Bank PLC, 1 Churchill Place, London, E14 5HP, England; Barclays Capital Inc. reported that as of December 31, 2020 it had sole voting power over 409,083 shares and sole dispositive power over 409,083 shares and that its address is Barclays Capital Inc., 745 Seventh Ave, New York, NY 10019; Barclays Capital Securities Ltd reported that as of December 31, 2020 it had sole voting power over -670 shares and sole dispositive power over -670 shares and that its address is Barclays Capital Securities Ltd, 5 The North Colonnade, Canary Wharf, London, X0 E14 4BB.
(3)
Based on a Schedule 13G filed with the SEC on February 16, 2021, Citadel Advisors LLC reported that as of December 31, 2020, it had sole voting and dispositive power over 0 shares, and shared voting and dispositive power over 1,763,534 shares, and that its address is Citadel Advisors LLC, 131 S. Dearborn Street, 32nd Floor, Chicago, IL 60603. Based on the Schedule 13G: Citadel Advisors LLC (“Citadel Advisors”) is the portfolio manager for Citadel Global Equities Master Fund Ltd., a Cayman Islands limited company, (“CG”) and Citadel Equity Fund Ltd., a Cayman Islands limited company (“CEFL”); Citadel Advisors Holdings LP (“CAH”) is the sole member of Citadel Advisors; Citadel GP LLC, a Delaware limited liability company (“CGP”), is the general partner of CAH; CALC IV LP, a Delaware limited partnership (“CALC4”), is the non-member manager of CRBU Holdings LLC, a Delaware limited liability company (“CRBH”), and Citadel Securities LLC, a Delaware limited liability company; Citadel Securities GP LLC a Delaware limited liability company (“CSGP”), is the general partner of CALC4; and Mr. Kenneth Griffin is the President and Chief Executive Officer of CGP, and owns a controlling interest in CGP and CSGP. Citadel Advisors, CAH and CGP may each be deemed to beneficially own 1,763,534 shares; Citadel Securities LLC, CALC4 and CSGP may each be deemed to beneficially own 201,573 shares; and Mr. Griffin may be deemed to beneficially own 1,965,107 shares.
(4)
Based on a Schedule 13G filed with the SEC on February 8, 2021, Vanguard Group Inc., a Pennsylvania corporation, reported that as of December 31, 2020, it had sole voting power over 0 shares, shared voting power over 14,523 and sole dispositive power over 1,419,573 shares and shared dispositive power over 19,635 and that its address is The Vanguard Group, 100 Vanguard Blvd., Malvern, PA 19355.
(5)
Based on a Schedule 13G filed with the SEC on February 8, 2021: D. E. Shaw Valence Portfolios, L.L.C. reported that as of January 27, 2021, it had sole voting power and sole dispositive power over 0 shares, but shared voting power and shared dispositive power over 1,323,743 shares; D. E. Shaw & Co., L.L.C. reported that as of January 27, 2021, it had sole voting power and sole dispositive power over 0 shares, but shared voting power and shared dispositive power over 1,385,611 shares; D. E. Shaw & Co., L.P. reported that as of January 27, 2021, it had sole voting power and sole dispositive power over 0 shares, but shared voting power over 1,388,133 shares and shared dispositive power over 1,388,322 shares; and David E. Shaw reported that as of January 27, 2021, he had sole voting power and sole dispositive power over 0 shares, but shared voting power over 1,388,133 shares and shared dispositive power over 1,388,322 shares. Based on this Schedule 13G, the business address for each such reporting is 1166 Avenue of the Americas, 9th Floor, New York, New York, 10036. The Schedule 13G reported that David E. Shaw is the president and sole shareholder of D. E. Shaw & Co., Inc., which is the general partner of D. E. Shaw & Co., L.P., which in turn is the investment adviser of D. E. Shaw Valence Portfolios, L.L.C. and D. E. Shaw Oculus Portfolios, L.L.C. and the managing member of D. E. Shaw Investment Management, L.L.C. and D. E. Shaw Adviser, L.L.C., which in turn is the investment adviser of D. E. Shaw Asymptote Portfolios, L.L.C., and that, by virtue of these positions, David E. Shaw may be deemed to be the beneficial owner of the shares reported in this Schedule 13G.
(6)
Includes (i) 165,348 shares of common stock issuable upon the exercise of stock options within 60 days of April 5, 2021; (ii) 528,441 shares of common stock; and (iii) 23,795 RSUs which vest within 60 days of April 5, 2021. Dr. Lin is our President, Chief Executive Officer and Chairman of the Board.
(7)
Includes (i) 87,417 shares of common stock and (ii) 3,264 RSUs which vest within 60 days of April 5, 2021. Mr. Lin is a member of our Board.
(8)
Includes (i) 87,533 shares of common stock and (ii) 3,264 RSUs which vest within 60 days of April 5, 2021. Mr. Yeh is a member of our Board.
(9)
Includes (i) 59,608 shares of common stock and (ii) 3,264 RSUs which vest within 60 days of April 5, 2021 and (iii) 8,162 shares of common stock held of record by Heather B. Black Revocable Trust, which Heather Black is trustee and has the sole voting and dispositive power over such shares. Ms. Black is Mr. Black’s spouse. Mr. Black is a member of our Board.
(10)
Includes (i) 49,285 shares of common stock and (ii) 3,264 RSUs which vest within 60 days of April 5, 2021. Dr. Ignatiev is a member of our Board.
(11)
Includes (i) 46,639 shares of common stock; (ii) 3,264 RSUs which vest within 60 days of April 5, 2021 and (iii) 15,000 shares of common stock held of record by Yuh-Mei Chung. Ms. Chung is Dr. Chen’s spouse. Dr. Chen is a member of our Board.
(12)
Includes (i) 9,789 shares of common stock and (ii) 3,264 RSUs which vest within 60 days of April 5, 2021. Dr. Loboa is a member of our Board.
(13)
Includes (i) 2,225 shares of common stock issuable upon the exercise of stock options within 60 days of April 5, 2021; (ii) 29,813 shares of common stock; and (iii) 6,029 RSUs which vest within 60 days of April 5, 2021. Dr. Chang is our Senior Vice President and North America General Manager.
(14)
Includes (i) 16,000 shares of common stock issuable upon the exercise of stock options within 60 days of April 5, 2021; (ii) 16,578 shares of common stock; and (iii) 6,413 RSUs which vest within 60 days of April 5, 2021. Dr. Murry is our Chief Financial Officer and Chief Strategy Officer.