HIND

SEC source: 0001214659-19-005088 · marketforms-45430.xml · nonDerivative · entry 1

Plovanic William J. · CIK 0001685640 · Director · President & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,806

F1 · price: Reflects price paid to underwriters in Issuer's registered offering.

F2 · balance_after: Includes Restricted Shares that are subject to vesting.

SEC source: 0001214659-19-005087 · marketforms-45432.xml · derivative · entry 2

VandenBerg Amy · CIK 0001685638 · Chief Clinical & Reg Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,875

Underlying: Common Stock · 1,875 shares

Expires 2024-08-06

SEC source: 0001214659-19-005087 · marketforms-45432.xml · nonDerivative · entry 1

VandenBerg Amy · CIK 0001685638 · Chief Clinical & Reg Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,764

F1 · price: Reflects price paid to underwriters in Issuer's registered offering.

F2 · balance_after: Includes Restricted Shares that are subject to vesting.

SEC source: 0001214659-19-005085 · marketforms-45434.xml · derivative · entry 4

Stevenson Sharon · CIK 0001683904 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,625

Underlying: Common Stock · 5,625 shares

Expires 2024-08-06

SEC source: 0001214659-19-005085 · marketforms-45434.xml · nonDerivative · entry 1

Stevenson Sharon · CIK 0001683904 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,061

F1 · price: Reflects price paid to underwriters in Issuer's registered offering.

F2 · balance_after: Includes Restricted Shares that are subject to vesting.

SEC source: 0001214659-19-005092 · marketforms-45427.xml · derivative · entry 2

Brister Mark · CIK 0001323223 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,750

Underlying: Common Stock · 3,750 shares

Expires 2024-08-06

SEC source: 0001214659-19-005092 · marketforms-45427.xml · nonDerivative · entry 1

Brister Mark · CIK 0001323223 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,865

F1 · price: Reflects price paid to underwriters in Issuer's registered offering.

F2 · balance_after: Includes Restricted Shares that are subject to vesting.

SEC source: 0000899243-19-021334 · doc4.xml · derivative · entry 2

INTERWEST PARTNERS X LP · CIK 0001443898 · 10% owner

InterWest Management Partners X, LLC · CIK 0001460207 · 10% owner

Kliman Gilbert H · CIK 0001293171 · 10% owner

ORONSKY ARNOLD L · CIK 0001207833 · 10% owner

Desai Keval · CIK 0001553019 · 10% owner

NASR KHALED · CIK 0001276600 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,750

Underlying: COMMON · 18,750 shares

Expires 2024-08-05

F1 · shares: The reporting persons purchased these shares directly from the underwriter in the Issuer's registered offering of Common Stock with 75% warrant coverage at a price of $4.00 per unit. There was no additional consideration paid for the warrants.

F1 · price: The reporting persons purchased these shares directly from the underwriter in the Issuer's registered offering of Common Stock with 75% warrant coverage at a price of $4.00 per unit. There was no additional consideration paid for the warrants.

F2 · balance_after: These securities are held of record by InterWest Partners X, L.P. ("IW10"). InterWest Management Partners X, LLC ("IMP10") is the general partner of IW10 and has sole voting and investment control over the shares owned by IW10. Gilbert H. Kliman, and Arnold L. Oronsky are Managing Directors of IMP10 and, Keval Desai and Khaled A. Nasr, and are Venture Members of IMP10. Douglas Fisher, a Member of IMP10 is also a Director of the Issuer, and when required, files a separate Form 4 in his own name. All Reporting Persons disclaim beneficial ownership of shares of Obalon Therapeutics, Inc. stock held by IW10, except to the extent of their respective pecuniary interest therein. The filing of this statement shall not be deemed an admission that, for purposes of Section 16 of the Securities Exchange Act of 1944, or otherwise, any of the Reporting Persons are the beneficial owner of all of the equity securities covered by this statement.

SEC source: 0000899243-19-021334 · doc4.xml · nonDerivative · entry 1

INTERWEST PARTNERS X LP · CIK 0001443898 · 10% owner

InterWest Management Partners X, LLC · CIK 0001460207 · 10% owner

Kliman Gilbert H · CIK 0001293171 · 10% owner

ORONSKY ARNOLD L · CIK 0001207833 · 10% owner

Desai Keval · CIK 0001553019 · 10% owner

NASR KHALED · CIK 0001276600 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 380,224

F1 · shares: The reporting persons purchased these shares directly from the underwriter in the Issuer's registered offering of Common Stock with 75% warrant coverage at a price of $4.00 per unit. There was no additional consideration paid for the warrants.

F1 · price: The reporting persons purchased these shares directly from the underwriter in the Issuer's registered offering of Common Stock with 75% warrant coverage at a price of $4.00 per unit. There was no additional consideration paid for the warrants.

F2 · balance_after: These securities are held of record by InterWest Partners X, L.P. ("IW10"). InterWest Management Partners X, LLC ("IMP10") is the general partner of IW10 and has sole voting and investment control over the shares owned by IW10. Gilbert H. Kliman, and Arnold L. Oronsky are Managing Directors of IMP10 and, Keval Desai and Khaled A. Nasr, and are Venture Members of IMP10. Douglas Fisher, a Member of IMP10 is also a Director of the Issuer, and when required, files a separate Form 4 in his own name. All Reporting Persons disclaim beneficial ownership of shares of Obalon Therapeutics, Inc. stock held by IW10, except to the extent of their respective pecuniary interest therein. The filing of this statement shall not be deemed an admission that, for purposes of Section 16 of the Securities Exchange Act of 1944, or otherwise, any of the Reporting Persons are the beneficial owner of all of the equity securities covered by this statement.

SEC source: 0001214659-19-005089 · marketforms-45431.xml · derivative · entry 2

Rasdal Andrew P · CIK 0001323238 · Director · Exec Chairman of the Board

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,375

Underlying: Common Stock · 9,375 shares

Expires 2024-08-06

SEC source: 0001214659-19-005089 · marketforms-45431.xml · nonDerivative · entry 1

Rasdal Andrew P · CIK 0001323238 · Director · Exec Chairman of the Board

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 77,892

F1 · price: Reflects price paid to underwriters in Issuer's registered offering.

F2 · balance_after: Includes Restricted Shares that are subject to vesting.

SEC source: 0000904454-19-000602 · edgar.xml · derivative · entry 2

Kamdar Kim P. · CIK 0001535065 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,375

Underlying: Common Stock · 9,375 shares

Expires 2024-08-06

F1 · price: The reported securities were purchased as Units, each Unit consisting of one share of Common Stock and a Warrant to purchase 0.75 of one share of Common Stock, at a purchase price of $4.00 per Unit.

SEC source: 0000904454-19-000602 · edgar.xml · nonDerivative · entry 1

Kamdar Kim P. · CIK 0001535065 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,148

F1 · price: The reported securities were purchased as Units, each Unit consisting of one share of Common Stock and a Warrant to purchase 0.75 of one share of Common Stock, at a purchase price of $4.00 per Unit.

F2 · balance_after: The reported ownership reflects the one-for-ten reverse split of the Common Stock effected on July 24, 2019

F3 · ownership.direct: Includes 1,340 shares held jointly with the Reporting Person's mother. The Reporting Person disclaims beneficial ownership of such shares except to the extent of her pecuniary interest, if any, therein.

SEC source: 0001214659-19-005091 · marketforms-45429.xml · derivative · entry 2

MacDonald Robert J · CIK 0001778547 · Chief Retail Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,750

Underlying: Common Stock · 3,750 shares

Expires 2024-08-06

SEC source: 0001214659-19-005091 · marketforms-45429.xml · nonDerivative · entry 1

MacDonald Robert J · CIK 0001778547 · Chief Retail Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,245

F1 · price: Reflects price paid to underwriters in Issuer's registered offering.

SEC source: 0001214659-19-005086 · marketforms-45433.xml · derivative · entry 2

HOWE LESLEY H · CIK 0001222606 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,687

Underlying: Common Stock · 4,687 shares

Expires 2024-08-06

SEC source: 0001214659-19-005086 · marketforms-45433.xml · nonDerivative · entry 1

HOWE LESLEY H · CIK 0001222606 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,397

F1 · price: Reflects price paid to underwriters in Issuer's registered offering.

F2 · balance_after: Includes Restricted Shares that are subject to vesting.

SEC source: 0001214659-19-004749 · marketforms-45371.xml · derivative · entry 1

Hussainy Nooshin · CIK 0001685634 · VP of Finance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,000

Underlying: Common Stock · 35,000 shares

Expires 2029-07-23

F1 · derivative.exercise_date: Subject to the grantee's continued status as a service provider with the Issuer through the applicable vesting date, the option shall vest as to 100% of the shares underlying the option on the day following the filing date of the Company's Annual Report on Form 10-K for the fiscal year ended December 31, 2019, based on the achievement of performance goals on or prior to December 31, 2019.

F2 · derivative.underlying_shares: Share amounts do not reflect the impact of a 1-for-10 reverse stock split that became effective after the grant date for the options referenced herein.

SEC source: 0001214659-19-004754 · marketforms-45368.xml · derivative · entry 1

VandenBerg Amy · CIK 0001685638 · Chief Clinical & Reg Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,000

Underlying: Common Stock · 35,000 shares

Expires 2029-07-23

F1 · derivative.exercise_date: Subject to the grantee's continued status as a service provider with the Issuer through the applicable vesting date, the option shall vest as to 100% of the shares underlying the option on the day following the filing date of the Company's Annual Report on Form 10-K for the fiscal year ended December 31, 2019, based on the achievement of performance goals on or prior to December 31, 2019.

F2 · derivative.underlying_shares: Share amounts do not reflect the impact of a 1-for-10 reverse stock split that became effective after the grant date for the options referenced herein.

SEC source: 0001214659-19-004753 · marketforms-45370.xml · derivative · entry 1

Plovanic William J. · CIK 0001685640 · Director · President & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 300,000

Underlying: Common Stock · 300,000 shares

Expires 2029-07-23

F1 · derivative.exercise_date: The option shall vest as to 1/48th of the shares underlying the option on each monthly anniversary of May 20, 2019, subject to Mr. Plovanic's continued status as a service provider with the Issuer through the applicable vesting date.

F2 · derivative.underlying_shares: Share amounts do not reflect the impact of a 1-for-10 reverse stock split that became effective after the grant date for the options referenced herein.

SEC source: 0001214659-19-004755 · marketforms-45357.xml · nonDerivative · entry 1

Stevenson Sharon · CIK 0001683904 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 105,597

F1 · shares: This award will vest in full on the earlier of (i) the one-year anniversary of the grant date or (ii) the date of the annual meeting of the Issuer's stockholders immediately following the grant date.

F2 · balance_after: Share amounts do not reflect the impact of a 1-for-10 reverse stock split that became effective after the grant date for the options referenced herein.

SEC source: 0001214659-19-004757 · marketforms-45353.xml · nonDerivative · entry 1

Fisher Douglas · CIK 0001572355 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 78,125

F1 · shares: This award will vest in full on the earlier of (i) the one-year anniversary of the grant date or (ii) the date of the annual meeting of the Issuer's stockholders immediately following the grant date.

F2 · balance_after: Share amounts do not reflect the impact of a 1-for-10 reverse stock split that became effective after the grant date for the options referenced herein.

SEC source: 0001214659-19-004759 · marketforms-45356.xml · nonDerivative · entry 1

MOATAZEDI DAVID · CIK 0001700836 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 83,619

F1 · shares: This award will vest in full on the earlier of (i) the one-year anniversary of the grant date or (ii) the date of the annual meeting of the Issuer's stockholders immediately following the grant date.

F2 · balance_after: Share amounts do not reflect the impact of a 1-for-10 reverse stock split that became effective after the grant date for the options referenced herein.

SEC source: 0001214659-19-004758 · marketforms-45354.xml · nonDerivative · entry 1

HOWE LESLEY H · CIK 0001222606 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 131,459

F1 · shares: This award will vest in full on the earlier of (i) the one-year anniversary of the grant date or (ii) the date of the annual meeting of the Issuer's stockholders immediately following the grant date.

F2 · balance_after: Share amounts do not reflect the impact of a 1-for-10 reverse stock split that became effective after the grant date for the options referenced herein.

SEC source: 0001214659-19-004756 · marketforms-45352.xml · nonDerivative · entry 1

DITTAMORE RAYMOND V · CIK 0001203772 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 105,597

F1 · shares: This award will vest in full on the earlier of (i) the one-year anniversary of the grant date or (ii) the date of the annual meeting of the Issuer's stockholders immediately following the grant date.

F2 · balance_after: Share amounts do not reflect the impact of a 1-for-10 reverse stock split that became effective after the grant date for the options referenced herein.

SEC source: 0001214659-19-004750 · marketforms-45362.xml · derivative · entry 1

Brister Mark · CIK 0001323223 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,000

Underlying: Common Stock · 35,000 shares

Expires 2029-07-23

F1 · derivative.exercise_date: Subject to the grantee's continued status as a service provider with the Issuer through the applicable vesting date, the option shall vest as to 100% of the shares underlying the option on the day following the filing date of the Company's Annual Report on Form 10-K for the fiscal year ended December 31, 2019, based on the achievement of performance goals on or prior to December 31, 2019.

F2 · derivative.underlying_shares: Share amounts do not reflect the impact of a 1-for-10 reverse stock split that became effective after the grant date for the options referenced herein.

SEC source: 0001214659-19-004751 · marketforms-45369.xml · derivative · entry 1

MacDonald Robert J · CIK 0001778547 · Chief Retail Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,000

Underlying: Common Stock · 35,000 shares

Expires 2029-07-23

F1 · derivative.exercise_date: Subject to the grantee's continued status as a service provider with the Issuer through the applicable vesting date, the option shall vest as to 100% of the shares underlying the option on the day following the filing date of the Company's Annual Report on Form 10-K for the fiscal year ended December 31, 2019, based on the achievement of performance goals on or prior to December 31, 2019.

F2 · derivative.underlying_shares: Share amounts do not reflect the impact of a 1-for-10 reverse stock split that became effective after the grant date for the options referenced herein.

SEC source: 0000904454-19-000580 · edgar.xml · nonDerivative · entry 1

Kamdar Kim P. · CIK 0001535065 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 146,470

F1 · shares: Represents restricted stock units that will vest in full on the earlier of (i) the first anniversary of the date of grant or (ii) the date of the Issuer's annual meeting of stockholders immediately following the date of grant, subject to the Reporting Person's continued service through the applicable date.

F2 · ownership.direct: Includes 13,400 shares held jointly with the Reporting Person's mother. The Reporting Person disclaims beneficial ownership of such shares except to the extent of her pecuniary interest, if any, therein.

F3 · ownership.direct: Share amounts do not reflect the 1-for-10 reverse stock split that became effective after the grant date of the RSUs reported herein.

SEC source: 0001214659-19-004035 · marketforms-45171.xml · derivative · entry 1

MacDonald Robert J · CIK 0001778547 · Chief Retail Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 200,000

Underlying: Common Stock · 200,000 shares

Expires 2029-05-30

F1 · derivative.exercise_date: The Option shall vest and become exercisable as to one-fourth of the shares underlying the Stock Option on the first anniversary of May 30, 2019 and as to 1/48th of the shares underlying the Stock Option on each monthly anniversary of such commencement date thereafter, subject to Mr. MacDonald's continued employment with the Issuer through the applicable vesting dates.

SEC source: 0001214659-19-000148 · marketforms-43647.xml · derivative · entry 1

Drake Neil · CIK 0001698005 · VP Research and Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,000

Underlying: Common Stock · 35,000 shares

Expires 2029-01-02

F1 · derivative.exercise_date: The Option shall vest as to 1/48th of the Shares underlying the Option on each monthly anniversary of the Grant Date, subject to the grantee's continued status as a Service Provider with the Company through the applicable vesting date.

SEC source: 0001214659-19-000153 · marketforms-43646.xml · derivative · entry 1

Young Donald R · CIK 0001686152 · VP of Quality Assurance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,000

Underlying: Common Stock · 35,000 shares

Expires 2029-01-02

F1 · derivative.exercise_date: The Option shall vest as to 1/48th of the Shares underlying the Option on each monthly anniversary of the Grant Date, subject to the grantee's continued status as a Service Provider with the Company through the applicable vesting date.

SEC source: 0001214659-19-000152 · marketforms-43645.xml · derivative · entry 1

Hussainy Nooshin · CIK 0001685634 · VP of Finance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2029-01-02

F1 · derivative.exercise_date: The Option shall vest as to 1/48th of the Shares underlying the Option on each monthly anniversary of the Grant Date, subject to the grantee's continued status as a Service Provider with the Company through the applicable vesting date.

SEC source: 0001214659-19-000150 · marketforms-43640.xml · derivative · entry 1

Plovanic William J. · CIK 0001685640 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2029-01-02

F1 · derivative.exercise_date: The Option shall vest as to 1/48th of the Shares underlying the Option on each monthly anniversary of the Grant Date, subject to the grantee's continued status as a Service Provider with the Company through the applicable vesting date.

SEC source: 0001214659-19-000151 · marketforms-43643.xml · derivative · entry 1

VandenBerg Amy · CIK 0001685638 · Chief Clinical & Reg Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2029-01-02

F1 · derivative.exercise_date: The Option shall vest as to 1/48th of the Shares underlying the Option on each monthly anniversary of the Grant Date, subject to the grantee's continued status as a Service Provider with the Company through the applicable vesting date.

SEC source: 0001214659-19-000154 · marketforms-43642.xml · derivative · entry 1

Brister Mark · CIK 0001323223 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2029-01-02

F1 · derivative.exercise_date: The Option shall vest as to 1/48th of the Shares underlying the Option on each monthly anniversary of the Grant Date, subject to the grantee's continued status as a Service Provider with the Company through the applicable vesting date.

SEC source: 0001214659-19-000149 · marketforms-43639.xml · derivative · entry 1

Huang Kelly · CIK 0001602803 · Director · Pres & Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 300,000

Underlying: Common Stock · 300,000 shares

Expires 2029-01-02

F1 · derivative.exercise_date: The Option shall vest as to 1/48th of the Shares underlying the Option on each monthly anniversary of the Grant Date, subject to the grantee's continued status as a Service Provider with the Company through the applicable vesting date.

SEC source: 0001214659-19-000147 · marketforms-43644.xml · derivative · entry 1

MONDORE ROBERT H JR · CIK 0001736056 · VP of Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,000

Underlying: Common Stock · 35,000 shares

Expires 2029-01-02

F1 · derivative.exercise_date: The Option shall vest as to one-fourth of the Shares underlying the Option on the first anniversary of Mr. Mondore's employment commencement date, and as to 1/48th of the Shares underlying the Option on each monthly anniversary of his employment commencement date thereafter, subject to continued status as a Service Provider with the Company through the applicable vesting date.

SEC source: 0001214659-19-000146 · marketforms-43637.xml · nonDerivative · entry 1

Rasdal Andrew P · CIK 0001323238 · Director · Exec Chairman of the Board

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 653,905

F1 · shares: The award will vest in full on January 2, 2020, subject to Mr. Rasdal's continued service through such date.

SEC source: 0001214659-18-006558 · marketforms-43062.xml · derivative · entry 1

SCHMIDT DAINA · CIK 0001756037 · Vice President of Marketing

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,000

Underlying: Common Stock · 60,000 shares

Expires 2028-10-08

F1 · derivative.exercise_date: The Option shall vest as to one-fourth of the Shares underlying the Option on October 8, 2019, and as to 1/48th of the Shares underlying the Option on each monthly anniversary thereafter, subject to the Reporting Person's continued status as a Service Provider with the Company through the applicable vesting date.

SEC source: 0000904454-18-000526 · edgar.xml · nonDerivative · entry 1

DOMAIN PARTERS VII L P · CIK 0001374150 · 10% owner

BLAIR JAMES C · CIK 0001024000 · 10% owner

DOVEY BRIAN H · CIK 0001207786 · 10% owner

TREU JESSE I · CIK 0001013425 · 10% owner

VITULLO NICOLE · CIK 0001196863 · 10% owner

Halak Brian K · CIK 0001354718 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,634,329

F1 · ownership.direct: The securities reported as directly beneficially owned by the designated Reporting Person may be deemed to be indirectly beneficially owned by each of the Reporting Owners listed below, each of whom is a managing member of One Palmer Square Associates VII, LLC, the sole general partner of the designated Reporting Person. Pursuant to Instruction 4(b)(iv) of Form 4, each such individual has elected to report as indirectly beneficially owned the entire number of securities owned by the designated Reporting Person, however each of them disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his or her pecuniary interest therein and/or that are not actually distributed to him or her.

F2 · ownership.direct: As managing members of One Palmer Square Associates VII, LLC, which is also the sole general partner of DP VII Associates, L.P., each Reporting Owner listed below may also be deemed to indirectly beneficially own 49,908 shares of Common Stock held by DP VII Associates, L.P.

SEC source: 0001214659-18-005745 · marketforms-42791.xml · nonDerivative · entry 1

Wood Todd Michael · CIK 0001739840 · Vice President of Sales

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,494

F1 · shares: The reporting person purchased these shares directly from the issuer in a private placement.

SEC source: 0001214659-18-005737 · marketforms-42790.xml · nonDerivative · entry 1

Drake Neil · CIK 0001698005 · VP Research and Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,267

F1 · shares: The reporting person purchased these shares directly from the issuer in a private placement.

F2 · balance_after: Includes Restricted Shares that are subject to vesting.

SEC source: 0001214659-18-005739 · marketforms-42789.xml · nonDerivative · entry 1

Young Donald R · CIK 0001686152 · VP of Quality Assurance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,992

F1 · shares: The reporting person purchased these shares directly from the issuer in a private placement.

F2 · balance_after: Includes Restricted Shares that are subject to vesting.

SEC source: 0001214659-18-005740 · marketforms-42787.xml · nonDerivative · entry 1

Hussainy Nooshin · CIK 0001685634 · VP of Finance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 113,387

F1 · shares: The reporting person purchased these shares directly from the issuer in a private placement.

F2 · balance_after: Includes Restricted Shares that are subject to vesting.

SEC source: 0001214659-18-005735 · marketforms-42784.xml · nonDerivative · entry 1

Plovanic William J. · CIK 0001685640 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 293,044

F1 · shares: The reporting person purchased these shares directly from the issuer in a private placement.

F2 · balance_after: Includes Restricted Shares that are subject to vesting.

SEC source: 0001214659-18-005738 · marketforms-42788.xml · nonDerivative · entry 1

VandenBerg Amy · CIK 0001685638 · VP of Reg. and Clin. Affairs

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 92,639

F1 · shares: The reporting person purchased these shares directly from the issuer in a private placement.

F2 · balance_after: Includes Restricted Shares that are subject to vesting.

SEC source: 0001214659-18-005743 · marketforms-42796.xml · nonDerivative · entry 1

Stevenson Sharon · CIK 0001683904 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,472

F1 · shares: The reporting person purchased these shares directly from the issuer in a private placement.

SEC source: 0000899243-18-023312 · doc4.xml · nonDerivative · entry 1

INTERWEST PARTNERS X LP · CIK 0001443898 · 10% owner

InterWest Management Partners X, LLC · CIK 0001460207 · 10% owner

Kliman Gilbert H · CIK 0001293171 · 10% owner

ORONSKY ARNOLD L · CIK 0001207833 · 10% owner

Desai Keval · CIK 0001553019 · 10% owner

NASR KHALED · CIK 0001276600 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,552,239

F1 · shares: The reporting person purchased these shares directly from the issuer in a private placement.

F2 · balance_after: These securities are held of record by InterWest Partners X, L.P. ("IW10"). InterWest Management Partners X, LLC ("IMP10") is the general partner of IW10 and has sole voting and investment control over the shares owned by IW10. Gilbert H. Kliman, and Arnold L. Oronsky are Managing Directors of IMP10 and, Keval Desai and Khaled A. Nasr, and are Venture Members of IMP10. Douglas Fisher, a Member of IMP10 is also a Director of the Issuer, and when required, files a separate Form 4 in his own name. All Reporting Persons disclaim beneficial ownership of shares of Obalon Therapeutics, Inc. stock held by IW10, except to the extent of their respective pecuniary interest therein. The filing of this statement shall not be deemed an admission that, for purposes of Section 16 of the Securities Exchange Act of 1944, or otherwise, any of the Reporting Persons are the beneficial owner of all of the equity securities covered by this statement.

SEC source: 0001214659-18-005742 · marketforms-42785.xml · nonDerivative · entry 1

Huang Kelly · CIK 0001602803 · Pres & Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 119,945

F1 · shares: The reporting person purchased these shares directly from the issuer in a private placement.

F2 · balance_after: Includes Restricted Shares that are subject to vesting.

SEC source: 0001214659-18-005744 · marketforms-42794.xml · nonDerivative · entry 1

HOWE LESLEY H · CIK 0001222606 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,334

F1 · shares: The reporting person purchased these shares directly from the issuer in a private placement.