(2)
Consists of 909,326 warrants to purchase Common Stock of the Company, with an exercise price of $7.82, beneficially owned by NovaQuest Co-Investment Fund XV, L.P. (“NovaQuest”), and based on the Schedule 13D filed with the SEC on January 18, 2023 by NovaQuest, which reported sole voting power with respect to zero shares, shared voting power with respect to 909,326 shares underlying warrants, sole dispositive power with respect to zero shares, and shared dispositive power with respect to 909,326 shares underlying warrants as of January 17, 2023.
(3)
Based on Amendment No. 16 to the Schedule 13D filed with the SEC on July 17, 2023 by Pillar Pharmaceuticals 6, L.P. (“Pillar 6”), together with Pillar Invest Corporation (“Pillar GP”), Pillar Partners Foundation, L.P. (“Pillar Foundation,” and, together with Pillar 6 and Pillar GP, the “Pillar Entities”), Abude Umari and Youssef El Zein (together with the Pillar Entities and Mr. Umari, the “Reporting Persons”), which reported sole voting power with respect to zero shares, shared voting power with respect to 571,588 shares, sole dispositive power with respect to zero shares, and shared dispositive power with respect to 571,588 shares as of July 13, 2023.
The Reporting Persons expressly disclaim status as a “group” for purposes of Amendment No. 16 to the Schedule 13D. The Pillar Entities exercise no voting or dispositive power over and expressly disclaim beneficial ownership of any shares held directly by Messrs. Umari and El Zein, and Messrs. Umari and El Zein expressly disclaim beneficial ownership of any shares of common stock held directly by Pillar 6, Pillar Foundation and indirectly by Pillar GP.
(4)
Based on the Schedule 13D filed with the SEC on March 28, 2023 by Atul Chopra, MD, PhD, as trustee of the Chopra Revocable Trust, which reported sole voting power with respect to 1,469,482 shares, shared voting power with respect to 0 shares, sole dispositive power with respect to 1,469,482 shares, and shared dispositive power with respect to 0 shares as of January 17, 2023, and as supplemented by the Form 4 filed with the SEC on May 18, 2023 by Atul Chopra, MD, PhD, as trustee of the Chopra Revocable Trust, which reported 1,205,158 shares beneficially owned by Dr. Chopra as of May 17, 2023.
(5)
Based on the Form 4 filed with the SEC on January 19, 2023 by Daniel Salain, which reported 1,469,482 shares beneficially owned by Mr. Salain as of January 17, 2023.
(6)
Based on the Form 4 filed on January 19, 2023 by Andrew Jordan, which reported 451,890 shares beneficially owned by Mr. Jordan as of January 17, 2023.
(7)
Includes 21,536 shares of Common Stock subject to outstanding stock options that are exercisable within 60 days after July 19, 2023.
(8)
Based on the Form 4 filed with the SEC on January 10, 2023 by Bryant D. Lim, which reported 309,695 shares beneficially owned by Mr. Lim as of January 6, 2023, adjusted to reflect a 1-for-17 reverse stock split, which became effective on January 17, 2023 at 4:59 p.m. Eastern Time.
(9)
Includes 57,775 shares of Common Stock subject to outstanding stock options that are exercisable within 60 days after July 19, 2023.
(10)
Includes 16,162 shares of Common Stock subject to outstanding stock options that are exercisable within 60 days after July 19, 2023.
(11)
Consists of 5,762 shares of Common Stock subject to outstanding stock options that are exercisable within 60 days after July 19, 2023.
(12)
Includes 5,762 shares of Common Stock subject to outstanding stock options that are exercisable within 60 days after July 19, 2023.
(13)
Includes 5,915 shares of Common Stock subject to outstanding stock options that are exercisable within 60 days after July 19, 2023.
(14)
Consists of 909,326 warrants to purchase Common Stock of the Company, with an exercise price of $7.82, beneficially owned by NovaQuest. Mr. Wooten is a member of the investment committee of NQ POF V GP, Ltd. (“NovaQuest GP”), which is the general partner of NovaQuest. NovaQuest GP has the power to vote and dispose of any securities directly owned by NovaQuest. NovaQuest GP’s investment committee makes voting and investment decisions regarding securities held by NovaQuest. Mr. Wooten disclaims beneficial ownership of any securities held by NovaQuest except to the extent of its pecuniary interest therein.