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Disclosures for H.C.Wainwright & Co., Arbutus Biopharma Corp., August 5, 2022
H.C. Wainwright & Co, LLC (the “Firm”) is a member of FINRA and SIPC and a registered U.S. Broker-Dealer.
I, Ed Arce and Thomas Yip , certify that 1) all of the views expressed in this report accurately reflect my personal views about any and all subject securities or issuers discussed; and 2) no part of my compensation was, is, or will be directly or indirectly related to the specific recommendation or views expressed in this research report; and 3) neither myself nor any members of my household is an officer, director or advisory board member of these companies. None of the research analysts or the research analyst’s household has a financial interest in the securities of Arbutus Biopharma Corporation, Assembly Biosciences, Inc. and Vaccitech plc (including, without limitation, any option, right, warrant, future, long or short position).
As of July 31, 2022 neither the Firm nor its affiliates beneficially own 1% or more of any class of common equity securities of Arbutus Biopharma Corporation, Assembly Biosciences, Inc. and Vaccitech plc. Neither the research analyst nor the Firm knows or has reason to know of any other material conflict of interest at the time of publication of this research report.
The research analyst principally responsible for preparation of the report does not receive compensation that is based upon any specific investment banking services or transaction but is compensated based on factors including total revenue and profitability of the Firm, a substantial portion of which is derived from investment banking services. The firm or its affiliates received compensation from Arbutus Biopharma Corporation and Assembly Biosciences, Inc. for noninvestment banking services in the previous 12 months.
The Firm or its affiliates did not receive compensation from Arbutus Biopharma Corporation, Assembly Biosciences, Inc. and Vaccitech plc for investment banking services within twelve months before, but will seek compensation from the companies mentioned in this report for investment banking services within three months following publication of the research report.
The Firm does not make a market in Arbutus Biopharma Corporation, Assembly Biosciences, Inc. and Vaccitech plc as of the date of this research report.
