Life Sciences Master Fund, Ltd. (“Perceptive Master Fund”) has shared voting and dispositive power over 11,406,563 of our ordinary shares, which consist of (i) 11,281,103 ordinary shares held by Perceptive Master Fund, (ii) shares issuable upon the exercise of 95,460 vested stock options or stock options that will vest within 60 days that Perceptive Advisors has rights to pursuant to a management fee offset and (iii) shares issuable upon the settlement of 30,000 restricted stock units that Perceptive Advisors has rights to pursuant to a management fee offset. The address for each of the foregoing named reporting persons is c/o Perceptive Advisors LLC, 51 Astor Place, 10th Floor, New York, New York 10003. Ellen Hukkelhoven, Ph.D., one of our directors, is the Head of Biotechnology Investments at Perceptive Advisors. On August 2, 2022, we and certain of our wholly-owned subsidiaries entered into a senior secured financing arrangement with Perceptive Credit Holdings III, LP (“Perceptive Credit Holdings”), an affiliate of Perceptive Advisors, that was subsequently converted into a $75 million secured note (the “Debt Financing”). The amount reported in the table above excludes 700,000 shares that Perceptive Credit Holdings is entitled to acquire under warrants it received in connection with the Debt Financing with exercise prices of $15.00 per share (400,000 shares) or $20.00 per share (300,000 shares).
(4)
Based on a Schedule 13G, filed with the SEC on May 15, 2023 and information known to the Company, which includes (i) 371,493 ordinary shares held by GCM Grosvenor Equity Opportunities Master Fund, LP, (ii) 48,005 ordinary shares held by West Tower Partners, LP, (iii) 476,562 ordinary shares held by Prosight Plus Fund, LP and (iv) 161,784 ordinary shares held by Prosight Fund, LP. Each of Prosight Management, LP (“Prosight Management”), Prosight Partners, LLC (“Prosight Partners”) and W. Lawrence Hawkins has shared voting and dispositive power over 4,078,804 of such ordinary shares, which includes 401,354 ordinary shares over which Prosight Fund, LP (“Prosight Fund”) has shared voting and dispositive power and 1,049,476 ordinary shares over which Prosight Plus Fund, LP (“Prosight Plus Fund”) has shared voting and dispositive power. Additionally, Mr. Hawkins has sole voting and dispositive power over 2,000 of our ordinary shares. Prosight Management is the general partner and investment manager of, and may be deemed to indirectly beneficially own securities owned by, Prosight Fund and Prosight Plus Fund. Prosight Management is a sub-advisor for certain separate managed accounts (collectively, the “Managed Accounts”) and may be deemed to indirectly beneficially own securities owned by the Managed Accounts. Prosight Partners is the general partner of, and may be deemed to beneficially own, securities beneficially owned by Prosight Management. Mr. Hawkins is the sole manager of, and may be deemed to beneficially own securities beneficially owned by, Prosight Partners. Prosight Fund disclaims beneficial ownership of the ordinary shares held by each of the Managed Accounts, Prosight Plus Fund and Mr. Hawkins. Prosight Plus Fund disclaims beneficial ownership of the ordinary shares held by each of the Managed Accounts, Prosight Fund, and Mr. Hawkins. Mr. Hawkins disclaims beneficial ownership of the ordinary shares held by each of the Managed Accounts, Prosight Fund and Prosight Plus Fund. The address for each of the foregoing named reporting persons is c/o Prosight Management, LP, 5956 Sherry Lane, Suite 1365, Dallas, Texas 75225.
(5)
Based on a Schedule 13G/A, filed with the SEC on February 9, 2023 and information known to the Company, each of Adage Capital Partners, L.P. (“ACP”), Adage Capital Partners GP, L.L.C. (“ACPGP”), Adage Capital Advisors, L.L.C. (“ACA”), Robert Atchinson and Phillip Gross has shared voting and dispositive power over 4,671,017 ordinary shares. ACP has the power to dispose of and the power to vote the ordinary shares beneficially owned by it, which power may be exercised by its general partner, ACPGP. ACA, as managing member of ACPGP, directs ACPGP’s operations. Messrs. Atchinson and Gross, as managing members of ACA, have shared power to vote the ordinary shares beneficially owned by ACP. The address for each of the foregoing named reporting persons is 200 Clarendon Street, 52nd Floor, Boston, Massachusetts 02116.
(6)
Based on a Schedule 13G/A, filed with the SEC on February 24, 2020 and information known to the Company, each of Peter Simon and Jon Paul Frith are directors of Adena Estate, Inc. and have shared voting and dispositive power over 3,202,155 ordinary shares. The address for each of the foregoing named reporting persons is PO Box 71, Craigmuir Chambers, Road Town Tortola, British Virgin Islands, VG1110.
(7)
Based on information known to the Company, the shares held by 683 Capital Partners, LP are indirectly held by 683 Capital Management, LLC and Ari Zweiman, the managing member of 683 Capital Management, LLC. 683 Capital Management, LLC, 683 Capital Partners LP and Mr. Zweiman