Filing Details

  NAME OF REPORTING PERSONS

  S.S. OR I.R.S IDENTIFICATION NOS. OF ABOVE PERSONS

  NEIL KUMAR

  CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

  (a)  ☐        (b)  ☒

  SEC USE ONLY

  CITIZENSHIP OR PLACE OF ORGANIZATION

  U.S.

NUMBER OF

SHARES

 BENEFICIALLY 

OWNED BY

EACH

REPORTING

PERSON

WITH

  SOLE VOTING POWER

  7,215,500

  SHARED VOTING POWER

  2,608,408

  SOLE DISPOSITIVE POWER

  7,215,500

  SHARED DISPOSITIVE POWER

  2,608,408

  AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

  9,823,908 (1)

  CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES

  ☐

  PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9

  6.42%(2)

  TYPE OF REPORTING PERSON*

  IN

Consists of (i) 4,813,197 shares of Common Stock held directly by Dr. Kumar, (ii) 2,333,597 shares of Common Stock issuable to Dr. Kumar upon the exercise of stock options exercisable within 60 days of December 31, 2022, (iii) 68,706 shares of Common Stock issuable to Dr. Kumar upon the vesting and settlement of restricted stock units within 60 days of December 31, 2022, (iv) 1,612,722 shares of Common Stock held by the Kumar Haldea Revocable Trust, of which Dr. Kumar is a co-trustee and (v) 995,686 shares of Common Stock held by the Kumar Haldea Family Irrevocable Trust, of which Dr. Kumar is a co-trustee.

Percentage ownership is based on (i) 150,625,572 shares of Common Stock outstanding as of December 31, 2022, (ii) 2,333,597 shares of Common Stock underlying stock options held by Dr. Kumar that are exercisable within 60 days of December 31, 2022 and are deemed outstanding pursuant to SEC Rule 13-3(d)(1)(i) and (iii) 68,706 shares of Common Stock underlying restricted stock units held by Dr. Kumar that are subject to vesting and settlement within 60 days of December 31, 2022 and are deemed outstanding pursuant to SEC Rule 13-3(d)(1)(i).

Name of Issuer:

Address of Issuers Principal Executive Offices:

Name of Person Filing:

Address of Principal Business Office or, if None, Residence:

Citizenship:

Title of Class of Securities:

☐ Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o).

☐ Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c).

☐ Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c).

☐ Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8).

☐ An investment adviser in accordance with §240.13d-1(b)(1)(ii)(E);

☐ An employee benefit plan or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F);

☐ A parent holding company or control person in accordance with §240.13d-1(b)(1)(ii)(G);

☐ A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);

☐ A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3);

☐ A non-U.S. institution in accordance with §240.13d-1(b)(1)(ii)(J);

☐ Group, in accordance with §240.13d-1(b)(1)(ii)(K). If filing as a non-U.S. institution in accordance with §240.13d-1(b)(1)(ii)(J), please specify the type of institution:

Amount Beneficially Owned: 9,823,908 shares of Common Stock, which represents (i) 4,813,197 shares held of record by Neil Kumar, (ii) 2,333,597 shares of Common Stock issuable to Dr. Kumar upon the exercise of stock options exercisable within 60 days of December 31, 2022, (iii) 68,706 shares of Common Stock issuable to Dr. Kumar upon the vesting and settlement of restricted stock units within 60 days of December 31, 2022, (iv) 995,686 shares held of record by the Kumar Haldea Family Irrevocable Trust and (v) 1,612,722 shares held of record by the Kumar Haldea Revocable Trust.

Percent of Class: 6.42%

Number of Shares as to which the person has:

Sole power to vote or to direct the vote: 7,215,500

Shared power to vote or to direct the vote: 2,608,408

Sole power to dispose or to direct the disposition of: 7,215,500

Shared power to dispose or to direct the disposition of: 2,608,408

Ownership of Five Percent or Less of a Class. 

Ownership of More than Five Percent on behalf of Another Person. 

Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company. 

Identification and Classification of Members of the Group. 

Notice of Dissolution of Group. 

Certification. 

/s/ Neil Kumar