from this recent filing there are still large stock holders of Dextera shares,....
Beneficial Owner Number of Shares Percent of Total
5% or Greater Stockholders:
Entities and Persons Affiliated with Broadfin Capital LLC(2)
898,053 10.06
Camber Capital Management LLC and related person(3)
896,925 9.98
PRIMECAP Management Company(4)
600,450 6.73
Named Executive Officers and Directors:
Julian N. Nikolchev(5) 191,027 2.10
Bernard A. Hausen, M.D., Ph.D. 82,049 *
Thomas Palermo(6) 73,493 *
Robert Y. Newell(7) 71,498 *
Liam J. Burns(8) 67,083 *
Gregory D. Casciaro(9) 26,557 *
R. Michael Kleine(10) 26,557 *
Samuel E. Navarro(11) 26,557 *
Michael A. Bates(12) 121,250 1.35
Thomas A. Afzal(13) 30,000 *
All executive officers and directors as a group (9 persons)(14) 634,022 6.73
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(1) This table is based upon information supplied by officers, directors and principal stockholders and Schedules 13D, 13G and 13F filed with the SEC. Unless otherwise indicated in the footnotes to this table and subject to community property laws where applicable, we believe that each of the stockholders named in this table has sole voting and investment power with respect to the shares indicated as beneficially owned. Applicable percentages are based on 8,927,830 shares outstanding on March 1, 2017, adjusted as required by rules promulgated by the SEC.
(2) Based on a Schedule 13G filed with the SEC on February 10, 2017, reporting beneficial ownership as of December 31, 2016: each of Broadfin Healthcare Master Fund, Ltd., Broadfin Capital, LLC, and Kevin Kotler have shared voting and investment power over these shares. Does not include shares issuable upon conversion of 98,752 shares of Series A convertible preferred stock held by Broadfin Capital, LLC. Each share of Series A convertible preferred stock is convertible into 10 shares of common stock at the option of the holder, provided that the holder will be prohibited from converting if, as a result of such conversion, the holder, together with its affiliates, would own more than 9.98% of the total number of shares of common stock then issued and outstanding, unless the holder gives us at least 61 days prior notice of an intent to so convert. The address of the principal office of each of Broadfin Healthcare Master Fund, Ltd. is 20 Genesis Close, Ansbacher House, Second Floor, P.O. Box 1344, Grand Cayman KY1-1108, Cayman Islands. The address of the principal office of each of Broadfin Capital, LLC and Mr. Kotler is 300 Park Avenue, 25th Floor, New York, New York 10022.
(3) Based on a Schedule 13G filed with the SEC on April 25, 2014, reporting beneficial ownership as of April 16, 2014. Each of Camber Capital Management LLC and Stephen Dubois has shared voting and investment power over these shares. Includes 59,440 shares issuable upon conversion of 5,944 of the 92,722 shares of Series A convertible preferred stock held by Camber Capital Management LLC. Only
the 53,513 shares may currently be issued due to a limitation on conversion. Each share of Series A convertible preferred stock is convertible into 10 shares of common stock at the option of the holder, provided that the holder will be prohibited from converting if, as a result of such conversion, the holder, together with its affiliates, would own more than 9.98% of the total number of shares of common stock then issued and outstanding, unless the holder gives us at least 61 days prior notice of an intent to so convert. The address of Camber Capital Management LLC and Mr. Dubois is 101 Huntington Avenue Suite 2550, Boston, MA 02199.
(4) Based on a Schedule 13G/A filed with the SEC on February 9, 2017, reporting beneficial ownership as of December 31, 2016, PRIMECAP Management Company has sole voting power over 530,650 of these shares, and sole investment power over all of these shares. The address of PRIMECAP Management Company is 225 South Lake Ave., Suite 400, Pasadena, CA 91101.
