HPK

SEC source: 0001437749-23-020446 · rdgdoc.xml · derivative · entry 3

WOODARD RODNEY L · CIK 0001200104 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 95,000

Underlying: Common Stock, par value $0.0001 per share · 95,000 shares

Expires 2026-10-31

F3 · derivative.exercise_date: The stock option was designed to comply with the requirements of Section 409A of the Internal Revenue Code of 1986, as amended, and the guidance thereunder, and is exercisable only during the 90 day period following the earlier to occur of the Reporting Person's separation from service due to death or disability, the occurrence of a change in control of the Issuer, or August 1, 2026.

SEC source: 0001437749-23-020448 · rdgdoc.xml · derivative · entry 3

Hollis Michael L. · CIK 0001559864 · Director · President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 400,000

Underlying: Common Stock, par value $0.0001 per share · 400,000 shares

Expires 2026-10-31

F2 · derivative.exercise_date: The stock option was designed to comply with the requirements of Section 409A of the Internal Revenue Code of 1986, as amended, and the guidance thereunder, and is exercisable only during the 90 day period following the earlier to occur of the Reporting Person's separation from service due to death or disability, the occurrence of a change in control of the Issuer, or August 1, 2026.

SEC source: 0001104659-23-083113 · tm2321796-1_4seq1.xml · nonDerivative · entry 1

DEJORIA JOHN PAUL · CIK 0000897610 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 14,385,172

F1 · shares: This Form 4 is filed by John Paul DeJoria, as trustee of the John Paul DeJoria Family Trust, a grantor trust of which Mr. DeJoria is the settlor and a beneficiary, and in his individual capacity.

SEC source: 0001437749-23-020450 · rdgdoc.xml · nonDerivative · entry 1

THOLEN STEVEN W · CIK 0001044285 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 33,755

F1 · shares: Represents shares of HighPeak Energy, Inc. (the "Issuer") common stock, par value $0.0001 per share ("Common Stock") purchased by the Reporting Person from Roth Capital Partners, LLC (the "Underwriter") in an underwritten public offering conducted by the Issuer pursuant to an Underwriting Agreement between the Issuer and the Underwriter.

SEC source: 0001437749-23-020445 · rdgdoc.xml · nonDerivative · entry 1

HIGHTOWER JACK · CIK 0001035234 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,858,391

F1 · shares: Represents shares of HighPeak Energy, Inc. (the "Issuer") common stock, par value $0.0001 per share ("Common Stock") purchased by the Reporting Person from Roth Capital Partners, LLC (the "Underwriter") in an underwritten public offering conducted by the Issuer pursuant to an Underwriting Agreement between the Issuer and the Underwriter.

SEC source: 0001437749-23-020447 · rdgdoc.xml · nonDerivative · entry 1

Forbes Keith E · CIK 0001831867 · Vice President and Controller

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote 2

Disclosed balance after: 14,000

F1 · ownership.nature: Represents shares of HighPeak Energy, Inc. (the "Issuer") common stock, par value $0.0001 per share ("Common Stock") purchased by the Reporting Person's personal investment vehicle from Roth Capital Partners, LLC (the "Underwriter") in an underwritten public offering conducted by the Issuer pursuant to an Underwriting Agreement between the Issuer and the Underwriter.

SEC source: 0001437749-23-020449 · rdgdoc.xml · nonDerivative · entry 1

OLDHAM LARRY · CIK 0001246383 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote (2)

Disclosed balance after: 28,500

F1 · shares: Represents shares of HighPeak Energy, Inc. (the "Issuer") common stock, par value $0.0001 per share ("Common Stock") purchased by the Reporting Person's personal investment vehicle from Roth Capital Partners, LLC (the "Underwriter") in an underwritten public offering conducted by the Issuer pursuant to an Underwriting Agreement between the Issuer and the Underwriter.

F2 · ownership.nature: Shares held by Reporting Person's family limited partnership.

SEC source: 0001437749-23-020446 · rdgdoc.xml · nonDerivative · entry 1

WOODARD RODNEY L · CIK 0001200104 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 154,138

F1 · shares: Represents shares of HighPeak Energy, Inc. (the "Issuer") common stock, par value $0.0001 per share ("Common Stock") purchased by the Reporting Person from Roth Capital Partners, LLC (the "Underwriter") in an underwritten public offering conducted by the Issuer pursuant to an Underwriting Agreement between the Issuer and the Underwriter.

SEC source: 0001437749-23-020448 · rdgdoc.xml · nonDerivative · entry 1

Hollis Michael L. · CIK 0001559864 · Director · President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,467,256

F1 · price: Represents shares of HighPeak Energy, Inc. (the "Issuer") common stock, par value $0.0001 per share ("Common Stock") purchased by the Reporting Person from Roth Capital Partners, LLC (the "Underwriter") in an underwritten public offering conducted by the Issuer pursuant to an Underwriting Agreement between the Issuer and the Underwriter.

SEC source: 0001437749-23-020451 · rdgdoc.xml · nonDerivative · entry 1

Edgeworth Jason A. · CIK 0001979710 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 17,337

F1 · shares: Represents shares of HighPeak Energy, Inc. (the "Issuer") common stock, par value $0.0001 per share ("Common Stock") purchased by the Reporting Person from Roth Capital Partners, LLC (the "Underwriter") in an underwritten public offering conducted by the Issuer pursuant to an Underwriting Agreement between the Issuer and the Underwriter.

SEC source: 0001437749-23-016388 · rdgdoc.xml · nonDerivative · entry 1

OLDHAM LARRY · CIK 0001246383 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 43,433

SEC source: 0001437749-23-016390 · rdgdoc.xml · nonDerivative · entry 1

COVINGTON KEITH · CIK 0001201943 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 15,975

SEC source: 0001437749-23-016392 · rdgdoc.xml · nonDerivative · entry 1

Chernosky Jay M. · CIK 0001821670 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,166

SEC source: 0001437749-23-016389 · rdgdoc.xml · nonDerivative · entry 1

Fulgham Sharon F. · CIK 0001821823 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 43,371

SEC source: 0001437749-23-016477 · rdgdoc.xml · nonDerivative · entry 1

Edgeworth Jason A. · CIK 0001979710 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 11,637

SEC source: 0001437749-23-000494 · rdgdoc.xml · nonDerivative · entry 1

HIGHTOWER JACK · CIK 0001035234 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,906,011

F1 · price: These shares of common stock were purchased in multiple transactions all priced at $22.00. 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 shares of common stock purchased in each transaction set forth in footnote (1) to this Form 4.

SEC source: 0001437749-22-029641 · rdgdoc.xml · nonDerivative · entry 2

HIGHTOWER JACK · CIK 0001035234 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,774,472

F2 · price: The price reported in Column 4 is a weighted average price. These shares of common stock were purchased in multiple transactions at prices ranging from $21.67 to $22.00, 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 shares of common stock purchased at each separate price within the ranges set forth in footnote (2) to this Form 4.

SEC source: 0001437749-22-029641 · rdgdoc.xml · nonDerivative · entry 1

HIGHTOWER JACK · CIK 0001035234 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,739,073

F1 · price: The price reported in Column 4 is a weighted average price. These shares of common stock were purchased in multiple transactions at prices ranging from $21.94 to $22.00, 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 shares of common stock purchased at each separate price within the ranges set forth in footnote (1) to this Form 4.

SEC source: 0001437749-22-028682 · rdgdoc.xml · nonDerivative · entry 2

Hollis Michael L. · CIK 0001559864 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 324,714

F2 · price: The price reported in Column 4 is a weighted average price. These shares of common stock were purchased in multiple transactions at prices ranging from $21.470 to $21.840, 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 shares of common stock purchased at each separate price within the ranges set forth in footnote (2) to this Form 4.

SEC source: 0001437749-22-028682 · rdgdoc.xml · nonDerivative · entry 1

Hollis Michael L. · CIK 0001559864 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 322,889

F1 · price: The price reported in Column 4 is a weighted average price. These shares of common stock were purchased in multiple transactions at prices ranging from $21.590 to $22.250, 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 shares of common stock purchased at each separate price within the ranges set forth in footnote (1) to this Form 4.

SEC source: 0001437749-22-027935 · rdgdoc.xml · nonDerivative · entry 2

Hollis Michael L. · CIK 0001559864 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 292,889

F2 · price: The price reported in Column 4 is a weighted average price. These shares of common stock were purchased in multiple transactions at prices ranging from $22.405 to $22.500, 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 shares of common stock purchased at each separate price within the ranges set forth in footnote (2) to this Form 4.

SEC source: 0001437749-22-027935 · rdgdoc.xml · nonDerivative · entry 1

Hollis Michael L. · CIK 0001559864 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 292,089

F1 · price: The price reported in Column 4 is a weighted average price. These shares of common stock were purchased in multiple transactions at prices ranging from $21.450 to $22.410, 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 shares of common stock purchased at each separate price within the ranges set forth in footnote (1) to this Form 4.

SEC source: 0001437749-22-027788 · rdgdoc.xml · nonDerivative · entry 1

Hollis Michael L. · CIK 0001559864 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 237,033

F1 · price: The price reported in Column 4 is a weighted average price. These shares of common stock were purchased in multiple transactions at prices ranging from $22.330 to $22.500, 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 shares of common stock purchased at each separate price within the ranges set forth in footnote (1) to this Form 4.

SEC source: 0001437749-22-022977 · rdgdoc.xml · nonDerivative · entry 1

Hollis Michael L. · CIK 0001559864 · Director · President · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 237,033

SEC source: 0001437749-22-021856 · rdgdoc.xml · nonDerivative · entry 1

THOLEN STEVEN W · CIK 0001044285 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,255

F1 · balance_after: On September 2, 2022, the Reporting Person purchased shares of HighPeak Energy, Inc.'s (the "Issuer") common stock, par value $0.0001 per share ("Common Stock"), pursuant to a subscription agreement by and between the Reporting Person and the Issuer as part of a private placement. The issuance of the shares to the Reporting Person was approved by the Issuer's board of directors in the manner contemplated by Rule 16b-3 under the Securities Exchange of 1934, as amended.

SEC source: 0001437749-22-021855 · rdgdoc.xml · nonDerivative · entry 1

WOODARD RODNEY L · CIK 0001200104 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,138

F1 · balance_after: On September 2, 2022, the Reporting Person purchased shares of HighPeak Energy, Inc.'s (the "Issuer") common stock, par value $0.0001 per share ("Common Stock"), pursuant to a subscription agreement by and between the Reporting Person and the Issuer as part of a private placement. The issuance of the shares to the Reporting Person was approved by the Issuer's board of directors in the manner contemplated by Rule 16b-3 under the Securities Exchange of 1934, as amended.

SEC source: 0001437749-22-021857 · rdgdoc.xml · nonDerivative · entry 1

Hollis Michael L. · CIK 0001559864 · Director · President · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 233,533

F1 · balance_after: On September 2, 2022, the Reporting Person purchased shares of HighPeak Energy, Inc.'s (the "Issuer") common stock, par value $0.0001 per share ("Common Stock"), pursuant to a subscription agreement by and between the Reporting Person and the Issuer, as part of a private placement. The issuance of the shares to the Reporting Person was approved by the Issuer's board of directors in the manner contemplated by Rule 16b-3 under the Securities Exchange Act of 1934, as amended.

SEC source: 0001437749-22-021451 · rdgdoc.xml · nonDerivative · entry 1

THOLEN STEVEN W · CIK 0001044285 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 10,009

F1 · ownership.nature: Shares held by Reporting Person's family limited partnership.

SEC source: 0001104659-22-094020 · tm2224352-2_4seq1.xml · nonDerivative · entry 1

DEJORIA JOHN PAUL · CIK 0000897610 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,813,744

F1 · balance_after: This Form 4 is filed by John Paul DeJoria, as trustee of the John Paul DeJoria Family Trust, a grantor trust of which Mr. DeJoria is the settlor and a beneficiary, and in his individual capacity.

SEC source: 0001437749-22-021264 · rdgdoc.xml · nonDerivative · entry 1

HIGHTOWER JACK · CIK 0001035234 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,724,472

F1 · balance_after: On August 22, 2022, the Reporting Person purchased shares of HighPeak Energy, Inc.'s (the "Issuer") common stock, par value $0.0001 per share ("Common Stock"), pursuant to a subscription agreement by and between the Reporting Person and the Issuer, as part of a private placement. The issuance of the shares to the Reporting Person was approved by the Issuer's board of directors in the manner contemplated by Rule 16b-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act").

SEC source: 0001437749-22-021263 · rdgdoc.xml · nonDerivative · entry 1

Hollis Michael L. · CIK 0001559864 · Director · President · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 217,336

F1 · balance_after: On August 22, 2022, the Reporting Person purchased shares of HighPeak Energy, Inc.'s (the "Issuer") common stock, par value $0.0001 per share ("Common Stock"), pursuant to a subscription agreement by and between the Reporting Person and the Issuer, as part of a private placement. The issuance of the shares to the Reporting Person was approved by the Issuer's board of directors in the manner contemplated by Rule 16b-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act").

SEC source: 0001437749-22-020613 · rdgdoc.xml · derivative · entry 1

THOLEN STEVEN W · CIK 0001044285 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock, par value $0.0001 per share · 20,000 shares

Expires 2032-08-13

F1 · derivative.exercise_date: The option was fully vested as of the date of grant.

SEC source: 0001437749-22-020616 · rdgdoc.xml · derivative · entry 1

HIGHTOWER JACK · CIK 0001035234 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 352,000

Underlying: Common Stock, par value $0.0001 per share · 352,000 shares

Expires 2032-08-13

F1 · derivative.exercise_date: The option was fully vested as of the date of grant.

SEC source: 0001437749-22-020612 · rdgdoc.xml · derivative · entry 2

Forbes Keith E · CIK 0001831867 · Vice President and Controller

10b5-1 filing: Not disclosed

Ownership: Indirect · By Wife

Disclosed balance after: 1,000

Underlying: Common Stock, par value $0.0001 per share · 1,000 shares

Expires 2032-08-13

F2 · kind: This transaction involved the grant of options to the reporting person's wife, who is also an employee of the Issuer.

F3 · derivative.exercise_date: The option vests in three equal installments: one-third on the date of grant, one-third on the first anniversary of the date of grant, and one-third on the second anniversary of the date of grant

SEC source: 0001437749-22-020612 · rdgdoc.xml · derivative · entry 1

Forbes Keith E · CIK 0001831867 · Vice President and Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

Underlying: Common Stock, par value $0.0001 per share · 5,000 shares

Expires 2032-08-13

F1 · derivative.exercise_date: The option was fully vested as of the date of grant.

SEC source: 0001437749-22-020614 · rdgdoc.xml · derivative · entry 1

WOODARD RODNEY L · CIK 0001200104 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

Underlying: Common Stock, par value $0.0001 per share · 5,000 shares

Expires 2032-08-13

F1 · derivative.exercise_date: The option was fully vested as of the date of grant.

SEC source: 0001437749-22-020615 · rdgdoc.xml · derivative · entry 1

Hollis Michael L. · CIK 0001559864 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 104,700

Underlying: Common Stock, par value $0.0001 per share · 104,700 shares

Expires 2032-08-13

F1 · derivative.exercise_date: The option was fully vested as of the date of grant.

SEC source: 0001437749-22-016578 · rdgdoc.xml · nonDerivative · entry 1

THOLEN STEVEN W · CIK 0001044285 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 10,000

F1 · price: The price reported in column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $24.59 to $24.65, 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 shares purchased at each separate price within the range set forth in footnote (1) to this Form 4.

F2 · ownership.nature: Shares held by Reporting Person's family limited partnership.

SEC source: 0001437749-22-014820 · rdgdoc.xml · derivative · entry 1

COVINGTON KEITH · CIK 0001201943 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 500

Underlying: Common Stock, par value $0.0001 per share · 500 shares

Expires 2025-08-21

F1 · ownership.nature: Represents warrants to purchase common stock of HighPeak Energy, Inc. purchased by the Reporting Person's daughter in a single transaction for $24.00 per warrant.

SEC source: 0001437749-22-014166 · rdgdoc.xml · nonDerivative · entry 1

OLDHAM LARRY · CIK 0001246383 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,214

SEC source: 0001437749-22-014169 · rdgdoc.xml · nonDerivative · entry 1

COVINGTON KEITH · CIK 0001201943 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,338

SEC source: 0001437749-22-014171 · rdgdoc.xml · nonDerivative · entry 1

Chernosky Jay M. · CIK 0001821670 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,529

SEC source: 0001437749-22-014168 · rdgdoc.xml · nonDerivative · entry 1

Fulgham Sharon F. · CIK 0001821823 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,734

SEC source: 0001437749-22-014167 · rdgdoc.xml · nonDerivative · entry 1

Gustin Michael H. · CIK 0001821852 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,338

SEC source: 0001437749-22-013533 · rdgdoc.xml · nonDerivative · entry 1

OLDHAM LARRY · CIK 0001246383 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,659

F1 · price: The price reported in Column 4 is a weighted average price. These shares of common stock were purchased in multiple transactions at prices ranging from $27.04 to $27.27, 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 shares of common stock purchased at each separate price within the range set forth in footnote (1) to this Form 4.

SEC source: 0001437749-22-010936 · rdgdoc.xml · derivative · entry 1

THOLEN STEVEN W · CIK 0001044285 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,000

Underlying: Common Stock, par value $0.0001 per share · 44,000 shares

Expires 2032-05-03

F1 · derivative.exercise_date: The option was fully vested as of the date of grant.

F2 · balance_after: This Form 4 reports in Box 9 the aggregate number of Employee Stock Options of the same class beneficially owned by the reporting person. In prior Form 4 filings, the reporting person reported in Box 9 the aggregate number of Employee Stock Options of all classes beneficially owned by the reporting person; however, the reporting person hereby undertakes to report in Box 9 only the aggregate number of Employee Stock Options of the same class beneficially owned by the reporting person herein and in future filings.

SEC source: 0001437749-22-010933 · rdgdoc.xml · derivative · entry 1

HIGHTOWER JACK · CIK 0001035234 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 377,500

Underlying: Common Stock, par value $0.0001 per share · 377,500 shares

Expires 2032-05-03

F1 · derivative.exercise_date: The option was fully vested as of the date of grant.

F2 · balance_after: This Form 4 reports in Box 9 the aggregate number of Employee Stock Options of the same class beneficially owned by the reporting person. In prior Form 4 filings, the reporting person reported in Box 9 the aggregate number of Employee Stock Options of all classes beneficially owned by the reporting person; however, the reporting hereby undertakes to report in Box 9 only the aggregate number of Employee Stock Options of the same class beneficially owned by the reporting person herein and in future filings.

SEC source: 0001437749-22-010943 · rdgdoc.xml · derivative · entry 2

Forbes Keith E · CIK 0001831867 · Vice President and Controller

10b5-1 filing: Not disclosed

Ownership: Indirect · By Wife

Disclosed balance after: 3,000

Underlying: Common Stock, par value $0.0001 per share · 3,000 shares

Expires 2032-05-03

F3 · kind: This transaction involved the grant of options to the reporting person's wife, who is also an employee of the Issuer.

F4 · derivative.exercise_date: The option vests in three equal installments: one-third on the date of grant, one-third on the first anniversary of the date of grant, and one-third on the second anniversary of the date of grant

SEC source: 0001437749-22-010943 · rdgdoc.xml · derivative · entry 1

Forbes Keith E · CIK 0001831867 · Vice President and Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock, par value $0.0001 per share · 15,000 shares

Expires 2032-05-03

F1 · derivative.exercise_date: The option was fully vested as of the date of grant.

F2 · balance_after: This Form 4 reports in Box 9 the aggregate number of Employee Stock Options of the same class beneficially owned by the reporting person. In prior Form 4 filings, the reporting person reported in Box 9 the aggregate number of Employee Stock Options of all classes beneficially owned by the reporting person; however, the reporting person hereby undertakes to report in Box 9 only the aggregate number of Employee Stock Options of the same class beneficially owned by the reporting person herein and in future filings.

SEC source: 0001437749-22-010935 · rdgdoc.xml · derivative · entry 1

WOODARD RODNEY L · CIK 0001200104 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,000

Underlying: Common Stock, par value $0.0001 per share · 63,000 shares

Expires 2032-05-03

F1 · derivative.exercise_date: The option was fully vested as of the date of grant.

F2 · balance_after: This Form 4 reports in Box 9 the aggregate number of Employee Stock Options of the same class beneficially owned by the reporting person. In prior Form 4 filings, the reporting person reported in Box 9 the aggregate number of Employee Stock Options of all classes beneficially owned by the reporting person; however, the reporting person hereby undertakes to report in Box 9 only the aggregate number of Employee Stock Options of the same class beneficially owned by the reporting person herein and in future filings.