CERO

SEC source: 0001213900-26-046329 · ownership.xml · derivative · entry 1

Francois Eric · CIK 0001656125 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,823,278

Underlying: Common Stock · 1,823,278 shares

Expires 2036-03-03

F1 · derivative.exercise_date: The shares underlying this option shall vest in full on the earlier of (i) August 13, 2026 or (ii) the achievement of a specified clinical milestone in 2026, in each case subject to the reporting person's continuous service through the applicable vesting date.

SEC source: 0001213900-26-002947 · ownership.xml · derivative · entry 1

LAPORTE KATHLEEN · CIK 0001196201 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 690,900

Underlying: Common Stock · 690,900 shares

Expires 2036-01-06

SEC source: 0001213900-26-002945 · ownership.xml · derivative · entry 1

Pierce Kristen · CIK 0002039649 · Chief Development Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,612,099

Underlying: Common Stock · 1,612,099 shares

Expires 2036-01-06

SEC source: 0001213900-26-002946 · ownership.xml · derivative · entry 1

Patel Shami · CIK 0001378251 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 690,900

Underlying: Common Stock · 690,900 shares

Expires 2036-01-06

SEC source: 0001213900-26-002952 · ownership.xml · derivative · entry 1

Ehrlich Christopher B · CIK 0001293973 · Director · Chairman and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,530,997

Underlying: Common Stock · 4,530,997 shares

Expires 2036-01-06

SEC source: 0001213900-26-002951 · ownership.xml · derivative · entry 1

ATWOOD BRIAN G · CIK 0001266567 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,612,099

Underlying: Common Stock · 1,612,099 shares

Expires 2036-01-06

SEC source: 0001213900-26-002950 · ownership.xml · derivative · entry 1

Byrnes Michael · CIK 0001619893 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 690,900

Underlying: Common Stock · 690,900 shares

Expires 2036-01-06

SEC source: 0001213900-26-002949 · ownership.xml · derivative · entry 1

Rolfe Lindsey · CIK 0001650504 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 690,900

Underlying: Common Stock · 690,900 shares

Expires 2036-01-06

SEC source: 0001213900-26-002948 · ownership.xml · derivative · entry 1

KUCHARCHUK ANDREW ALBERT · CIK 0001654127 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,162,099

Underlying: Common Stock · 1,162,099 shares

Expires 2036-01-06

SEC source: 0001213900-25-050131 · ownership.xml · derivative · entry 1

LAPORTE KATHLEEN · CIK 0001196201 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 9,326

Underlying: Common Stock · 9,326 shares

Expires 2035-05-29

F1 · shares: Represents the 1/3 time-based portion of an award of options to purchase 27,979 shares, vesting in equal monthly installments on the 4th of each month from July 4, 2025 through March 4, 2026, with the remaining portion subject to performance conditions.

F1 · derivative.exercise_date: Represents the 1/3 time-based portion of an award of options to purchase 27,979 shares, vesting in equal monthly installments on the 4th of each month from July 4, 2025 through March 4, 2026, with the remaining portion subject to performance conditions.

SEC source: 0001213900-25-050110 · ownership.xml · derivative · entry 1

Pierce Kristen · CIK 0002039649 · Chief Development Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 154,841

Underlying: Common Stock · 154,841 shares

Expires 2035-05-29

F1 · derivative.exercise_date: The shares underlying this option shall vest in equal monthly installments through June 4, 2027.

SEC source: 0001213900-25-050121 · ownership.xml · derivative · entry 1

Patel Shami · CIK 0001378251 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 11,693

Underlying: Common Stock · 11,693 shares

Expires 2035-05-29

F1 · shares: Represents the 1/3 time-based portion of an award of options to purchase 35,079 shares, vesting in equal monthly installments on the 4th of each month from July 4, 2025 through March 4, 2026, with the remaining portion subject to performance conditions.

F1 · derivative.exercise_date: Represents the 1/3 time-based portion of an award of options to purchase 35,079 shares, vesting in equal monthly installments on the 4th of each month from July 4, 2025 through March 4, 2026, with the remaining portion subject to performance conditions.

SEC source: 0001213900-25-050116 · ownership.xml · derivative · entry 1

Ehrlich Christopher B · CIK 0001293973 · Director · Chairman and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 61,842

Underlying: Common Stock · 61,842 shares

Expires 2035-05-29

F1 · shares: Represents the 1/3 time-based portion of an award of options to purchase 185,529 shares, vesting in equal monthly installments on the 4th of each month from July 4, 2025 through December 4, 2025, with the remaining portion subject to performance conditions.

F1 · derivative.exercise_date: Represents the 1/3 time-based portion of an award of options to purchase 185,529 shares, vesting in equal monthly installments on the 4th of each month from July 4, 2025 through December 4, 2025, with the remaining portion subject to performance conditions.

SEC source: 0001213900-25-050113 · ownership.xml · derivative · entry 1

ATWOOD BRIAN G · CIK 0001266567 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 122,549

Underlying: Common Stock · 122,549 shares

Expires 2035-05-29

F1 · derivative.exercise_date: The shares underlying this option shall vest in equal monthly installments through May 30, 2027.

SEC source: 0001213900-25-050128 · ownership.xml · derivative · entry 1

Byrnes Michael · CIK 0001619893 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 9,326

Underlying: Common Stock · 9,326 shares

Expires 2035-05-29

F1 · shares: Represents the 1/3 time-based portion of an award of options to purchase 27,979 shares, vesting in equal monthly installments on the 4th of each month from July 4, 2025 through March 4, 2026, with the remaining portion subject to performance conditions.

F1 · derivative.exercise_date: Represents the 1/3 time-based portion of an award of options to purchase 27,979 shares, vesting in equal monthly installments on the 4th of each month from July 4, 2025 through March 4, 2026, with the remaining portion subject to performance conditions.

SEC source: 0001213900-25-050123 · ownership.xml · derivative · entry 1

Rolfe Lindsey · CIK 0001650504 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 9,326

Underlying: Common Stock · 9,326 shares

Expires 2035-05-29

F1 · shares: Represents the 1/3 time-based portion of an award of options to purchase 27,979 shares, vesting in equal monthly installments on the 4th of each month from July 4, 2025 through March 4, 2026, with the remaining portion subject to performance conditions.

F1 · derivative.exercise_date: Represents the 1/3 time-based portion of an award of options to purchase 27,979 shares, vesting in equal monthly installments on the 4th of each month from July 4, 2025 through March 4, 2026, with the remaining portion subject to performance conditions.

SEC source: 0001213900-25-050105 · ownership.xml · derivative · entry 1

KUCHARCHUK ANDREW ALBERT · CIK 0001654127 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 152,500

Underlying: Common Stock · 152,500 shares

Expires 2035-05-29

F1 · derivative.exercise_date: The shares underlying this option shall vest in equal monthly installments through June 4, 2027.

SEC source: 0001213900-25-029111 · ownership.xml · derivative · entry 3

ATWOOD BRIAN G · CIK 0001266567 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 11,660

Underlying: Common Stock · 294,460 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.

F2 · derivative.expiration_date: The Pre-Funded Warrants are exercisable at any time on or after the date of issuance for an exercise price of $0.0001 per share, for shares of common stock of the Issuer.

SEC source: 0001213900-25-029111 · ownership.xml · nonDerivative · entry 1

ATWOOD BRIAN G · CIK 0001266567 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 490,534

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: On March 28, 2025, Mr. Atwood exercised Pre-Funded Warrants (the "Pre-Funded Warrants") and directed the issuance of the shares of common stock of CERo Therapeutics Holdings, Inc. (the "Issuer") to the Atwood-Edminster Trust dtd 4-2-2000 (the "Trust"). Mr. Atwood and his wife are the managers of the LLC and the trustees of the Trust. Accordingly, Mr. Atwood may be deemed to have beneficial ownership of the securities held directly by the LLC..

SEC source: 0001213900-25-021192 · ownership.xml · derivative · entry 1

LAPORTE KATHLEEN · CIK 0001196201 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 17,923

Underlying: Common Stock · 17,923 shares

Expires 2035-03-03

F1 · shares: Represents the 50% time-based portion of an award of options to purchase 35,846 shares, vesting on the twelve month anniversary of the grant date, with the remaining portion subject to performance conditions.

F1 · derivative.exercise_date: Represents the 50% time-based portion of an award of options to purchase 35,846 shares, vesting on the twelve month anniversary of the grant date, with the remaining portion subject to performance conditions.

SEC source: 0001213900-25-021187 · ownership.xml · derivative · entry 1

Patel Shami · CIK 0001378251 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 14,936

Underlying: Common Stock · 14,936 shares

Expires 2035-03-03

F1 · shares: Represents the 50% time-based portion of an award of options to purchase 29,871 shares, vesting on the twelve month anniversary of the grant date, with the remaining portion subject to performance conditions.

F1 · derivative.exercise_date: Represents the 50% time-based portion of an award of options to purchase 29,871 shares, vesting on the twelve month anniversary of the grant date, with the remaining portion subject to performance conditions.

SEC source: 0001213900-25-021180 · ownership.xml · derivative · entry 1

Ehrlich Christopher B · CIK 0001293973 · Director · Chairman and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 119,486

Underlying: Common Stock · 119,486 shares

Expires 2035-03-03

F1 · shares: Represents the 50% time-based portion of an award of options to purchase 238,971 shares, vesting on the nine month anniversary of the grant date, with the remaining portion subject to performance conditions.

F1 · derivative.exercise_date: Represents the 50% time-based portion of an award of options to purchase 238,971 shares, vesting on the nine month anniversary of the grant date, with the remaining portion subject to performance conditions.

SEC source: 0001213900-25-021183 · ownership.xml · derivative · entry 1

ATWOOD BRIAN G · CIK 0001266567 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 14,936

Underlying: Common Stock · 14,936 shares

Expires 2035-03-03

F1 · shares: Represents the 50% time-based portion of an award of options to purchase 29,871 shares, vesting on the twelve month anniversary of the grant date, with the remaining portion subject to performance conditions.

F1 · derivative.exercise_date: Represents the 50% time-based portion of an award of options to purchase 29,871 shares, vesting on the twelve month anniversary of the grant date, with the remaining portion subject to performance conditions.

SEC source: 0001213900-25-021188 · ownership.xml · derivative · entry 1

Byrnes Michael · CIK 0001619893 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 17,923

Underlying: Common Stock · 17,923 shares

Expires 2035-03-03

F1 · shares: Represents the 50% time-based portion of an award of options to purchase 35,846 shares, vesting on the twelve month anniversary of the grant date, with the remaining portion subject to performance conditions.

F1 · derivative.exercise_date: Represents the 50% time-based portion of an award of options to purchase 35,846 shares, vesting on the twelve month anniversary of the grant date, with the remaining portion subject to performance conditions.

SEC source: 0001213900-25-021190 · ownership.xml · derivative · entry 1

Rolfe Lindsey · CIK 0001650504 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 17,923

Underlying: Common Stock · 17,923 shares

Expires 2035-03-03

F1 · shares: Represents the 50% time-based portion of an award of options to purchase 35,846 shares, vesting on the twelve month anniversary of the grant date, with the remaining portion subject to performance conditions.

F1 · derivative.exercise_date: Represents the 50% time-based portion of an award of options to purchase 35,846 shares, vesting on the twelve month anniversary of the grant date, with the remaining portion subject to performance conditions.

SEC source: 0001213900-25-017518 · ownership.xml · derivative · entry 1

LAPORTE KATHLEEN · CIK 0001196201 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 255,000

Underlying: Common Stock · 127,500 shares

Expires 2034-09-30

F1 · derivative.exercise_date: On October 1, 2024, the Reporting Person was granted an option to purchase 255,000 shares of Common Stock, which vest in two equal installments subject to the satisfaction of certain performance criteria. On February 24, 2025, the Issuer's Board of Directors confirmed that the performance criteria had been met with regards to the second installment, resulting in the vesting of 127,500 shares.

SEC source: 0001213900-25-017521 · ownership.xml · derivative · entry 1

Patel Shami · CIK 0001378251 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 255,000

Underlying: Common Stock · 127,500 shares

Expires 2034-10-10

F1 · derivative.exercise_date: On October 11, 2024, the Reporting Person was granted an option to purchase 255,000 shares of Common Stock, which vest in two equal installments subject to the satisfaction of certain performance criteria. On February 24, 2025, the Issuer's Board of Directors confirmed that the performance criteria had been met with regards to the second installment, resulting in the vesting of 127,500 shares.

SEC source: 0001213900-25-017515 · ownership.xml · derivative · entry 1

Ehrlich Christopher B · CIK 0001293973 · Director · Chairman and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,550,000

Underlying: Common Stock · 1,275,000 shares

Expires 2034-09-30

F1 · derivative.exercise_date: On October 1, 2024, the Reporting Person was granted an option to purchase 2,550,000 shares of Common Stock, which vest in two equal installments subject to the satisfaction of certain performance criteria. On February 24, 2025, the Issuer's Board of Directors confirmed that the performance criteria had been met with regards to the second installment, resulting in the vesting of 1,275,000 shares.

SEC source: 0001213900-25-017505 · ownership.xml · derivative · entry 1

ATWOOD BRIAN G · CIK 0001266567 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 508,000

Underlying: Common Stock · 254,000 shares

Expires 2034-09-30

F1 · derivative.exercise_date: On October 1, 2024, the Reporting Person was granted an option to purchase 508,000 shares of Common Stock, which vest in two equal installments subject to the satisfaction of certain performance criteria. On February 24, 2025, the Issuer's Board of Directors confirmed that the performance criteria had been met with regards to the second installment, resulting in the vesting of 254,000 shares.

SEC source: 0001213900-25-017510 · ownership.xml · derivative · entry 1

Byrnes Michael · CIK 0001619893 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 255,000

Underlying: Common Stock · 127,500 shares

Expires 2034-09-30

F1 · derivative.exercise_date: On October 1, 2024, the Reporting Person was granted an option to purchase 255,000 shares of Common Stock, which vest in two equal installments subject to the satisfaction of certain performance criteria. On February 24, 2025, the Issuer's Board of Directors confirmed that the performance criteria had been met with regards to the second installment, resulting in the vesting of 127,500 shares.

SEC source: 0001213900-25-017524 · ownership.xml · derivative · entry 1

Rolfe Lindsey · CIK 0001650504 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 255,000

Underlying: Common Stock · 127,500 shares

Expires 2034-09-30

F1 · derivative.exercise_date: On October 1, 2024, the Reporting Person was granted an option to purchase 255,000 shares of Common Stock, which vest in two equal installments subject to the satisfaction of certain performance criteria. On February 24, 2025, the Issuer's Board of Directors confirmed that the performance criteria had been met with regards to the second installment, resulting in the vesting of 127,500 shares.

SEC source: 0001213900-25-011409 · ownership.xml · derivative · entry 4

ATWOOD BRIAN G · CIK 0001266567 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By GVN, LLC

Disclosed balance after: 204,080

Underlying: Common Stock · 204,080 shares

Expires not disclosed

F1 · derivative.exercise_date: On February 7, 2025, pursuant to a Securities Purchase Agreement, dated February 5, 2025, the reporting persons purchased Pre-Funded Warrants, which are exercisable at any time on or after the date of issuance for an exercise price of $0.0001 per share, for shares of common stock of CERo Therapeutics Holdings, Inc. (the "Issuer"), and an equal number of Warrants, which will become exercisable immediately upon the Issuer's receipt of stockholder approval (the "Stockholder Approval Date") for an exercise price of $1.96 per share, for shares of the Issuer's common stock. The aggregate purchase price for each pair of Pre-Funded Warrants and Warrants was $1.9599. The Warrants will expire on the fifth anniversary of the Stockholder Approval Date.

F1 · derivative.expiration_date: On February 7, 2025, pursuant to a Securities Purchase Agreement, dated February 5, 2025, the reporting persons purchased Pre-Funded Warrants, which are exercisable at any time on or after the date of issuance for an exercise price of $0.0001 per share, for shares of common stock of CERo Therapeutics Holdings, Inc. (the "Issuer"), and an equal number of Warrants, which will become exercisable immediately upon the Issuer's receipt of stockholder approval (the "Stockholder Approval Date") for an exercise price of $1.96 per share, for shares of the Issuer's common stock. The aggregate purchase price for each pair of Pre-Funded Warrants and Warrants was $1.9599. The Warrants will expire on the fifth anniversary of the Stockholder Approval Date.

F2 · ownership.nature: GVN, LLC (the "LLC") is a limited liability company of which the sole member is the Atwood-Edminster Trust dtd 4-2-2000 (the "Trust"). Mr. Atwood and his wife are the managers of the LLC and the trustees of the Trust. Accordingly, Mr. Atwood may be deemed to have beneficial ownership of the securities held directly by the LLC.

SEC source: 0001213900-25-011409 · ownership.xml · derivative · entry 3

ATWOOD BRIAN G · CIK 0001266567 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 306,120

Underlying: Common Stock · 306,120 shares

Expires not disclosed

F1 · derivative.exercise_date: On February 7, 2025, pursuant to a Securities Purchase Agreement, dated February 5, 2025, the reporting persons purchased Pre-Funded Warrants, which are exercisable at any time on or after the date of issuance for an exercise price of $0.0001 per share, for shares of common stock of CERo Therapeutics Holdings, Inc. (the "Issuer"), and an equal number of Warrants, which will become exercisable immediately upon the Issuer's receipt of stockholder approval (the "Stockholder Approval Date") for an exercise price of $1.96 per share, for shares of the Issuer's common stock. The aggregate purchase price for each pair of Pre-Funded Warrants and Warrants was $1.9599. The Warrants will expire on the fifth anniversary of the Stockholder Approval Date.

F1 · derivative.expiration_date: On February 7, 2025, pursuant to a Securities Purchase Agreement, dated February 5, 2025, the reporting persons purchased Pre-Funded Warrants, which are exercisable at any time on or after the date of issuance for an exercise price of $0.0001 per share, for shares of common stock of CERo Therapeutics Holdings, Inc. (the "Issuer"), and an equal number of Warrants, which will become exercisable immediately upon the Issuer's receipt of stockholder approval (the "Stockholder Approval Date") for an exercise price of $1.96 per share, for shares of the Issuer's common stock. The aggregate purchase price for each pair of Pre-Funded Warrants and Warrants was $1.9599. The Warrants will expire on the fifth anniversary of the Stockholder Approval Date.

SEC source: 0001213900-25-011409 · ownership.xml · derivative · entry 2

ATWOOD BRIAN G · CIK 0001266567 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By GVN, LLC

Disclosed balance after: 204,080

Underlying: Common Stock · 204,080 shares

Expires not disclosed

F1 · derivative.expiration_date: On February 7, 2025, pursuant to a Securities Purchase Agreement, dated February 5, 2025, the reporting persons purchased Pre-Funded Warrants, which are exercisable at any time on or after the date of issuance for an exercise price of $0.0001 per share, for shares of common stock of CERo Therapeutics Holdings, Inc. (the "Issuer"), and an equal number of Warrants, which will become exercisable immediately upon the Issuer's receipt of stockholder approval (the "Stockholder Approval Date") for an exercise price of $1.96 per share, for shares of the Issuer's common stock. The aggregate purchase price for each pair of Pre-Funded Warrants and Warrants was $1.9599. The Warrants will expire on the fifth anniversary of the Stockholder Approval Date.

F2 · ownership.nature: GVN, LLC (the "LLC") is a limited liability company of which the sole member is the Atwood-Edminster Trust dtd 4-2-2000 (the "Trust"). Mr. Atwood and his wife are the managers of the LLC and the trustees of the Trust. Accordingly, Mr. Atwood may be deemed to have beneficial ownership of the securities held directly by the LLC.

SEC source: 0001213900-25-011409 · ownership.xml · derivative · entry 1

ATWOOD BRIAN G · CIK 0001266567 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 306,120

Underlying: Common Stock · 306,120 shares

Expires not disclosed

F1 · derivative.expiration_date: On February 7, 2025, pursuant to a Securities Purchase Agreement, dated February 5, 2025, the reporting persons purchased Pre-Funded Warrants, which are exercisable at any time on or after the date of issuance for an exercise price of $0.0001 per share, for shares of common stock of CERo Therapeutics Holdings, Inc. (the "Issuer"), and an equal number of Warrants, which will become exercisable immediately upon the Issuer's receipt of stockholder approval (the "Stockholder Approval Date") for an exercise price of $1.96 per share, for shares of the Issuer's common stock. The aggregate purchase price for each pair of Pre-Funded Warrants and Warrants was $1.9599. The Warrants will expire on the fifth anniversary of the Stockholder Approval Date.

SEC source: 0001415889-24-029371 · form4-12132024_111210.xml · nonDerivative · entry 3

YK Bioventures Opportunities GP I, LLC · CIK 0002042634 · 10% owner

YK Bioventures Opportunities Fund I, L.P. · CIK 0002042636 · 10% owner

Kossar Mitchell William · CIK 0002042691 · 10% owner

Yeung Gary Kahing · CIK 0002042700 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · By YK Bioventures Opportunities Fund I, L.P.

Disclosed balance after: 13,005,169

F1 · ownership.nature: Securities are held directly by YK Bioventures Opportunities Fund I, L.P. (f/k/a YK Bioventures, LLC) ("YK Opps I"). YK Bioventures Opportunities GP I, LLC ("YK Opps I GP") is the general partner of YK Opps I and may be deemed to beneficially own the shares held by YK Opps I. Mitchell W. Kossar and Gary K. Yeung are managing partners of YK Opps I GP, and may be deemed to share voting and investment power over the shares held by YK Opps I. Each of YK Opps I GP and Messrs. Kossar and Yeung disclaims beneficial ownership of these shares except to the extent of its or his respective pecuniary interest therein.

SEC source: 0001415889-24-029371 · form4-12132024_111210.xml · nonDerivative · entry 2

YK Bioventures Opportunities GP I, LLC · CIK 0002042634 · 10% owner

YK Bioventures Opportunities Fund I, L.P. · CIK 0002042636 · 10% owner

Kossar Mitchell William · CIK 0002042691 · 10% owner

Yeung Gary Kahing · CIK 0002042700 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · By YK Bioventures Opportunities Fund I, L.P.

Disclosed balance after: 16,004,077

F1 · ownership.nature: Securities are held directly by YK Bioventures Opportunities Fund I, L.P. (f/k/a YK Bioventures, LLC) ("YK Opps I"). YK Bioventures Opportunities GP I, LLC ("YK Opps I GP") is the general partner of YK Opps I and may be deemed to beneficially own the shares held by YK Opps I. Mitchell W. Kossar and Gary K. Yeung are managing partners of YK Opps I GP, and may be deemed to share voting and investment power over the shares held by YK Opps I. Each of YK Opps I GP and Messrs. Kossar and Yeung disclaims beneficial ownership of these shares except to the extent of its or his respective pecuniary interest therein.

SEC source: 0001415889-24-029371 · form4-12132024_111210.xml · nonDerivative · entry 1

YK Bioventures Opportunities GP I, LLC · CIK 0002042634 · 10% owner

YK Bioventures Opportunities Fund I, L.P. · CIK 0002042636 · 10% owner

Kossar Mitchell William · CIK 0002042691 · 10% owner

Yeung Gary Kahing · CIK 0002042700 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · By YK Bioventures Opportunities Fund I, L.P.

Disclosed balance after: 17,618,618

F1 · ownership.nature: Securities are held directly by YK Bioventures Opportunities Fund I, L.P. (f/k/a YK Bioventures, LLC) ("YK Opps I"). YK Bioventures Opportunities GP I, LLC ("YK Opps I GP") is the general partner of YK Opps I and may be deemed to beneficially own the shares held by YK Opps I. Mitchell W. Kossar and Gary K. Yeung are managing partners of YK Opps I GP, and may be deemed to share voting and investment power over the shares held by YK Opps I. Each of YK Opps I GP and Messrs. Kossar and Yeung disclaims beneficial ownership of these shares except to the extent of its or his respective pecuniary interest therein.

SEC source: 0001415889-24-028899 · form4-12112024_011219.xml · nonDerivative · entry 3

YK Bioventures Opportunities GP I, LLC · CIK 0002042634 · 10% owner

YK Bioventures Opportunities Fund I, L.P. · CIK 0002042636 · 10% owner

Kossar Mitchell William · CIK 0002042691 · 10% owner

Yeung Gary Kahing · CIK 0002042700 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · By YK Bioventures Opportunities Fund I, L.P.

Disclosed balance after: 18,962,419

F1 · ownership.nature: Securities are held directly by YK Bioventures Opportunities Fund I, L.P. (f/k/a YK Bioventures, LLC) ("YK Opps I"). YK Bioventures Opportunities GP I, LLC ("YK Opps I GP") is the general partner of YK Opps I and may be deemed to beneficially own the shares held by YK Opps I. Mitchell W. Kossar and Gary K. Yeung are managing partners of YK Opps I GP, and may be deemed to share voting and investment power over the shares held by YK Opps I. Each of YK Opps I GP and Messrs. Kossar and Yeung disclaims beneficial ownership of these shares except to the extent of its or his respective pecuniary interest therein.

SEC source: 0001415889-24-028899 · form4-12112024_011219.xml · nonDerivative · entry 2

YK Bioventures Opportunities GP I, LLC · CIK 0002042634 · 10% owner

YK Bioventures Opportunities Fund I, L.P. · CIK 0002042636 · 10% owner

Kossar Mitchell William · CIK 0002042691 · 10% owner

Yeung Gary Kahing · CIK 0002042700 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · By YK Bioventures Opportunities Fund I, L.P.

Disclosed balance after: 20,533,366

F1 · ownership.nature: Securities are held directly by YK Bioventures Opportunities Fund I, L.P. (f/k/a YK Bioventures, LLC) ("YK Opps I"). YK Bioventures Opportunities GP I, LLC ("YK Opps I GP") is the general partner of YK Opps I and may be deemed to beneficially own the shares held by YK Opps I. Mitchell W. Kossar and Gary K. Yeung are managing partners of YK Opps I GP, and may be deemed to share voting and investment power over the shares held by YK Opps I. Each of YK Opps I GP and Messrs. Kossar and Yeung disclaims beneficial ownership of these shares except to the extent of its or his respective pecuniary interest therein.

SEC source: 0001415889-24-028899 · form4-12112024_011219.xml · nonDerivative · entry 1

YK Bioventures Opportunities GP I, LLC · CIK 0002042634 · 10% owner

YK Bioventures Opportunities Fund I, L.P. · CIK 0002042636 · 10% owner

Kossar Mitchell William · CIK 0002042691 · 10% owner

Yeung Gary Kahing · CIK 0002042700 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · By YK Bioventures Opportunities Fund I, L.P.

Disclosed balance after: 21,383,909

F1 · ownership.nature: Securities are held directly by YK Bioventures Opportunities Fund I, L.P. (f/k/a YK Bioventures, LLC) ("YK Opps I"). YK Bioventures Opportunities GP I, LLC ("YK Opps I GP") is the general partner of YK Opps I and may be deemed to beneficially own the shares held by YK Opps I. Mitchell W. Kossar and Gary K. Yeung are managing partners of YK Opps I GP, and may be deemed to share voting and investment power over the shares held by YK Opps I. Each of YK Opps I GP and Messrs. Kossar and Yeung disclaims beneficial ownership of these shares except to the extent of its or his respective pecuniary interest therein.

SEC source: 0001213900-24-105728 · ownership.xml · derivative · entry 1

LAPORTE KATHLEEN · CIK 0001196201 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 127,500

Underlying: Common Stock · 127,500 shares

Expires 2034-09-30

F1 · derivative.exercise_date: On October 1, 2024, the Reporting Person was granted an option to purchase 255,000 shares of Common Stock, which vest in two equal installments subject to the satisfaction of certain performance criteria. On December 2, 2024, the Issuer's Board of Directors confirmed that the performance criteria had been met with regards to one installment, resulting in the vesting of 127,500 shares.

SEC source: 0001213900-24-105725 · ownership.xml · derivative · entry 1

Patel Shami · CIK 0001378251 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 127,500

Underlying: Common Stock · 127,500 shares

Expires 2034-10-10

F1 · derivative.exercise_date: On October 11, 2024, the Reporting Person was granted an option to purchase 255,000 shares of Common Stock, which vest in two equal installments subject to the satisfaction of certain performance criteria. On December 2, 2024, the Issuer's Board of Directors confirmed that the performance criteria had been met with regards to one installment, resulting in the vesting of 127,500 shares.

SEC source: 0001213900-24-105730 · ownership.xml · derivative · entry 1

Ehrlich Christopher B · CIK 0001293973 · Director · Chairman and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,275,000

Underlying: Common Stock · 1,275,000 shares

Expires 2034-09-30

F1 · derivative.exercise_date: On October 1, 2024, the Reporting Person was granted an option to purchase 2,550,000 shares of Common Stock, which vest in two equal installments subject to the satisfaction of certain performance criteria. On December 2, 2024, the Issuer's Board of Directors confirmed that the performance criteria had been met with regards to one installment, resulting in the vesting of 1,275,000 shares.

SEC source: 0001213900-24-105726 · ownership.xml · derivative · entry 1

ATWOOD BRIAN G · CIK 0001266567 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 254,000

Underlying: Common Stock · 254,000 shares

Expires 2034-09-30

F1 · derivative.exercise_date: On October 1, 2024, the Reporting Person was granted an option to purchase 508,000 shares of Common Stock, which vest in two equal installments subject to the satisfaction of certain performance criteria. On December 2, 2024, the Issuer's Board of Directors confirmed that the performance criteria had been met with regards to one installment, resulting in the vesting of 254,000 shares.

SEC source: 0001213900-24-105727 · ownership.xml · derivative · entry 1

Byrnes Michael · CIK 0001619893 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 127,500

Underlying: Common Stock · 127,500 shares

Expires 2034-09-30

F1 · derivative.exercise_date: On October 1, 2024, the Reporting Person was granted an option to purchase 255,000 shares of Common Stock, which vest in two equal installments subject to the satisfaction of certain performance criteria. On December 2, 2024, the Issuer's Board of Directors confirmed that the performance criteria had been met with regards to one installment, resulting in the vesting of 127,500 shares.

SEC source: 0001213900-24-105729 · ownership.xml · derivative · entry 1

Rolfe Lindsey · CIK 0001650504 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 127,500

Underlying: Common Stock · 127,500 shares

Expires 2034-09-30

F1 · derivative.exercise_date: On October 1, 2024, the Reporting Person was granted an option to purchase 255,000 shares of Common Stock, which vest in two equal installments subject to the satisfaction of certain performance criteria. On December 2, 2024, the Issuer's Board of Directors confirmed that the performance criteria had been met with regards to one installment, resulting in the vesting of 127,500 shares.

SEC source: 0001415889-24-026908 · form4-11152024_011114.xml · nonDerivative · entry 1

YK Bioventures Opportunities GP I, LLC · CIK 0002042634 · 10% owner

YK Bioventures Opportunities Fund I, L.P. · CIK 0002042636 · 10% owner

Kossar Mitchell William · CIK 0002042691 · 10% owner

Yeung Gary Kahing · CIK 0002042700 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · By YK Bioventures Opportunities Fund I, L.P.

Disclosed balance after: 22,620,783

F1 · price: The price reported in Column 4 is a weighted average price. These securities were sold in multiple transactions at prices ranging from $0.09 to $0.10 inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of securities sold at each separate price within the range set forth in this footnote.

F2 · ownership.nature: Securities are held directly by YK Bioventures Opportunities Fund I, L.P. (f/k/a YK Bioventures, LLC) ("YK Opps I"). YK Bioventures Opportunities GP I, LLC ("YK Opps I GP") is the general partner of YK Opps I and may be deemed to beneficially own the shares held by YK Opps I. Mitchell W. Kossar and Gary K. Yeung are managing partners of YK Opps I GP, and may be deemed to share voting and investment power over the shares held by YK Opps I. Each of YK Opps I GP and Messrs. Kossar and Yeung disclaims beneficial ownership of these shares except to the extent of its or his respective pecuniary interest therein.

SEC source: 0001213900-24-084758 · ownership.xml · derivative · entry 1

Pierce Kristen · CIK 0002039649 · Chief Development Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 200,000

Underlying: Common Stock · 200,000 shares

Expires 2034-09-30

F1 · derivative.exercise_date: The shares underlying this option vest in twenty-four (24) monthly installments following the grant date, subject to the Reporting Person's continued service on each such vesting date.

SEC source: 0001213900-24-084759 · ownership.xml · derivative · entry 1

KUCHARCHUK ANDREW ALBERT · CIK 0001654127 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 500,000

Underlying: Common Stock · 500,000 shares

Expires 2034-09-30

F1 · derivative.exercise_date: The shares underlying this option vest in twelve (12) monthly installments following the grant date, subject to the Reporting Person's continued service on each such vesting date.