CELU

SEC source: 0001493152-25-001099 · ownership.xml · derivative · entry 2

Ling Geoffrey M.D. · CIK 0001800097 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,334,746

Underlying: Class A Common Stock · 84,746 shares

Expires 2034-12-19

F3 · derivative.exercise_date: This option was granted under the 2021 Plan and shall vest and become exercisable on the earlier of the one-year anniversary of the date of grant, December 19, 2024, and the next annual stockholder meeting, subject to the Reporting Person's continuous service with the Issuer through such date.

SEC source: 0001493152-25-001099 · ownership.xml · nonDerivative · entry 1

Ling Geoffrey M.D. · CIK 0001800097 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 67,416

F1 · shares: These shares represent restricted stock units ("RSUs") granted under the Celularity Inc. 2021 Equity Incentive Plan (the "2021 Plan"), with each RSU representing a right to receive one share of the Issuer's Class A common stock. The RSUs shall vest and become exercisable on the earlier of the one-year anniversary of the date of grant, December 19, 2024, and the next annual stockholder meeting, subject to the Reporting Person's continuous service with the Issuer through such date.

F2 · balance_after: Includes 67,416 RSUs granted under the 2021 Plan, with each RSU representing a right to receive one share of the Issuer's Class A common stock. The RSUs shall vest and become exercisable on the earlier of the one-year anniversary of the date of grant, December 19, 2024, and the next annual stockholder meeting, subject to the Reporting Person's continuous service with the Issuer through such date.

SEC source: 0001493152-25-001221 · ownership.xml · derivative · entry 2

Parks Diane L. · CIK 0001781026 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 362,524

Underlying: Class A Common Stock · 84,746 shares

Expires 2034-12-19

F3 · derivative.exercise_date: This option was granted under the 2021 Plan and shall vest and become exercisable on the earlier of the one-year anniversary of the date of grant, December 19, 2024, and the next annual stockholder meeting, subject to the Reporting Person's continuous service with the Issuer through such date.

SEC source: 0001493152-25-001221 · ownership.xml · nonDerivative · entry 1

Parks Diane L. · CIK 0001781026 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 303,482

F1 · shares: These shares represent restricted stock units ("RSUs") granted under the Celularity Inc. 2021 Equity Incentive Plan (the "2021 Plan"), with each RSU representing a right to receive one share of the Issuer's Class A common stock. The RSUs shall vest and become exercisable on the earlier of the one-year anniversary of the date of grant, December 19, 2024, and the next annual stockholder meeting, subject to the Reporting Person's continuous service with the Issuer through such date.

F2 · balance_after: Includes 67,416 RSUs granted under the 2021 Plan, with each RSU representing a right to receive one share of the Issuer's Class A common stock. The RSUs shall vest and become exercisable on the earlier of the one-year anniversary of the date of grant, December 19, 2024, and the next annual stockholder meeting, subject to the Reporting Person's continuous service with the Issuer through such date.

SEC source: 0001493152-25-008871 · ownership.xml · derivative · entry 2

Diamandis Peter · CIK 0001528288 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 416,459

Underlying: Class A Common Stock · 84,746 shares

Expires 2034-12-19

F3 · derivative.exercise_date: This option was granted under the 2021 Plan and shall vest and become exercisable on the earlier of the one-year anniversary of the date of grant, December 19, 2024, and the next annual stockholder meeting, subject to the Reporting Person's continuous service with the Issuer through such date.

SEC source: 0001493152-25-008871 · ownership.xml · nonDerivative · entry 1

Diamandis Peter · CIK 0001528288 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 201,723

F1 · shares: These shares represent restricted stock units ("RSUs") granted under the Celularity Inc. 2021 Equity Incentive Plan (the "2021 Plan"), with each RSU representing a right to receive one share of the Issuer's Class A common stock. The RSUs shall vest and become exercisable on the earlier of the one-year anniversary of the date of grant, December 19, 2024, and the next annual stockholder meeting, subject to the Reporting Person's continuous service with the Issuer through such date.

F2 · balance_after: Includes 67,416 RSUs granted under the 2021 Plan, with each RSU representing a right to receive one share of the Issuer's Class A common stock. The RSUs shall vest and become exercisable on the earlier of the one-year anniversary of the date of grant, December 19, 2024, and the next annual stockholder meeting, subject to the Reporting Person's continuous service with the Issuer through such date.

SEC source: 0001493152-24-034222 · ownership.xml · derivative · entry 1

BERMAN RICHARD J · CIK 0001111620 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 118,111

Underlying: Class A Common Stock · 118,111 shares

Expires 2034-08-27

F1 · derivative.exercise_date: The option was granted pursuant to the Issuer's 2021 Equity Incentive Plan. The shares underlying such option will vest in three successive equal annual installments measured from the grant date, subject to the Reporting Person's continuous service with the Issuer through each such date.

SEC source: 0000905148-24-003388 · form4.xml · derivative · entry 2

Lim Kok Thay · CIK 0001470308 · 10% owner

Genting Berhad · CIK 0001788489 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · By Resorts World Inc Pte. Ltd.

Disclosed balance after: 1,350,000

Underlying: Class A Common Stock · 1,350,000 shares

Expires 2029-07-15

F2 · kind: Pursuant to the terms of the governing form of warrant, the exercise price of these Tranche 2 Warrants (as defined in the Form 4 filed by the Reporting Persons on January 17, 2024) was set at $2.988 per share on July 15, 2024, and accordingly these Tranche 2 Warrants became "derivative securities" (as such term is defined in Rule 16a-1(c) under the Securities Exchange Act of 1934, as amended (the "Exchange Act")) and reportable for purposes of Section 16 of the Exchange Act at that time.

F3 · shares: These numbers have been adjusted to reflect the Reverse Stock Split.

F3 · price: These numbers have been adjusted to reflect the Reverse Stock Split.

F2 · derivative.exercise_date: Pursuant to the terms of the governing form of warrant, the exercise price of these Tranche 2 Warrants (as defined in the Form 4 filed by the Reporting Persons on January 17, 2024) was set at $2.988 per share on July 15, 2024, and accordingly these Tranche 2 Warrants became "derivative securities" (as such term is defined in Rule 16a-1(c) under the Securities Exchange Act of 1934, as amended (the "Exchange Act")) and reportable for purposes of Section 16 of the Exchange Act at that time.

F3 · derivative.underlying_shares: These numbers have been adjusted to reflect the Reverse Stock Split.

F3 · balance_after: These numbers have been adjusted to reflect the Reverse Stock Split.

F4 · ownership.nature: These warrants are held by RWI. Genting Berhad indirectly holds 50% of RWI with the balance 50% indirectly held by Mr. Lim. Each of Genting Berhad and Mr. Lim disclaims beneficial ownership over these securities except to the extent of its or his pecuniary interest therein.

SEC source: 0001493152-24-014944 · ownership.xml · nonDerivative · entry 1

Brigido Stephen · CIK 0001869791 · Pres, Functional Regeneration

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 19,472

F1 · shares: Represents shares withheld by the Issuer to satisfy the Reporting Person's tax obligations associated with the vesting and settlement of restricted stock units ("RSUs") granted under the Celularity Inc. 2021 Equity Incentive Plan (the "2021 Plan") and does not represent a sale.

F2 · balance_after: Includes 18,920 shares underlying RSUs granted under the 2021 Plan. Each RSU represents the right to receive one share of the Issuer's Class A common stock subject to vesting.

F3 · balance_after: On February 29, 2024, the Issuer effected a 1-for-10 reverse stock split (the "Reverse Stock Split") on its Common Stock. The number of securities reported on this Form 4 have been adjusted to reflect the Reverse Stock Split.

SEC source: 0001493152-24-014943 · ownership.xml · nonDerivative · entry 1

Beers David C · CIK 0001869583 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 23,983

F1 · shares: Represents shares withheld by the Issuer to satisfy the Reporting Person's tax obligations associated with the vesting and settlement of restricted stock units ("RSUs") granted under the Celularity Inc. 2021 Equity Incentive Plan (the "2021 Plan") and does not represent a sale.

F2 · balance_after: Includes 23,319 shares underlying RSUs granted under the 2021 Plan. Each RSU represents the right to receive one share of the Issuer's Class A common stock subject to vesting.

F3 · balance_after: On February 29, 2024, the Issuer effected a 1-for-10 reverse stock split (the "Reverse Stock Split") on its Common Stock. The number of securities reported on this Form 4 have been adjusted to reflect the Reverse Stock Split.

SEC source: 0001493152-24-014947 · ownership.xml · nonDerivative · entry 1

Hariri Robert J · CIK 0001398815 · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,855,889

F1 · shares: Represents shares withheld by the Issuer to satisfy the Reporting Person's tax obligations associated with the vesting and settlement of restricted stock units ("RSUs") granted under the Celularity Inc. 2021 Equity Incentive Plan (the "2021 Plan") and does not represent a sale.

F2 · balance_after: Includes 8,688 shares underlying RSUs subject to vesting. Each RSU represents the right to receive one share of the Issuer's Class A common stock subject to vesting.

F3 · balance_after: On February 29, 2024, the Issuer effected a 1-for-10 reverse stock split (the "Reverse Stock Split") on its Common Stock. The number of securities reported on this Form 4 have been adjusted to reflect the Reverse Stock Split.

SEC source: 0001493152-24-014945 · ownership.xml · nonDerivative · entry 1

Fletcher Kyle · CIK 0001937742 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 21,085

F1 · shares: Represents shares withheld by the Issuer to satisfy the Reporting Person's tax obligations associated with the vesting and settlement of restricted stock units ("RSUs") granted under the Celularity Inc. 2021 Equity Incentive Plan (the "2021 Plan") and does not represent a sale.

F2 · balance_after: Includes 20,352 shares underlying RSUs granted under the 2021 Plan. Each RSU represents the right to receive one share of the Issuer's Class A common stock subject to vesting.

SEC source: 0001493152-24-014946 · ownership.xml · nonDerivative · entry 1

Haines John R · CIK 0001867686 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 38,373

F1 · shares: Represents shares withheld by the Issuer to satisfy the Reporting Person's tax obligations associated with the vesting and settlement of restricted stock units ("RSUs") granted under the Celularity Inc. 2021 Equity Incentive Plan (the "2021 Plan") and does not represent a sale.

F2 · balance_after: Includes 37,310 shares underlying RSUs granted under the 2021 Plan. Each RSU represents the right to receive one share of the Issuer's Class A common stock subject to vesting.

F3 · balance_after: On February 29, 2024, the Issuer effected a 1-for-10 reverse stock split (the "Reverse Stock Split") on its Common Stock. The number of securities reported on this Form 4 have been adjusted to reflect the Reverse Stock Split.

SEC source: 0001493152-24-010432 · ownership.xml · nonDerivative · entry 1

Fletcher Kyle · CIK 0001937742 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 21,105

F1 · shares: Represents shares withheld by the Issuer to satisfy the Reporting Person's tax obligations associated with the vesting and settlement of restricted stock units ("RSUs") granted under the Celularity Inc. 2021 Equity Incentive Plan (the "2021 Plan") and does not represent a sale.

F2 · balance_after: Includes 20,372 shares underlying RSUs granted under the 2021 Plan. Each RSU represents the right to receive one share of the Issuer's Class A common stock subject to vesting.

F3 · balance_after: On February 29, 2024, the Issuer effected a 1-for-10 reverse stock split (the "Reverse Stock Split") on its Common Stock. The number of securities reported on this Form 4 have been adjusted to reflect the Reverse Stock Split.

SEC source: 0000905148-24-000949 · form4.xml · derivative · entry 1

Lim Kok Thay · CIK 0001470308 · 10% owner

Genting Berhad · CIK 0001788489 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · By Resorts World Inc Pte. Ltd.

Disclosed balance after: 300,000

Underlying: Class A Common Stock · 300,000 shares

Expires 2028-06-20

F1 · kind: On March 13, 2024, the Issuer issued 300,000 warrants to Resorts World Inc Pte. Ltd. ("RWI"), as consideration for RWI's agreement to not exercise its rights and remedies upon the occurrence of any default under an existing loan agreement between RWI and the Issuer until the earlier of (a) the Issuer's obligations in respect of a promissory note between the Issuer and YA II PN, Ltd. have been paid in full, or (b) March 13, 2025 (the "Forbearance Warrant").

F2 · shares: The quantity of warrants reported herein reflects the Issuer's 1-for-10 reverse stock split that occurred on February 28, 2024.

F1 · price: On March 13, 2024, the Issuer issued 300,000 warrants to Resorts World Inc Pte. Ltd. ("RWI"), as consideration for RWI's agreement to not exercise its rights and remedies upon the occurrence of any default under an existing loan agreement between RWI and the Issuer until the earlier of (a) the Issuer's obligations in respect of a promissory note between the Issuer and YA II PN, Ltd. have been paid in full, or (b) March 13, 2025 (the "Forbearance Warrant").

F3 · derivative.exercise_date: The Forbearance Warrant is immediately exercisable (or, if RWI reasonably determines in its sole discretion that clearance from the Committee on Foreign Investment in the United States is required, the date of such clearance), and can be exercised on a cashless basis.

F2 · derivative.underlying_shares: The quantity of warrants reported herein reflects the Issuer's 1-for-10 reverse stock split that occurred on February 28, 2024.

F2 · balance_after: The quantity of warrants reported herein reflects the Issuer's 1-for-10 reverse stock split that occurred on February 28, 2024.

F4 · ownership.nature: These warrants are held by RWI. Genting Berhad indirectly holds 50% of RWI with the balance 50% indirectly held by Mr. Lim. Each of Genting Berhad and Mr. Lim disclaims beneficial ownership over these securities except to the extent of its or his pecuniary interest therein.

SEC source: 0001493152-24-007471 · ownership.xml · nonDerivative · entry 1

Brigido Stephen · CIK 0001869791 · Pres, Functional Regeneration

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 197,406

F1 · shares: Represents shares withheld by the Issuer to satisfy the Reporting Person's tax obligations associated with the vesting and settlement of restricted stock units ("RSUs") granted under the Celularity Inc. 2021 Equity Incentive Plan (the "2021 Plan") and does not represent a sale.

F2 · balance_after: Includes 191,887 shares underlying RSUs granted under the 2021 Plan. Each RSU represents the right to receive one share of the Issuer's Class A common stock subject to vesting.

SEC source: 0001493152-24-007473 · ownership.xml · nonDerivative · entry 1

Beers David C · CIK 0001869583 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 243,437

F1 · shares: Represents shares withheld by the Issuer to satisfy the Reporting Person's tax obligations associated with the vesting and settlement of restricted stock units ("RSUs") granted under the Celularity Inc. 2021 Equity Incentive Plan (the "2021 Plan") and does not represent a sale.

F2 · balance_after: Includes 236,791 shares underlying RSUs granted under the 2021 Plan. Each RSU represents the right to receive one share of the Issuer's Class A common stock subject to vesting.

SEC source: 0001493152-24-007487 · ownership.xml · nonDerivative · entry 1

Kilcoyne Adrian · CIK 0001857963 · Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,122,238

F1 · shares: Represents shares withheld by the Issuer to satisfy the Reporting Person's tax obligations associated with the vesting and settlement of restricted stock units ("RSUs") granted under the Celularity Inc. 2021 Equity Incentive Plan (the "2021 Plan") and does not represent a sale.

F2 · balance_after: Reflects shares underlying RSUs subject to vesting.

SEC source: 0001493152-24-007475 · ownership.xml · nonDerivative · entry 1

Haines John R · CIK 0001867686 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 389,497

F1 · shares: Represents shares withheld by the Issuer to satisfy the Reporting Person's tax obligations associated with the vesting and settlement of restricted stock units ("RSUs") granted under the Celularity Inc. 2021 Equity Incentive Plan (the "2021 Plan") and does not represent a sale.

F2 · balance_after: Includes 378,863 shares underlying RSUs granted under the 2021 Plan. Each RSU represents the right to receive one share of the Issuer's Class A common stock subject to vesting.

SEC source: 0001493152-24-007469 · ownership.xml · nonDerivative · entry 1

Fletcher Kyle · CIK 0001937742 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 217,228

F1 · shares: Represents shares withheld by the Issuer to satisfy the Reporting Person's tax obligations associated with the vesting and settlement of restricted stock units ("RSUs") granted under the Celularity Inc. 2021 Equity Incentive Plan (the "2021 Plan") and does not represent a sale.

F2 · balance_after: Includes 209,891 shares underlying RSUs granted under the 2021 Plan. Each RSU represents the right to receive one share of the Issuer's Class A common stock subject to vesting.

SEC source: 0001493152-24-007471 · ownership.xml · derivative · entry 2

Brigido Stephen · CIK 0001869791 · Pres, Functional Regeneration

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 183,612

Underlying: Class A Common Stock · 183,612 shares

Expires 2034-02-15

F3 · derivative.exercise_date: The option was granted pursuant to the 2021 Plan. The shares underlying such option will vest in equal quarterly installments during 2024 such that 25% of the option will vest on each of March 31, 2024, June 30, 2024, September 30, 2024 and December 31, 2024, subject to the Reporting Person's continuous service with the Issuer through each such date.

SEC source: 0001493152-24-007473 · ownership.xml · derivative · entry 2

Beers David C · CIK 0001869583 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 183,612

Underlying: Class A Common Stock · 183,612 shares

Expires 2034-02-15

F3 · derivative.exercise_date: The option was granted pursuant to the 2021 Plan. The shares underlying such option will vest in equal quarterly installments during 2024 such that 25% of the option will vest on each of March 31, 2024, June 30, 2024, September 30, 2024 and December 31, 2024, subject to the Reporting Person's continuous service with the Issuer through each such date.

SEC source: 0001493152-24-007491 · ownership.xml · derivative · entry 1

Hariri Robert J · CIK 0001398815 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,937,788

Underlying: Class A Common Stock · 2,937,788 shares

Expires 2034-02-15

F1 · derivative.exercise_date: The option was granted pursuant to the Issuer's 2021 Equity Incentive Plan. The shares underlying such option will vest in equal quarterly installments during 2024 such that 25% of the option will vest on each of March 31, 2024, June 30, 2024, September 30, 2024 and December 31, 2024, subject to the Reporting Person's continuous service with the Issuer through each such date.

SEC source: 0001493152-24-007487 · ownership.xml · derivative · entry 2

Kilcoyne Adrian · CIK 0001857963 · Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 205,213

Underlying: Class A Common Stock · 205,213 shares

Expires 2034-02-15

F3 · derivative.exercise_date: The option was granted pursuant to the 2021 Plan. The shares underlying such option will vest in equal quarterly installments during 2024 such that 25% of the option will vest on each of March 31, 2024, June 30, 2024, September 30, 2024 and December 31, 2024, subject to the Reporting Person's continuous service with the Issuer through each such date.

SEC source: 0001493152-24-007475 · ownership.xml · derivative · entry 2

Haines John R · CIK 0001867686 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 216,014

Underlying: Class A Common Stock · 216,014 shares

Expires 2034-02-15

F3 · derivative.exercise_date: The option was granted pursuant to the 2021 Plan. The shares underlying such option will vest in equal quarterly installments during 2024 such that 25% of the option will vest on each of March 31, 2024, June 30, 2024, September 30, 2024 and December 31, 2024, subject to the Reporting Person's continuous service with the Issuer through each such date.

SEC source: 0001493152-24-007469 · ownership.xml · derivative · entry 2

Fletcher Kyle · CIK 0001937742 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 164,171

Underlying: Class A Common Stock · 164,171 shares

Expires 2034-02-15

F3 · derivative.exercise_date: The option was granted pursuant to the 2021 Plan. The shares underlying such option will vest in equal quarterly installments during 2024 such that 25% of the option will vest on each of March 31, 2024, June 30, 2024, September 30, 2024 and December 31, 2024, subject to the Reporting Person's continuous service with the Issuer through each such date.

SEC source: 0000905148-24-000212 · form4.xml · derivative · entry 6

Lim Kok Thay · CIK 0001470308 · 10% owner

Dragasac Ltd · CIK 0001872884 · 10% owner

Genting Berhad · CIK 0001788489 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · By Resorts World Inc Pte. Ltd.

Disclosed balance after: 16,500,000

Underlying: Class A Common Stock · 16,500,000 shares

Expires 2029-01-16

F9 · derivative.exercise_price: The actual exercise price for these warrants is $0.24898 per share of Class A Common Stock, which has been rounded due to systematic character limitations.

F4 · kind: On January 12, 2024, the Issuer entered into a loan agreement with Resorts World Inc Pte. Ltd. ("RWI"), pursuant to which RWI provided a $15.0 million loan to the Issuer, net of an original issue discount representing the purchase price of the Tranche 1 Warrants and Tranche 2 Warrants (each defined herein), in exchange for an initial tranche of warrants to purchase up to 16,500,000 shares of Class A Common Stock (the "Tranche 1 Warrants") and a second tranche of warrants to purchase up to 13,500,000 shares of Class A Common Stock (the "Tranche 2 Warrants").

F5 · kind: The Tranche 2 Warrants are not exercisable until the later of (i) clearance from the Committee on Foreign Investment in the United States and (ii) July 16, 2024, and the exercise price of the Tranche 2 Warrants will be equal to the "Minimum Price" (as defined in Nasdaq Listing Rule 5635(d)) on the date they become exercisable. Accordingly, at this time, the Tranche 2 Warrants are not "derivative securities" (as such term is defined in Rule 16a-1(c) under the Securities Exchange Act of 1934, as amended (the "Exchange Act")) and are thus not reportable for purposes of Section 16 of the Exchange Act.

F7 · ownership.nature: These warrants are held by RWI. Genting Berhad indirectly holds 50% of RWI with the balance 50% indirectly held by Mr. Lim. Each of Genting Berhad and Mr. Lim disclaims beneficial ownership over these securities except to the extent of its or his pecuniary interest therein.

SEC source: 0000905148-24-000212 · form4.xml · derivative · entry 5

Lim Kok Thay · CIK 0001470308 · 10% owner

Dragasac Ltd · CIK 0001872884 · 10% owner

Genting Berhad · CIK 0001788489 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · By Dragasac Limited

Disclosed balance after: 6,529,818

Underlying: Class A Common Stock · 6,529,818 shares

Expires 2030-03-16

F9 · derivative.exercise_price: The actual exercise price for these warrants is $0.24898 per share of Class A Common Stock, which has been rounded due to systematic character limitations.

F2 · kind: In connection with the Securities Purchase Agreement, the Issuer amended and restated the terms of the 6,529,818 warrants that Dragasac received in connection with the merger of GX Acquisition Corp. and the Issuer on July 16, 2021 in order to adjust the exercise price from $6.77 per share of Class A Common Stock to $0.24898 per share of Class A Common Stock and to extend the expiration date to March 16, 2030.

F2 · price: In connection with the Securities Purchase Agreement, the Issuer amended and restated the terms of the 6,529,818 warrants that Dragasac received in connection with the merger of GX Acquisition Corp. and the Issuer on July 16, 2021 in order to adjust the exercise price from $6.77 per share of Class A Common Stock to $0.24898 per share of Class A Common Stock and to extend the expiration date to March 16, 2030.

F6 · ownership.nature: These securities are directly held by Dragasac, which is an indirect wholly-owned subsidiary of Genting Berhad, a public company listed on the Malaysian stock exchange. Lim Kok Thay is an indirect beneficial owner of the largest shareholder of Genting Berhad, where he serves as Chief Executive and Chairman of the Board. Each of Genting Berhad and Mr. Lim disclaims beneficial ownership over these securities except to the extent of its or his pecuniary interest therein.

SEC source: 0000905148-24-000212 · form4.xml · derivative · entry 4

Lim Kok Thay · CIK 0001470308 · 10% owner

Dragasac Ltd · CIK 0001872884 · 10% owner

Genting Berhad · CIK 0001788489 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · By Dragasac Limited

Disclosed balance after: 0

Underlying: Class A Common Stock · 6,529,818 shares

Expires not disclosed

F2 · kind: In connection with the Securities Purchase Agreement, the Issuer amended and restated the terms of the 6,529,818 warrants that Dragasac received in connection with the merger of GX Acquisition Corp. and the Issuer on July 16, 2021 in order to adjust the exercise price from $6.77 per share of Class A Common Stock to $0.24898 per share of Class A Common Stock and to extend the expiration date to March 16, 2030.

F2 · price: In connection with the Securities Purchase Agreement, the Issuer amended and restated the terms of the 6,529,818 warrants that Dragasac received in connection with the merger of GX Acquisition Corp. and the Issuer on July 16, 2021 in order to adjust the exercise price from $6.77 per share of Class A Common Stock to $0.24898 per share of Class A Common Stock and to extend the expiration date to March 16, 2030.

F3 · derivative.expiration_date: These warrants were scheduled to expire upon the earlier of (i) March 16, 2025, or (ii) the consummation of a change in control of the Issuer.

F6 · ownership.nature: These securities are directly held by Dragasac, which is an indirect wholly-owned subsidiary of Genting Berhad, a public company listed on the Malaysian stock exchange. Lim Kok Thay is an indirect beneficial owner of the largest shareholder of Genting Berhad, where he serves as Chief Executive and Chairman of the Board. Each of Genting Berhad and Mr. Lim disclaims beneficial ownership over these securities except to the extent of its or his pecuniary interest therein.

SEC source: 0000905148-24-000212 · form4.xml · derivative · entry 3

Lim Kok Thay · CIK 0001470308 · 10% owner

Dragasac Ltd · CIK 0001872884 · 10% owner

Genting Berhad · CIK 0001788489 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · By Dragasac Limited

Disclosed balance after: 5,352,746

Underlying: Class A Common Stock · 5,352,746 shares

Expires 2029-01-16

F9 · derivative.exercise_price: The actual exercise price for these warrants is $0.24898 per share of Class A Common Stock, which has been rounded due to systematic character limitations.

F1 · kind: On January 12, 2024, the Issuer entered into a securities purchase agreement (the "Securities Purchase Agreement") with Dragasac Limited ("Dragasac"), pursuant to which Dragasac agreed to deliver $6.0 million to the Issuer in exchange for 21,410,983 shares of Class A Common Stock and warrants to purchase up to 5,352,746 shares of Class A Common Stock. The actual price for the 21,410,983 shares of Class A Common Stock is $0.24898 per share of Class A Common Stock, which has been rounded due to systematic character limitations.

F1 · price: On January 12, 2024, the Issuer entered into a securities purchase agreement (the "Securities Purchase Agreement") with Dragasac Limited ("Dragasac"), pursuant to which Dragasac agreed to deliver $6.0 million to the Issuer in exchange for 21,410,983 shares of Class A Common Stock and warrants to purchase up to 5,352,746 shares of Class A Common Stock. The actual price for the 21,410,983 shares of Class A Common Stock is $0.24898 per share of Class A Common Stock, which has been rounded due to systematic character limitations.

F6 · ownership.nature: These securities are directly held by Dragasac, which is an indirect wholly-owned subsidiary of Genting Berhad, a public company listed on the Malaysian stock exchange. Lim Kok Thay is an indirect beneficial owner of the largest shareholder of Genting Berhad, where he serves as Chief Executive and Chairman of the Board. Each of Genting Berhad and Mr. Lim disclaims beneficial ownership over these securities except to the extent of its or his pecuniary interest therein.

SEC source: 0000905148-24-000212 · form4.xml · nonDerivative · entry 1

Lim Kok Thay · CIK 0001470308 · 10% owner

Dragasac Ltd · CIK 0001872884 · 10% owner

Genting Berhad · CIK 0001788489 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · By Dragasac Limited

Disclosed balance after: 51,473,762

F1 · kind: On January 12, 2024, the Issuer entered into a securities purchase agreement (the "Securities Purchase Agreement") with Dragasac Limited ("Dragasac"), pursuant to which Dragasac agreed to deliver $6.0 million to the Issuer in exchange for 21,410,983 shares of Class A Common Stock and warrants to purchase up to 5,352,746 shares of Class A Common Stock. The actual price for the 21,410,983 shares of Class A Common Stock is $0.24898 per share of Class A Common Stock, which has been rounded due to systematic character limitations.

F1 · price: On January 12, 2024, the Issuer entered into a securities purchase agreement (the "Securities Purchase Agreement") with Dragasac Limited ("Dragasac"), pursuant to which Dragasac agreed to deliver $6.0 million to the Issuer in exchange for 21,410,983 shares of Class A Common Stock and warrants to purchase up to 5,352,746 shares of Class A Common Stock. The actual price for the 21,410,983 shares of Class A Common Stock is $0.24898 per share of Class A Common Stock, which has been rounded due to systematic character limitations.

F6 · ownership.nature: These securities are directly held by Dragasac, which is an indirect wholly-owned subsidiary of Genting Berhad, a public company listed on the Malaysian stock exchange. Lim Kok Thay is an indirect beneficial owner of the largest shareholder of Genting Berhad, where he serves as Chief Executive and Chairman of the Board. Each of Genting Berhad and Mr. Lim disclaims beneficial ownership over these securities except to the extent of its or his pecuniary interest therein.

SEC source: 0001104659-23-107259 · tm2327884-1_4seq1.xml · nonDerivative · entry 2

Sorrento Therapeutics, Inc. · CIK 0000850261 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,050,427

F1 · price: On September 29, 2023, the Reporting Person and Dr. Robert J. Hariri, M.D., Ph. D., ("Purchaser") entered into that certain Stock Purchase Agreement (the "SPA") pursuant to which the Purchaser agreed (i) to acquire on the date of the signing of the SPA, 9,064,539 shares of Class A common stock ("Celularity Common Shares") of Celularity Inc. ("Celularity") for an aggregate amount in cash equal to $1.5 million, payable on such initial closing date, and (ii) to acquire, no later than October 4, 2023, the remaining 11,357,585 Celularity Common Shares owned by the Reporting Person for an aggregate amount in cash equal to seventy percent of the 5-Day VWAP of the Celularity Common Shares calculated as of such subsequent closing date.

F2 · price: Pursuant to the terms of the SPA, the Purchaser paid Sorrento $1.5 million on September 29, 2023. In connection with the transaction described in clause (ii) of footnote 1 above, the Purchaser paid Sorrento $1.0 million on October 5, 2023, as consideration for the transfer of 6,307,158 Celularity Common Shares; however, the transfer of the remaining 5,050,427 Celularity Common Shares in exchange for the $0.8 million of consideration remaining to be paid pursuant to the SPA has not yet been consummated as of the date hereof.

SEC source: 0000950170-23-052758 · ownership.xml · nonDerivative · entry 3

Hariri Robert J · CIK 0001398815 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 28,570,434

F1 · price: On September 29, 2023, the Reporting Person and Sorrento Therapeutics, Inc. ("Sorrento"), which is in voluntary proceedings under Chapter 11 of the United States Bankruptcy Code in the United States Bankruptcy Court for the Southern District of Texas (the "Bankruptcy Court"), entered into a Stock Purchase Agreement (the "SPA") pursuant to which the Reporting Person agreed (i) to acquire on the date of the signing of the SPA, 9,064,539 shares of the Issuer's Class A common stock for an aggregate amount in cash equal to $1.5 million, payable on such initial closing date, and (ii) to acquire, no later than October 4, 2023, the remaining 11,357,585 shares of the Issuer's Class A common stock owned by Sorrento for an aggregate amount in cash equal to 75% of the 5-Day VWAP of the Issuer's Class A common stock calculated as provided in the SPA.

F2 · price: (Continued from Footnote 1): The Reporting Person received 9,064,539 shares of the Issuer's Class A common stock on October 4, 2023. The Reporting Person received 6,307,158 shares of the Issuer's Class A common stock on October 6, 2023. The Reporting Person received the remaining 3,050,427 shares of the Issuer's Class A common stock on October 10, 2023.

F3 · balance_after: Includes 98,426 shares underlying RSUs subject to vesting. Each RSU represents the right to receive one share of the Issuer's Class A common stock subject to vesting.

SEC source: 0000950170-23-052758 · ownership.xml · nonDerivative · entry 2

Hariri Robert J · CIK 0001398815 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,520,007

F1 · price: On September 29, 2023, the Reporting Person and Sorrento Therapeutics, Inc. ("Sorrento"), which is in voluntary proceedings under Chapter 11 of the United States Bankruptcy Code in the United States Bankruptcy Court for the Southern District of Texas (the "Bankruptcy Court"), entered into a Stock Purchase Agreement (the "SPA") pursuant to which the Reporting Person agreed (i) to acquire on the date of the signing of the SPA, 9,064,539 shares of the Issuer's Class A common stock for an aggregate amount in cash equal to $1.5 million, payable on such initial closing date, and (ii) to acquire, no later than October 4, 2023, the remaining 11,357,585 shares of the Issuer's Class A common stock owned by Sorrento for an aggregate amount in cash equal to 75% of the 5-Day VWAP of the Issuer's Class A common stock calculated as provided in the SPA.

F2 · price: (Continued from Footnote 1): The Reporting Person received 9,064,539 shares of the Issuer's Class A common stock on October 4, 2023. The Reporting Person received 6,307,158 shares of the Issuer's Class A common stock on October 6, 2023. The Reporting Person received the remaining 3,050,427 shares of the Issuer's Class A common stock on October 10, 2023.

F3 · balance_after: Includes 98,426 shares underlying RSUs subject to vesting. Each RSU represents the right to receive one share of the Issuer's Class A common stock subject to vesting.

SEC source: 0001104659-23-107259 · tm2327884-1_4seq1.xml · nonDerivative · entry 1

Sorrento Therapeutics, Inc. · CIK 0000850261 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 11,357,585

F1 · price: On September 29, 2023, the Reporting Person and Dr. Robert J. Hariri, M.D., Ph. D., ("Purchaser") entered into that certain Stock Purchase Agreement (the "SPA") pursuant to which the Purchaser agreed (i) to acquire on the date of the signing of the SPA, 9,064,539 shares of Class A common stock ("Celularity Common Shares") of Celularity Inc. ("Celularity") for an aggregate amount in cash equal to $1.5 million, payable on such initial closing date, and (ii) to acquire, no later than October 4, 2023, the remaining 11,357,585 Celularity Common Shares owned by the Reporting Person for an aggregate amount in cash equal to seventy percent of the 5-Day VWAP of the Celularity Common Shares calculated as of such subsequent closing date.

F2 · price: Pursuant to the terms of the SPA, the Purchaser paid Sorrento $1.5 million on September 29, 2023. In connection with the transaction described in clause (ii) of footnote 1 above, the Purchaser paid Sorrento $1.0 million on October 5, 2023, as consideration for the transfer of 6,307,158 Celularity Common Shares; however, the transfer of the remaining 5,050,427 Celularity Common Shares in exchange for the $0.8 million of consideration remaining to be paid pursuant to the SPA has not yet been consummated as of the date hereof.

SEC source: 0000950170-23-052758 · ownership.xml · nonDerivative · entry 1

Hariri Robert J · CIK 0001398815 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 19,212,849

F1 · price: On September 29, 2023, the Reporting Person and Sorrento Therapeutics, Inc. ("Sorrento"), which is in voluntary proceedings under Chapter 11 of the United States Bankruptcy Code in the United States Bankruptcy Court for the Southern District of Texas (the "Bankruptcy Court"), entered into a Stock Purchase Agreement (the "SPA") pursuant to which the Reporting Person agreed (i) to acquire on the date of the signing of the SPA, 9,064,539 shares of the Issuer's Class A common stock for an aggregate amount in cash equal to $1.5 million, payable on such initial closing date, and (ii) to acquire, no later than October 4, 2023, the remaining 11,357,585 shares of the Issuer's Class A common stock owned by Sorrento for an aggregate amount in cash equal to 75% of the 5-Day VWAP of the Issuer's Class A common stock calculated as provided in the SPA.

F2 · price: (Continued from Footnote 1): The Reporting Person received 9,064,539 shares of the Issuer's Class A common stock on October 4, 2023. The Reporting Person received 6,307,158 shares of the Issuer's Class A common stock on October 6, 2023. The Reporting Person received the remaining 3,050,427 shares of the Issuer's Class A common stock on October 10, 2023.

F3 · balance_after: Includes 98,426 shares underlying RSUs subject to vesting. Each RSU represents the right to receive one share of the Issuer's Class A common stock subject to vesting.

SEC source: 0000950170-23-053619 · ownership.xml · derivative · entry 1

Ling Geoffrey M.D. · CIK 0001800097 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,250,000

Underlying: Class A Common Stock · 1,250,000 shares

Expires 2033-08-31

F1 · derivative.exercise_date: The option was granted pursuant to the Issuer's 2021 Equity Incentive Plan. The shares underlying such option will vest in three successive equal annual installments measured from the grant date, subject to the Reporting Person's continuous service with the Issuer through each such date.

SEC source: 0000950170-23-033475 · ownership.xml · nonDerivative · entry 1

Kilcoyne Adrian · CIK 0001857963 · Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,175,000

F1 · shares: These shares represent restricted stock units ("RSUs") granted under the Celularity Inc. 2021 Plan (the "2021 Plan"), with each RSU representing a right to receive one share of the Issuer's Class A Common Stock. The RSUs are subject to (i) time-based vesting over a three-year period, with 25% vesting on the one-year anniversary of the grant date, 25% vesting on the two-year anniversary of the grant date, and the remainder vesting on the three-year anniversary of the grant date, and (ii) performance-based vesting based on the Issuer's stock price, and in each case subject to the Reporting Person's continuous service on each vesting date.

F2 · balance_after: Reflects shares underlying RSUs subject to vesting.

SEC source: 0001140361-23-030954 · form4.xml · derivative · entry 1

Genting Berhad · CIK 0001788489 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Resorts World Inc Pte. Ltd.

Disclosed balance after: 3,000,000

Underlying: Class A Common Stock · 3,000,000 shares

Expires 2028-06-20

F1 · ownership.direct: These warrants are directly held by Resorts World Inc Pte. Ltd. ("RWI"). Genting Berhad, a public company listed on the Malaysian stock exchange, indirectly holds 50% of RWI with the balance 50% indirectly held by Lim Kok Thay, who serves as a director on the Issuer's board of directors. Mr. Lim is also an indirect beneficial owner of the largest shareholder of Genting Berhad, where he serves as Chief Executive and Chairman of the Board. Mr. Lim separately files section 16 reports. Genting Berhad disclaims beneficial ownership over the reported securities except to the extent of its pecuniary interest therein.

SEC source: 0000899243-23-015876 · doc4.xml · derivative · entry 2

SCULLEY JOHN · CIK 0001015816 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 277,778

Underlying: Class A Common Stock · 277,778 shares

Expires 2033-06-14

F3 · derivative.exercise_date: This option was granted under the 2021 Plan and shall vest and become exercisable on the earlier of the one-year anniversary of the date of grant, June 14, 2023, and the next annual stockholder meeting, subject to the Reporting Person's continuous service with the Issuer through such date.

SEC source: 0000899243-23-015876 · doc4.xml · nonDerivative · entry 1

SCULLEY JOHN · CIK 0001015816 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,004,660

F1 · shares: These shares represent restricted stock units ("RSUs") granted under the Celularity Inc. 2021 Equity Incentive Plan (the "2021 Plan"), with each RSU representing a right to receive one share of the Issuer's Class A common stock. The RSUs shall vest and become exercisable on the earlier of the one-year anniversary of the date of grant, June 14, 2023, and the next annual stockholder meeting, subject to the Reporting Person's continuous service with the Issuer through such date.

F2 · balance_after: Includes 199,921 RSUs granted under the 2021 Plan, with each RSU representing a right to receive one share of the Issuer's Class A common stock. The RSUs shall vest and become exercisable on the earlier of the one-year anniversary of the date of grant, June 14, 2023, and the next annual stockholder meeting, subject to the Reporting Person's continuous service with the Issuer through such date.

SEC source: 0000899243-23-015861 · doc4.xml · derivative · entry 2

Lim Kok Thay · CIK 0001470308 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 277,778

Underlying: Class A Common Stock · 277,778 shares

Expires 2033-06-14

F3 · derivative.exercise_date: This option was granted under the 2021 Plan and shall vest and become exercisable on the earlier of the one-year anniversary of the date of grant, June 14, 2023, and the next annual stockholder meeting, subject to the Reporting Person's continuous service with the Issuer through such date.

SEC source: 0000899243-23-015861 · doc4.xml · nonDerivative · entry 1

Lim Kok Thay · CIK 0001470308 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 236,066

F1 · shares: These shares represent restricted stock units ("RSUs") granted under the Celularity Inc. 2021 Equity Incentive Plan (the "2021 Plan"), with each RSU representing a right to receive one share of the Issuer's Class A common stock. The RSUs shall vest and become exercisable on the earlier of the one-year anniversary of the date of grant, June 14, 2023, and the next annual stockholder meeting, subject to the Reporting Person's continuous service with the Issuer through such date.

F2 · balance_after: Includes 199,921 RSUs granted under the 2021 Plan, with each RSU representing a right to receive one share of the Issuer's Class A common stock. The RSUs shall vest and become exercisable on the earlier of the one-year anniversary of the date of grant, June 14, 2023, and the next annual stockholder meeting, subject to the Reporting Person's continuous service with the Issuer through such date.

SEC source: 0000899243-23-015881 · doc4.xml · derivative · entry 2

Kehler Dean C · CIK 0001322745 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 277,778

Underlying: Class A Common Stock · 277,778 shares

Expires 2033-06-14

F3 · derivative.exercise_date: This option was granted under the 2021 Plan and shall vest and become exercisable on the earlier of the one-year anniversary of the date of grant, June 14, 2023, and the next annual stockholder meeting, subject to the Reporting Person's continuous service with the Issuer through such date.

SEC source: 0000899243-23-015881 · doc4.xml · nonDerivative · entry 1

Kehler Dean C · CIK 0001322745 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 236,066

F1 · shares: These shares represent restricted stock units ("RSUs") granted under the Celularity Inc. 2021 Equity Incentive Plan (the "2021 Plan"), with each RSU representing a right to receive one share of the Issuer's Class A common stock. The RSUs shall vest and become exercisable on the earlier of the one-year anniversary of the date of grant, June 14, 2023, and the next annual stockholder meeting, subject to the Reporting Person's continuous service with the Issuer through such date.

F2 · balance_after: Includes 199,921 RSUs granted under the 2021 Plan, with each RSU representing a right to receive one share of the Issuer's Class A common stock. The RSUs shall vest and become exercisable on the earlier of the one-year anniversary of the date of grant, June 14, 2023, and the next annual stockholder meeting, subject to the Reporting Person's continuous service with the Issuer through such date.

SEC source: 0000899243-23-015879 · doc4.xml · derivative · entry 2

Mazur Marc · CIK 0001361226 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 277,778

Underlying: Class A Common Stock · 277,778 shares

Expires 2033-06-14

F3 · derivative.exercise_date: This option was granted under the 2021 Plan and shall vest and become exercisable on the earlier of the one-year anniversary of the date of grant, June 14, 2023, and the next annual stockholder meeting, subject to the Reporting Person's continuous service with the Issuer through such date.

SEC source: 0000899243-23-015879 · doc4.xml · nonDerivative · entry 1

Mazur Marc · CIK 0001361226 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 236,066

F1 · shares: These shares represent restricted stock units ("RSUs") granted under the Celularity Inc. 2021 Equity Incentive Plan (the "2021 Plan"), with each RSU representing a right to receive one share of the Issuer's Class A common stock. The RSUs shall vest and become exercisable on the earlier of the one-year anniversary of the date of grant, June 14, 2023, and the next annual stockholder meeting, subject to the Reporting Person's continuous service with the Issuer through such date.

F2 · balance_after: Includes 199,921 RSUs granted under the 2021 Plan, with each RSU representing a right to receive one share of the Issuer's Class A common stock. The RSUs shall vest and become exercisable on the earlier of the one-year anniversary of the date of grant, June 14, 2023, and the next annual stockholder meeting, subject to the Reporting Person's continuous service with the Issuer through such date.

SEC source: 0000899243-23-015880 · doc4.xml · derivative · entry 2

Smith Robin L · CIK 0001365035 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 277,778

Underlying: Class A Common Stock · 277,778 shares

Expires 2033-06-14

F3 · derivative.exercise_date: This option was granted under the 2021 Plan and shall vest and become exercisable on the earlier of the one-year anniversary of the date of grant, June 14, 2023, and the next annual stockholder meeting, subject to the Reporting Person's continuous service with the Issuer through such date.

SEC source: 0000899243-23-015880 · doc4.xml · nonDerivative · entry 1

Smith Robin L · CIK 0001365035 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 236,066

F1 · shares: These shares represent restricted stock units ("RSUs") granted under the Celularity Inc. 2021 Equity Incentive Plan (the "2021 Plan"), with each RSU representing a right to receive one share of the Issuer's Class A common stock. The RSUs shall vest and become exercisable on the earlier of the one-year anniversary of the date of grant, June 14, 2023, and the next annual stockholder meeting, subject to the Reporting Person's continuous service with the Issuer through such date.

F2 · balance_after: Includes 199,921 RSUs granted under the 2021 Plan, with each RSU representing a right to receive one share of the Issuer's Class A common stock. The RSUs shall vest and become exercisable on the earlier of the one-year anniversary of the date of grant, June 14, 2023, and the next annual stockholder meeting, subject to the Reporting Person's continuous service with the Issuer through such date.

SEC source: 0000899243-23-015863 · doc4.xml · derivative · entry 2

Diamandis Peter · CIK 0001528288 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 277,778

Underlying: Class A Common Stock · 277,778 shares

Expires 2033-06-14

F3 · derivative.exercise_date: This option was granted under the 2021 Plan and shall vest and become exercisable on the earlier of the one-year anniversary of the date of grant, June 14, 2023, and the next annual stockholder meeting, subject to the Reporting Person's continuous service with the Issuer through such date.