Page 11 of 18 – SEC Filing
| CUSIP No. | 64052L106 | 13G | Page 11 of 15 |
| (g) | ☐ | A parent holding company or control person in accordance |
| (h) | ☐ | A savings association as defined in Section 3(b) of |
| (i) | ☐ | A church plan that is excluded from the definition |
| (j) | ☐ | A non-U.S. institution in accordance with Rule 13d-1(b)(1)(ii)(J); |
| (k) | ☐ | Group, in accordance with Rule 13d-1(b)(1)(ii)(K). |
If filing as a non-U.S. institution in accordance
with Rule 13d-1(b)(1)(ii)(J), please specify the type of institution: _________________
| Item 4. | Ownership. | ||
| Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1. | |||
| (a) | Amount beneficially owned**: | ||
| Deerfield Mgmt, L.P. – 1,907,052 shares Deerfield Mgmt III, L.P. – 726,793 shares Deerfield Management Company, L.P. – 2,633,845 shares Deerfield Special Situations Fund, L.P. – 1,691,146 Deerfield Partners, L.P. – 127,384 shares Deerfield International Master Fund, L.P. – Deerfield Private Design Fund III, L.P. – 726,793 James E. Flynn – 2,633,845 shares | |||
| (b) | Percent of class**: | ||
| Deerfield Mgmt, L.P. – 6.72% Deerfield Mgmt III, L.P. – 2.53% Deerfield Management Company, L.P. – 9.08% Deerfield Special Situations Fund, L.P. – 5.96% Deerfield Partners, L.P. – 0.45% Deerfield International Master Fund, L.P. – Deerfield Private Design Fund III, L.P. – 2.53% James E. Flynn – 9.08% | |||
| (c) | Number of shares as to which such person has**: | ||
| (i) | Sole power to vote or to direct the vote: | All Reporting Persons 0 | |
| (ii) | Shared power to vote or to direct the vote: | Deerfield Mgmt, L.P. – 1,907,052 Deerfield Mgmt III, L.P. – 726,793 Deerfield Management Company, L.P. – 2,633,845 Deerfield Special Situations Fund, L.P. – 1,691,146 Deerfield Partners, L.P. – 127,384 Deerfield International Master Fund, L.P. – 88,522 Deerfield Private Design Fund III, L.P. – 726,793 James E. Flynn – 2,633,845 | |
| (iii) | Sole power to dispose or to direct the disposition of: | All Reporting Persons – 0 | |
| (iv) | Shared power to dispose or to direct the disposition | Deerfield Mgmt, L.P. – 1,907,052 Deerfield Mgmt III, L.P. – 726,793 Deerfield Management Company, L.P. – 2,633,845 Deerfield Special Situations Fund, L.P. – 1,691,146 Deerfield Partners, L.P. – 127,384 Deerfield International Master Fund, L.P. – 88,522 Deerfield Private Design Fund III, L.P. – 726,793 James E. Flynn – 2,633,845 | |
**See footnotes on cover pages which are incorporated by reference
herein.
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