CAPR

SEC source: 0001415889-25-000869 · form4-01062025_070107.xml · derivative · entry 3

DUNBAR GEORGE W JR · CIK 0001194712 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,750

Underlying: Common Stock · 5,750 shares

Expires 2035-01-02

F3 · derivative.exercise_date: The shares of the award are fully vested and exercisable as of January 2, 2025, the date of the grant. The award pertains to annual board service.

SEC source: 0001415889-25-000869 · form4-01062025_070107.xml · derivative · entry 2

DUNBAR GEORGE W JR · CIK 0001194712 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,600

Underlying: Common Stock · 3,600 shares

Expires 2035-01-02

F2 · derivative.exercise_date: The shares of the award are fully vested and exercisable as of January 2, 2025, the date of the grant. The award pertains to annual board committee service.

SEC source: 0001415889-25-000869 · form4-01062025_070107.xml · derivative · entry 1

DUNBAR GEORGE W JR · CIK 0001194712 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 11,940

Underlying: Common Stock · 11,940 shares

Expires 2035-01-02

F1 · derivative.exercise_date: The shares vest 1/12th of the first day of each month, commencing February 1, 2025, with the last month vesting on December 31, 2025, until the stock option becomes fully vested and exercisable. The award pertains to annual board service. The option is subject to early exercise and, therefore, all or any part of the option can be exercised at any time. If the reporting person elects to take advantage of the early exercise feature and purchase shares prior to the vesting of such shares, the shares will be deemed restricted stock and will be subject to a repurchase option in favor of the Issuer if the reporting person's service to the Issuer terminates prior to vesting.

SEC source: 0001415889-25-000868 · form4-01062025_070105.xml · derivative · entry 3

COLLIER EARL M JR · CIK 0001201254 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,750

Underlying: Common Stock · 5,750 shares

Expires 2035-01-02

F3 · derivative.exercise_date: The shares of the award are fully vested and exercisable as of January 2, 2025, the date of the grant. The award pertains to annual board service.

SEC source: 0001415889-25-000868 · form4-01062025_070105.xml · derivative · entry 2

COLLIER EARL M JR · CIK 0001201254 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,240

Underlying: Common Stock · 3,240 shares

Expires 2035-01-02

F2 · derivative.exercise_date: The shares of the award are fully vested and exercisable as of January 2, 2025, the date of the grant. The award pertains to annual board committee service.

SEC source: 0001415889-25-000868 · form4-01062025_070105.xml · derivative · entry 1

COLLIER EARL M JR · CIK 0001201254 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 11,940

Underlying: Common Stock · 11,940 shares

Expires 2035-01-02

F1 · derivative.exercise_date: The shares vest 1/12th of the first day of each month, commencing February 1, 2025, with the last month vesting on December 31, 2025, until the stock option becomes fully vested and exercisable. The award pertains to annual board service. The option is subject to early exercise and, therefore, all or any part of the option can be exercised at any time. If the reporting person elects to take advantage of the early exercise feature and purchase shares prior to the vesting of such shares, the shares will be deemed restricted stock and will be subject to a repurchase option in favor of the Issuer if the reporting person's service to the Issuer terminates prior to vesting.

SEC source: 0001415889-25-000867 · form4-01062025_070102.xml · derivative · entry 3

Gotwals Philip J · CIK 0001982655 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,750

Underlying: Common Stock · 5,750 shares

Expires 2035-01-02

F3 · derivative.exercise_date: The shares of the award are fully vested and exercisable as of January 2, 2025, the date of the grant. The award pertains to annual board service.

SEC source: 0001415889-25-000867 · form4-01062025_070102.xml · derivative · entry 2

Gotwals Philip J · CIK 0001982655 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,160

Underlying: Common Stock · 2,160 shares

Expires 2035-01-02

F2 · derivative.exercise_date: The shares of the award are fully vested and exercisable as of January 2, 2025, the date of the grant. The award pertains to annual board committee service.

SEC source: 0001415889-25-000867 · form4-01062025_070102.xml · derivative · entry 1

Gotwals Philip J · CIK 0001982655 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 11,940

Underlying: Common Stock · 11,940 shares

Expires 2035-01-02

F1 · derivative.exercise_date: The shares vest 1/12th of the first day of each month, commencing February 1, 2025, with the last month vesting on December 31, 2025, until the stock option becomes fully vested and exercisable. The award pertains to annual board service. The option is subject to early exercise and, therefore, all or any part of the option can be exercised at any time. If the reporting person elects to take advantage of the early exercise feature and purchase shares prior to the vesting of such shares, the shares will be deemed restricted stock and will be subject to a repurchase option in favor of the Issuer if the reporting person's service to the Issuer terminates prior to vesting.

SEC source: 0001415889-24-029406 · form4-12162024_091201.xml · derivative · entry 3

Krasney Karen · CIK 0001593086 · EVP, GENERAL COUNSEL

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,000 shares

Expires 2026-06-02

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.

F3 · derivative.exercise_price: This option was granted on June 2, 2016 and was previously covering 50,000 shares at an exercise price of $3.12 per share, but was adjusted to reflect a 1-for-10 reverse split that occurred on June 4, 2019 and a share reprice to $1.39 per share that occurred on February 12, 2020.

F4 · derivative.exercise_date: Shares vested 1/48th on the first day of each month commencing July 1, 2016.

F3 · derivative.underlying_shares: This option was granted on June 2, 2016 and was previously covering 50,000 shares at an exercise price of $3.12 per share, but was adjusted to reflect a 1-for-10 reverse split that occurred on June 4, 2019 and a share reprice to $1.39 per share that occurred on February 12, 2020.

SEC source: 0001415889-24-029406 · form4-12162024_091201.xml · derivative · entry 2

Krasney Karen · CIK 0001593086 · EVP, GENERAL COUNSEL

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,000 shares

Expires 2025-03-03

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: This option was granted on March 3, 2015 and was previously covering 30,000 shares at an exercise price of $5.78 per share, but was adjusted to reflect a 1-for-10 reverse split that occurred on June 4, 2019 and a share reprice to $1.39 per share that occurred on February 12, 2020.

F2 · derivative.exercise_date: Shares vested 1/48th on the first day of each month commencing April 1, 2015.

F1 · derivative.underlying_shares: This option was granted on March 3, 2015 and was previously covering 30,000 shares at an exercise price of $5.78 per share, but was adjusted to reflect a 1-for-10 reverse split that occurred on June 4, 2019 and a share reprice to $1.39 per share that occurred on February 12, 2020.

SEC source: 0001415889-24-029406 · form4-12162024_091201.xml · nonDerivative · entry 1

Krasney Karen · CIK 0001593086 · EVP, GENERAL COUNSEL

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 28,047

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.

SEC source: 0001415889-24-028337 · form4-12042024_081201.xml · derivative · entry 5

Litvack Frank · CIK 0001310715 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · Held by Family Trust

Disclosed balance after: 0

Underlying: Common Stock · 20,391 shares

Expires 2024-12-17

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 · ownership.nature: Held by Litvack Curtis Family Trust for which the Reporting Person serves as trustee.

SEC source: 0001415889-24-028337 · form4-12042024_081201.xml · nonDerivative · entry 1

Litvack Frank · CIK 0001310715 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · Held in Family Trust

Disclosed balance after: 46,278

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 · ownership.nature: Held by Litvack Curtis Family Trust for which the Reporting Person serves as trustee.

SEC source: 0001415889-24-028337 · form4-12042024_081201.xml · derivative · entry 4

Litvack Frank · CIK 0001310715 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · Held by Family Trust

Disclosed balance after: 20,391

Underlying: Common Stock · 20,391 shares

Expires 2024-12-17

F1 · ownership.nature: Held by Litvack Curtis Family Trust for which the Reporting Person serves as trustee.

SEC source: 0001415889-24-028337 · form4-12042024_081201.xml · derivative · entry 3

Litvack Frank · CIK 0001310715 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 20,391 shares

Expires 2024-12-17

SEC source: 0000929638-24-003214 · form4.xml · nonDerivative · entry 1

Nippon Shinyaku Co Ltd · CIK 0001361865 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,090,351

F1 · shares: On September 20, 2024, Capricor Therapeutics, Inc., a Delaware corporation (the "Issuer") issued 2,798,507 shares of common stock, $0.001 par value per share (the "Common Stock") to Nippon Shinyaku Co Ltd (the "Reporting Person"), acquired in a private placement pursuant to the terms and conditions of a Subscription Agreement, dated as of September 16, 2024, between the Reporting Person and the Issuer.

SEC source: 0001415889-24-021022 · form4-08092024_090802.xml · derivative · entry 3

Musket David B · CIK 0001310611 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 75,000

Underlying: Common Stock · 34,000 shares

Expires 2030-06-05

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_date: The shares vested 1/48th of the first day of each month, commencing March 1, 2020.

SEC source: 0001415889-24-021022 · form4-08092024_090802.xml · nonDerivative · entry 1

Musket David B · CIK 0001310611 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 81,692

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.

SEC source: 0001415889-24-011416 · form4-04242024_010401.xml · derivative · entry 8

Musket David B · CIK 0001310611 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,750 shares

Expires 2029-08-08

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.

F9 · derivative.exercise_price: This option was granted on August 8, 2019 and was previously reported with an exercise price of $3.25 per share, but was adjusted to reflect a share reprice to $1.39 per share that occurred on February 12, 2020.

F10 · derivative.exercise_date: The shares vested 1/48th of the first day of each month, commencing September 1, 2019.

SEC source: 0001415889-24-011416 · form4-04242024_010401.xml · derivative · entry 7

Musket David B · CIK 0001310611 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,000 shares

Expires 2029-08-08

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.

F9 · derivative.exercise_price: This option was granted on August 8, 2019 and was previously reported with an exercise price of $3.25 per share, but was adjusted to reflect a share reprice to $1.39 per share that occurred on February 12, 2020.

SEC source: 0001415889-24-011416 · form4-04242024_010401.xml · derivative · entry 6

Musket David B · CIK 0001310611 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,750 shares

Expires 2028-01-02

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.

F7 · derivative.exercise_price: This option was granted on January 2, 2018 and was previously reported as covering 27,500 shares at an exercise price of $1.57 per share, but was adjusted to reflect a 1-for-10 reverse stock split that occurred on June 4, 2019 and a share reprice to $1.39 per share that occurred on February 12, 2020.

F8 · derivative.exercise_date: The shares vested 1/12th of the first day of each month, commencing February 1, 2018 with the last 1/12th vesting on December 31, 2018.

SEC source: 0001415889-24-011416 · form4-04242024_010401.xml · derivative · entry 5

Musket David B · CIK 0001310611 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,050 shares

Expires 2028-01-02

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.

F5 · derivative.exercise_price: This option was granted on January 2, 2018 and was previously reported as covering 10,500 shares at an exercise price of $1.57 per share, but was adjusted to reflect a 1-for-10 reverse stock split that occurred on June 4, 2019 and a share reprice to $1.39 per share that occurred on February 12, 2020.

F6 · derivative.exercise_date: The shares vested 1/48th of the first day of each month, commencing February 1, 2018.

SEC source: 0001415889-24-011416 · form4-04242024_010401.xml · derivative · entry 4

Musket David B · CIK 0001310611 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,750 shares

Expires 2027-01-03

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.

F3 · derivative.exercise_price: This option was granted on January 3, 2017 and was previously reported as covering 27,500 shares at an exercise price of $2.55 per share, but was adjusted to reflect a 1-for-10 reverse stock split that occurred on June 4, 2019 and a share reprice to $1.39 per share that occurred on February 12, 2020.

F4 · derivative.exercise_date: The shares vested 1/12th of the first day of each month, commencing February 1, 2017 with the last 1/12th vesting on December 31, 2017.

SEC source: 0001415889-24-011416 · form4-04242024_010401.xml · derivative · entry 3

Musket David B · CIK 0001310611 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 856 shares

Expires 2027-01-03

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: This option was granted on January 3, 2017 and was previously reported as covering 8,560 shares at an exercise price of $2.55 per share, but was adjusted to reflect a 1-for-10 reverse stock split that occurred on June 4, 2019 and a share reprice to $1.39 per share that occurred on February 12, 2020.

F2 · derivative.exercise_date: The shares vested 1/48th of the first day of each month, commencing February 1, 2017.

F1 · derivative.underlying_shares: This option was granted on January 3, 2017 and was previously reported as covering 8,560 shares at an exercise price of $2.55 per share, but was adjusted to reflect a 1-for-10 reverse stock split that occurred on June 4, 2019 and a share reprice to $1.39 per share that occurred on February 12, 2020.

SEC source: 0001415889-24-011416 · form4-04242024_010401.xml · nonDerivative · entry 1

Musket David B · CIK 0001310611 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 47,692

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.

SEC source: 0001415889-24-011488 · form4-04252024_090402.xml · derivative · entry 2

COLLIER EARL M JR · CIK 0001201254 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 53,000

Underlying: Common Stock · 30,000 shares

Expires 2030-02-12

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_date: The shares vested 1/48th of the first day of each month, commencing March 1, 2020.

SEC source: 0001415889-24-011488 · form4-04252024_090402.xml · nonDerivative · entry 1

COLLIER EARL M JR · CIK 0001201254 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 56,856

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.

SEC source: 0001415889-24-000658 · form4-01042024_050133.xml · derivative · entry 4

Kelliher Mike · CIK 0001987188 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires 2034-01-02

F4 · derivative.exercise_date: The shares of the award are fully vested and exercisable as of April 1, 2024.

SEC source: 0001415889-24-000658 · form4-01042024_050133.xml · derivative · entry 3

Kelliher Mike · CIK 0001987188 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,730

Underlying: Common Stock · 4,730 shares

Expires 2034-01-02

F3 · derivative.exercise_date: The shares of the award are fully vested and exercisable as of January 2, 2024, the date of the grant. The award pertains to annual board service.

SEC source: 0001415889-24-000658 · form4-01042024_050133.xml · derivative · entry 2

Kelliher Mike · CIK 0001987188 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 890

Underlying: Common Stock · 890 shares

Expires 2034-01-02

F2 · derivative.exercise_date: The shares of the award are fully vested and exercisable as of January 2, 2024, the date of the grant. The award pertains to annual board committee service.

SEC source: 0001415889-24-000658 · form4-01042024_050133.xml · derivative · entry 1

Kelliher Mike · CIK 0001987188 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 29,250

Underlying: Common Stock · 29,250 shares

Expires 2034-01-02

F1 · derivative.exercise_date: The shares vest 1/12th of the first day of each month, commencing February 1, 2024, with the last month vesting on December 31, 2024, until the stock option becomes fully vested and exercisable. The award pertains to annual board service. The option is subject to early exercise and, therefore, all or any part of the option can be exercised at any time. If the reporting person elects to take advantage of the early exercise feature and purchase shares prior to the vesting of such shares, the shares will be deemed restricted stock and will be subject to a repurchase option in favor of the Issuer if the reporting person's service to the Issuer terminates prior to vesting.

SEC source: 0001415889-24-000657 · form4-01042024_050126.xml · derivative · entry 3

Gotwals Philip J · CIK 0001982655 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,370

Underlying: Common Stock · 6,370 shares

Expires 2034-01-02

F3 · derivative.exercise_date: The shares of the award are fully vested and exercisable as of January 2, 2024, the date of the grant. The award pertains to annual board service.

SEC source: 0001415889-24-000657 · form4-01042024_050126.xml · derivative · entry 2

Gotwals Philip J · CIK 0001982655 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,330

Underlying: Common Stock · 1,330 shares

Expires 2034-01-02

F2 · derivative.exercise_date: The shares of the award are fully vested and exercisable as of January 2, 2024, the date of the grant. The award pertains to annual board committee service.

SEC source: 0001415889-24-000657 · form4-01042024_050126.xml · derivative · entry 1

Gotwals Philip J · CIK 0001982655 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 29,250

Underlying: Common Stock · 29,250 shares

Expires 2034-01-02

F1 · derivative.exercise_date: The shares vest 1/12th of the first day of each month, commencing February 1, 2024, with the last month vesting on December 31, 2024, until the stock option becomes fully vested and exercisable. The award pertains to annual board service. The option is subject to early exercise and, therefore, all or any part of the option can be exercised at any time. If the reporting person elects to take advantage of the early exercise feature and purchase shares prior to the vesting of such shares, the shares will be deemed restricted stock and will be subject to a repurchase option in favor of the Issuer if the reporting person's service to the Issuer terminates prior to vesting.

SEC source: 0001415889-24-000656 · form4-01042024_050118.xml · derivative · entry 3

Auwaerter Paul Gisbert · CIK 0001982730 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,760

Underlying: Common Stock · 6,760 shares

Expires 2034-01-02

F3 · derivative.exercise_date: The shares of the award are fully vested and exercisable as of January 2, 2024, the date of the grant. The award pertains to annual board service.

SEC source: 0001415889-24-000656 · form4-01042024_050118.xml · derivative · entry 2

Auwaerter Paul Gisbert · CIK 0001982730 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 890

Underlying: Common Stock · 890 shares

Expires 2034-01-02

F2 · derivative.exercise_date: The shares of the award are fully vested and exercisable as of January 2, 2024, the date of the grant. The award pertains to annual board committee service.

SEC source: 0001415889-24-000656 · form4-01042024_050118.xml · derivative · entry 1

Auwaerter Paul Gisbert · CIK 0001982730 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 29,250

Underlying: Common Stock · 29,250 shares

Expires 2034-01-02

F1 · derivative.exercise_date: The shares vest 1/12th of the first day of each month, commencing February 1, 2024, with the last month vesting on December 31, 2024, until the stock option becomes fully vested and exercisable. The award pertains to annual board service. The option is subject to early exercise and, therefore, all or any part of the option can be exercised at any time. If the reporting person elects to take advantage of the early exercise feature and purchase shares prior to the vesting of such shares, the shares will be deemed restricted stock and will be subject to a repurchase option in favor of the Issuer if the reporting person's service to the Issuer terminates prior to vesting.

SEC source: 0001415889-24-000654 · form4-01042024_050114.xml · derivative · entry 3

Musket David B · CIK 0001310611 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 14,280

Underlying: Common Stock · 14,280 shares

Expires 2034-01-02

F3 · derivative.exercise_date: The shares of the award are fully vested and exercisable as of January 2, 2024, the date of the grant. The award pertains to annual board service.

SEC source: 0001415889-24-000654 · form4-01042024_050114.xml · derivative · entry 2

Musket David B · CIK 0001310611 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 15,170

Underlying: Common Stock · 15,170 shares

Expires 2034-01-02

F2 · derivative.exercise_date: The shares of the award are fully vested and exercisable as of January 2, 2024, the date of the grant. The award pertains to annual board committee service.

SEC source: 0001415889-24-000654 · form4-01042024_050114.xml · derivative · entry 1

Musket David B · CIK 0001310611 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 29,250

Underlying: Common Stock · 29,250 shares

Expires 2034-01-02

F1 · derivative.exercise_date: The shares vest 1/12th of the first day of each month, commencing February 1, 2024, with the last month vesting on December 31, 2024, until the stock option becomes fully vested and exercisable. The award pertains to annual board service. The option is subject to early exercise and, therefore, all or any part of the option can be exercised at any time. If the reporting person elects to take advantage of the early exercise feature and purchase shares prior to the vesting of such shares, the shares will be deemed restricted stock and will be subject to a repurchase option in favor of the Issuer if the reporting person's service to the Issuer terminates prior to vesting.

SEC source: 0001415889-24-000653 · form4-01042024_050112.xml · derivative · entry 3

DUNBAR GEORGE W JR · CIK 0001194712 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 14,280

Underlying: Common Stock · 14,280 shares

Expires 2034-01-02

F3 · derivative.exercise_date: The shares of the award are fully vested and exercisable as of January 2, 2024, the date of the grant. The award pertains to annual board service.

SEC source: 0001415889-24-000653 · form4-01042024_050112.xml · derivative · entry 2

DUNBAR GEORGE W JR · CIK 0001194712 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,920

Underlying: Common Stock · 8,920 shares

Expires 2034-01-02

F2 · derivative.exercise_date: The shares of the award are fully vested and exercisable as of January 2, 2024, the date of the grant. The award pertains to annual board committee service.

SEC source: 0001415889-24-000653 · form4-01042024_050112.xml · derivative · entry 1

DUNBAR GEORGE W JR · CIK 0001194712 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 29,250

Underlying: Common Stock · 29,250 shares

Expires 2034-01-02

F1 · derivative.exercise_date: The shares vest 1/12th of the first day of each month, commencing February 1, 2024, with the last month vesting on December 31, 2024, until the stock option becomes fully vested and exercisable. The award pertains to annual board service. The option is subject to early exercise and, therefore, all or any part of the option can be exercised at any time. If the reporting person elects to take advantage of the early exercise feature and purchase shares prior to the vesting of such shares, the shares will be deemed restricted stock and will be subject to a repurchase option in favor of the Issuer if the reporting person's service to the Issuer terminates prior to vesting.

SEC source: 0001415889-24-000655 · form4-01042024_050116.xml · derivative · entry 3

Sabar Karimah Es · CIK 0001873796 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 14,280

Underlying: Common Stock · 14,280 shares

Expires 2034-01-02

F3 · derivative.exercise_date: The shares of the award are fully vested and exercisable as of January 2, 2024, the date of the grant. The award pertains to annual board service.

SEC source: 0001415889-24-000655 · form4-01042024_050116.xml · derivative · entry 2

Sabar Karimah Es · CIK 0001873796 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,460

Underlying: Common Stock · 4,460 shares

Expires 2034-01-02

F2 · derivative.exercise_date: The shares of the award are fully vested and exercisable as of January 2, 2024, the date of the grant. The award pertains to annual board committee service.

SEC source: 0001415889-24-000655 · form4-01042024_050116.xml · derivative · entry 1

Sabar Karimah Es · CIK 0001873796 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 29,250

Underlying: Common Stock · 29,250 shares

Expires 2034-01-02

F1 · derivative.exercise_date: The shares vest 1/12th of the first day of each month, commencing February 1, 2024, with the last month vesting on December 31, 2024, until the stock option becomes fully vested and exercisable. The award pertains to annual board service. The option is subject to early exercise and, therefore, all or any part of the option can be exercised at any time. If the reporting person elects to take advantage of the early exercise feature and purchase shares prior to the vesting of such shares, the shares will be deemed restricted stock and will be subject to a repurchase option in favor of the Issuer if the reporting person's service to the Issuer terminates prior to vesting.

SEC source: 0001415889-24-000651 · form4-01042024_050108.xml · derivative · entry 1

Litvack Frank · CIK 0001310715 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 200,000

Underlying: Common Stock · 200,000 shares

Expires 2034-01-02

F1 · derivative.exercise_date: The shares vest 1/48th of the first day of each month, commencing February 1, 2024, until the stock option becomes fully vested and exercisable. The award pertains to annual board service as Executive Chairman. The option is subject to early exercise and, therefore, all or any part of the option can be exercised at any time. If the reporting person elects to take advantage of the early exercise feature and purchase shares prior to the vesting of such shares, the shares will be deemed restricted stock and will be subject to a repurchase option in favor of the Issuer if the reporting person's service to the Issuer terminates prior to vesting.

SEC source: 0001415889-24-000652 · form4-01042024_050110.xml · derivative · entry 3

COLLIER EARL M JR · CIK 0001201254 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 14,280

Underlying: Common Stock · 14,280 shares

Expires 2034-01-02

F3 · derivative.exercise_date: The shares of the award are fully vested and exercisable as of January 2, 2024, the date of the grant. The award pertains to annual board service.

SEC source: 0001415889-24-000652 · form4-01042024_050110.xml · derivative · entry 2

COLLIER EARL M JR · CIK 0001201254 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,030

Underlying: Common Stock · 8,030 shares

Expires 2034-01-02

F2 · derivative.exercise_date: The shares of the award are fully vested and exercisable as of January 2, 2024, the date of the grant. The award pertains to annual board committee service.