SOFINNOVA INVESTMENTS, INC. Top 13F Holdings

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

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