Jane Henderson

Founded in 1969, HSBC Securities (U.S.A.) Inc. is an SEC-registered brokerage firm and registered futures commission merchant located in New York City. The firm is a wholly-owned subsidiary of HSBC North America Holdings, Inc. and their ultimate parent is HSBC Holdings Plc. (NYSE: HBC). HSBC Securities (U.S.A.) is a member of FINRA, the NYSE and the SIPC. Their securities and annuity products are provided by registered representatives and insurance agents of HSBC Securities (U.S.A.). In California, HSBC Securities (U.S.A.) conducts insurance business as HSBC Securities Insurance Services. Insurance products are offered through insurance agents of HSBC Insurance Agency (U.S.A.) Inc., a wholly-owned subsidiary of HSBC Bank U.S.A. NA and an indirectly wholly-owned subsidiary of HSBC Holdings plc. The company also engages in investment banking underwriting, dealing and brokering of debt and equity securities and futures contracts and is a primary dealer in U.S. Government and federal agency securities.

CIBC World Markets is a full-service investment bank headquartered in New York City. CIBC provides an internationally integrated research product through three primary strategies. In the US, the firm provides research coverage available in areas of focus, including technology, telecommunications, healthcare, energy, power generation and technology, financial institutions, consumer growth, real estate and media. In Canada, the firm offers the full spectrum of coverage for all of the sectors that form the TSE 300 Index. Their broad investment grade analysis of return bond Indices provides daily performance of the Canadian bond market. The sectors covered are: government of Canada bonds, provincial and municipal bonds and corporate bonds rated AAA/AA, A and BBB. Also available is a monthly ABS/MBS market report that provides information on ABS market conditions, market summary data and monthly performance reports on outstanding transactions. This report includes information about the MBS market, including key statistics on MBS spreads and prepayments. Another report contains MBS trading data, cash flows and other key data. A separate monthly Portfolio Valuation Report provides month end pricing for ABS and MBS transactions. Corporate debt research produces highly targeted credit analysis and research for investment grade and high yield debt securities. The corporate bond review covers bond market action, new issues, price/yield movements, rating changes, and buy/sell recommendations. The fixed-income research group produces actionable fundamental and technical analysis, strategies, products, and runs bond indexes and quantitative models relating specifically to fixed income markets, bond portfolios, and individual securities. CIBC provides risk management solutions to corporations, investors, financial institutions, and governments across all asset classes: interest rates, equities, credit, currency, and commodities. CIBC World Markets is a subsidiary of Canadian Imperial Bank of Commerce.

A subsidiary of Lehman Brothers Holdings, Inc., Lehman Brothers, Inc. is a broker/dealer headquartered in New York City. They provide global equity and fixed research. The equity research department covers more than 100 sectors. They use a fundamental, quantitative, strategic and tactical research approach. In addition to these Lehman has also developed special products, such as 10 uncommon values and 10 uncommon eurovalues.

Kolltan Pharmaceuticals, Inc. engaged in the development of monoclonal antibody drugs. It focused on the discovery and development of novel antibody-based drugs targeting receptor tyrosine kinases (RTKs) for the treatment of cancer and other diseases. The company was founded by Arthur G. Altschul, Jr. and Joseph P. Schlessinger on November 16, 2007 and was headquartered in New Haven, CT.

ISTA Pharmaceuticals, Inc. was incorporated as Advanced Corneal Systems, Inc. in California in February 1992 to discover, develop, and market new remedies for diseases and conditions of the eye. In March 2000, the company changed its name to ISTA Pharmaceuticals, Inc. It reincorporated, in Delaware, in August 2000. BROMDAY, BEPREVE, ISTALOL, VITRASE, XIBROM (bromfenac ophthalmic solution), XIBROM, T-PRED, PROLENSA, BEPOSONE, BEPOMAX, ISTA, ISTA Pharmaceuticals, Inc. and the ISTA logo are its trademarks, either owned or under license. Ista is commercial-stage, multi-specialty pharmaceutical company, which develops, markets, and sells its own products in the United States and Puerto Rico. Its products are intended to treat allergy and serious diseases of the eye and include therapies for ocular inflammation and pain, glaucoma, dry eye, and ocular and nasal allergies.

Renetx Bio, Inc. operates as a biotechnology company that develops disease modifying therapeutics. It offers Nogo Receptor and Cellular Prion Protein technology. The company was founded by Sylvia McBrinn and Stephen Strittmatter in 2009 and is headquartered in New Haven, CT.

The EQUUS Foundation, Inc. operates an animal welfare organization that cares for horses. The non-profit company is based in Westport, CT.

Sesen Bio, Inc. is a late-stage clinical company, which engages in the development of targeted fusion protein therapeutics. It offers Vicineum and Proxinium, which target tumor cell surface antigens that allow for rapid internalization into the targeted cancer cell and also have limited expression on normal cells. The company was founded by Reza Dana, K. Christopher Garcia, Gregory L. Verdine, Casey T. Weaver, and K. Dane Wittrup on February 25, 2008 and is headquartered in Cambridge, MA.

IVERIC bio, Inc. operates as a biopharmaceutical company. The firm engages in discovering, developing and commercializing novel therapeutics to treat ophthalmic diseases, with a focus on age-related and orphan retinal diseases. Its product candidates include Zimura and Gene Therapy. The company was founded by David R. Guyer and Samir Chandrakant Patel on January 5, 2007 and is headquartered in Parsippany, NJ.

Ventus Therapeutics, Inc. operates as a biopharmaceutical company. It focuses in developing novel small molecule medicines that target the innate immune system to treat autoimmune diseases, inflammatory diseases and cancer. The company was founded by Hao Wu, Richard Flavell, Judy Lieberman, Thomas Tuschl, and Feng Shao and is headquartered in Montreal, Canada.

Ventus Therapeutics U.S., Inc. operates as a biotechnology company. The company is headquartered in Natick, MA.