BTAI

SEC source: 0001104659-24-073001 · tm2417544-4_4seq1.xml · nonDerivative · entry 2

Rodriguez Javier · CIK 0001847919 · See Remarks

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 8,755

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock.

SEC source: 0001104659-24-100745 · tm2424255-4_4aseq1.xml · derivative · entry 1

Wiley Matthew T. · CIK 0001759703 · Chief Commercial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,250

Underlying: Common Stock · 750 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock.

F2 · derivative.exercise_date: On March 15, 2023, the Reporting Person was granted 12,000 RSUs, vesting as to 25% of the total number of RSUs on the first anniversary of March 15, 2023 and as to 6.25% of the total number of Restricted Stock Units at the end of each successive three-month period thereafter, subject to the Reporting Person's continuous employment with the Issuer through the relevant vesting dates.

F2 · derivative.expiration_date: On March 15, 2023, the Reporting Person was granted 12,000 RSUs, vesting as to 25% of the total number of RSUs on the first anniversary of March 15, 2023 and as to 6.25% of the total number of Restricted Stock Units at the end of each successive three-month period thereafter, subject to the Reporting Person's continuous employment with the Issuer through the relevant vesting dates.

SEC source: 0001104659-24-072999 · tm2417544-1_4seq1.xml · derivative · entry 6

Mehta Vimal · CIK 0001733369 · Director · CEO and President · 10% owner

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 18,266

Underlying: Common Stock · 2,609 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock.

F5 · derivative.exercise_date: On March 14, 2022, the Reporting Person was granted 41,750 RSUs, vesting as to 25% of the total number of RSUs on the first anniversary of March 14, 2022 and as to 6.25% of the total number of RSUs at the end of each successive three-month period thereafter, subject to the Reporting Person's continuous employment with the Issuer through the relevant vesting dates.

F5 · derivative.expiration_date: On March 14, 2022, the Reporting Person was granted 41,750 RSUs, vesting as to 25% of the total number of RSUs on the first anniversary of March 14, 2022 and as to 6.25% of the total number of RSUs at the end of each successive three-month period thereafter, subject to the Reporting Person's continuous employment with the Issuer through the relevant vesting dates.

SEC source: 0001104659-24-072999 · tm2417544-1_4seq1.xml · nonDerivative · entry 1

Mehta Vimal · CIK 0001733369 · Director · CEO and President · 10% owner

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 46,173

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock.

SEC source: 0001104659-24-073000 · tm2417544-2_4seq1.xml · derivative · entry 3

O'Neill Vincent · CIK 0001672718 · See Remarks

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 3,648

Underlying: Common Stock · 521 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock.

F3 · derivative.exercise_date: On March 14, 2022, the Reporting Person was granted 8,337 RSUs, vesting as to 25% of the total number of RSUs on the first anniversary of March 14, 2022 and as to 6.25% of the total number of RSUs at the end of each successive three-month period thereafter, subject to the Reporting Person's continuous employment with the Issuer through the relevant vesting dates.

F3 · derivative.expiration_date: On March 14, 2022, the Reporting Person was granted 8,337 RSUs, vesting as to 25% of the total number of RSUs on the first anniversary of March 14, 2022 and as to 6.25% of the total number of RSUs at the end of each successive three-month period thereafter, subject to the Reporting Person's continuous employment with the Issuer through the relevant vesting dates.

SEC source: 0001104659-24-073000 · tm2417544-2_4seq1.xml · nonDerivative · entry 1

O'Neill Vincent · CIK 0001672718 · See Remarks

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 3,679

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock.

SEC source: 0001104659-24-073002 · tm2417544-5_4seq1.xml · derivative · entry 4

Steinhart Richard I · CIK 0001293789 · Chief Financial Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 3,648

Underlying: Common Stock · 521 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock.

F3 · derivative.exercise_date: On March 14, 2022, the Reporting Person was granted 8,337 RSUs, vesting as to 25% of the total number of RSUs on the first anniversary of March 14, 2022 and as to 6.25% of the total number of RSUs at the end of each successive three-month period thereafter, subject to the Reporting Person's continuous employment with the Issuer through the relevant vesting dates.

F3 · derivative.expiration_date: On March 14, 2022, the Reporting Person was granted 8,337 RSUs, vesting as to 25% of the total number of RSUs on the first anniversary of March 14, 2022 and as to 6.25% of the total number of RSUs at the end of each successive three-month period thereafter, subject to the Reporting Person's continuous employment with the Issuer through the relevant vesting dates.

SEC source: 0001104659-24-073002 · tm2417544-5_4seq1.xml · nonDerivative · entry 1

Steinhart Richard I · CIK 0001293789 · Chief Financial Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 5,286

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock.

SEC source: 0001104659-24-073004 · tm2417544-7_4seq1.xml · derivative · entry 4

Yocca Frank · CIK 0001733272 · Chief Scientific Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 3,648

Underlying: Common Stock · 521 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock.

F3 · derivative.exercise_date: On March 14, 2022, the Reporting Person was granted 8,337 RSUs, vesting as to 25% of the total number of RSUs on the first anniversary of March 14, 2022 and as to 6.25% of the total number of RSUs at the end of each successive three-month period thereafter, subject to the Reporting Person's continuous employment with the Issuer through the relevant vesting dates.

F3 · derivative.expiration_date: On March 14, 2022, the Reporting Person was granted 8,337 RSUs, vesting as to 25% of the total number of RSUs on the first anniversary of March 14, 2022 and as to 6.25% of the total number of RSUs at the end of each successive three-month period thereafter, subject to the Reporting Person's continuous employment with the Issuer through the relevant vesting dates.

SEC source: 0001104659-24-073004 · tm2417544-7_4seq1.xml · nonDerivative · entry 1

Yocca Frank · CIK 0001733272 · Chief Scientific Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 13,284

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock.

SEC source: 0001104659-24-073001 · tm2417544-4_4seq1.xml · derivative · entry 4

Rodriguez Javier · CIK 0001847919 · See Remarks

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 3,648

Underlying: Common Stock · 521 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock.

F3 · derivative.exercise_date: On March 14, 2022, the Reporting Person was granted 8,337 RSUs, vesting as to 25% of the total number of RSUs on the first anniversary of March 14, 2022 and as to 6.25% of the total number of RSUs at the end of each successive three-month period thereafter, subject to the Reporting Person's continuous employment with the Issuer through the relevant vesting dates.

F3 · derivative.expiration_date: On March 14, 2022, the Reporting Person was granted 8,337 RSUs, vesting as to 25% of the total number of RSUs on the first anniversary of March 14, 2022 and as to 6.25% of the total number of RSUs at the end of each successive three-month period thereafter, subject to the Reporting Person's continuous employment with the Issuer through the relevant vesting dates.

SEC source: 0001104659-24-073001 · tm2417544-4_4seq1.xml · nonDerivative · entry 1

Rodriguez Javier · CIK 0001847919 · See Remarks

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 8,193

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock.

SEC source: 0001104659-24-070515 · tm2416928-2_4seq1.xml · derivative · entry 1

MILLER MICHAEL PATRICK · CIK 0001236514 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 17,000

Underlying: Common Stock · 17,000 shares

Expires 2034-06-10

F1 · derivative.exercise_date: The option shall vest and become exercisable on the earlier of the first anniversary of the date of grant or the day immediately prior to the date of the next annual meeting of the Issuer's stockholders occurring after the date of grant, in either case, subject to the Reporting Person's continuing in service as a non-employee director through such vesting date.

SEC source: 0001104659-24-070516 · tm2416928-3_4seq1.xml · derivative · entry 1

MUELLER PETER · CIK 0001256126 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 17,000

Underlying: Common Stock · 17,000 shares

Expires 2034-06-10

F1 · derivative.exercise_date: The option shall vest and become exercisable on the earlier of the first anniversary of the date of grant or the day immediately prior to the date of the next annual meeting of the Issuer's stockholders occurring after the date of grant, in either case, subject to the Reporting Person's continuing in service as a non-employee director through such vesting date.

SEC source: 0001104659-24-070518 · tm2416928-5_4seq1.xml · derivative · entry 2

Votruba Michal · CIK 0001653967 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 17,000 shares

Expires 2034-06-10

F1 · kind: The Reporting Person immediately and automatically assigned these stock options to RSJ Investments SICAV a.s. acting in respect of its sub-fund RSJ Gradus podfund ("RSJ") pursuant to the policies of RSJ regarding stock ownership by its employees, as documented by an Agreement between the Reporting Person and RSJ. The Reporting Person does not beneficially own any of the securities reported herein.

F2 · derivative.exercise_date: The option shall vest and become exercisable on the earlier of the first anniversary of the date of grant or the day immediately prior to the date of the next annual meeting of the Issuer's stockholders occurring after the date of grant, in either case, subject to the Reporting Person's continuing in service as a non-employee director through such vesting date.

SEC source: 0001104659-24-070518 · tm2416928-5_4seq1.xml · derivative · entry 1

Votruba Michal · CIK 0001653967 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 17,000

Underlying: Common Stock · 17,000 shares

Expires 2034-06-10

F1 · kind: The Reporting Person immediately and automatically assigned these stock options to RSJ Investments SICAV a.s. acting in respect of its sub-fund RSJ Gradus podfund ("RSJ") pursuant to the policies of RSJ regarding stock ownership by its employees, as documented by an Agreement between the Reporting Person and RSJ. The Reporting Person does not beneficially own any of the securities reported herein.

F2 · derivative.exercise_date: The option shall vest and become exercisable on the earlier of the first anniversary of the date of grant or the day immediately prior to the date of the next annual meeting of the Issuer's stockholders occurring after the date of grant, in either case, subject to the Reporting Person's continuing in service as a non-employee director through such vesting date.

SEC source: 0001104659-24-070517 · tm2416928-4_4seq1.xml · derivative · entry 1

Laumas Sandeep · CIK 0001721664 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 17,000

Underlying: Common Stock · 17,000 shares

Expires 2034-06-10

F1 · derivative.exercise_date: The option shall vest and become exercisable on the earlier of the first anniversary of the date of grant or the day immediately prior to the date of the next annual meeting of the Issuer's stockholders occurring after the date of grant, in either case, subject to the Reporting Person's continuing in service as a non-employee director through such vesting date.

SEC source: 0001104659-24-070514 · tm2416928-1_4seq1.xml · derivative · entry 1

Bray June · CIK 0001845487 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 17,000

Underlying: Common Stock · 17,000 shares

Expires 2034-06-10

F1 · derivative.exercise_date: The option shall vest and become exercisable on the earlier of the first anniversary of the date of grant or the day immediately prior to the date of the next annual meeting of the Issuer's stockholders occurring after the date of grant, in either case, subject to the Reporting Person's continuing in service as a non-employee director through such vesting date.

SEC source: 0001104659-24-069195 · tm2416676-1_4seq1.xml · nonDerivative · entry 5

Mehta Vimal · CIK 0001733369 · Director · CEO and President · 10% owner

BioXcel Holdings, Inc. · CIK 0001811154 · 10% owner

BioXcel LLC · CIK 0001651990 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · By BioXcel LLC

Disclosed balance after: 7,685,501

F4 · kind: Represents sales of an amount of shares of Common Stock sufficient to cover certain tax liabilities incurred in connection with the transfers of Common Stock reported herein.

F6 · price: The price reported is a weighted average price. The securities were sold in multiple transactions at a per share prices ranging from $1.55 to $1.635. The Reporting Persons undertake to provide upon request of the Securities and Exchange Commission staff, the Issuer, or any shareholder of the Issuer, full information regarding the number of securities sold at each separate price within the range set forth in this footnote.

F2 · ownership.nature: These securities are held of record by BioXcel LLC. BioXcel LLC is a subsidiary of BioXcel Holdings, Inc. ("Parent"). Vimal Mehta, Ph.D. is an executive officer and the sole member of the board of directors of Parent and an executive officer and one of two managers on the board of managers of BioXcel LLC. By virtue of these relationships, Parent and Dr. Mehta may be deemed to be the beneficial owners of the securities held of record by BioXcel LLC. Each disclaims beneficial ownership of the securities reported herein except to the extent of their pecuniary interest therein. This report shall not be deemed an admission that either of the Reporting Persons is the beneficial owner of such securities for the purpose of Section 16 or for any other purpose.

SEC source: 0001104659-24-069195 · tm2416676-1_4seq1.xml · nonDerivative · entry 3

Mehta Vimal · CIK 0001733369 · Director · CEO and President · 10% owner

BioXcel Holdings, Inc. · CIK 0001811154 · 10% owner

BioXcel LLC · CIK 0001651990 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · By Holdings, Inc.

Disclosed balance after: 0

F1 · price: Pursuant to certain agreements, BioXcel LLC transferred 566,245 shares of Common Stock to Parent (defined below) and 42,976 shares of Common Stock to certain of its other members, each in exchange for common interests in BioXcel LLC. Subsequently, Parent transferred 566,245 shares of Common Stock to certain of its stockholders in exchange for their interests in Parent.

F2 · ownership.nature: These securities are held of record by BioXcel LLC. BioXcel LLC is a subsidiary of BioXcel Holdings, Inc. ("Parent"). Vimal Mehta, Ph.D. is an executive officer and the sole member of the board of directors of Parent and an executive officer and one of two managers on the board of managers of BioXcel LLC. By virtue of these relationships, Parent and Dr. Mehta may be deemed to be the beneficial owners of the securities held of record by BioXcel LLC. Each disclaims beneficial ownership of the securities reported herein except to the extent of their pecuniary interest therein. This report shall not be deemed an admission that either of the Reporting Persons is the beneficial owner of such securities for the purpose of Section 16 or for any other purpose.

SEC source: 0001104659-24-069195 · tm2416676-1_4seq1.xml · derivative · entry 8

Mehta Vimal · CIK 0001733369 · Director · CEO and President · 10% owner

BioXcel Holdings, Inc. · CIK 0001811154 · 10% owner

BioXcel LLC · CIK 0001651990 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · By BioXcel LLC

Disclosed balance after: 120

Underlying: Common Stock · 17,906 shares

Expires 2026-08-31

F7 · derivative.exercise_price: The warrants underlying each call option will be exercisable for common interests in BioXcel LLC at an exercise price per common interest equal to $1,709.88.

F8 · price: BioXcel LLC has agreed to redeem each common interest in BioXcel LLC acquired pursuant to the exercise of the warrant described in footnote 7 above in exchange for 149.22 shares of Common Stock.

F2 · ownership.nature: These securities are held of record by BioXcel LLC. BioXcel LLC is a subsidiary of BioXcel Holdings, Inc. ("Parent"). Vimal Mehta, Ph.D. is an executive officer and the sole member of the board of directors of Parent and an executive officer and one of two managers on the board of managers of BioXcel LLC. By virtue of these relationships, Parent and Dr. Mehta may be deemed to be the beneficial owners of the securities held of record by BioXcel LLC. Each disclaims beneficial ownership of the securities reported herein except to the extent of their pecuniary interest therein. This report shall not be deemed an admission that either of the Reporting Persons is the beneficial owner of such securities for the purpose of Section 16 or for any other purpose.

SEC source: 0001104659-24-069195 · tm2416676-1_4seq1.xml · nonDerivative · entry 4

Mehta Vimal · CIK 0001733369 · Director · CEO and President · 10% owner

BioXcel Holdings, Inc. · CIK 0001811154 · 10% owner

BioXcel LLC · CIK 0001651990 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · By BioXcel LLC

Disclosed balance after: 7,811,515

F4 · kind: Represents sales of an amount of shares of Common Stock sufficient to cover certain tax liabilities incurred in connection with the transfers of Common Stock reported herein.

F5 · price: The price reported is a weighted average price. The securities were sold in multiple transactions at a per share prices ranging from $1.605 to $1.68. The Reporting Persons undertake to provide upon request of the Securities and Exchange Commission staff, the Issuer, or any shareholder of the Issuer, full information regarding the number of securities sold at each separate price within the range set forth in this footnote.

F2 · ownership.nature: These securities are held of record by BioXcel LLC. BioXcel LLC is a subsidiary of BioXcel Holdings, Inc. ("Parent"). Vimal Mehta, Ph.D. is an executive officer and the sole member of the board of directors of Parent and an executive officer and one of two managers on the board of managers of BioXcel LLC. By virtue of these relationships, Parent and Dr. Mehta may be deemed to be the beneficial owners of the securities held of record by BioXcel LLC. Each disclaims beneficial ownership of the securities reported herein except to the extent of their pecuniary interest therein. This report shall not be deemed an admission that either of the Reporting Persons is the beneficial owner of such securities for the purpose of Section 16 or for any other purpose.

SEC source: 0001104659-24-069195 · tm2416676-1_4seq1.xml · nonDerivative · entry 2

Mehta Vimal · CIK 0001733369 · Director · CEO and President · 10% owner

BioXcel Holdings, Inc. · CIK 0001811154 · 10% owner

BioXcel LLC · CIK 0001651990 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · By Holdings, Inc.

Disclosed balance after: 283,122

F1 · price: Pursuant to certain agreements, BioXcel LLC transferred 566,245 shares of Common Stock to Parent (defined below) and 42,976 shares of Common Stock to certain of its other members, each in exchange for common interests in BioXcel LLC. Subsequently, Parent transferred 566,245 shares of Common Stock to certain of its stockholders in exchange for their interests in Parent.

F3 · balance_after: Reflects securities acquired pursuant to a transaction exempt from reporting under Rule 16a-13.

F2 · ownership.nature: These securities are held of record by BioXcel LLC. BioXcel LLC is a subsidiary of BioXcel Holdings, Inc. ("Parent"). Vimal Mehta, Ph.D. is an executive officer and the sole member of the board of directors of Parent and an executive officer and one of two managers on the board of managers of BioXcel LLC. By virtue of these relationships, Parent and Dr. Mehta may be deemed to be the beneficial owners of the securities held of record by BioXcel LLC. Each disclaims beneficial ownership of the securities reported herein except to the extent of their pecuniary interest therein. This report shall not be deemed an admission that either of the Reporting Persons is the beneficial owner of such securities for the purpose of Section 16 or for any other purpose.

SEC source: 0001104659-24-069195 · tm2416676-1_4seq1.xml · nonDerivative · entry 1

Mehta Vimal · CIK 0001733369 · Director · CEO and President · 10% owner

BioXcel Holdings, Inc. · CIK 0001811154 · 10% owner

BioXcel LLC · CIK 0001651990 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · By BioXcel LLC

Disclosed balance after: 7,937,529

F1 · price: Pursuant to certain agreements, BioXcel LLC transferred 566,245 shares of Common Stock to Parent (defined below) and 42,976 shares of Common Stock to certain of its other members, each in exchange for common interests in BioXcel LLC. Subsequently, Parent transferred 566,245 shares of Common Stock to certain of its stockholders in exchange for their interests in Parent.

F2 · ownership.nature: These securities are held of record by BioXcel LLC. BioXcel LLC is a subsidiary of BioXcel Holdings, Inc. ("Parent"). Vimal Mehta, Ph.D. is an executive officer and the sole member of the board of directors of Parent and an executive officer and one of two managers on the board of managers of BioXcel LLC. By virtue of these relationships, Parent and Dr. Mehta may be deemed to be the beneficial owners of the securities held of record by BioXcel LLC. Each disclaims beneficial ownership of the securities reported herein except to the extent of their pecuniary interest therein. This report shall not be deemed an admission that either of the Reporting Persons is the beneficial owner of such securities for the purpose of Section 16 or for any other purpose.

SEC source: 0001104659-24-044861 · tm2411220-5_4seq1.xml · nonDerivative · entry 4

Mehta Vimal · CIK 0001733369 · Director · CEO and President

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 43,564

F2 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 14, 2023.

F3 · price: The price reported in a weighted average price. The securities were sold in multiple transactions at a per share prices ranging from $2.62 to $2.65. The Reporting Person undertakes to provide upon request the Securities and Exchange Commission staff, the Issuer, or any shareholder of the Issuer, full information regarding the number of securities sole at each separate price within the range set forth in this footnote.

SEC source: 0001104659-24-044861 · tm2411220-5_4seq1.xml · nonDerivative · entry 3

Mehta Vimal · CIK 0001733369 · Director · CEO and President

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 48,003

F2 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 14, 2023.

SEC source: 0001104659-24-044862 · tm2411220-6_4seq1.xml · nonDerivative · entry 3

O'Neill Vincent · CIK 0001672718 · See Remarks

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 5,408

F2 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 15, 2023.

SEC source: 0001104659-24-044860 · tm2411220-4_4seq1.xml · nonDerivative · entry 3

Steinhart Richard I · CIK 0001293789 · Chief Financial Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 4,765

F2 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 14, 2023.

F3 · price: The price reported is a weighted average price. The securities were sold in multiple transactions at per share prices ranging from $2.62 to $2.665. The Reporting Person undertakes to provide upon request the Securities and Exchange Commission staff, the Issuer, or any shareholder of the Issuer, full information regarding the number of securities sold at each separate price within the range set forth in this footnote.

SEC source: 0001104659-24-044859 · tm2411220-3_4seq1.xml · nonDerivative · entry 2

Wiley Matthew T. · CIK 0001759703 · CHIEF COMMERCIAL OFFICER

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 2,992

F2 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 14, 2023.

F3 · price: The price reported is a weighted average price. The securities were sold in multiple transactions at per share prices ranging from $2.62 to $2.6502. The Reporting Person undertakes to provide upon request the Securities and Exchange Commission staff, the Issuer, or any shareholder of the Issuer, full information regarding the number of securities sold at each separate price within the range set forth in this footnote.

SEC source: 0001104659-24-044858 · tm2411220-2_4seq1.xml · nonDerivative · entry 3

Rodriguez Javier · CIK 0001847919 · See Remarks

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 7,672

F2 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 14, 2023.

F3 · price: The price reported is a weighted average price. The securities were sold in multiple transactions at per share prices ranging from $2.625 to $2.654. The Reporting Person undertakes to provide upon request the Securities and Exchange Commission staff, the Issuer, or any shareholder of the Issuer, full information regarding the number of securities sold at each separate price within the range set forth in this footnote.

SEC source: 0001104659-24-044857 · tm2411220-1_4seq1.xml · nonDerivative · entry 3

Yocca Frank · CIK 0001733272 · Chief Scientific Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 12,763

F2 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted on December 14, 2023.

F3 · price: The price reported in a weighted average price. The securities were sold in multiple transactions at a per share prices ranging from $2.61 to $2.66. The Reporting Person undertakes to provide upon request the Securities and Exchange Commission staff, the Issuer, or any shareholder of the Issuer, full information regarding the number of securities sole at each separate price within the range set forth in this footnote.

F3 · ownership.direct: The price reported in a weighted average price. The securities were sold in multiple transactions at a per share prices ranging from $2.61 to $2.66. The Reporting Person undertakes to provide upon request the Securities and Exchange Commission staff, the Issuer, or any shareholder of the Issuer, full information regarding the number of securities sole at each separate price within the range set forth in this footnote.

SEC source: 0001104659-24-044861 · tm2411220-5_4seq1.xml · derivative · entry 8

Mehta Vimal · CIK 0001733369 · Director · CEO and President

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 42,000

Underlying: Common Stock · 14,000 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock.

F6 · derivative.exercise_date: On March 15, 2023, the Reporting Person was granted 56,000 RSUs, vesting as to 25% of the total number of RSUs on the first anniversary of March 15, 2023 and as to 6.25% of the total number of RSUs at the end of each successive three month period thereafter, subject to the Reporting Person's continuous employment with the Issuer through the relevant vesting dates.

F6 · derivative.expiration_date: On March 15, 2023, the Reporting Person was granted 56,000 RSUs, vesting as to 25% of the total number of RSUs on the first anniversary of March 15, 2023 and as to 6.25% of the total number of RSUs at the end of each successive three month period thereafter, subject to the Reporting Person's continuous employment with the Issuer through the relevant vesting dates.

SEC source: 0001104659-24-044861 · tm2411220-5_4seq1.xml · nonDerivative · entry 2

Mehta Vimal · CIK 0001733369 · Director · CEO and President

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 48,832

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock.

SEC source: 0001104659-24-044862 · tm2411220-6_4seq1.xml · derivative · entry 5

O'Neill Vincent · CIK 0001672718 · See Remarks

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 6,750

Underlying: Common Stock · 2,250 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock.

F4 · derivative.exercise_date: On March 15, 2023, the Reporting Person was granted 9,000 RSUs, vesting as to 25% of the total number of RSUs on the first anniversary of March 15, 2023 and as to 6.25% of the total number of RSUs at the end of each successive three-month period thereafter, subject to the Reporting Person's continuous employment with the Issuer through the relevant vesting dates.

F4 · derivative.expiration_date: On March 15, 2023, the Reporting Person was granted 9,000 RSUs, vesting as to 25% of the total number of RSUs on the first anniversary of March 15, 2023 and as to 6.25% of the total number of RSUs at the end of each successive three-month period thereafter, subject to the Reporting Person's continuous employment with the Issuer through the relevant vesting dates.

SEC source: 0001104659-24-044862 · tm2411220-6_4seq1.xml · nonDerivative · entry 2

O'Neill Vincent · CIK 0001672718 · See Remarks

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 5,573

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock.

SEC source: 0001104659-24-044860 · tm2411220-4_4seq1.xml · derivative · entry 5

Steinhart Richard I · CIK 0001293789 · Chief Financial Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 6,750

Underlying: Common Stock · 2,250 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock.

F5 · derivative.exercise_date: On March 15, 2023, the Reporting Person was granted 9,000 RSUs, vesting as to 25% of the total number of RSUs on the first anniversary of March 15, 2023 and as to 6.25% of the total number of RSUs at the end of each successive three-month period thereafter, subject to the Reporting Person's continuous employment with the Issuer through the relevant vesting dates.

F5 · derivative.expiration_date: On March 15, 2023, the Reporting Person was granted 9,000 RSUs, vesting as to 25% of the total number of RSUs on the first anniversary of March 15, 2023 and as to 6.25% of the total number of RSUs at the end of each successive three-month period thereafter, subject to the Reporting Person's continuous employment with the Issuer through the relevant vesting dates.

SEC source: 0001104659-24-044860 · tm2411220-4_4seq1.xml · nonDerivative · entry 2

Steinhart Richard I · CIK 0001293789 · Chief Financial Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 5,834

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock.

SEC source: 0001104659-24-044859 · tm2411220-3_4seq1.xml · derivative · entry 3

Wiley Matthew T. · CIK 0001759703 · CHIEF COMMERCIAL OFFICER

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 9,000

Underlying: Common Stock · 3,000 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock.

F4 · derivative.exercise_date: The RSUs will vest and settle as to 25% of the total number of RSUs on the first anniversary of March 15, 2023 and as to 6.25% of the total number of Restricted Stock Units at the end of each successive three-month period thereafter, subject to the Reporting Person's continuous employment with the Issuer through the relevant vesting dates.

F4 · derivative.expiration_date: The RSUs will vest and settle as to 25% of the total number of RSUs on the first anniversary of March 15, 2023 and as to 6.25% of the total number of Restricted Stock Units at the end of each successive three-month period thereafter, subject to the Reporting Person's continuous employment with the Issuer through the relevant vesting dates.

SEC source: 0001104659-24-044859 · tm2411220-3_4seq1.xml · nonDerivative · entry 1

Wiley Matthew T. · CIK 0001759703 · CHIEF COMMERCIAL OFFICER

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 3,000

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock.

SEC source: 0001104659-24-044858 · tm2411220-2_4seq1.xml · derivative · entry 5

Rodriguez Javier · CIK 0001847919 · See Remarks

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 6,750

Underlying: Common Stock · 2,250 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock.

F5 · derivative.exercise_date: On March 15, 2023, the Reporting Person was granted 9,000 RSUs, vesting as to 25% of the total number of RSUs on the first anniversary of March 15, 2023 and as to 6.25% of the total number of RSUs at the end of each successive three-month period thereafter, subject to the Reporting Person's continuous employment with the Issuer through the relevant vesting dates.

F5 · derivative.expiration_date: On March 15, 2023, the Reporting Person was granted 9,000 RSUs, vesting as to 25% of the total number of RSUs on the first anniversary of March 15, 2023 and as to 6.25% of the total number of RSUs at the end of each successive three-month period thereafter, subject to the Reporting Person's continuous employment with the Issuer through the relevant vesting dates.

SEC source: 0001104659-24-044858 · tm2411220-2_4seq1.xml · nonDerivative · entry 2

Rodriguez Javier · CIK 0001847919 · See Remarks

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 8,684

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock.

SEC source: 0001104659-24-044857 · tm2411220-1_4seq1.xml · derivative · entry 5

Yocca Frank · CIK 0001733272 · Chief Scientific Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 6,750

Underlying: Common Stock · 2,250 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock.

F5 · derivative.exercise_date: On March 15, 2023, the Reporting Person was granted 56,000 RSUs, vesting as to 25% of the total number of RSUs on the first anniversary of March 15, 2023 and as to 6.25% of the total number of RSUs at the end of each successive three-month period thereafter, subject to the Reporting Person's continuous employment with the Issuer through the relevant vesting dates.

F5 · derivative.expiration_date: On March 15, 2023, the Reporting Person was granted 56,000 RSUs, vesting as to 25% of the total number of RSUs on the first anniversary of March 15, 2023 and as to 6.25% of the total number of RSUs at the end of each successive three-month period thereafter, subject to the Reporting Person's continuous employment with the Issuer through the relevant vesting dates.

SEC source: 0001104659-24-044857 · tm2411220-1_4seq1.xml · nonDerivative · entry 2

Yocca Frank · CIK 0001733272 · Chief Scientific Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 13,830

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock.

SEC source: 0001104659-24-044861 · tm2411220-5_4seq1.xml · derivative · entry 7

Mehta Vimal · CIK 0001733369 · Director · CEO and President

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 20,875

Underlying: Common Stock · 2,610 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock.

F5 · derivative.exercise_date: On March 14, 2022, the Reporting Person was granted 41,750 RSUs, vesting as to 25% of the total number of RSUs on the first anniversary of March 14, 2022 and as to 6.25% of the total number of RSUs at the end of each successive three-month period thereafter, subject to the Reporting Person's continuous employment with the Issuer through the relevant vesting dates.

F5 · derivative.expiration_date: On March 14, 2022, the Reporting Person was granted 41,750 RSUs, vesting as to 25% of the total number of RSUs on the first anniversary of March 14, 2022 and as to 6.25% of the total number of RSUs at the end of each successive three-month period thereafter, subject to the Reporting Person's continuous employment with the Issuer through the relevant vesting dates.

SEC source: 0001104659-24-044861 · tm2411220-5_4seq1.xml · nonDerivative · entry 1

Mehta Vimal · CIK 0001733369 · Director · CEO and President

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 34,832

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock.

SEC source: 0001104659-24-044862 · tm2411220-6_4seq1.xml · derivative · entry 4

O'Neill Vincent · CIK 0001672718 · See Remarks

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 4,169

Underlying: Common Stock · 521 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock.

F3 · derivative.exercise_date: On March 14, 2022, the Reporting Person was granted 8,337 RSUs, vesting as to 25% of the total number of RSUs on the first anniversary of March 14, 2022 and as to 6.25% of the total number of RSUs at the end of each successive three-month period thereafter, subject to the Reporting Person's continuous employment with the Issuer through the relevant vesting dates.

F3 · derivative.expiration_date: On March 14, 2022, the Reporting Person was granted 8,337 RSUs, vesting as to 25% of the total number of RSUs on the first anniversary of March 14, 2022 and as to 6.25% of the total number of RSUs at the end of each successive three-month period thereafter, subject to the Reporting Person's continuous employment with the Issuer through the relevant vesting dates.

SEC source: 0001104659-24-044862 · tm2411220-6_4seq1.xml · nonDerivative · entry 1

O'Neill Vincent · CIK 0001672718 · See Remarks

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 3,323

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock.

SEC source: 0001104659-24-044860 · tm2411220-4_4seq1.xml · derivative · entry 4

Steinhart Richard I · CIK 0001293789 · Chief Financial Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 4,169

Underlying: Common Stock · 521 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock.

F4 · derivative.exercise_date: On March 14, 2022, the Reporting Person was granted 8,337 RSUs, vesting as to 25% of the total number of RSUs on the first anniversary of March 14, 2022 and as to 6.25% of the total number of RSUs at the end of each successive three-month period thereafter, subject to the Reporting Person's continuous employment with the Issuer through the relevant vesting dates.

F4 · derivative.expiration_date: On March 14, 2022, the Reporting Person was granted 8,337 RSUs, vesting as to 25% of the total number of RSUs on the first anniversary of March 14, 2022 and as to 6.25% of the total number of RSUs at the end of each successive three-month period thereafter, subject to the Reporting Person's continuous employment with the Issuer through the relevant vesting dates.

SEC source: 0001104659-24-044860 · tm2411220-4_4seq1.xml · nonDerivative · entry 1

Steinhart Richard I · CIK 0001293789 · Chief Financial Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 3,584

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock.

SEC source: 0001104659-24-044858 · tm2411220-2_4seq1.xml · derivative · entry 4

Rodriguez Javier · CIK 0001847919 · See Remarks

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 4,169

Underlying: Common Stock · 521 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock.

F4 · derivative.exercise_date: On March 14, 2022, the Reporting Person was granted 8,337 RSUs, vesting as to 25% of the total number of RSUs on the first anniversary of March 14, 2022 and as to 6.25% of the total number of RSUs at the end of each successive three-month period thereafter, subject to the Reporting Person's continuous employment with the Issuer through the relevant vesting dates.

F4 · derivative.expiration_date: On March 14, 2022, the Reporting Person was granted 8,337 RSUs, vesting as to 25% of the total number of RSUs on the first anniversary of March 14, 2022 and as to 6.25% of the total number of RSUs at the end of each successive three-month period thereafter, subject to the Reporting Person's continuous employment with the Issuer through the relevant vesting dates.