EX-1 2 a12-3548_1ex1.htm EX-1

Exhibit 1

 

JOINT FILING AGREEMENT

 

Pursuant to Rule 13d-1(k)(1) promulgated under the Securities Exchange Act of 1934, as amended, the undersigned agree that the Statement on Schedule 13D, and any subsequent amendments thereto, to which this exhibit is attached is filed on behalf of each of them in the capacities set forth below.

 

IN WITNESS WHEREOF, the undersigned hereby execute this Joint Filing Agreement as of the 27th day of January, 2012.

 

 

 

HEALTHCARE PRIVATE EQUITY LIMITED PARTNERSHIP

 

By: Waverley Healthcare Private Equity Limited,

 

 

its general partner

 

 

 

 

 

By:

/s/ Archie Struthers

 

 

 

Name:

Archie Struthers

 

 

 

Title:

Director

 

Signature Page to Joint Filing Agreement

 



 

 

Lloyds Banking Group plc

 

 

 

 

By:

/s/ Robert Moorhouse

 

 

 

Name:

Robert Moorhouse

 

 

 

Title:

Head of Operations, Operations Group Secretariat

 

Signature Page to Joint Filing Agreement

 



 

 

Scottish Widows Investment Partnership Group Limited

 

 

 

 

By:

/s/ Tony Owens

 

 

 

Name:

Tony Owens

 

 

 

Title:

Director of Operations and Strategy

 

Signature Page to Joint Filing Agreement

 



 

 

Waverly Healthcare Private Equity Limited

 

 

 

 

By:

/s/ Tony Owens

 

 

 

Name:

Tony Owens

 

 

 

Title:

Director of Operations and Strategy

 

Signature Page to Joint Filing Agreement

 



 

 

/s/ Raymond F. Schinazi

 

Raymond F. Schinazi

 

Signature Page to Joint Filing Agreement

 



 

 

David E. Thompson Revocable Trust

 

 

 

 

By:

/s/ David E. Thompson, Trustee

 

 

 

Name:

David E. Thompson

 

 

 

Title:

Trustee

 

Signature Page to Joint Filing Agreement

 



 

 

Hostetler Family Trust UTD 3/18/92, Karl Y. Hostetler and

 

 

Margaretha Hostetler, Co-Trustees

 

 

 

 

 

By:

/s/ Karl Y. Hostetler

 

 

 

Name:

Karl Y. Hostetler

 

 

 

Title:

Co-Trustee

 

 

 

 

 

 

By:

/s/ Margaretha Hostetler

 

 

 

Name:

Margaretha Hostetler

 

 

 

Title:

Co-Trustee

 

Signature Page to Joint Filing Agreement

 



 

 

/s/ H. Watt Gregory III

 

H. Watt Gregory III

 

Signature Page to Joint Filing Agreement

 



 

 

The Richman Trust Dated 2/6/83,

 

 

Douglas D. Richman, Co-Trustee and

 

 

Eva A. Richman, Co-Trustee

 

 

 

 

 

By:

/s/ Douglas D. Richman

 

 

 

Name:

Douglas D. Richman

 

 

 

Title:

Co-Trustee

 

 

 

 

 

 

By:

/s/ Eva A. Richman

 

 

 

Name:

Eva A. Richman

 

 

 

Title:

Co-Trustee

 

Signature Page to Joint Filing Agreement

 



 

 

The Breining Family Trust Dated August 15, 2003

 

 

 

 

By:

/s/ Clifford A. Breining

 

 

 

Name:

Clifford A. Breining

 

 

 

Title:

Trustee

 

Signature Page to Joint Filing Agreement

 


 


 

 

/s/ Dennis A. Carson

 

Dennis A. Carson

 

Signature Page to Joint Filing Agreement

 



 

 

The Jonnie K. Westbrook Revocable Trust, Dated March 17, 2000,

 

 

Jonnie K. Westbrook, Trustee

 

 

 

 

By:

/s/ Jonnie K. Westbrook

 

 

 

Name:

Jonnie K. Westbrook

 

 

 

Title:

Trustee

 

Signature Page to Joint Filing Agreement

 



 

 

/s/ Stavros C. Manolagas

 

Stavros C. Manolagas

 

Signature Page to Joint Filing Agreement

 



 

 

/s/ Michael Rosenblatt MD

 

Michael Rosenblatt MD

 

Signature Page to Joint Filing Agreement

 



 

 

/s/ Patricia E. Rosenblatt

 

Patricia E. Rosenblatt

 

Signature Page to Joint Filing Agreement

 



 

 

Dr. John Potts, Jr and Susanne K. Potts Irrevocable Trust for

 

 

Stephan K. Potts dated 6-15-05

 

 

 

 

By:

/s/ John T. Potts, Jr. M.D.

 

 

 

Name:

John T. Potts, Jr. M.D.

 

 

 

Title:

Director of Research & Physician-in-Chief Emeritus, Massachusetts General Hospital

 

Signature Page to Joint Filing Agreement

 



 

 

/s/ John Thomas Potts MD

 

John Thomas Potts MD

 

Signature Page to Joint Filing Agreement

 



 

 

John A. Katzenellenbogen Trust Under Agreement

 

 

Dated August 2, 1999

 

 

 

 

By:

/s/ John A. Katzenellenbogen

 

 

 

Name:

John A. Katzenellenbogen

 

 

 

Title:

Trustee

 

Signature Page to Joint Filing Agreement

 



 

 

/s/ John A. Katzenellenbogen PhD

 

John A. Katzenellenbogen PhD

 

Signature Page to Joint Filing Agreement

 



 

 

/s/ Bart Henderson

 

Bart Henderson

 

Signature Page to Joint Filing Agreement

 


 


 

 

BOARD OF TRUSTEES OF THE UNIVERSITY OF ARKANSAS

 

 

 

 

By:

/s/ Michael G. Douglas, PhD

 

 

Name:

Michael G. Douglas, PhD

 

 

Title:

Director, UAMS BioVentures

 

Signature Page to Joint Filing Agreement

 



 

 

/s/ Benjamin C. Lane

 

Benjamin C. Lane

 

Signature Page to Joint Filing Agreement

 



 

 

Ruff Trust, F. Bronson Van Wyck, Trustee

 

 

 

 

By:

/s/ F. Bronson Van Wyck

 

 

Name:

F. Bronson Van Wyck

 

 

Title:

Trustee

 

Signature Page to Joint Filing Agreement

 



 

 

H2 Enterprises, LLC

 

 

 

 

By:

/s/ H. Watt Gregory, III

 

 

Name:

H. Watt Gregory, III

 

 

Title:

Managing Member

 

Signature Page to Joint Filing Agreement

 



 

 

/s/ Stavroula Kousteni PhD

 

Stavroula Kousteni PhD

 

Signature Page to Joint Filing Agreement

 



 

 

/s/ Robert L. Jilka PhD

 

Robert L. Jilka PhD

 

Signature Page to Joint Filing Agreement

 



 

 

/s/ Robert S. Weinstein MD

 

Robert S. Weinstein MD

 

Signature Page to Joint Filing Agreement

 



 

 

/s/ Teresita M. Bellido PhD

 

Teresita M. Bellido PhD

 

Signature Page to Joint Filing Agreement

 



 

 

/s/ Dotty Paquin

 

Dotty Paquin

 

Signature Page to Joint Filing Agreement

 



 

 

/s/ Thomas E. Sparks Jr.

 

Thomas E. Sparks Jr.

 

Signature Page to Joint Filing Agreement

 



 

 

/s/ Samuel Ho

 

Samuel Ho

 

Signature Page to Joint Filing Agreement

 



 

 

/s/ Charles O’Brien PhD

 

Charles O’Brien PhD

 

Signature Page to Joint Filing Agreement

 



 

 

/s/ Alwyn Michael Parfitt MD

 

Alwyn Michael Parfitt MD

 

Signature Page to Joint Filing Agreement

 



 

 

/s/ Barnett Pitzele

 

Barnett Pitzele

 

Signature Page to Joint Filing Agreement

 



 

 

/s/ Benita S. Katzenellenbogen PhD

 

Benita S. Katzenellenbogen PhD

 

Signature Page to Joint Filing Agreement

 



 

 

/s/ Kelly Colbourn

 

Kelly Colbourn

 

Signature Page to Joint Filing Agreement

 



 

 

/s/ Socrates E. Papapoulos MD

 

Socrates E. Papapoulos MD

 

Signature Page to Joint Filing Agreement

 



 

 

/s/ Tonya D. Goss

 

Tonya D. Goss

 

Signature Page to Joint Filing Agreement

 



 

 

The Kent C. Westbrook Revocable Trust, Dated March 17, 2000, Kent C. Westbrook, Trustee

 

 

 

 

By:

/s/ Kent C. Westbrook, Trustee

 

 

Name:

Kent C. Westbrook

 

 

Title:

Trustee

 

Signature Page to Joint Filing Agreement

 



 

 

/s/ Maysoun Shomali

 

Maysoun Shomali

 

Signature Page to Joint Filing Agreement

 



 

 

/s/ Jonathan Guerriero

 

Jonathan Guerriero

 

Signature Page to Joint Filing Agreement

 



 

 

/s/ E. Kelly Sullivan

 

E. Kelly Sullivan

 

Signature Page to Joint Filing Agreement

 



 

 

/s/ Cecil Richard Lyttle

 

Cecil Richard Lyttle

 

Signature Page to Joint Filing Agreement

 



 

 

/s/ Louis O’Dea

 

Louis O’Dea

 

Signature Page to Joint Filing Agreement

 



 

 

/s/ Brian Nicholas Harvey

 

Brian Nicholas Harvey

 

Signature Page to Joint Filing Agreement

 



 

 

/s/ Christopher Miller

 

Christopher Miller

 

Signature Page to Joint Filing Agreement

 



 

Schedule A

 

Certain Information Regarding the Reporting Persons

 

NAME

 

RESIDENCE OR BUSINESS
ADDRESS

 

PRESENT PRINCIPAL
OCCUPATION OR
EMPLOYMENT

 

STATE OF
CITIZENSHIP OR
ORGANIZATION

Healthcare Private Equity Limited Partnership

 

Edinburgh One, Morrison Street

Edinburgh, EH3 8BE

United Kingdom

 

Identifying, making and realizing investments

 

SCOTLAND

Lloyds Banking Group plc

 

25 Gresham Street

London EC2V 7HM

 

Commercial Bank

 

UNITED KINGDOM

Scottish Widows Investment Partnership Group Limited

 

Edinburgh One

60 Morrison Street

Edinburgh EH3 8BE

 

Investment management

 

ENGLAND

Waverley Healthcare Private Equity Limited

 

Edinburgh One

60 Morrison Street

Edinburgh EH3 8BE

 

Identifying, making and realizing investments

 

SCOTLAND

Raymond F. Schinazi

 

1860 Montreal Road

Tucker, GA 30084

 

Professor, Emory University

Medical Research 151H

1670 Clairmont Road

Atlanta, GA 30033

 

USA

David E. Thompson Revocable Trust

 

1045 Mason Street, #501

San Francisco, CA 94108

 

Trust Fund

 

USA - INDIANA

Hostetler Family Trust UTD 3/18/92, Karl Y. Hostetler and Margaretha Hostetler, Co-Trustees

 

14024 Rue St. Raphael

Del Mar, CA 92014

 

Trust Fund

 

USA - CALIFORNIA

H. Watt Gregory III

 

Suite 2000

124 West Capitol Avenue

Little Rock, AR 72201

 

Attorney - Suite 2000

124 West Capitol Avenue

Little Rock, AR 72201

 

USA

The Richman Trust Dated 2/6/83, Douglas D. Richman, Co-Trustee and Eva A. Richman, Co-Trustee

 

9551 La Jolla Farms Road

La Jolla, CA 92037

 

Trust Fund

 

USA - CALIFORNIA

The Breining Family Trust Dated August 15, 2003

 

6552 Via Dos Valles

PO Box 9540

Rancho Santa Fe, CA 92067

 

Trust Fund

 

USA - CALIFORNIA

Dennis A. Carson

 

9672 Claiborne Square

La Jolla, CA 92037

 

Professor of Medicine

University of California — San Diego

 

Moores Cancer Center

3855 Health Sciences Drive, MC 0820

La Jolla, CA 92093-0820

 

Effective 1/31/12, new address: Sanford Consortium for Regenerative Medicine

2880 Torrey Pines Scenic Drive, MC 0695

La Jolla, CA 92093-0695

 

USA

The Jonnie K. Westbrook Revocable Trust, Dated March 17, 2000, Jonnie K. Westbrook, Trustee

 

56 River Ridge Rd.

Little Rock, AR 72227

 

Trust Fund

 

USA - ARKANSAS

Stavros C. Manolagas

 

UAMS Center for Osteoporosis and Metabolic Bone Diseases

Winthrop P. Rockefeller Cancer Institute, Room 817

4301 W. Markham, Slot 587

Little Rock, AR 72205-7199

 

Professor of Medicine, Director, Division of Endocrinology and Metabolism; Director, the UAMS/VA Center for Osteoporosis and Metabolic Bone Diseases; Vice Chair for Research, Department of Internal Medicine, University of Arkansas for Medical Sciences,

4301 W. Markham, Slot 587

Little Rock, AR 72205.

 

Chief, Endocrinology Section, Central Arkansas Veterans Healthcare System

4300 West 7th Street

Little Rock, AR 72205

 

USA

Michael Rosenblatt MD

 

130 Lake Avenue

Newton, MA 02459

 

Chief Medical Officer, Merck & Co.

1 Merck Drive

Whitehouse Station, NJ 08889

 

USA

 



 

Patricia E. Rosenblatt

 

876 Beacon St. Apt. 5

Newton, MA 02459

 

Self-Employed Visual Artist

876 Beacon St. Apt. 5

Newton, MA 02459

 

USA

Dr. John Potts, Jr and Susanne K. Potts Irrevocable Trust for Stephan K. Potts dated 6-15-05

 

18 Hawthorn St.

Cambridge, MA 02138

 

Trust Fund

 

USA - MASSACHUSETTS

John Thomas Potts MD

 

18 Hawthorn St.

Cambridge, MA 02138

 

Physician

Massachusetts General Hospital

55 Fruit Street

Boston, MA 02114

 

USA

John A. Katzenellenbogen Trust Under Agreement Dated August 2, 1999

 

John A. Katzenellenbogen

704 West Pennsylvania Ave

Urbana, IL 61801

 

Trust Fund

 

USA - ILLINOIS

John A. Katzenellenbogen PhD

 

John A. Katzenellenbogen, Ph.D

Department of Chemisty (37-5)

University of Illinois

600 South Matthews Ave.

Urbana, IL 61801

 

Research Professor of Chemistry University of Illinois at Urbana-Champaign, IL

 

USA

Bart Henderson

 

48 Prentiss Lane

Belmont, MA 02478

 

Biotechnology

Rhythm Pharmaceuticals

855 Boylston St.

Boston, MA 02116

 

USA

Board of Trustees of the University of Arkansas

 

2404 North University Avenue Little Rock, AR 72207

 

Governing board of the University of Arkansas

 

USA - ARKANSAS

Benjamin C. Lane

 

1284 Deer Trail Lane Libertyville, IL 60048

 

Industrial Liaison and Lecturer

Northwestern University

633 Clark Street Evanston, IL 60208

Business Type: Non-profit Secondary Education

 

USA

Ruff Trust, F. Bronson Van Wyck, Trustee

 

2141 Highway 224 East Tukerman, AR 72473

 

Trust Fund

 

USA - ARKANSAS

H2 Enterprises, LLC

 

c/o H. Watt Gregory, III. Esq. Kutak Rock, LLP

124 West Capitol Avenue, Suite 2000

Little Rock, AR 72201

 

Investments

 

USA - ARKANSAS

Stavroula Kousteni PhD

 

58 Hillside Avenue

Glen Ridge, NJ 07028

 

Associate Professor, Departments of Medicine and Physiology

Columbia University

The Russ Berrie Medical Sciences Pavilion

Room 411

1150 Saint Nicholas Avenue

New York, NY 10032

 

GREECE

Robert L. Jilka PhD

 

14202 Clarborne Court

Little Rock, AR 72211

 

Research Scientist

Central Arkansas Veterans Healthcare System

Research 151/LR

4300 W. 7th Street

Little Rock, AR 72205

 

USA

Robert S. Weinstein MD

 

11 Chalmette

Little Rock, AR 72211

 

Physician, University of Arkansas for Medical Sciences

4301 W. Markham Street

Little Rock, AR 72205

 

USA

Teresita M. Bellido PhD

 

9302 Windrift Way

Zionsville, Indiana 46077

 

Professor of Anatomy and Cell

Biology, and Professor of Internal Medicine

Indiana University School of Medicine

635 Barnhill Drive, MS 545A,

Indianapolis, IN 46202

 

USA

Dotty Paquin

 

799 Shawsheen Street

Tewksbury, MA 01876

 

Pfizer

Vet Tech II

1 Burtt Rd.

Andover, MA 01810

 

USA

Thomas E. Sparks Jr.

 

P.O. Box 472290

San Francisco, CA 94147-2290

 

Pillsbury Winthrop Shaw

Pittman LLP

50 Fremont Street

San Francisco, CA 94105

 

USA

Samuel Ho

 

15 Hillview Ave

Holbrook, MA 02343

 

Scientist II at Novartis

250 Massachusetts Avenue

Cambridge, MA 02139, USA

 

CANADA

 



 

Charles O’Brien PhD

 

2824 Mossy Creek Drive

Little Rock, AR 72211

 

University of Arkansas for Medical Sciences

4301 W. Markham St.

Little Rock, AR 72211

 

USA

Alwyn Michael Parfitt MD

 

28 Baeza Way

Hot Springs, AR 71909

 

Retired

 

UNITED KINGDOM

Barnett Pitzele

 

7924 N. Tripp Ave.

Skokie, IL 60076

 

Consultant;

Skokie Valley Consulting Corp.

7924 N. Tripp Ave.

Skokie, IL 60076

 

USA

Benita S. Katzenellenbogen PhD

 

Department of Molecular and Integrative Physiology

University of Illinois

407 South Goodwin Ave.

Urbana, IL 61801

 

Research Professor of Physiology

University of Illinois, Teaching and Research

Board of Trustees Office

352 Henry Administration Building, MC-350

506 South Wright Street

Urbana, IL 61801, USA

 

USA

Kelly Colbourn

 

123 Oxford Street #3

Cambridge, MA 02138

 

Administrative - Harvard University

17 Oxford Street

Cambridge, MA 02138

 

USA

Socrates E. Papapoulos MD

 

Javastraat 64

2585 AR the Hague

The Netherlands

 

Professor of Medicine,

Leiden University Medical Center

Albinusdreef 2

2333 ZA Leiden

The Netherlands

 

NETHERLANDS

Tonya D. Goss

 

7790 Shannon Road

Pine Bluff, Arkansas 71603

 

Unemployed

 

USA

The Kent C. Westbrook Revocable Trust, Dated March 17, 2000, Kent C. Westbrook, Trustee

 

56 River Ridge Rd.

Little Rock, AR 72227

 

Trust Fund

 

USA - ARKANSAS

Maysoun Shomali

 

354 School Street

Watertown, MA 02472

 

Scientist, Sanofi-Aventis

270 Albany St

Cambridge MA 02139

 

USA

Jonathan Guerriero

 

20 Bazin Lane

Canton, MA 02021

 

Radius Health, Inc.

Product Development

201 Broadway, 6th Floor

Cambridge, MA 02139

 

USA

E. Kelly Sullivan

 

23 Belknap Street

Arlington, MA 02474

 

Principal Scientist

N-of-One Therapeutics

400 5th Avenue, Suite 200

Waltham, MA 02451-8706

 

USA

Cecil Richard Lyttle

 

201 Broadway, 6th Floor

Cambridge, MA 02139

 

Radius Health, Inc.

Interim Chief Scientific Officer

201 Broadway, 6th Floor

Cambridge, MA 02139

 

CANADA

Louis O’Dea

 

566 Main St.

Hingham, MA 02043

 

Physician

Self-employed

 

CANADA

Brian Nicholas Harvey

 

201 Broadway, Sixth Floor

Cambridge, MA 02139

 

Radius Health, Inc.

Chief Financial Officer

201 Broadway, 6th Floor

Cambridge, MA 02139

 

USA

Christopher Miller

 

1685 Milburne

Lake Forest, IL 60045

 

Intellectual Property Strategist,

Abbott Labs

200 Abbott Park Road

Abbott Park, IL 60064

 

USA

 



 

Schedule B

 

Certain Information Regarding the Separately Filing Group Members(1)

 

Separately Filing Group Member(2)

 

Outstanding
Shares
(as converted)

 

Voting % of
Outstanding Shares

 

Beneficial
Ownership

 

MPM Bioventures III, L.P.

 

302,750

 

1.4

%

31.9

%

MPM Bioventures III-QP, L.P.

 

4,502,870

 

21.0

%

87.5

%

MPM Bioventures III GMBH & Co. Beteiligungs KG

 

380,540

 

1.8

%

37.1

%

MPM Bioventures III Parallel Fund, L.P.

 

135,960

 

0.6

%

17.4

%

MPM Asset Management Investors 2003 BVIII LLC

 

87,160

 

0.4

%

11.9

%

MPM Bio IV NVS Strategic Fund, L.P.

 

2,987,790

 

14.0

%

82.2

%

The Wellcome Trust Limited, as Trustee of the Wellcome Trust

 

2,868,910

 

13.4

%

81.6

%

HealthCare Ventures VII, L.P.

 

2,292,053

 

10.7

%

80.3

%

OBP IV — Holdings LLC

 

1,837,693

 

8.6

%

74.5

%

mRNA II - Holdings LLC

 

18,411

 

0.1

%

2.8

%

Nordic Bioscience Clinical Development VII A/A

 

64,430

 

0.3

%

9.1

%

BB Biotech Growth N.V.

 

1,228,200

 

5.7

%

65.6

%

Ipsen Pharma SAS

 

173,260

 

0.8

%

21.2

%

Brookside Capital Partners Fund, L.P.

 

1,228,200

 

5.7

%

65.6

%

Julianne Glowacki PhD

 

93

 

0.0

%

0.0

%

 


(1)  All references to the number of shares outstanding are based upon 21,400,279 shares of outstanding Common Stock being deemed issued and outstanding, which consists of: (i) 645,399 shares of Common Stock that are issued and outstanding and (ii) an aggregate of 20,754,880 shares of Common Stock issuable upon conversion of all shares of Preferred Stock outstanding as of as of December 14, 2011 following completion of the Stage III Closing contemplated by the Stock Purchase Agreement as disclosed in the Issuer’s Information Statement on Schedule 14C, filed with the SEC on December 27, 2011, and as disclosed to the Reporting Persons by the Issuer separately.  Because each stockholder of the Issuer is a party to certain agreements with the other stockholders of the Issuer, which agreements contain, among other things, certain voting agreements and limitations on the sale of their shares of Common Stock, each stockholder of the Issuer may be deemed to be a member of a “group,” within the meaning of Section 13(d)(3) of the Act (as defined in this Schedule 13D).  Shares listed as beneficially owned in this table exclude shares held by any Reporting Person or by any of the other Separately Filing Group Members, in each case as to which the Reporting Persons disclaims beneficial ownership.

 

(2) See the Schedule 13D filed, or that the Reporting Persons anticipate will be filed, separately by each Separately Filing Group Member, which includes, or will include, information regarding the filer’s jurisdiction of organization, principal business, and address of principal office.

 



 

Schedule C

 

Share Ownership of the Reporting Persons

 

NAME

 

SHARE OWNERSHIP

Healthcare Private Equity Limited Partnership

 

765,020 shares of Common Stock, which includes 765,020 shares of Common Stock issuable to this Reporting Person upon the conversion of 20,416 shares of Issuer Series A-1 Preferred Stock and 56,086 shares of Issuer Series A-2 Preferred Stock

Lloyds Banking Group plc

 

765,020 shares of Common Stock, which includes 765,020 shares owned by Healthcare Private Equity Limited Partnership

Scottish Widows Investment Partnership Group Limited

 

765,020 shares of Common Stock, which includes 765,020 shares owned by Healthcare Private Equity Limited Partnership

Waverley Healthcare Private Equity Limited

 

765,020 shares of Common Stock, which includes 765,020 shares owned by Healthcare Private Equity Limited Partnership

Raymond F. Schinazi

 

34,250 shares of Common Stock, which includes 34,250 shares of Common Stock issuable to this Reporting Person upon the conversion of 1,487 shares of Issuer Series A-1 Preferred Stock, 1,524 shares of Issuer Series A-2 Preferred Stock, and 414 shares of Issuer Series A-4 Preferred Stock

David E. Thompson Revocable Trust

 

22,070 shares of Common Stock, which includes 22,070 shares of Common Stock issuable to this Reporting Person upon the conversion of 588 shares of Issuer Series A-1 Preferred Stock and 1,619 shares of Issuer Series A-4 Preferred Stock

Hostetler Family Trust UTD 3/18/92, Karl Y. Hostetler and Margaretha Hostetler, Co-Trustees

 

8,195 shares of Common Stock

H. Watt Gregory III

 

20,044 shares of Common Stock, which includes 5,124 shares of Common Stock owned by H2 Enterprises, LLC and 14,920 shares of Common Stock issuable to this Reporting Person upon the conversion of 397 shares of Issuer Series A-1 Preferred Stock and 1,095 shares of Issuer Series A-4 Preferred Stock

The Richman Trust Dated 2/6/83, Douglas D. Richman, Co-Trustee and Eva A. Richman, Co-Trustee

 

7,300 shares of Common Stock, which includes 7,300 shares of Common Stock issuable to this Reporting Person upon the conversion of 195 shares of Issuer Series A-1 Preferred Stock and 535 shares of Issuer Series A-4 Preferred Stock

The Breining Family Trust Dated August 15, 2003

 

4,550 shares of Common Stock, which includes 4,550 shares of Common Stock issuable to this Reporting Person upon the conversion of 120 shares of Issuer Series A-1 Preferred Stock and 335 shares of Issuer Series A-4 Preferred Stock

Dennis A. Carson

 

533 shares of Common Stock

The Jonnie K. Westbrook Revocable Trust, Dated March 17, 2000, Jonnie K. Westbrook, Trustee

 

363 shares of Common Stock

Stavros C. Manolagas

 

91,040 shares of Common Stock

Michael Rosenblatt MD

 

43,915 shares of Common Stock, which includes 852 options exercisable within 60 days

Patricia E. Rosenblatt

 

41,357 shares of Common Stock

Dr. John Potts, Jr and Susanne K. Potts Irrevocable Trust for Stephan K. Potts dated
6-15-05

 

20,291 shares of Common Stock

John Thomas Potts MD

 

69,932 shares of Common Stock, which includes 20,291 shares owned by the Dr. John Potts, Jr and Susanne K. Potts Irrevocable Trust for Stephan K. Potts dated 6-15-05 and held in trust by John Thomas Potts MD and 699 options exercisable within 60 days

John A. Katzenellenbogen Trust Under Agreement Dated August 2, 1999

 

40,438 shares of Common Stock

John A. Katzenellenbogen PhD

 

56,065 shares of Common Stock, which includes 40,438 shares owned by the John A. Katzenellenbogen Trust Under Agreement Dated August 2, 1999 and held in trust by John A. Katzenellenbogen PhD.

Bart Henderson

 

30,468 shares of Common Stock

Board of Trustees of the University of Arkansas

 

17,333 shares of Common Stock

Benjamin C. Lane

 

8,125 shares of Common Stock

Ruff Trust, F. Bronson Van Wyck, Trustee

 

5,487 shares of Common Stock

H2 Enterprises, LLC

 

5,124 shares of Common Stock

 



 

Stavroula Kousteni PhD

 

421 shares of Common Stock

Robert L. Jilka PhD

 

572 shares of Common Stock

Robert S. Weinstein MD

 

421 shares of Common Stock

Teresita M. Bellido PhD

 

234 shares of Common Stock

Dotty Paquin

 

891 shares of Common Stock

Thomas E. Sparks Jr.

 

883 shares of Common Stock

Samuel Ho

 

833 shares of Common Stock

Charles O’Brien PhD

 

140 shares of Common Stock

Alwyn Michael Parfitt MD

 

280 shares of Common Stock

Barnett Pitzele

 

266 shares of Common Stock

Benita S. Katzenellenbogen PhD

 

187 shares of Common Stock

Kelly Colbourn

 

102 shares of Common Stock

Socrates E. Papapoulos MD

 

93 shares of Common Stock

Tonya D. Goss

 

66 shares of Common Stock

The Kent C. Westbrook Revocable Trust, Dated March 17, 2000, Kent C. Westbrook, Trustee

 

46 shares of Common Stock

Maysoun Shomali

 

2,383 shares of Common Stock

Jonathan Guerriero

 

14,833 shares of Common Stock, which includes 12,333 options exercisable within 60 days

E. Kelly Sullivan

 

937 shares of Common Stock

Cecil Richard Lyttle

 

590,637 shares of Common Stock, which includes 523,971 options exercisable within 60 days

Louis O’Dea

 

193,087 shares of Common Stock, which includes 163,880 options exercisable within 60 days

Brian Nicholas Harvey

 

179,513 shares of Common Stock, which includes 149,513 options exercisable within 60 days

Christopher Miller

 

63,853 shares of Common Stock, which includes 30,498 options exercisable within 60 days