Thursday, May 04, 2017 5:31:19 PM
Selling Stockholder (1) Number Percentage (2) Offered Number Percentage
Boston Scientific Corporation (4) 7,557,436 4.04 % 7,557,436 0 *
HealthCor Partners Fund II, LP (5) 52,482,133 28.05 % 7,557,436 44,924,697 24.01 %
BioStar Ventures III, L.P. (6) 7,557,436 4.04 % 7,557,436 0 *
HEC Master Fund LP (7) 11,336,154 6.06 % 11,336,154 0 *
Energy Capital, LLC (8) 17,412,306 9.31 % 6,197,097 11,215,209 5.99 %
Consonance Capital Master Account LP (9) 13,309,809 7.11 % 13,309,809 0 *
P Consonance Opportunities Ltd. (10) 1,805,063 * 1,805,063 0 *
Koninklijke Philips NV (11) 29,693,444 15.48 % 7,557,436 22,136,008 11.54 %
Intrepid Capital Fund, LP (12) 1,315,743 * 755,743 560,000 *
Luna Ventures, LLC (13) 755,743 * 755,743 0 *
Peter J. Fitzgerald (14) 610,389 * 377,871 232,518 *
Peter I. Higgins (15) 3,622,275 1.94 % 1,889,359 1,732,916 *
Eric A. Brock (16) 755,743 * 755,743 0 *
Mike Refojo (17) 151,148 * 151,148 0 *
Martin Mann (18) 1,390,211 * 377,871 1,012,340 *
David Levanson (19) 314,355 * 114,355 200,000 *
* Less than 1%.
(1) All information contained as of March 15, 2017.
(2) Based on a denominator equal to the sum of (a) 187,080,921 shares of our common stock outstanding on March 15, 2017, and (b) the number of shares of common stock issuable upon exercise or conversion of convertible securities that are currently exercisable or convertible or are exercisable or convertible within 60 days of March 15, 2017 beneficially owned by the applicable selling stockholder.
(3) Assumes that all shares of common stock being registered under the registration statement of which this prospectus forms a part are sold in this offering, and that none of the selling stockholders acquire additional shares of our common stock after the date of this prospectus and prior to completion of this offering.
(4) Consists of 7,557,436 shares of common stock issued to selling stockholder in the 2017 Private Placement. Boston Scientific Corporation is a publicly traded corporation listed on the New York Stock Exchange. The address for Boston Scientific Corporation is 300 Boston Scientific Way, Marlborough, Massachusetts 01752-1234.
(5) Consists of (i) 7,557,436 shares of common stock issued to the selling stockholder in the 2017 Private Placement and (ii) 44,924,697 shares of common stock held by the selling stockholder and its affiliates prior to the 2017 Private Placement. HealthCor Partners Management, LP is the investment manager of HealthCor Partners Fund II, LP and HealthCor Partners Fund, LP and provides advise to its affiliate HealthCor Management, LP, with respect to HealthCor Hybrid Offshore Master Fund, LP and as such is deemed to beneficially own all securities held by such entities including (i) 17,090,941 shares directly owned by HealthCor Partners Fund, LP, (ii) 19,981,655 shares directly owned by HealthCor Hybrid Offshore Master Fund, LP and (iii) 15,409,537 shares directly owned by HealthCor Partners Fund II, LP. Jeffrey C. Lightcap is a managing member of HealthCor Partners Management, LP and as such has the power to vote or dispose of the securities held of record by the selling stockholder and may be deemed to beneficially own the securities. Mr. Lightcap disclaims beneficial ownership of these securities, except to the extent of his pecuniary interests therein. Mr. Lightcap is a director of the Company. The address for HealthCor Partners Management, LP is Attention: A. Alvez and D. Mullin, c/o Morgan Stanley, 1300 Thames Street, Custody/Transfer – 6th Floor, Baltimore, MD 21231.
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All of my posts are my opinion only and are not meant to be investment advice.
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