SECURITY OWNERSHIP OF CERTAIN BENEFICIAL OWNERS AND MANAGEMENT
The following table sets forth certain information regarding the ownership of the Company’s
common stockCommon Stock as of
April 23,October 31, 2020 by: (i) each
director and nominee for director; (ii) each of
theour named executive
officers named in the Summary Compensation Table;officers; (iii) all executive officers and directors of the Company as a group; and (iv) all those known by the Company to be beneficial owners of more than five percent of
its common stock.our Common Stock.
We have determined beneficial ownership in accordance with the rules of the SEC. These rules generally attribute beneficial ownership of securities to persons who possess sole or shared voting power or investment power with respect to those securities. In addition, these rules require that we include shares of
common stockCommon Stock issuable pursuant to the vesting of warrants and the exercise of stock options that are either immediately exercisable or exercisable within 60 days of
April 23,October 31, 2020. These shares are deemed to be outstanding and beneficially owned by the person holding those warrants or options for the purpose of computing the percentage ownership of that person, but they are not treated as outstanding for the purpose of computing the percentage ownership of any other person. This table is based on information supplied by officers, directors and principal stockholders and Schedule 13D,
and Schedule 13G and Section 16 filings, if any, with the SEC. Unless otherwise indicated, the persons or entities identified in this table have sole voting and investment power with respect to all shares shown as beneficially owned by them, subject to applicable community property laws.
Except as otherwise noted below, the address for persons listed in the table is c/o Helius Medical Technology, Inc., 642 Newtown Yardley Road, Suite 100, Newtown, Pennsylvania 18940.
| | | | | | | | |
| | Beneficial Ownership | |
Beneficial Owner | | Number of Shares of Common Stock | | | Percent of Total | |
A&B (HK) Company Limited(2) | | | 2,699,828 | | | | 10.4 | |
Sabby Volatility Warrant Master Fund, Ltd.(3) | | | 2,857,143 | | | | 7.5 | |
Montel Williams Enterprises. Inc.(4) | | | 874,487 | | | | 5.3 | |
Armistice Capital, LLC(5) | | | 1,910,062 | | | | 5.0 | |
Philippe Deschamps(6) | | | 1,444,145 | | | | 5.4 | |
Joyce LaViscount(7) | | | 398,365 | | | | 1.5 | |
Jonathan Sackier (8) | | | 1,068,068 | | | | 2.8 | |
Thomas E. Griffin(9) | | | 49,841 | * | | | * | |
Huaizheng Peng(10) | | | 45,088 | * | | | * | |
Edward M. Straw(11) | | | 62,703 | * | | | * | |
Mitchell E. Tyler(12) | | | 928,751 | | | | 3.6 | |
Blane Walter(13) | | | 214,225 | * | | | * | |
Dane C. Andreeff(14) | | | 743,137 | | | | 2.9 | |
All executive officers and directors as a group (10 persons) (15) | | | 3,778,359 | | | | 9.9 | |
* Less than one percent.
Columbus Capital Management LLC(2) | | | 5,628,228 | | | 9.9 |
A&B (HK) Company Limited(3) | | | 2,699,828 | | | 5.2 |
Sabby Volatility Warrant Master Fund, Ltd.(4) | | | 2,887,143 | | | 5.3 |
Philippe Deschamps(5) | | | 1,352,182 | | | 2.6 |
Joyce LaViscount(6) | | | 710,919 | | | 1.4 |
Jonathan Sackier(7) | | | 1,110,070 | | | 2.1 |
Edward M. Straw(8) | | | 116,827 | | | * |
Mitchell E. Tyler(9) | | | 879,731 | | | 1.7 |
Blane Walter(10) | | | 270,659 | | | * |
Dane C. Andreeff(11) | | | 3,336,943 | | | 6.3 |
Jeffrey S. Mathiesen(12) | | | 30,609 | | | * |
All current executive officers and directors as a group (7 persons)(13) | | | 5,147,932 | | | 9.6 |
(1)
| This table is based upon information supplied by officers, directors and principal stockholders. Unless otherwise indicated in the footnotes to this table and subject to community property laws where applicable, the Company believes that each of the stockholders named in this table has sole voting and investment power with respect to the shares indicated as beneficially owned. Applicable percentages are based on 38,041,66651,922,480 shares outstanding on April 23,October 31, 2020, adjusted as required by rules promulgated by the SEC. |
(2)
| (2)Includes 5,128,228 shares of Common Stock, and 500,000 shares of Common Stock issuable upon the exercise of warrants. Columbus Capital Management, LLC, which serves as the general partner and investment manager to each of Columbus Capital QP Partners, L.P., Columbus Capital Partners, L.P., and Columbus Capital Offshore QP Fund, LTD. (collectively "the Funds"), and Mr. Matthew D. Ockner, as Managing Member of Columbus Capital Management, LLC, with the power to exercise investment and voting discretion, may be deemed to be the beneficial owner of all shares of Common Stock held by the Funds. The business address of Matthew D. Ockner is 1 Embarcadero Center, Suite 1130, San Francisco, CA 94111. The percentage in this table reflects that the reporting persons may not exercise the warrants to the extent such exercise would cause the reporting persons to beneficially own a number of shares of common stock that would exceed 9.99% of our then outstanding common stock following such exercise. |
(3)
| Includes 2,495,747 shares of common stock,Common Stock, and 204,081 shares of common stockCommon Stock issuable upon the exercise of warrants. Dr. Lam Kong is the sole officer and director of each A&B (HK) Company Limited (“A&B”) and A&B Brother Limited (“A&B BVI”). The business address of A&B BVI is Trident Chambers, P.O. Box 146, Road Town, Tortola, British Virgin Islands. The business address of Dr. Lam Kong is Unit 2106, 21/F, Island Place Tower, 510 King’s Road, North Point, Hong Kong. |
(4)
| (3) | Based solely on a Schedule 13G filed March 18, 2020,Incudes 2,857,143 shares issuable upon the exercise of warrants. Sabby Volatility Warrant Master Fund, Ltd. (“Sabby”) disclosed direct ownership of 2,857,143 shares, and, Sabby Management, LLC (“Sabby, Sabby Management”) and Hal Mintz disclosed beneficialhave shared voting and indirect ownership of 2,857,143investment power with respect to these shares. Sabby Management, LLC serves as the investment manager of Sabby; Mr. Mintz is manager of Sabby Management, LLC. The address for Sabby is c/o Ogier Fiduciary Services (Cayman) Limited, 89 Nexus Way, Camana Bay, Grand CaymanKY1-9007, Cayman Islands. The address for Sabby Management, LLC and Mr. Mintz is 10 Mountainview Road, Suite 205, Upper Saddle River, New Jersey 07458.
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| (4) | Based solely on a Schedule 13G/A filed February 12, 2020, Montel Williams Enterprises, Inc. (“MWE”) disclosed direct ownership of 874,487 shares. By virtue of his control of MWE as its sole stockholder and sole director, Montel Williams is deemed to beneficially own such 874,487 shares. The address for the reporting person is 1395 Brickell Avenue, Suite 800, Miami, FL33131.
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