| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | NUVB | Class A Common Stock | Award | +314,106 | 314,106 | 09 Apr 2024 | By Decheng Capital China Life Sciences USD Fund III, L.P. | F1, F2, F3 | |||
| transaction | NUVB | Class A Common Stock | Award | +1,675,236 | 1,675,236 | 09 Apr 2024 | By Decheng Capital Global Healthcare Fund (Master), LP | F1, F4, F5 | |||
| transaction | NUVB | Class A Common Stock | Award | +4,183,002 | 4,183,002 | 09 Apr 2024 | By Decheng Anbio Limited | F1, F6, F7 |
| Id | Content |
|---|---|
| F1 | Received pursuant to the Agreement and Plan of Merger and Reorganization, dated as of March 24, 2024, by and among Nuvation Bio Inc. (the "Issuer"), AnHeart Therapeutics Ltd. ("AnHeart"), Artemis Merger Sub I, Ltd., a wholly owned subsidiary of the Issuer ("Merger Sub I"), and Artemis Merger Sub II, Ltd., a wholly owned subsidiary of the Issuer ("Merger Sub II"), whereby Merger Sub I merged with and into AnHeart, with AnHeart surviving such merger as a direct, wholly owned subsidiary of the Issuer (the "First Merger"). Immediately following the First Merger, AnHeart, as the surviving company of the First Merger, merged with and into Merger Sub II, with Merger Sub II surviving such merger as a direct, wholly owned subsidiary of the Issuer (the "Second Merger" and, collectively with the First Merger, as appropriate, the "Merger"). |
| F2 | Received in exchange for 447,858 Series B Preferred shares of AnHeart in connection with the Merger (as described in footnote 1) on April 9, 2024. |
| F3 | These securities are owned directly by Decheng Capital China Life Sciences USD Fund III, L.P. ("Fund III"). The Reporting Person is the manager of Decheng Capital Management III (Cayman), LLC, the general partner of Fund III. The Reporting Person disclaims beneficial ownership of these securities, except to the extent of his pecuniary interest therein. |
| F4 | Received in exchange for 2,388,578 Series B Preferred shares of AnHeart in connection with the Merger (as described in footnote 1) on April 9, 2024. |
| F5 | These securities are owned directly by Decheng Capital Global Healthcare Fund (Master), LP ("Healthcare"). The Reporting Person is the indirect managing member and ultimate beneficial owner of Decheng Capital Global Healthcare GP, LLC, the general partner of Healthcare. The Reporting Person disclaims beneficial ownership of these securities, except to the extent of his pecuniary interest therein. |
| F6 | Received in exchange for 7,200,000 Series A Preferred shares, 685,714 Series A+ Preferred shares and 487,231 Series B Preferred shares of AnHeart in connection with the Merger (as described in footnote 1) on April 9, 2024. |
| F7 | These securities are owned directly by Decheng Anbio Limited ("SPV"). The Reporting Person is a director of SPV. The Reporting Person disclaims beneficial ownership of these securities, except to the extent of his pecuniary interest therein. |