BRODY, JAMES, DENNIS
CHIEF COMPLIANCE OFFICER
10/01/2016
Direct
less than 5%
Fund Name
Position
direct/indirect
start date
end date
NOLLENBERGER CAPITAL PARTNERS INC.
DIRECTOR OF OPERATIONS
direct
2006-01-01
APEX CAPITAL, LLC
DIRECTOR OF OPERATIONS/CHIEF COMPLIANCE OFFICER
direct
2013-06-01
APEX CAPITAL, LLC
MANAGING DIRECTOR OF OPERATIONS & CHIEF COMPLIANCE OFFICER
direct
2013-10-01
SOFINNOVA VENTURES, INC.
CHIEF COMPLIANCE OFFICER
direct
2016-10-01
AZAN, ALAIN, LOUIS
SHAREHOLDER AND DIRECTOR
06/01/1997
Direct
10 – 25%
Fund Name
Position
direct/indirect
start date
end date
SOFINNOVA VENTURES, INC.
SHAREHOLDER AND DIRECTOR
direct
1997-06-01
POWELL, MICHAEL, FRANK
SHAREHOLDER, DIRECTOR AND VICE PRESIDENT
08/01/1997
Direct
10 – 25%
Fund Name
Position
direct/indirect
start date
end date
SOFINNOVA VENTURES, INC.
SHAREHOLDER, DIRECTOR AND VICE PRESIDENT
direct
1997-08-01
HEALY, JAMES, IRVIN
SHAREHOLDER, DIRECTOR AND PRESIDENT
06/01/2000
Direct
10 – 25%
Fund Name
Position
direct/indirect
start date
end date
SOFINNOVA VENTURES, INC.
SHAREHOLDER, DIRECTOR AND PRESIDENT
direct
2000-06-01
AUBER, NATHALIE, MARIE
SHAREHOLDER, DIRECTOR AND CHIEF FINANCIAL OFFICER
01/01/1998
Direct
10 – 25%
Fund Name
Position
direct/indirect
start date
end date
SOFINNOVA VENTURES, INC.
SHAREHOLDER, DIRECTOR AND CHIEF FINANCIAL OFFICER
direct
1998-01-01
SHAHLAVI, HOOMAN, NO MIDDLE NAME
SHAREHOLDER, SECRETARY AND GENERAL COUNSEL
02/01/2007
Direct
5 – 10%
Fund Name
Position
direct/indirect
start date
end date
SOFINNOVA VENTURES, INC.
SHAREHOLDER, SECRETARY AND GENERAL COUNSEL
direct
2007-02-01
MEHRA, ANAND, NO MIDDLE NAME
SHAREHOLDER, DIRECTOR AND VICE PRESIDENT
05/01/2007
Direct
10 – 25%
Fund Name
Position
direct/indirect
start date
end date
SOFINNOVA VENTURES, INC.
SHAREHOLDER, DIRECTOR AND VICE PRESIDENT
direct
2007-05-01