Investments is the investment adviser to the RTW Funds. Mr. Wong is the Managing Partner and Chief Investment Officer of RTW Investments, with respect to the shares directly held by the RTW Funds. Excludes (i) 118,247 ordinary shares issuable upon conversion of 118,247 Series A preferred shares beneficially owned by RTW Innovation Master Fund, Ltd., (ii) 352,929 ordinary shares issuable upon conversion of 352,929 Series A preferred shares beneficially owned by RTW Master Fund, Ltd., (iii)16,438 ordinary shares issuable upon conversion of 16,438 Series A preferred shares beneficially owned by RTW Venture Fund Limited, (iv) 2,746,902 ordinary shares issuable upon conversion of 2,746,902 Series B preferred shares beneficially owned by RTW Master Fund, Ltd., (v) 1,844,098 ordinary shares issuable upon conversion of 1,844,098 Series B preferred shares beneficially owned by RTW Innovation Master Fund, Ltd. and (vi) 114,882 ordinary shares issuable upon conversion of 114,882 Series B preferred shares beneficially owned by RTW Venture Fund Limited. The Series A preferred shares and Series B preferred shares beneficially owned by RTW Funds are subject to a beneficial ownership limitation that prohibits RTW Funds from converting its Series A preferred shares and Series B preferred shares into ordinary shares to the extent that, as a result of such conversion, RTW Investments and its affiliates would beneficially own more than 9.99% of the Company’s total ordinary shares then issued and outstanding.
(4)
Information herein is solely based on a Schedule 13G/A filed by Tontine Capital Overseas Master Fund II, L.P. (“TCOM II”), Tontine Asset Associates, LLC (“TAA”) and Mr. Jeffrey L. Gendell on February 14, 2023. Consists of (i) 3,294,817 ordinary shares, in the form of ADSs, held by TCOM II, (ii) 1,825,788 ordinary shares, in the form of ADSs, held by Tontine Financial Partners, L.P. (“TFP”) and (iii) 70,000 ordinary shares, in the form of ADSs, held by Mr. Gendell. Mr. Gendell serves as the Managing Member of TAA and also serves as the Managing Member of Tontine Management, L.L.C., a limited liability company organized under the laws of the State of Delaware (“TM”), which serves as general partner of TFP.
(5)
Includes options to purchase ADSs with respect to 1,227,500 ordinary shares that are exercisable within 60 days of April 7, 2023.
(6)
Includes options to purchase ADSs with respect to 325,000 ordinary shares that are exercisable within 60 days of April 7, 2023.
(7)
Includes options to purchase ADSs with respect to 209,375 ordinary shares that are exercisable within 60 days of April 7, 2023.
(8)
Includes (i) options to purchase ADSs with respect to 195,700 ordinary shares that are exercisable within 60 days April 7, 2023, (ii) 65,700 ADSs held by Geoffrey M. Glass Revokable u/t/d August 26, 2020, of which Mr. Glass and members of his immediate family are the sole beneficiaries and Mr. Glass serves as its trustee and (iii) 45,000 ADSs held by The Geoffrey Glass Trust of which Mr. Glass is a co-trustee and sole beneficiary.
(9)
Includes options to purchase ADSs with respect to 138,057 ordinary shares that are exercisable within 60 days of April 7, 2023.
(10)
Includes (i) options to purchase ADSs with respect to 163,333 ordinary shares that are exercisable within 60 days of April 7, 2023, and (ii) 171,000 ADSs held by Matthew 5 LLC. The Mark & Barbara McCamish Family Trust is the sole owner of Matthew 5 LLC, and Dr. McCamish serves as its manager.
(11)
Includes options to purchase ADSs with respect to 130,000 ordinary shares that are exercisable within 60 days of April 7, 2023.
(12)
Includes options to purchase ADSs with respect to 130,000 ordinary shares that are exercisable within 60 days of April 7, 2023.
(13)
Mr. Williamson’s employment with us ended in August 2022. Accordingly, he held no outstanding equity awards as of December 31, 2022.