Ownership.
Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1.
(a) Amount beneficially owned:
Quaker BioVentures II, L.P. – 1,861,494
Quaker BioVentures Capital II, L.P. – 1,861,494
Quaker BioVentures Capital II, LLC – 1,861,494
(b)Percent of class:
Quaker BioVentures II, L.P. – 8.07%
Quaker BioVentures Capital II, L.P. – 8.07%
Quaker BioVentures Capital II, LLC – 8.07%
(c) Number of shares as to which the person has:
(i)Sole power to vote or to direct the vote
Quaker BioVentures II, L.P. – 0
Quaker BioVentures Capital II, L.P. – 0
Quaker BioVentures Capital II, LLC – 0
(ii)Shared power to vote or to direct the vote
Quaker BioVentures II, L.P. – 1,861,494
Quaker BioVentures Capital II, L.P. – 1,861,494
Quaker BioVentures Capital II, LLC – 1,861,494
(iii)Sole power to dispose or to direct the disposition of
Quaker BioVentures II, L.P. – 0
Quaker BioVentures Capital II, L.P. – 0
Quaker BioVentures Capital II, LLC – 0
(iv)Shared power to dispose or to direct the disposition of
Quaker BioVentures II, L.P. – 1,861,494
Quaker BioVentures Capital II, L.P. – 1,861,494
Quaker BioVentures Capital II, LLC – 1,861,494
1,861,494 shares (the “Shares”) are owned of record by Quaker BioVentures II, L.P. Quaker BioVentures Capital II, L.P. (“Quaker Capital L.P.”) is the general partner of Quaker BioVentures II, L.P., and Quaker BioVentures Capital II, LLC (“Quaker Capital LLC”) is the general partner of Quaker Capital L.P. As a result of the control that Quaker Capital L.P. exercises over Quaker BioVentures II, L.P. and the control that Quaker Capital LLC exercises over Quaker Capital L.P., each of Quaker Capital L.P. and Quaker Capital LLC may be deemed to beneficially own the Shares. Richard S. Kollender is a director of the Issuer and a managing member of Quaker BioVentures. Mr. Kollender does not have or share voting or dispositive power over the Shares.
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