanguard Group | Pennsylvania For | 0 | 128671 | 3941629 | 171483 | 4113112 | 7.39 % | 10/02/2021 |
| BlackRock, Inc. | Delaware | 4591519 | 0 | 4674689 | 0 | 4674689 | 8.4 % | 01/02/2021 |
| Morgan Stanley | Delaware. | 2770528 | 0 | 2804286 | 2804286 | 5 % | 10/12/2020 | |
| Abigail P. Johnson | United States of America | 0 | 0 | 2672829 | 0 | 2672829 | 4.853 % | 10/04/2020 |
| FMR LLC | Delaware | 45070 | 0 | 2672829 | 0 | 2672829 | 4.853 % | 10/04/2020 |
| Abigail P. Johnson | United States of America | 0 | 0 | 2672829 | 0 | 2672829 | 4.853 % | 10/04/2020 |
| FMR LLC | Delaware | 45070 | 0 | 2672829 | 0 | 2672829 | 4.853 % | 10/04/2020 |
| Perceptive Life Sciences Master Fund, Ltd. | Cayman Islands | 0 | 3709152 | 0 | 3709152 | 3709152 | 8.4 % | 14/02/2020 |
| Joseph Edelman | United States of America | 0 | 3709152 | 0 | 3709152 | 3709152 | 8.4 % | 14/02/2020 |
| Perceptive Advisors LLC | Delaware | 0 | 3709152 | 0 | 3709152 | 3709152 | 8.4 % | 14/02/2020 |
| RA Capital Management, L.P. | Delaware | 0 | 2260751 | 0 | 2260751 | 2260751 | 5.1 % | 14/02/2020 |
| Peter Kolchinsky | United States | 0 | 2260751 | 0 | 2260751 | 2260751 | 5.1 % | 14/02/2020 |
| RA Capital Management, L.P. | Delaware | 0 | 2260751 | 0 | 2260751 | 2260751 | 5.1 % | 14/02/2020 |
| Rajeev Shah | United States | 0 | 2260751 | 0 | 2260751 | 2260751 | 5.1 % | 14/02/2020 |
| Peter Kolchinsky | United States | 0 | 2260751 | 0 | 2260751 | 2260751 | 5.1 % | 14/02/2020 |
| Rajeev Shah | United States | 0 | 2260751 | 0 | 2260751 | 2260751 | 5.1 % | 14/02/2020 |
| Great Point Partners, LLC | USA | 0 | 670000 | 0 | 670000 | 0 | 1.51 % | 14/02/2020 |
| Dr. Jeffrey R. Jay, M.D. | USA | 0 | 670000 | 0 | 670000 | 0 | 1.51 % | 14/02/2020 |
| Mr. David Kroin | USA | 0 | 670000 | 0 | 670000 | 0 | 1.51 % | 14/02/2020 |
| Great Point Partners, LLC | USA | 0 | 670000 | 0 | 670000 | 0 | 1.51 % | 14/02/2020 |
| Mr. David Kroin | USA | 0 | 670000 | 0 | 670000 | 0 | 1.51 % | 14/02/2020 |
| Dr. Jeffrey R. Jay, M.D. | USA | 0 | 670000 | 0 | 670000 | 0 | 1.51 % | 14/02/2020 |
| Cadian Capital Management, LP | Delaware | 0 | 2177056 | 0 | 2177056 | 2177056 | 4.9 % | 13/02/2020 |
| Cadian Capital Management GP, LLC | Delaware | 0 | 2177056 | 0 | 2177056 | 2177056 | 4.9 % | 13/02/2020 |
| Eric Bannasch | United States America | 0 | 2177056 | 0 | 2177056 | 2177056 | 4.9 % | 13/02/2020 |
| The Vanguard Group | Pennsylvania | 88366 | 8124 | 3086056 | 91920 | 3177976 | 7.18 % | 11/02/2020 |
| The Vanguard Group | Pennsylvania | 88366 | 8124 | 3086056 | 91920 | 3177976 | 7.18 % | 11/02/2020 |
| FMR LLC | Delaware | 320930 | 0 | 6638208 | 0 | 6638208 | 14.999 % | 07/02/2020 |
| FMR LLC | Delaware | 320930 | 0 | 6638208 | 0 | 6638208 | 14.999 % | 07/02/2020 |
| Abigail P. Johnson | United States of America | 0 | 0 | 6638208 | 0 | 6638208 | 14.999 % | 07/02/2020 |
| Abigail P. Johnson | United States of America | 0 | 0 | 6638208 | 0 | 6638208 | 14.999 % | 07/02/2020 |
| BlackRock, Inc. | Delaware | 3462485 | 0 | 3534636 | 0 | 3534636 | 8 % | 06/02/2020 |
| Eventide Asset Management, LLC | 2841300 | 2841300 | 6.4 % | 04/02/2020 | ||||
| Eventide Asset Management, LLC | 2841300 | 2841300 | 6.4 % | 04/02/2020 | ||||
| Scopia Capital Management LP | Delaware | 0 | 919484 | 0 | 919484 | 919484 | 2.1 % | 10/01/2020 |
| Scopia Management, Inc. | New York | 0 | 919484 | 0 | 919484 | 919484 | 2.1 % | 10/01/2020 |
| Jeremy Mindich | United States | 0 | 919484 | 0 | 919484 | 919484 | 2.1 % | 10/01/2020 |
| Scopia Management, Inc. | New York | 0 | 919484 | 0 | 919484 | 919484 | 2.1 % | 10/01/2020 |
| Matthew Sirovich | United States | 0 | 919484 | 0 | 919484 | 919484 | 2.1 % | 10/01/2020 |
| Scopia Capital Management LP | Delaware | 0 | 919484 | 0 | 919484 | 919484 | 2.1 % | 10/01/2020 |
| Jeremy Mindich | United States | 0 | 919484 | 0 | 919484 | 919484 | 2.1 % | 10/01/2020 |
| Matthew Sirovich | United States | 0 | 919484 | 0 | 919484 | 919484 | 2.1 % | 10/01/2020 |
| Dr. Jeffrey R. Jay, M.D. | USA | 0 | 2250000 | 0 | 2250000 | 2250000 | 5.3 % | 16/09/2019 |
| Great Point Partners, LLC | USA | 0 | 2250000 | 0 | 2250000 | 2250000 | 5.3 % | 16/09/2019 |
| Mr. David Kroin | USA | 0 | 2250000 | 0 | 2250000 | 2250000 | 5.3 % | 16/09/2019 |
| Dr. Jeffrey R. Jay, M.D. | USA | 0 | 2250000 | 0 | 2250000 | 2250000 | 5.3 % | 16/09/2019 |
| Mr. David Kroin | USA | 0 | 2250000 | 0 | 2250000 | 2250000 | 5.3 % | 16/09/2019 |
| Great Point Partners, LLC | USA | 0 | 2250000 | 0 | 2250000 | 2250000 | 5.3 % | 16/09/2019 |
| MBC Investments Corporation | Delaware | 1450093 | 0 | 1442305 | 54159 | 1549653 | 3.65 % | 10/04/2019 |
| BNY Mellon IHC, LLC | New York | 1450093 | 0 | 1442305 | 54159 | 1549653 | 3.65 % | 10/04/2019 |
| The Bank of New York Mellon Corporation | New York | 1756885 | 520 | 1746917 | 56859 | 1856965 | 4.38 % | 10/04/2019 |
| RA Capital Management, LLC | Massachusetts | 0 | 2382168 | 0 | 2382168 | 2382168 | 5.7 % | 14/02/2019 |
| Peter Kolchinsky | United States | 0 | 2382168 | 0 | 2382168 | 2382168 | 5.7 % | 14/02/2019 |
| RA Capital Management, LLC | Massachusetts | 0 | 2382168 | 0 | 2382168 | 2382168 | 5.7 % | 14/02/2019 |
| Peter Kolchinsky | United States | 0 | 2382168 | 0 | 2382168 | 2382168 | 5.7 % | 14/02/2019 |
| Perceptive Life Sciences Master Fund, Ltd. | Cayman Islands | 0 | 3790216 | 0 | 3790216 | 3790216 | 9 % | 14/02/2019 |
| Perceptive Advisors LLC | Delaware | 0 | 3790216 | 0 | 3790216 | 3790216 | 9 % | 14/02/2019 |
| Joseph Edelman | United States America | 0 | 3790216 | 0 | 3790216 | 3790216 | 9 % | 14/02/2019 |
| Eric Bannasch | United States of America | 0 | 2718946 | 0 | 2718946 | 2718946 | 6.5 % | 13/02/2019 |
| Cadian Capital Management GP, LLC | Delaware | 0 | 2718946 | 0 | 2718946 | 2718946 | 6.5 % | 13/02/2019 |
| Cadian Capital Management, LP | Delaware | 0 | 2718946 | 0 | 2718946 | 2718946 | 6.5 % | 13/02/2019 |
| BlackRock, Inc. | Delaware | 3458241 | 0 | 3582746 | 0 | 3582746 | 8.5 % | 06/02/2019 |
| The Bank of New York Mellon Corporation | New York | 2341786 | 0 | 2360283 | 75125 | 2509486 | 5.98 % | 04/02/2019 |
| MBC Investments Corporation | Delaware | 2006007 | 0 | 2024504 | 75125 | 2173707 | 5.18 % | 04/02/2019 |
| BNY Mellon IHC, LLC | New York | 2006007 | 0 | 2024504 | 75125 | 2173707 | 5.18 % | 04/02/2019 |
| Scopia Management, Inc. | New York | 0 | 2985834 | 0 | 2985834 | 2985834 | 7.1 % | 10/01/2019 |
| Matthew Sirovich | United States | 0 | 2985834 | 0 | 2985834 | 2985834 | 7.1 % | 10/01/2019 |
| Jeremy Mindich | United States | 0 | 2985834 | 0 | 2985834 | 2985834 | 7.1 % | 10/01/2019 |
| Scopia Capital Management LP | Delaware | 0 | 2985834 | 0 | 2985834 | 2985834 | 7.1 % | 10/01/2019 |
| Scopia Management, Inc. | New York | 0 | 2985834 | 0 | 2985834 | 2985834 | 7.1 % | 10/01/2019 |
| Matthew Sirovich | United States | 0 | 2985834 | 0 | 2985834 | 2985834 | 7.1 % | 10/01/2019 |
| Jeremy Mindich | United States | 0 | 2985834 | 0 | 2985834 | 2985834 | 7.1 % | 10/01/2019 |
| Scopia Capital Management LP | Delaware | 0 | 2985834 | 0 | 2985834 | 2985834 | 7.1 % | 10/01/2019 |
| Scopia Management, Inc. | New York | 0 | 5306514 | 0 | 5306514 | 5306514 | 12.7 % | 10/09/2018 |
| Scopia Capital Management LP | Delaware | 0 | 5306514 | 0 | 5306514 | 5306514 | 12.7 % | 10/09/2018 |
| Matthew Sirovich | United States | 0 | 5306514 | 0 | 5306514 | 5306514 | 12.7 % | 10/09/2018 |
| Matthew Sirovich | United States | 0 | 5306514 | 0 | 5306514 | 5306514 | 12.7 % | 10/09/2018 |
| Jeremy Mindich | United States | 0 | 5306514 | 0 | 5306514 | 5306514 | 12.7 % | 10/09/2018 |
| Jeremy Mindich | United States | 0 | 5306514 | 0 | 5306514 | 5306514 | 12.7 % | 10/09/2018 |
| Scopia Management, Inc. | New York | 0 | 5306514 | 0 | 5306514 | 5306514 | 12.7 % | 10/09/2018 |
| Scopia Capital Management LP | Delaware | 0 | 5306514 | 0 | 5306514 | 5306514 | 12.7 % | 10/09/2018 |
| William T. Walters | USA | 800000 | 800000 | 800000 | 2.3 % | 14/02/2018 | ||
| Susan B. Walters | USA | 800000 | 800000 | 800000 | 2.3 % | 14/02/2018 | ||
| Scopia Capital Management LP | Delaware | 0 | 3420599 | 0 | 3420599 | 3420599 | 9.9 % | 14/02/2018 |
| Matthew Sirovich | United States | 0 | 3420599 | 0 | 3420599 | 3420599 | 9.9 % | 14/02/2018 |
| Jeremy Mindich | United States | 0 | 3420599 | 0 | 3420599 | 3420599 | 9.9 % | 14/02/2018 |
| Scopia Management, Inc. | New York | 0 | 3420599 | 0 | 3420599 | 3420599 | 9.9 % | 14/02/2018 |
| Matthew Sirovich | United States | 0 | 3420599 | 0 | 3420599 | 3420599 | 9.9 % | 14/02/2018 |
| Jeremy Mindich | United States | 0 | 3420599 | 0 | 3420599 | 3420599 | 9.9 % | 14/02/2018 |
| Scopia Management, Inc. | New York | 0 | 3420599 | 0 | 3420599 | 3420599 | 9.9 % | 14/02/2018 |
| Scopia Capital Management LP | Delaware | 0 | 3420599 | 0 | 3420599 | 3420599 | 9.9 % | 14/02/2018 |
| Peter Kolchinsky | United States | 0 | 1145268 | 0 | 1145268 | 1145268 | 3.3 % | 14/02/2018 |
| RA Capital Management, LLC | Massachusetts | 0 | 1145268 | 0 | 1145268 | 1145268 | 3.3 % | 14/02/2018 |
| Peter Kolchinsky | United States | 0 | 1145268 | 0 | 1145268 | 1145268 | 3.3 % | 14/02/2018 |
| RA Capital Management, LLC | Massachusetts | 0 | 1145268 | 0 | 1145268 | 1145268 | 3.3 % | 14/02/2018 |
| Great Point Partners, LLC | USA | 0 | 1121331 | 0 | 1121331 | 1121331 | 3.27 % | 14/02/2018 |
| Mr. David Kroin | USA | 0 | 1121331 | 0 | 1121331 | 1121331 | 3.27 % | 14/02/2018 |
| Great Point Partners, LLC | USA | 0 | 1121331 | 0 | 1121331 | 1121331 | 3.27 % | 14/02/2018 |
| Dr. Jeffrey R. Jay, M.D. | USA | 0 | 1121331 | 0 | 1121331 | 1121331 | 3.27 % | 14/02/2018 |
| Mr. David Kroin | USA | 0 | 1121331 | 0 | 1121331 | 1121331 | 3.27 % | 14/02/2018 |
| Dr. Jeffrey R. Jay, M.D. | USA | 0 | 1121331 | 0 | 1121331 | 1121331 | 3.27 % | 14/02/2018 |
| Joseph Edelman | United States America | 0 | 3970357 | 0 | 3970357 | 3970357 | 11.6 % | 14/02/2018 |
| Perceptive Life Sciences Master Fund, Ltd. | Cayman Islands | 0 | 3970357 | 0 | 3970357 | 3970357 | 11.6 % | 14/02/2018 |
| Perceptive Advisors LLC | Delaware | 0 | 3970357 | 0 | 3970357 | 3970357 | 11.6 % | 14/02/2018 |
| BlackRock, Inc. | Delaware | 2589998 | 0 | 2656444 | 0 | 2656444 | 7.8 % | 23/01/2018 |
| FMR LLC | Delaware | 0 | 0 | 1006724 | 0 | 1006724 | 4.052 % | 11/09/2017 |
| FMR LLC | Delaware | 0 | 0 | 1006724 | 0 | 1006724 | 4.052 % | 11/09/2017 |
| Abigail P. Johnson | United States of America | 0 | 0 | 1006724 | 0 | 1006724 | 4.052 % | 11/09/2017 |
| Abigail P. Johnson | United States of America | 0 | 0 | 1006724 | 0 | 1006724 | 4.052 % | 11/09/2017 |
| Thomas R. Donahue | 1176900 | 1176900 | 1176900 | 4.74 % | 09/08/2017 | |||
| (entities only Federated Investors, Inc. | 1176900 | 1176900 | 1176900 | 4.74 % | 09/08/2017 | |||
| Voting Shares Irrevocable Trust | 1176900 | 1176900 | 1176900 | 4.74 % | 09/08/2017 | |||
| J. Christopher Donahue | 1176900 | 1176900 | 1176900 | 4.74 % | 09/08/2017 | |||
| Rhodora J. Donahue | 1176900 | 1176900 | 1176900 | 4.74 % | 09/08/2017 | |||
| Joseph Edelman | United States of America | 0 | 3448302 | 0 | 3448302 | 3448302 | 13.89 % | 09/05/2017 |
| Perceptive Life Sciences Master Fund, Ltd. | Cayman Islands | 0 | 3272649 | 0 | 3272649 | 3272649 | 13.18 % | 09/05/2017 |
| Perceptive Advisors LLC | Delaware, United States of America | 0 | 3448302 | 0 | 3448302 | 3448302 | 13.89 % | 09/05/2017 |
| Joseph Edelman | United States of America | 0 | 3448302 | 0 | 3448302 | 3448302 | 13.89 % | 09/05/2017 |
| Perceptive Advisors LLC | Delaware, United States of America | 0 | 3448302 | 0 | 3448302 | 3448302 | 13.89 % | 09/05/2017 |
| Perceptive Life Sciences Master Fund, Ltd. | Cayman Islands | 0 | 3272649 | 0 | 3272649 | 3272649 | 13.18 % | 09/05/2017 |
| Joseph Edelman | United States of America | 0 | 1355302 | 0 | 1355302 | 1355302 | 5.46 % | 22/02/2017 |
| Perceptive Advisors LLC | Delaware, United States of America | 0 | 1355302 | 0 | 1355302 | 1355302 | 5.46 % | 22/02/2017 |
| Perceptive Life Sciences Master Fund, Ltd. | Cayman Islands | 0 | 1282718 | 0 | 1282718 | 1282718 | 5.17 % | 22/02/2017 |
| Joseph Edelman | United States of America | 0 | 1355302 | 0 | 1355302 | 1355302 | 5.46 % | 22/02/2017 |
| Perceptive Advisors LLC | Delaware, United States of America | 0 | 1355302 | 0 | 1355302 | 1355302 | 5.46 % | 22/02/2017 |
| Perceptive Life Sciences Master Fund, Ltd. | Cayman Islands | 0 | 1282718 | 0 | 1282718 | 1282718 | 5.17 % | 22/02/2017 |
| Perceptive Advisors LLC | Delaware, United States of America | 0 | 1285302 | 0 | 1285302 | 1285302 | 5.18 % | 22/02/2017 |
| Joseph Edelman | United States of America | 0 | 1285302 | 0 | 1285302 | 1285302 | 5.18 % | 22/02/2017 |
| Perceptive Advisors LLC | Delaware, United States of America | 0 | 1285302 | 0 | 1285302 | 1285302 | 5.18 % | 22/02/2017 |
| Joseph Edelman | United States of America | 0 | 1285302 | 0 | 1285302 | 1285302 | 5.18 % | 22/02/2017 |
| RA Capital Management, LLC | Massachusetts | 0 | 2451237 | 0 | 2451237 | 2451237 | 9.9 % | 14/02/2017 |
| Peter Kolchinsky | United States | 0 | 2451237 | 0 | 2451237 | 2451237 | 9.9 % | 14/02/2017 |
| RA Capital Management, LLC | Massachusetts | 0 | 2451237 | 0 | 2451237 | 2451237 | 9.9 % | 14/02/2017 |
| Peter Kolchinsky | United States | 0 | 2451237 | 0 | 2451237 | 2451237 | 9.9 % | 14/02/2017 |
| RA Capital Healthcare Fund, L.P. | Delaware | 0 | 0 | 0 | 0 | 0 | 0 % | 14/02/2017 |
| RA Capital Healthcare Fund, L.P. | Delaware | 0 | 0 | 0 | 0 | 0 | 0 % | 14/02/2017 |
| Mr. David Kroin | USA | 0 | 24805771 | 0 | 24805771 | 24805771 | 9.991 % | 14/02/2017 |
| Dr. Jeffrey R. Jay, M.D. | USA | 0 | 24805771 | 0 | 24805771 | 24805771 | 9.991 % | 14/02/2017 |
| Mr. David Kroin | USA | 0 | 24805771 | 0 | 24805771 | 24805771 | 9.991 % | 14/02/2017 |
| Great Point Partners, LLC | USA | 0 | 24805771 | 0 | 24805771 | 24805771 | 9.991 % | 14/02/2017 |
| Great Point Partners, LLC | USA | 0 | 24805771 | 0 | 24805771 | 24805771 | 9.991 % | 14/02/2017 |
| Dr. Jeffrey R. Jay, M.D. | USA | 0 | 24805771 | 0 | 24805771 | 24805771 | 9.991 % | 14/02/2017 |
| Voting Shares Irrevocable Trust | 2665750 | 2665750 | 2665750 | 10.26 % | 14/02/2017 | |||
| (entities only Federated Investors, Inc. | 2665750 | 2665750 | 2665750 | 10.26 % | 14/02/2017 | |||
| Rhodora J. Donahue | 2665750 | 2665750 | 2665750 | 10.26 % | 14/02/2017 | |||
| J. Christopher Donahue | 2665750 | 2665750 | 2665750 | 10.26 % | 14/02/2017 | |||
| John F. Donahue | 2665750 | 2665750 | 2665750 | 10.26 % | 14/02/2017 | |||
| BlackRock, Inc. | Delaware | 1820527 | 0 | 1852429 | 0 | 1852429 | 7.5 % | 26/01/2017 |
| Sabby Management, LLC | Delaware USA | 0 | 350313 | 0 | 350313 | 350313 | 1.41 % | 06/01/2017 |
| Sabby Healthcare Master Fund, Ltd. | Cayman Islands | 0 | 350313 | 0 | 350313 | 350313 | 1.41 % | 06/01/2017 |
| Hal Mintz | USA | 0 | 350313 | 0 | 350313 | 350313 | 1.41 % | 06/01/2017 |
| Susan B. Walters | USA | 2000000 | 2000000 | 2000000 | 8.1 % | 16/11/2016 | ||
| William T. Walters | USA | 2000000 | 2000000 | 2000000 | 8.1 % | 16/11/2016 | ||
| RA Capital Management, LLC | Massachusetts | 0 | 2253237 | 0 | 2253237 | 2253237 | 9.1 % | 16/02/2016 |
| RA Capital Healthcare Fund, L.P. | Delaware | 0 | 1867405 | 0 | 1867405 | 1867405 | 7.5 % | 16/02/2016 |
| Peter Kolchinsky | United States | 0 | 2253237 | 0 | 2253237 | 2253237 | 9.1 % | 16/02/2016 |
| RA Capital Management, LLC | Massachusetts | 0 | 2253237 | 0 | 2253237 | 2253237 | 9.1 % | 16/02/2016 |
| Peter Kolchinsky | United States | 0 | 2253237 | 0 | 2253237 | 2253237 | 9.1 % | 16/02/2016 |
| RA Capital Healthcare Fund, L.P. | Delaware | 0 | 1867405 | 0 | 1867405 | 1867405 | 7.5 % | 16/02/2016 |
| Steven Boyd | United States of America | 0 | 0 | 0 | 0 | 0 | 0 % | 16/02/2016 |
| Armistice Capital, LLC | Delaware | 0 | 0 | 0 | 0 | 0 | 0 % | 16/02/2016 |
| Armistice Capital Master Fund, Ltd. | Cayman Islands | 0 | 0 | 0 | 0 | 0 | 0 % | 16/02/2016 |
| Steven Boyd | United States of America | 0 | 0 | 0 | 0 | 0 | 0 % | 16/02/2016 |
| Armistice Capital, LLC | Delaware | 0 | 0 | 0 | 0 | 0 | 0 % | 16/02/2016 |
| Armistice Capital Master Fund, Ltd. | Cayman Islands | 0 | 0 | 0 | 0 | 0 | 0 % | 16/02/2016 |
| Great Point Partners, LLC : | USA | 0 | 15185211 | 0 | 15185211 | 15185211 | 6.11 % | 16/02/2016 |
| Dr. Jeffrey R. Jay, M.D. : | USA | 0 | 15185211 | 0 | 15185211 | 15185211 | 6.11 % | 16/02/2016 |
| Mr. David Kroin : | USA | 0 | 15185211 | 0 | 15185211 | 15185211 | 6.11 % | 16/02/2016 |
| Great Point Partners, LLC | USA | 0 | 15185211 | 0 | 15185211 | 15185211 | 6.11 % | 16/02/2016 |
| 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP | USA | 0 | 15185211 | 0 | 15185211 | 15185211 | 6.11 % | 16/02/2016 |
| Mr. David Kroin | USA | 0 | 15185211 | 0 | 15185211 | 15185211 | 6.11 % | 16/02/2016 |
| John F. Donahue | 3372356 | 3372356 | 3372356 | 13 % | 12/02/2016 | |||
| Voting Shares Irrevocable Trust | 3372356 | 3372356 | 3372356 | 13 % | 12/02/2016 | |||
| Rhodora J. Donahue | 3372356 | 3372356 | 3372356 | 13 % | 12/02/2016 | |||
| (entities only Federated Investors, Inc. | 3372356 | 3372356 | 3372356 | 13 % | 12/02/2016 | |||
| J. Christopher Donahue | 3372356 | 3372356 | 3372356 | 13 % | 12/02/2016 | |||
| Broadfin Healthcare Master Fund, Ltd. | Cayman Islands | 0 | 1087112 | 0 | 1087112 | 1087112 | 4.39 % | 11/02/2016 |
| Kevin Kotler | United States America | 0 | 1087112 | 0 | 1087112 | 1087112 | 4.39 % | 11/02/2016 |
| Broadfin Capital, LLC | Delaware | 0 | 1087112 | 0 | 1087112 | 1087112 | 4.39 % | 11/02/2016 |
| BlackRock, Inc. | Delaware | 1578498 | 0 | 1610823 | 0 | 1610823 | 6.5 % | 28/01/2016 |
| Integrated Core Strategies (US) LLC | 0 | 0 % | 20/01/2016 | |||||
| ICS Opportunities, Ltd. | 84375 | 0.3 % | 20/01/2016 | |||||
| Millennium International Management LP | 84375 | 0.3 % | 20/01/2016 | |||||
| Millennium International Management GP LLC | 84375 | 0.3 % | 20/01/2016 | |||||
| Israel A. Englander | 308761 | 1.2 % | 20/01/2016 | |||||
| Israel A. Englander | 308761 | 1.2 % | 20/01/2016 | |||||
| Millennium Management LLC | 308761 | 1.2 % | 20/01/2016 | |||||
| Millennium International Management GP LLC | 84375 | 0.3 % | 20/01/2016 | |||||
| Integrated Core Strategies (US) LLC | 0 | 0 % | 20/01/2016 | |||||
| Integrated Assets II LLC | 224386 | 0.9 % | 20/01/2016 | |||||
| ICS Opportunities, Ltd. | 84375 | 0.3 % | 20/01/2016 | |||||
| Millennium International Management LP | 84375 | 0.3 % | 20/01/2016 | |||||
| Millennium Management LLC | 308761 | 1.2 % | 20/01/2016 | |||||
| Integrated Assets II LLC | 224386 | 0.9 % | 20/01/2016 | |||||
| Hal Mintz | USA | 0 | 1518200 | 0 | 1518200 | 1518200 | 6.13 % | 12/01/2016 |
| Sabby Management, LLC | Delaware, USA | 0 | 1518200 | 0 | 1518200 | 1518200 | 6.13 % | 12/01/2016 |
| Sabby Healthcare Master Fund, Ltd. | Cayman Islands | 0 | 1518200 | 0 | 1518200 | 1518200 | 6.13 % | 12/01/2016 |
| RA Capital Healthcare Fund, L.P. | Delaware | 0 | 1520839 | 0 | 1520839 | 1520839 | 6.2 % | 08/10/2015 |
| Peter Kolchinsky | United States | 0 | 1840716 | 0 | 1840716 | 1840716 | 7.5 % | 08/10/2015 |
| RA Capital Management, LLC | Massachusetts | 0 | 1840716 | 0 | 1840716 | 1840716 | 7.5 % | 08/10/2015 |
| RA Capital Healthcare Fund, L.P. | Delaware | 0 | 1520839 | 0 | 1520839 | 1520839 | 6.2 % | 08/10/2015 |
| Peter Kolchinsky | United States | 0 | 1840716 | 0 | 1840716 | 1840716 | 7.5 % | 08/10/2015 |
| RA Capital Management, LLC | Massachusetts | 0 | 1840716 | 0 | 1840716 | 1840716 | 7.5 % | 08/10/2015 |
| Mr. David Kroin | USA | 0 | 14663571 | 0 | 14663571 | 14663571 | 5.93 % | 05/10/2015 |
| 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP | USA | 0 | 14663571 | 0 | 14663571 | 14663571 | 5.93 % | 05/10/2015 |
| Mr. David Kroin | USA | 0 | 14663571 | 0 | 14663571 | 14663571 | 5.93 % | 05/10/2015 |
| Great Point Partners, LLC | USA | 0 | 14663571 | 0 | 14663571 | 14663571 | 5.93 % | 05/10/2015 |
| 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP | USA | 0 | 14663571 | 0 | 14663571 | 14663571 | 5.93 % | 05/10/2015 |
| Great Point Partners, LLC | USA | 0 | 14663571 | 0 | 14663571 | 14663571 | 5.93 % | 05/10/2015 |
| Select Biotechnology Portfolio | Massachusetts | 2427611 | 0 | 0 | 0 | 2427611 | 9.646 % | 10/09/2015 |
| Edward C. Johnson 3d | United States of America | 0 | 0 | 3023812 | 0 | 3023812 | 12.016 % | 10/09/2015 |
| Abigail P. Johnson | United States of America | 0 | 0 | 3023812 | 0 | 3023812 | 12.016 % | 10/09/2015 |
| FMR LLC | Delaware | 0 | 0 | 3023812 | 0 | 3023812 | 12.016 % | 10/09/2015 |
| Abigail P. Johnson | United States of America | 0 | 0 | 3023812 | 0 | 3023812 | 12.016 % | 10/09/2015 |
| Edward C. Johnson 3d | United States of America | 0 | 0 | 3023812 | 0 | 3023812 | 12.016 % | 10/09/2015 |
| FMR LLC | Delaware | 0 | 0 | 3023812 | 0 | 3023812 | 12.016 % | 10/09/2015 |
| Select Biotechnology Portfolio | Massachusetts | 2427611 | 0 | 0 | 0 | 2427611 | 9.646 % | 10/09/2015 |
| Millennium International Management LP | 400275 | 2.1 % | 23/07/2015 | |||||
| Israel A. Englander | 1082670 | 5.6 % | 23/07/2015 | |||||
| Millennium Management LLC | 1082670 | 5.6 % | 23/07/2015 | |||||
| Millennium International Management GP LLC | 400275 | 2.1 % | 23/07/2015 | |||||
| Integrated Core Strategies (US) LLC | 621185 | 3.2 % | 23/07/2015 | |||||
| Millennium International Management LP | 400275 | 2.1 % | 23/07/2015 | |||||
| Millennium International Management GP LLC | 400275 | 2.1 % | 23/07/2015 | |||||
| Integrated Assets II LLC | 61210 | 0.3 % | 23/07/2015 | |||||
| ICS Opportunities, Ltd. | 400275 | 2.1 % | 23/07/2015 | |||||
| Millennium Management LLC | 1082670 | 5.6 % | 23/07/2015 | |||||
| Israel A. Englander | 1082670 | 5.6 % | 23/07/2015 | |||||
| Integrated Assets II LLC | 61210 | 0.3 % | 23/07/2015 | |||||
| ICS Opportunities, Ltd. | 400275 | 2.1 % | 23/07/2015 | |||||
| Integrated Core Strategies (US) LLC | 621185 | 3.2 % | 23/07/2015 | |||||
| Broadfin Capital, LLC | Delaware | 0 | 10737645 | 0 | 10737645 | 10737645 | 7 % | 18/03/2015 |
| Broadfin Healthcare Master Fund, Ltd. | Cayman Islands | 0 | 10737645 | 0 | 10737645 | 10737645 | 7 % | 18/03/2015 |
| Kevin Kotler | United States of America | 0 | 10737645 | 0 | 10737645 | 10737645 | 7 % | 18/03/2015 |
| Sabby Healthcare Master Fund, Ltd. | Cayman Islands | 0 | 9903343 | 0 | 9903343 | 9903343 | 6.46 % | 12/03/2015 |
| Sabby Management, LLC | Delaware, USA | 0 | 9903343 | 0 | 9903343 | 9903343 | 6.46 % | 12/03/2015 |
| Hal Mintz | USA | 0 | 9903343 | 0 | 9903343 | 9903343 | 6.46 % | 12/03/2015 |
| Steven Boyd | United States America | 0 | 9400000 | 0 | 9400000 | 9400000 | 6.1 % | 17/02/2015 |
| Armistice Capital Master Fund, Ltd. | Cayman Islands | 0 | 9400000 | 0 | 9400000 | 9400000 | 6.1 % | 17/02/2015 |
| Armistice Capital, LLC | Delaware | 0 | 9400000 | 0 | 9400000 | 9400000 | 6.1 % | 17/02/2015 |
| JG Asset, LLC | United States | 0 | 0 | 0 | 0 | 0 | 0 % | 13/02/2015 |
| Jacob Gottlieb | United States | 0 | 0 | 0 | 0 | 0 | 0 % | 13/02/2015 |
| Visium Asset Management, LP | United States | 0 | 0 | 0 | 0 | 0 | 0 % | 13/02/2015 |
| Jacob Gottlieb | United States | 0 | 7500000 | 0 | 7500000 | 7500000 | 5.3 % | 27/10/2014 |
| JG Asset, LLC | United States | 0 | 7500000 | 0 | 7500000 | 7500000 | 5.3 % | 27/10/2014 |
| Visium Balanced Master Fund, Ltd. | Cayman Islands | 0 | 7500000 | 0 | 7500000 | 7500000 | 5.3 % | 27/10/2014 |
| Visium Asset Management, LP | United States | 0 | 7500000 | 0 | 7500000 | 7500000 | 5.3 % | 27/10/2014 |
| Armistice Capital, LLC | Delaware | 0 | 8300000 | 0 | 8300000 | 8300000 | 5.9 % | 25/08/2014 |
| Steven Boyd | United States of America | 0 | 8300000 | 0 | 8300000 | 8300000 | 5.9 % | 25/08/2014 |
| Armistice Capital Master Fund, Ltd. | Cayman Islands | 0 | 8300000 | 0 | 8300000 | 8300000 | 5.9 % | 25/08/2014 |
| Visium Balanced Master Fund, Ltd. | Cayman Islands | 0 | 9108000 | 0 | 9108000 | 9108000 | 6.6 % | 14/02/2014 |
| Jacob Gottlieb | United States | 0 | 9108000 | 0 | 9108000 | 9108000 | 6.6 % | 14/02/2014 |
| JG Asset, LLC | United States | 0 | 9108000 | 0 | 9108000 | 9108000 | 6.6 % | 14/02/2014 |
| Visium Asset Management, LP | United States | 0 | 9108000 | 0 | 9108000 | 9108000 | 6.6 % | 14/02/2014 |
| Jacob Gottlieb | United States | 0 | 8927753 | 0 | 8927753 | 8927753 | 6.4 % | 29/11/2013 |
| JG Asset, LLC | United States | 0 | 8927753 | 0 | 8927753 | 8927753 | 6.4 % | 29/11/2013 |
| Visium Balanced Master Fund, Ltd. | Cayman Islands | 0 | 8927753 | 0 | 8927753 | 8927753 | 6.4 % | 29/11/2013 |
| Visium Asset Management, LP | United States | 0 | 8927753 | 0 | 8927753 | 8927753 | 6.4 % | 29/11/2013 |
| Great Point Partners, LLC | USA | 0 | 36979001 | 0 | 36979001 | 36979001 | 3.58 % | 14/02/2013 |
| Mr. David Kroin | USA | 0 | 36979001 | 0 | 36979001 | 36979001 | 3.58 % | 14/02/2013 |
| Dr. Jeffrey R. Jay, M.D. | USA | 0 | 36979001 | 0 | 36979001 | 36979001 | 3.58 % | 14/02/2013 |
| Voting Shares Irrevocable Trust | Pennsylvania | 30450000 | 30450000 | 30450000 | 28.37 % | 10/08/2012 | ||
| J. Christopher Donahue | United States | 30450000 | 30450000 | 30450000 | 28.37 % | 10/08/2012 | ||
| Federated Investors, Inc. | Pennsylvania | 30450000 | 30450000 | 30450000 | 28.37 % | 10/08/2012 | ||
| Rhodora J. Donahue | United States | 30450000 | 30450000 | 30450000 | 28.37 % | 10/08/2012 | ||
| John F. Donahue | United States | 30450000 | 30450000 | 30450000 | 28.37 % | 10/08/2012 | ||
| Great Point Partners, LLC | USA | 0 | 57500001 | 0 | 57500001 | 57500001 | 5.87 % | 03/08/2012 |
| Mr. David Kroin | USA | 0 | 57500001 | 0 | 57500001 | 57500001 | 5.87 % | 03/08/2012 |
| Dr. Jeffrey R. Jay, M.D. | USA | 0 | 57500001 | 0 | 57500001 | 57500001 | 5.87 % | 03/08/2012 |
| Edward C. Johnson 3d | United States of America | 0 | 0 | 6408467 | 0 | 6408467 | 9.831 % | 14/02/2012 |
| FMR LLC | Delaware | 0 | 0 | 6408467 | 0 | 6408467 | 9.831 % | 14/02/2012 |
| Abingworth Bioventures IV Executives LP | Delaware | 0 | 2335218 | 0 | 2335218 | 2335218 | 6.9 % | 09/02/2011 |
| Abingworth Bioventures IV LP | England | 0 | 2335218 | 0 | 2335218 | 2335218 | 6.9 % | 09/02/2011 |
| Abingworth Management Limited | England | 0 | 2344176 | 0 | 2344176 | 2344176 | 6.9 % | 09/02/2011 |
| Pete McNerney | United States | 0 | 3152880 | 0 | 3152880 | 3152880 | 9.4 % | 09/12/2010 |
| Thomas, McNerney & Partners, LLC | Delaware | 0 | 1669490 | 0 | 1669490 | 1669490 | 5 % | 09/12/2010 |
| James Thomas | United States | 0 | 3152880 | 0 | 3152880 | 3152880 | 9.4 % | 09/12/2010 |