| | | | |
CUSIP No. 51654W101 | | 13G | | Page 14 of 17 Pages |
3 | These securities are directly held by Lantern 3-19. Carl D. Soderstrom, Clay M. Heighten, M.D., and Gilbert G. Garcia II are the managing members of GPG II, which is the managing member of Lantern 3-19. Therefore, Carl D. Soderstrom, Clay M. Heighten, M.D., Gilbert G. Garcia II, and GPG II may be deemed to beneficially own these securities. |
4 | With respect to the amount of shares of Common Stock beneficially owned by GPG II, this calculation is rounded to the nearest tenth and is based upon 10,519,097 shares of Common Stock issued and outstanding as of February 13, 2021, an amount determined by adding (i) 10,503,292 shares of Common Stock issued and outstanding as of January 14, 2021, as represented in the Prospectus Supplement on Form 424(b)(4) (the “Prospectus Supplement”) filed with the Securities and Exchange Commission (the “SEC”) on January 15, 2021 (File No. 001-39318), plus (ii) 15,805 shares of Common Stock issuable upon the exercise of outstanding warrants directly held by Lantern 3-19. |
With respect to the amount of shares of Common Stock beneficially owned by GPG, this calculation is rounded to the nearest tenth and is based upon 10,524,652 shares of Common Stock issued and outstanding as of February 13, 2021, an amount determined by adding (i) 10,503,292 shares of Common Stock issued and outstanding as of January 14, 2021, as represented in the Prospectus Supplement, plus (ii) 21,360 shares of Common Stock issuable upon the exercise of outstanding warrants held directly by GPG LPI.
With respect to the amount of shares of Common Stock beneficially owned by GPG LPI, this calculation is rounded to the nearest tenth and is based upon 10,524,652 shares of Common Stock issued and outstanding as of February 13, 2021, an amount determined by adding (i) 10,503,292 shares of Common Stock issued and outstanding as of January 14, 2021, as represented in the Prospectus Supplement, plus (ii) 21,360 shares of Common Stock issuable upon the exercise of outstanding warrants held directly by GPG LPI.
With respect to the amount of shares of Common Stock beneficially owned by Lantern 3-19, this calculation is rounded to the nearest tenth and is based upon 10,519,097 shares of Common Stock issued and outstanding as of February 13, 2021, an amount determined by adding (i) 10,503,292 shares of Common Stock issued and outstanding as of January 14, 2021, as represented in the Prospectus Supplement, plus (ii) 15,805 shares of Common Stock issuable upon the exercise of outstanding warrants held directly by Lantern 3-19.
With respect to the amount of shares of Common Stock beneficially owned by HWF II, this calculation is rounded to the nearest tenth and is based upon 10,503,292 shares of Common Stock issued and outstanding as of January 14, 2021, as represented in the Prospectus Supplement.
With respect to the amount of shares of Common Stock beneficially owned by HW, this calculation is rounded to the nearest tenth and is based upon 10,503,292 shares of Common Stock issued and outstanding as of January 14, 2021, as represented in the Prospectus Supplement.
With respect to the amount of shares of Common Stock beneficially owned by Carl D. Soderstrom, this calculation is rounded to the nearest tenth and is based upon 10,540,457 shares of Common Stock issued and outstanding as of February 13, 2021, an amount determined by adding (i) 10,503,292 shares of Common Stock issued and outstanding as of January 14, 2021, as represented in the Prospectus Supplement, plus (ii) 15,805 shares of Common Stock issuable upon the exercise of outstanding warrants held directly by Lantern 3-19, plus (iii) 21,360 shares of Common Stock issuable upon the exercise of outstanding warrants held directly by GPG LPI
With respect to the amount of shares of Common Stock beneficially owned by Clay M. Heighten, M.D., this calculation is rounded to the nearest tenth and is based upon 10,540,457 shares of Common Stock issued and outstanding as of February 13, 2021, an amount determined by adding (i) 10,503,292 shares of Common Stock issued and outstanding as of January 14, 2021, as represented in the Prospectus Supplement, plus (ii) 15,805 shares of Common Stock issuable upon the exercise of outstanding warrants held directly by Lantern 3-19, plus (iii) 21,360 shares of Common Stock issuable upon the exercise of outstanding warrants held directly by GPG LPI.
With respect to the amount of shares of Common Stock beneficially owned by Gilbert G. Garcia II, this calculation is rounded to the nearest tenth and is based upon 10,519,097 shares of Common Stock issued and outstanding as of February 13, 2021, an amount determined by adding (i) 10,503,292 shares of Common Stock issued and outstanding as of January 14, 2021, as represented in the Prospectus Supplement, plus (ii) 15,805 shares of Common Stock issuable upon the exercise of outstanding warrants held directly by Lantern 3-19.
* | As described in the Prospectus Supplement, the amount of shares of Common Stock issued and outstanding excludes (i) an over-allotment option granted to the underwriters under the Prospectus Supplement to purchase up to 642,856 additional shares of Common Stock, (ii) 820,608 shares of Common Stock issuable upon exercise of outstanding stock options, (iii) 550,099 shares of Common Stock reserved under the Issuer’s Amended and Restated 2018 Equity Incentive Plan, and (iv) shares of Common Stock issuable upon the exercise of outstanding warrants (except for those beneficially owned by any of the Reporting Persons and encompassed within this Schedule 13G). |
Item 5. | Ownership of Five Percent or Less of a Class. |
If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than 5 percent of the class of securities, check the following ☐