|EXICURE, INC. filed this Form S-1/A on 01/26/2018|
SECURITY OWNERSHIP OF CERTAIN BENEFICIAL OWNERS AND MANAGEMENT
The following table sets forth certain information relating to the beneficial ownership of our common stock as of November 15, 2017, by:
each person, or group of affiliated persons, known by us to beneficially own more than five percent of the outstanding shares of our common stock;
each of our named executive officers; and
all directors and executive officers as a group.
The number of shares beneficially owned by each entity, person, director or executive officer is determined in accordance with the rules of the SEC, and the information is not necessarily indicative of beneficial ownership for any other purpose. Under such rules, beneficial ownership includes any shares over which the individual has sole or shared voting power or dispositive power as well as any shares that the individual has the right to acquire within 60 days of November 15, 2017 through the exercise of any stock option, warrants or other rights. Except as otherwise indicated, and subject to applicable community property laws, the persons named in the table have sole voting and dispositive power with respect to all shares of common stock held by that person.
The percentage of shares beneficially owned is computed on the basis of 39,300,823 shares of our common stock outstanding as of November 15, 2017.
Shares of common stock that a person has the right to acquire within 60 days of November 15, 2017, are deemed outstanding for purposes of computing the percentage ownership of the person holding such rights, but are not deemed outstanding for purposes of computing the percentage ownership of any other person, except with respect to the percentage ownership of all directors and executive officers as a group. Unless otherwise noted below, the address of the persons listed on the table is c/o Exicure, Inc., 8045 Lamon Avenue, Suite 410, Skokie, IL 60077.
Greater than 5% Stockholders
Beneficially Owned (#)
Beneficially Owned (%) (1)
Gates Ventures, LLC(3)
Directors and Named Executive Officers
Chad A. Mirkin, Ph.D.(4)
C. Shad Thaxton, M.D., Ph.D.(5)
David R. Walt, Ph.D.(6)
Jay R. Venkatesan, M.D.(7)
Helen S. Kim(8)
David A. Giljohann, Ph.D.(9)
David S. Snyder(10)
Ekambar Kandimalla, Ph.D.(11)
All directors and executive officers as a group (8 persons)(12)
Indicates beneficial ownership of less than one percent of the outstanding shares of common stock.
Includes an aggregate of 10,504,196 shares of common stock issued upon the consummation of all closings of the Private Placement.
Excludes (a) 22,567 shares of common stock held by Chad Mirkin, (b) 6,669 shares of common stock held by Chad A. Mirkin Living Trust, (c) 89,988 shares of common stock issuable to Chad Mirkin upon exercise of options exercisable within 60 days of November 15, 2017, and