*
Represents beneficial ownership of less than one percent of our outstanding common stock.
(1)
Information is based on the Form 13F filed with the SEC on November 14, 2023, by Viking Global Investors LP (“Viking”) and information made available to us. Viking and its related entities beneficially hold (i) 2,456,292 shares of common stock, and (ii) 1,538,591 pre-funded warrants to purchase 1,538,591 shares of common stock. Each of the pre-funded warrants are subject to terms that limit conversion, if, after such conversion, Viking and its affiliates would beneficially own more than 9.99% of the number of shares of common stock then issued and outstanding. As a result of the limitation in the previous sentence, for purposes of the table above, only 67,963 shares of common stock issuable upon the exercise of the pre-funded warrants beneficially owned by Viking and its related entities are reflected. According to the Form 13F, as of September 30, 2023, Viking had sole voting and dispositive power with respect to 2,456,292 shares of common stock.
(2)
Information is based on: (i) the Form 13F filed with the SEC on November 14, 2023 by BVF Inc/IL (“BVF”) and BVF Partners L P/IL; (ii) the Schedule 13G/A filed on February 14, 2023 (as adjusted to reflect the 1-for-12 reverse stock split effected on May 31, 2023); and (iii) information made available to us. BVF and its related entities beneficially hold (i) 1,685,219 shares of common stock, (ii) 833,333 shares of common stock potentially issuable upon the conversion of the Company’s Series A convertible preferred stock, par value $0.0001 per share (“Series A Preferred Stock”), and (iii) 4,236,570 shares of common stock potentially issuable upon the conversion of the Company’s Series B convertible preferred stock, par value $0.0001 per share (“Series B Preferred Stock”). 3,333,333 shares of common stock are issuable upon the conversion of 944,160 shares of Series B Preferred Stock which may be issued to BVF and its related entities in a second tranche of a private placement pursuant to the terms of a securities purchase agreement dated January 24, 2023 between the Company and certain purchasers named therein. Each of the Series A Preferred Stock and Series B Preferred Stock are subject to terms that limit conversion, if, after such conversion, BVF and its affiliates would beneficially own more than 9.99% of the number of shares of common stock then issued and outstanding. As a result of the limitation in the previous sentence, for purposes of the table above, only 839,036 shares of common stock are included out of the following categories of holdings: (i) 833,333 shares of common stock potentially issuable upon the conversion of shares of Company’s Series A Preferred Stock and (ii) 4,236,570 shares of common stock issuable upon conversion of the Company’s Series B Preferred Stock. According to the Form 13F, as of September 30, 2023, BVF and BVF Partners L P/IL had shared voting and dispositive power with respect to 1,685,219 shares of common stock.
(3)
Information is based on the Form 13F filed with the SEC on November 14, 2023 by Deerfield Management Company L.P. (Series C) and Flynn Management LLC. According to the Form 13F, as of September 30, 2023, Deerfield Management Company L.P. (Series C) had sole voting power and defined dispositive power with respect to 1,538,461 shares of common stock.
(4)
Information is based solely on the Form 13F filed with the SEC on November 8, 2023 by Vivo Capital LLC. According to the Form 13F, as of September 30, 2023, Vivo Capital LLC had sole voting and dispositive power with respect to 1,538,461 shares of common stock.
(5)
Information is based solely on the Form 13F filed with the SEC on November 14, 2023 by OrbiMed Advisors LLC and OrbiMed Capital LLC. According to the Form 13F, as of September 30, 2023, OrbiMed Advisors LLC had sole voting and dispositive power with respect to 1,529,115 shares of common stock.
(6)
Information is based solely on the Form 13F filed with the SEC on November 14, 2023 by Soleus Capital Management L.P. According to the Form 13F, as of September 30, 2023, Soleus Capital Management L.P. had sole voting and dispositive power with respect to 1,347,369 shares of common stock.
(7)
Information is based on a Form 13F filed with the SEC on November 14, 2023 by Adage Capital Partners GP, L.L.C. and Adage Capital Management, L.P. According to the Form 13F, as of September 30, 2023, Adage Capital Partners GP, L.L.C. had sole voting and dispositive power with respect to 1,300,000 shares of common stock.
(8)
Consists of 68,894 shares of common stock held by Mr. Stuglik, 179,263 shares of common stock