IMDX

SEC source: 0001829126-22-008372 · ownership.xml · nonDerivative · entry 1

PURA VIDA INVESTMENTS, LLC · CIK 0001590144 · 10% owner

Kamen Efrem · CIK 0001789193 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Pura Vida Master Fund, Ltd.

Disclosed balance after: 7,350,447

F1 · shares: Each share of common stock was purchased together with one warrant to purchase 0.5 shares of common stock at a combined offering price of $1.3325.

F2 · ownership.nature: Shares reported herein are owned by Pura Vida Master Fund, Ltd. (the "Pura Vida Master Fund"), Pura Vida X Fund LP (the "Pura Vida X Fund"), Lockheed Martin Corporation Master Retirement Trust (the "Retirement Trust"), and certain separately managed accounts (the "Managed Accounts," collectively the "Client Accounts"). Pura Vida Investments, LLC ("PVI") serves as the investment manager or sub-adviser to the Client Accounts. Efrem Kamen serves as the Managing Member of PVI.

F3 · ownership.nature: By virtue of these relationships, the Reporting Persons may be deemed to have shared voting and dispositive power with respect to the securities owned directly by the Client Accounts. This report shall not be deemed an admission that the Reporting Persons are beneficial owners of the securities for purposes of Sections 13 and 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of the Reporting Person's pecuniary interest therein, if any.

SEC source: 0001829126-22-009190 · ownership.xml · derivative · entry 12

PURA VIDA INVESTMENTS, LLC · CIK 0001590144 · 10% owner

Kamen Efrem · CIK 0001789193 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By the Managed Accounts

Disclosed balance after: 958,209

Underlying: Common Stock · 958,209 shares

Expires 2027-04-19

F1 · price: Each share of common stock was purchased together with one warrant to purchase 0.5 shares of common stock at a combined offering price of $1.3325.

F4 · derivative.exercise_date: The Warrants are subject to an ownership blocker provision that prevents the holder from exercising the Warrants if it would beneficially hold more than 19.99% of the common stock following such exercise.

F2 · ownership.nature: Shares reported herein are owned by Pura Vida Master Fund, Ltd. (the "Pura Vida Master Fund"), Pura Vida X Fund LP (the "Pura Vida X Fund"), Lockheed Martin Corporation Master Retirement Trust (the "Retirement Trust"), and certain separately managed accounts (the "Managed Accounts," collectively the "Client Accounts"). Pura Vida Investments, LLC ("PVI") serves as the investment manager or sub-adviser to the Client Accounts. Efrem Kamen serves as the Managing Member of PVI.

F3 · ownership.nature: By virtue of these relationships, the Reporting Persons may be deemed to have shared voting and dispositive power with respect to the securities owned directly by the Client Accounts. This report shall not be deemed an admission that the Reporting Persons are beneficial owners of the securities for purposes of Sections 13 and 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of the Reporting Person's pecuniary interest therein, if any.

SEC source: 0001829126-22-009190 · ownership.xml · derivative · entry 11

PURA VIDA INVESTMENTS, LLC · CIK 0001590144 · 10% owner

Kamen Efrem · CIK 0001789193 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By the Retirement Trust

Disclosed balance after: 690,719

Underlying: Common Stock · 690,719 shares

Expires 2027-04-19

F1 · price: Each share of common stock was purchased together with one warrant to purchase 0.5 shares of common stock at a combined offering price of $1.3325.

F4 · derivative.exercise_date: The Warrants are subject to an ownership blocker provision that prevents the holder from exercising the Warrants if it would beneficially hold more than 19.99% of the common stock following such exercise.

F2 · ownership.nature: Shares reported herein are owned by Pura Vida Master Fund, Ltd. (the "Pura Vida Master Fund"), Pura Vida X Fund LP (the "Pura Vida X Fund"), Lockheed Martin Corporation Master Retirement Trust (the "Retirement Trust"), and certain separately managed accounts (the "Managed Accounts," collectively the "Client Accounts"). Pura Vida Investments, LLC ("PVI") serves as the investment manager or sub-adviser to the Client Accounts. Efrem Kamen serves as the Managing Member of PVI.

F3 · ownership.nature: By virtue of these relationships, the Reporting Persons may be deemed to have shared voting and dispositive power with respect to the securities owned directly by the Client Accounts. This report shall not be deemed an admission that the Reporting Persons are beneficial owners of the securities for purposes of Sections 13 and 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of the Reporting Person's pecuniary interest therein, if any.

SEC source: 0001829126-22-009190 · ownership.xml · derivative · entry 10

PURA VIDA INVESTMENTS, LLC · CIK 0001590144 · 10% owner

Kamen Efrem · CIK 0001789193 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Pura Vida X Fund LP

Disclosed balance after: 383,976

Underlying: Common Stock · 383,976 shares

Expires 2027-04-19

F1 · price: Each share of common stock was purchased together with one warrant to purchase 0.5 shares of common stock at a combined offering price of $1.3325.

F4 · derivative.exercise_date: The Warrants are subject to an ownership blocker provision that prevents the holder from exercising the Warrants if it would beneficially hold more than 19.99% of the common stock following such exercise.

F2 · ownership.nature: Shares reported herein are owned by Pura Vida Master Fund, Ltd. (the "Pura Vida Master Fund"), Pura Vida X Fund LP (the "Pura Vida X Fund"), Lockheed Martin Corporation Master Retirement Trust (the "Retirement Trust"), and certain separately managed accounts (the "Managed Accounts," collectively the "Client Accounts"). Pura Vida Investments, LLC ("PVI") serves as the investment manager or sub-adviser to the Client Accounts. Efrem Kamen serves as the Managing Member of PVI.

F3 · ownership.nature: By virtue of these relationships, the Reporting Persons may be deemed to have shared voting and dispositive power with respect to the securities owned directly by the Client Accounts. This report shall not be deemed an admission that the Reporting Persons are beneficial owners of the securities for purposes of Sections 13 and 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of the Reporting Person's pecuniary interest therein, if any.

SEC source: 0001829126-22-009190 · ownership.xml · derivative · entry 9

PURA VIDA INVESTMENTS, LLC · CIK 0001590144 · 10% owner

Kamen Efrem · CIK 0001789193 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Pura Vida Master Fund, Ltd.

Disclosed balance after: 832,949

Underlying: Common Stock · 832,949 shares

Expires 2027-04-19

F1 · price: Each share of common stock was purchased together with one warrant to purchase 0.5 shares of common stock at a combined offering price of $1.3325.

F4 · derivative.exercise_date: The Warrants are subject to an ownership blocker provision that prevents the holder from exercising the Warrants if it would beneficially hold more than 19.99% of the common stock following such exercise.

F2 · ownership.nature: Shares reported herein are owned by Pura Vida Master Fund, Ltd. (the "Pura Vida Master Fund"), Pura Vida X Fund LP (the "Pura Vida X Fund"), Lockheed Martin Corporation Master Retirement Trust (the "Retirement Trust"), and certain separately managed accounts (the "Managed Accounts," collectively the "Client Accounts"). Pura Vida Investments, LLC ("PVI") serves as the investment manager or sub-adviser to the Client Accounts. Efrem Kamen serves as the Managing Member of PVI.

F3 · ownership.nature: By virtue of these relationships, the Reporting Persons may be deemed to have shared voting and dispositive power with respect to the securities owned directly by the Client Accounts. This report shall not be deemed an admission that the Reporting Persons are beneficial owners of the securities for purposes of Sections 13 and 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of the Reporting Person's pecuniary interest therein, if any.

SEC source: 0001829126-22-009190 · ownership.xml · nonDerivative · entry 8

PURA VIDA INVESTMENTS, LLC · CIK 0001590144 · 10% owner

Kamen Efrem · CIK 0001789193 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By the Retirement Trust

Disclosed balance after: 1,381,438

F1 · shares: Each share of common stock was purchased together with one warrant to purchase 0.5 shares of common stock at a combined offering price of $1.3325.

F2 · ownership.nature: Shares reported herein are owned by Pura Vida Master Fund, Ltd. (the "Pura Vida Master Fund"), Pura Vida X Fund LP (the "Pura Vida X Fund"), Lockheed Martin Corporation Master Retirement Trust (the "Retirement Trust"), and certain separately managed accounts (the "Managed Accounts," collectively the "Client Accounts"). Pura Vida Investments, LLC ("PVI") serves as the investment manager or sub-adviser to the Client Accounts. Efrem Kamen serves as the Managing Member of PVI.

F3 · ownership.nature: By virtue of these relationships, the Reporting Persons may be deemed to have shared voting and dispositive power with respect to the securities owned directly by the Client Accounts. This report shall not be deemed an admission that the Reporting Persons are beneficial owners of the securities for purposes of Sections 13 and 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of the Reporting Person's pecuniary interest therein, if any.

SEC source: 0001829126-22-009190 · ownership.xml · nonDerivative · entry 7

PURA VIDA INVESTMENTS, LLC · CIK 0001590144 · 10% owner

Kamen Efrem · CIK 0001789193 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Pura Vida X Fund LP

Disclosed balance after: 767,952

F1 · shares: Each share of common stock was purchased together with one warrant to purchase 0.5 shares of common stock at a combined offering price of $1.3325.

F2 · ownership.nature: Shares reported herein are owned by Pura Vida Master Fund, Ltd. (the "Pura Vida Master Fund"), Pura Vida X Fund LP (the "Pura Vida X Fund"), Lockheed Martin Corporation Master Retirement Trust (the "Retirement Trust"), and certain separately managed accounts (the "Managed Accounts," collectively the "Client Accounts"). Pura Vida Investments, LLC ("PVI") serves as the investment manager or sub-adviser to the Client Accounts. Efrem Kamen serves as the Managing Member of PVI.

F3 · ownership.nature: By virtue of these relationships, the Reporting Persons may be deemed to have shared voting and dispositive power with respect to the securities owned directly by the Client Accounts. This report shall not be deemed an admission that the Reporting Persons are beneficial owners of the securities for purposes of Sections 13 and 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of the Reporting Person's pecuniary interest therein, if any.

SEC source: 0001829126-22-009190 · ownership.xml · nonDerivative · entry 6

PURA VIDA INVESTMENTS, LLC · CIK 0001590144 · 10% owner

Kamen Efrem · CIK 0001789193 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By the Managed Accounts

Disclosed balance after: 8,532,663

F2 · ownership.nature: Shares reported herein are owned by Pura Vida Master Fund, Ltd. (the "Pura Vida Master Fund"), Pura Vida X Fund LP (the "Pura Vida X Fund"), Lockheed Martin Corporation Master Retirement Trust (the "Retirement Trust"), and certain separately managed accounts (the "Managed Accounts," collectively the "Client Accounts"). Pura Vida Investments, LLC ("PVI") serves as the investment manager or sub-adviser to the Client Accounts. Efrem Kamen serves as the Managing Member of PVI.

F3 · ownership.nature: By virtue of these relationships, the Reporting Persons may be deemed to have shared voting and dispositive power with respect to the securities owned directly by the Client Accounts. This report shall not be deemed an admission that the Reporting Persons are beneficial owners of the securities for purposes of Sections 13 and 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of the Reporting Person's pecuniary interest therein, if any.

SEC source: 0001829126-22-009190 · ownership.xml · nonDerivative · entry 5

PURA VIDA INVESTMENTS, LLC · CIK 0001590144 · 10% owner

Kamen Efrem · CIK 0001789193 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By the Managed Accounts

Disclosed balance after: 8,475,033

F2 · ownership.nature: Shares reported herein are owned by Pura Vida Master Fund, Ltd. (the "Pura Vida Master Fund"), Pura Vida X Fund LP (the "Pura Vida X Fund"), Lockheed Martin Corporation Master Retirement Trust (the "Retirement Trust"), and certain separately managed accounts (the "Managed Accounts," collectively the "Client Accounts"). Pura Vida Investments, LLC ("PVI") serves as the investment manager or sub-adviser to the Client Accounts. Efrem Kamen serves as the Managing Member of PVI.

F3 · ownership.nature: By virtue of these relationships, the Reporting Persons may be deemed to have shared voting and dispositive power with respect to the securities owned directly by the Client Accounts. This report shall not be deemed an admission that the Reporting Persons are beneficial owners of the securities for purposes of Sections 13 and 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of the Reporting Person's pecuniary interest therein, if any.

SEC source: 0001829126-22-009190 · ownership.xml · nonDerivative · entry 4

PURA VIDA INVESTMENTS, LLC · CIK 0001590144 · 10% owner

Kamen Efrem · CIK 0001789193 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By the Managed Accounts

Disclosed balance after: 8,455,823

F1 · shares: Each share of common stock was purchased together with one warrant to purchase 0.5 shares of common stock at a combined offering price of $1.3325.

F2 · ownership.nature: Shares reported herein are owned by Pura Vida Master Fund, Ltd. (the "Pura Vida Master Fund"), Pura Vida X Fund LP (the "Pura Vida X Fund"), Lockheed Martin Corporation Master Retirement Trust (the "Retirement Trust"), and certain separately managed accounts (the "Managed Accounts," collectively the "Client Accounts"). Pura Vida Investments, LLC ("PVI") serves as the investment manager or sub-adviser to the Client Accounts. Efrem Kamen serves as the Managing Member of PVI.

F3 · ownership.nature: By virtue of these relationships, the Reporting Persons may be deemed to have shared voting and dispositive power with respect to the securities owned directly by the Client Accounts. This report shall not be deemed an admission that the Reporting Persons are beneficial owners of the securities for purposes of Sections 13 and 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of the Reporting Person's pecuniary interest therein, if any.

SEC source: 0001829126-22-009190 · ownership.xml · nonDerivative · entry 3

PURA VIDA INVESTMENTS, LLC · CIK 0001590144 · 10% owner

Kamen Efrem · CIK 0001789193 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Pura Vida Master Fund, Ltd.

Disclosed balance after: 7,473,607

F2 · ownership.nature: Shares reported herein are owned by Pura Vida Master Fund, Ltd. (the "Pura Vida Master Fund"), Pura Vida X Fund LP (the "Pura Vida X Fund"), Lockheed Martin Corporation Master Retirement Trust (the "Retirement Trust"), and certain separately managed accounts (the "Managed Accounts," collectively the "Client Accounts"). Pura Vida Investments, LLC ("PVI") serves as the investment manager or sub-adviser to the Client Accounts. Efrem Kamen serves as the Managing Member of PVI.

F3 · ownership.nature: By virtue of these relationships, the Reporting Persons may be deemed to have shared voting and dispositive power with respect to the securities owned directly by the Client Accounts. This report shall not be deemed an admission that the Reporting Persons are beneficial owners of the securities for purposes of Sections 13 and 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of the Reporting Person's pecuniary interest therein, if any.

SEC source: 0001829126-22-009190 · ownership.xml · nonDerivative · entry 2

PURA VIDA INVESTMENTS, LLC · CIK 0001590144 · 10% owner

Kamen Efrem · CIK 0001789193 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Pura Vida Master Fund, Ltd.

Disclosed balance after: 7,381,237

F2 · ownership.nature: Shares reported herein are owned by Pura Vida Master Fund, Ltd. (the "Pura Vida Master Fund"), Pura Vida X Fund LP (the "Pura Vida X Fund"), Lockheed Martin Corporation Master Retirement Trust (the "Retirement Trust"), and certain separately managed accounts (the "Managed Accounts," collectively the "Client Accounts"). Pura Vida Investments, LLC ("PVI") serves as the investment manager or sub-adviser to the Client Accounts. Efrem Kamen serves as the Managing Member of PVI.

F3 · ownership.nature: By virtue of these relationships, the Reporting Persons may be deemed to have shared voting and dispositive power with respect to the securities owned directly by the Client Accounts. This report shall not be deemed an admission that the Reporting Persons are beneficial owners of the securities for purposes of Sections 13 and 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of the Reporting Person's pecuniary interest therein, if any.

SEC source: 0001829126-22-009190 · ownership.xml · nonDerivative · entry 1

PURA VIDA INVESTMENTS, LLC · CIK 0001590144 · 10% owner

Kamen Efrem · CIK 0001789193 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Pura Vida Master Fund, Ltd.

Disclosed balance after: 7,350,447

F1 · shares: Each share of common stock was purchased together with one warrant to purchase 0.5 shares of common stock at a combined offering price of $1.3325.

F2 · ownership.nature: Shares reported herein are owned by Pura Vida Master Fund, Ltd. (the "Pura Vida Master Fund"), Pura Vida X Fund LP (the "Pura Vida X Fund"), Lockheed Martin Corporation Master Retirement Trust (the "Retirement Trust"), and certain separately managed accounts (the "Managed Accounts," collectively the "Client Accounts"). Pura Vida Investments, LLC ("PVI") serves as the investment manager or sub-adviser to the Client Accounts. Efrem Kamen serves as the Managing Member of PVI.

F3 · ownership.nature: By virtue of these relationships, the Reporting Persons may be deemed to have shared voting and dispositive power with respect to the securities owned directly by the Client Accounts. This report shall not be deemed an admission that the Reporting Persons are beneficial owners of the securities for purposes of Sections 13 and 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of the Reporting Person's pecuniary interest therein, if any.

SEC source: 0001209191-22-039690 · doc4a.xml · nonDerivative · entry 4

PURA VIDA INVESTMENTS, LLC · CIK 0001590144 · 10% owner

Kamen Efrem · CIK 0001789193 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By the Managed Accounts.

Disclosed balance after: 8,532,663

F1 · shares: Aggregate number of shares purchased on the same date at difference prices.

F5 · price: Represents the weighted-average purchase price. The shares were purchased in multiple transactions at prices ranging from $1.235 to $1.305, inclusive, per share. Full information regarding the number of shares purchased at each price shall be provided to the Staff, Issuer or any security holder, upon request.

F3 · ownership.nature: Shares reported herein are owned by Pura Vida Master Fund, Ltd. (the "Pura Vida Master Fund") and certain separately managed accounts (the "Managed Accounts," and together with the Pura Vida Master Fund, collectively the "Client Accounts"). Pura Vida Investments, LLC ("PVI") serves as the investment manager or sub-adviser to the Client Accounts. Efrem Kamen serves as the Managing Member of PVI.

F4 · ownership.nature: By virtue of these relationships, the Reporting Persons may be deemed to have shared voting and dispositive power with respect to the securities owned directly by the Client Accounts. This report shall not be deemed an admission that the Reporting Persons are beneficial owners of the securities for purposes of Sections 13 and 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of the Reporting Person's pecuniary interest therein, if any.

SEC source: 0001209191-22-039690 · doc4a.xml · nonDerivative · entry 3

PURA VIDA INVESTMENTS, LLC · CIK 0001590144 · 10% owner

Kamen Efrem · CIK 0001789193 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By the Managed Accounts.

Disclosed balance after: 8,475,033

F1 · shares: Aggregate number of shares purchased on the same date at difference prices.

F2 · price: Represents the weighted-average purchase price. The shares were purchased in multiple transactions at prices ranging from $1.19 to $1.27, inclusive, per share. Full information regarding the number of shares purchased at each price shall be provided to the Securities and Exchange Commission staff (the "Staff"), Issuer or any security holder, upon request.

F3 · ownership.nature: Shares reported herein are owned by Pura Vida Master Fund, Ltd. (the "Pura Vida Master Fund") and certain separately managed accounts (the "Managed Accounts," and together with the Pura Vida Master Fund, collectively the "Client Accounts"). Pura Vida Investments, LLC ("PVI") serves as the investment manager or sub-adviser to the Client Accounts. Efrem Kamen serves as the Managing Member of PVI.

F4 · ownership.nature: By virtue of these relationships, the Reporting Persons may be deemed to have shared voting and dispositive power with respect to the securities owned directly by the Client Accounts. This report shall not be deemed an admission that the Reporting Persons are beneficial owners of the securities for purposes of Sections 13 and 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of the Reporting Person's pecuniary interest therein, if any.

SEC source: 0001209191-22-039690 · doc4a.xml · nonDerivative · entry 2

PURA VIDA INVESTMENTS, LLC · CIK 0001590144 · 10% owner

Kamen Efrem · CIK 0001789193 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Pura Vida Master Fund, Ltd.

Disclosed balance after: 7,473,607

F1 · shares: Aggregate number of shares purchased on the same date at difference prices.

F5 · price: Represents the weighted-average purchase price. The shares were purchased in multiple transactions at prices ranging from $1.235 to $1.305, inclusive, per share. Full information regarding the number of shares purchased at each price shall be provided to the Staff, Issuer or any security holder, upon request.

F3 · ownership.nature: Shares reported herein are owned by Pura Vida Master Fund, Ltd. (the "Pura Vida Master Fund") and certain separately managed accounts (the "Managed Accounts," and together with the Pura Vida Master Fund, collectively the "Client Accounts"). Pura Vida Investments, LLC ("PVI") serves as the investment manager or sub-adviser to the Client Accounts. Efrem Kamen serves as the Managing Member of PVI.

F4 · ownership.nature: By virtue of these relationships, the Reporting Persons may be deemed to have shared voting and dispositive power with respect to the securities owned directly by the Client Accounts. This report shall not be deemed an admission that the Reporting Persons are beneficial owners of the securities for purposes of Sections 13 and 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of the Reporting Person's pecuniary interest therein, if any.

SEC source: 0001209191-22-039690 · doc4a.xml · nonDerivative · entry 1

PURA VIDA INVESTMENTS, LLC · CIK 0001590144 · 10% owner

Kamen Efrem · CIK 0001789193 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Pura Vida Master Fund, Ltd.

Disclosed balance after: 7,381,237

F1 · shares: Aggregate number of shares purchased on the same date at difference prices.

F2 · price: Represents the weighted-average purchase price. The shares were purchased in multiple transactions at prices ranging from $1.19 to $1.27, inclusive, per share. Full information regarding the number of shares purchased at each price shall be provided to the Securities and Exchange Commission staff (the "Staff"), Issuer or any security holder, upon request.

F3 · ownership.nature: Shares reported herein are owned by Pura Vida Master Fund, Ltd. (the "Pura Vida Master Fund") and certain separately managed accounts (the "Managed Accounts," and together with the Pura Vida Master Fund, collectively the "Client Accounts"). Pura Vida Investments, LLC ("PVI") serves as the investment manager or sub-adviser to the Client Accounts. Efrem Kamen serves as the Managing Member of PVI.

F4 · ownership.nature: By virtue of these relationships, the Reporting Persons may be deemed to have shared voting and dispositive power with respect to the securities owned directly by the Client Accounts. This report shall not be deemed an admission that the Reporting Persons are beneficial owners of the securities for purposes of Sections 13 and 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of the Reporting Person's pecuniary interest therein, if any.

SEC source: 0000919574-22-002783 · ownership.xml · derivative · entry 5

BROADWOOD PARTNERS, L.P. · CIK 0001278386 · 10% owner

BRADSHER NEAL C · CIK 0001278388 · 10% owner

BROADWOOD CAPITAL INC · CIK 0001278387 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · Footnote

Disclosed balance after: 5,882.35

Underlying: Common Stock · 3,884,675 shares

Expires not disclosed

F3 · kind: On April 13, 2022, Broadwood Partners entered into a Securities Purchase Agreement (the "Purchase Agreement") with Oncocyte Corporation (the "Issuer") pursuant to which Broadwood Partners acquired 5,882.35 shares of Series A Convertible Preferred Stock (the "Series A Shares") from the Issuer in its registered direct offering for a total purchase price of $5,000,000, or $850 per Series A Share. The Series A Shares are currently convertible into 3,884,675 shares of the Issuer's common stock, no par value (the "Common Stock"), at the conversion price of $1.53 per share, subject to a blocker provision that prevents Broadwood Partners from converting the Series A Shares if it would be more than a 19.99% beneficial owner of the Common Stock following such conversion.

F4 · kind: (Continued from Footnote 3) The Issuer has agreed to use its reasonable best efforts to obtain shareholder approval for the 19.99% blocker provision to be waived with respect to the Reporting Persons, so that the Reporting Persons may increase their beneficial ownership of the Common Stock above 19.99%. On April 8, 2024 or the earlier occurrence of certain events or transactions specified in the Purchase Agreement, the Issuer will mandatorily redeem all of the Series A Shares for a cash payment calculated in accordance with the terms of the Purchase Agreement.

F3 · price: On April 13, 2022, Broadwood Partners entered into a Securities Purchase Agreement (the "Purchase Agreement") with Oncocyte Corporation (the "Issuer") pursuant to which Broadwood Partners acquired 5,882.35 shares of Series A Convertible Preferred Stock (the "Series A Shares") from the Issuer in its registered direct offering for a total purchase price of $5,000,000, or $850 per Series A Share. The Series A Shares are currently convertible into 3,884,675 shares of the Issuer's common stock, no par value (the "Common Stock"), at the conversion price of $1.53 per share, subject to a blocker provision that prevents Broadwood Partners from converting the Series A Shares if it would be more than a 19.99% beneficial owner of the Common Stock following such conversion.

F4 · price: (Continued from Footnote 3) The Issuer has agreed to use its reasonable best efforts to obtain shareholder approval for the 19.99% blocker provision to be waived with respect to the Reporting Persons, so that the Reporting Persons may increase their beneficial ownership of the Common Stock above 19.99%. On April 8, 2024 or the earlier occurrence of certain events or transactions specified in the Purchase Agreement, the Issuer will mandatorily redeem all of the Series A Shares for a cash payment calculated in accordance with the terms of the Purchase Agreement.

F3 · derivative.exercise_date: On April 13, 2022, Broadwood Partners entered into a Securities Purchase Agreement (the "Purchase Agreement") with Oncocyte Corporation (the "Issuer") pursuant to which Broadwood Partners acquired 5,882.35 shares of Series A Convertible Preferred Stock (the "Series A Shares") from the Issuer in its registered direct offering for a total purchase price of $5,000,000, or $850 per Series A Share. The Series A Shares are currently convertible into 3,884,675 shares of the Issuer's common stock, no par value (the "Common Stock"), at the conversion price of $1.53 per share, subject to a blocker provision that prevents Broadwood Partners from converting the Series A Shares if it would be more than a 19.99% beneficial owner of the Common Stock following such conversion.

F4 · derivative.exercise_date: (Continued from Footnote 3) The Issuer has agreed to use its reasonable best efforts to obtain shareholder approval for the 19.99% blocker provision to be waived with respect to the Reporting Persons, so that the Reporting Persons may increase their beneficial ownership of the Common Stock above 19.99%. On April 8, 2024 or the earlier occurrence of certain events or transactions specified in the Purchase Agreement, the Issuer will mandatorily redeem all of the Series A Shares for a cash payment calculated in accordance with the terms of the Purchase Agreement.

F3 · derivative.expiration_date: On April 13, 2022, Broadwood Partners entered into a Securities Purchase Agreement (the "Purchase Agreement") with Oncocyte Corporation (the "Issuer") pursuant to which Broadwood Partners acquired 5,882.35 shares of Series A Convertible Preferred Stock (the "Series A Shares") from the Issuer in its registered direct offering for a total purchase price of $5,000,000, or $850 per Series A Share. The Series A Shares are currently convertible into 3,884,675 shares of the Issuer's common stock, no par value (the "Common Stock"), at the conversion price of $1.53 per share, subject to a blocker provision that prevents Broadwood Partners from converting the Series A Shares if it would be more than a 19.99% beneficial owner of the Common Stock following such conversion.

F4 · derivative.expiration_date: (Continued from Footnote 3) The Issuer has agreed to use its reasonable best efforts to obtain shareholder approval for the 19.99% blocker provision to be waived with respect to the Reporting Persons, so that the Reporting Persons may increase their beneficial ownership of the Common Stock above 19.99%. On April 8, 2024 or the earlier occurrence of certain events or transactions specified in the Purchase Agreement, the Issuer will mandatorily redeem all of the Series A Shares for a cash payment calculated in accordance with the terms of the Purchase Agreement.

F1 · ownership.nature: The reported securities are directly owned by Broadwood Partners, L.P. ("Broadwood Partners") and may be deemed to be indirectly beneficially owned by: (i) Broadwood Capital, Inc. ("Broadwood Capital") as General Partner of Broadwood Partners; and (ii) Neal C. Bradsher as President of Broadwood Capital. Each Reporting Person disclaims beneficial ownership of the reported securities except to the extent of its or his pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0000919574-22-002783 · ownership.xml · derivative · entry 4

BROADWOOD PARTNERS, L.P. · CIK 0001278386 · 10% owner

BRADSHER NEAL C · CIK 0001278388 · 10% owner

BROADWOOD CAPITAL INC · CIK 0001278387 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,882.35

Underlying: Common Stock · 3,884,675 shares

Expires not disclosed

F3 · kind: On April 13, 2022, Broadwood Partners entered into a Securities Purchase Agreement (the "Purchase Agreement") with Oncocyte Corporation (the "Issuer") pursuant to which Broadwood Partners acquired 5,882.35 shares of Series A Convertible Preferred Stock (the "Series A Shares") from the Issuer in its registered direct offering for a total purchase price of $5,000,000, or $850 per Series A Share. The Series A Shares are currently convertible into 3,884,675 shares of the Issuer's common stock, no par value (the "Common Stock"), at the conversion price of $1.53 per share, subject to a blocker provision that prevents Broadwood Partners from converting the Series A Shares if it would be more than a 19.99% beneficial owner of the Common Stock following such conversion.

F4 · kind: (Continued from Footnote 3) The Issuer has agreed to use its reasonable best efforts to obtain shareholder approval for the 19.99% blocker provision to be waived with respect to the Reporting Persons, so that the Reporting Persons may increase their beneficial ownership of the Common Stock above 19.99%. On April 8, 2024 or the earlier occurrence of certain events or transactions specified in the Purchase Agreement, the Issuer will mandatorily redeem all of the Series A Shares for a cash payment calculated in accordance with the terms of the Purchase Agreement.

F3 · price: On April 13, 2022, Broadwood Partners entered into a Securities Purchase Agreement (the "Purchase Agreement") with Oncocyte Corporation (the "Issuer") pursuant to which Broadwood Partners acquired 5,882.35 shares of Series A Convertible Preferred Stock (the "Series A Shares") from the Issuer in its registered direct offering for a total purchase price of $5,000,000, or $850 per Series A Share. The Series A Shares are currently convertible into 3,884,675 shares of the Issuer's common stock, no par value (the "Common Stock"), at the conversion price of $1.53 per share, subject to a blocker provision that prevents Broadwood Partners from converting the Series A Shares if it would be more than a 19.99% beneficial owner of the Common Stock following such conversion.

F4 · price: (Continued from Footnote 3) The Issuer has agreed to use its reasonable best efforts to obtain shareholder approval for the 19.99% blocker provision to be waived with respect to the Reporting Persons, so that the Reporting Persons may increase their beneficial ownership of the Common Stock above 19.99%. On April 8, 2024 or the earlier occurrence of certain events or transactions specified in the Purchase Agreement, the Issuer will mandatorily redeem all of the Series A Shares for a cash payment calculated in accordance with the terms of the Purchase Agreement.

F3 · derivative.exercise_date: On April 13, 2022, Broadwood Partners entered into a Securities Purchase Agreement (the "Purchase Agreement") with Oncocyte Corporation (the "Issuer") pursuant to which Broadwood Partners acquired 5,882.35 shares of Series A Convertible Preferred Stock (the "Series A Shares") from the Issuer in its registered direct offering for a total purchase price of $5,000,000, or $850 per Series A Share. The Series A Shares are currently convertible into 3,884,675 shares of the Issuer's common stock, no par value (the "Common Stock"), at the conversion price of $1.53 per share, subject to a blocker provision that prevents Broadwood Partners from converting the Series A Shares if it would be more than a 19.99% beneficial owner of the Common Stock following such conversion.

F4 · derivative.exercise_date: (Continued from Footnote 3) The Issuer has agreed to use its reasonable best efforts to obtain shareholder approval for the 19.99% blocker provision to be waived with respect to the Reporting Persons, so that the Reporting Persons may increase their beneficial ownership of the Common Stock above 19.99%. On April 8, 2024 or the earlier occurrence of certain events or transactions specified in the Purchase Agreement, the Issuer will mandatorily redeem all of the Series A Shares for a cash payment calculated in accordance with the terms of the Purchase Agreement.

F3 · derivative.expiration_date: On April 13, 2022, Broadwood Partners entered into a Securities Purchase Agreement (the "Purchase Agreement") with Oncocyte Corporation (the "Issuer") pursuant to which Broadwood Partners acquired 5,882.35 shares of Series A Convertible Preferred Stock (the "Series A Shares") from the Issuer in its registered direct offering for a total purchase price of $5,000,000, or $850 per Series A Share. The Series A Shares are currently convertible into 3,884,675 shares of the Issuer's common stock, no par value (the "Common Stock"), at the conversion price of $1.53 per share, subject to a blocker provision that prevents Broadwood Partners from converting the Series A Shares if it would be more than a 19.99% beneficial owner of the Common Stock following such conversion.

F4 · derivative.expiration_date: (Continued from Footnote 3) The Issuer has agreed to use its reasonable best efforts to obtain shareholder approval for the 19.99% blocker provision to be waived with respect to the Reporting Persons, so that the Reporting Persons may increase their beneficial ownership of the Common Stock above 19.99%. On April 8, 2024 or the earlier occurrence of certain events or transactions specified in the Purchase Agreement, the Issuer will mandatorily redeem all of the Series A Shares for a cash payment calculated in accordance with the terms of the Purchase Agreement.

F1 · ownership.direct: The reported securities are directly owned by Broadwood Partners, L.P. ("Broadwood Partners") and may be deemed to be indirectly beneficially owned by: (i) Broadwood Capital, Inc. ("Broadwood Capital") as General Partner of Broadwood Partners; and (ii) Neal C. Bradsher as President of Broadwood Capital. Each Reporting Person disclaims beneficial ownership of the reported securities except to the extent of its or his pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0001493152-22-007931 · ownership.xml · nonDerivative · entry 1

Ross Douglas T. · CIK 0001808413 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,317

SEC source: 0001493152-22-007206 · ownership.xml · nonDerivative · entry 1

Paulsen Gisela · CIK 0001807104 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,500

F1 · price: The price of $1.198 per share represents a weighted average of prices ranging from $1.180 to $1.200 per share. The reporting person undertakes to provide upon request by the Commission staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares purchased or sold at each separate price

SEC source: 0001493152-22-007054 · ownership.xml · nonDerivative · entry 1

Redmond Cavan M. · CIK 0001420120 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 110,863

SEC source: 0001493152-22-007205 · ownership.xml · nonDerivative · entry 1

ANDREWS RONALD ASBURY · CIK 0001299153 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 293,212

SEC source: 0001493152-22-006879 · ownership.xml · nonDerivative · entry 1

Levine Mitchell S · CIK 0001383492 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 87,080

F1 · price: The price of $1.166 per share represents a weighted average of prices ranging from $1.155 to $1.180 per share. The reporting person undertakes to provide upon request by the Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased or sold at each separate price.

SEC source: 0001493152-22-007209 · ownership.xml · derivative · entry 2

Ross Douglas T. · CIK 0001808413 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2032-03-15

F2 · derivative.exercise_date: Options vest subject to the Issuer's achievement of pre-defined product development, regulatory and financial goals in 2022. 100% of the options will vest on December 31, 2023, if such pre-defined goals have been achieved in 2022, subject to continuous service through the vesting date.

SEC source: 0001493152-22-007209 · ownership.xml · derivative · entry 1

Ross Douglas T. · CIK 0001808413 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2032-03-15

F1 · derivative.exercise_date: 25% of the options will become exercisable after one year of continuous service from the effective date of grant, and the balance will become exercisable in 36 equal monthly installments commencing one year after the date of grant subject to continuous service through the applicable vesting date.

SEC source: 0001493152-22-007206 · ownership.xml · derivative · entry 3

Paulsen Gisela · CIK 0001807104 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 125,000

Underlying: Common Stock · 125,000 shares

Expires 2032-03-15

F3 · derivative.exercise_date: Options vest subject to the Issuer's achievement of pre-defined product development, regulatory and financial goals in 2022. 100% of the options will vest on December 31, 2023, if such pre-defined goals have been achieved in 2022, subject to continuous service through the vesting date.

SEC source: 0001493152-22-007206 · ownership.xml · derivative · entry 2

Paulsen Gisela · CIK 0001807104 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 125,000

Underlying: Common Stock · 125,000 shares

Expires 2032-03-15

F2 · derivative.exercise_date: 25% of the options will become exercisable after one year of continuous service from the effective date of grant, and the balance will become exercisable in 36 equal monthly installments commencing one year after the date of grant subject to continuous service through the applicable vesting date.

SEC source: 0001493152-22-007201 · ownership.xml · derivative · entry 2

Sundar Padmavathi · CIK 0001778709 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 87,500

Underlying: Common Stock · 87,500 shares

Expires 2032-03-15

F2 · derivative.exercise_date: Options vest subject to the Issuer's achievement of pre-defined product development, regulatory and financial goals in 2022. 100% of the options will vest on December 31, 2023, if such pre-defined goals have been achieved in 2022, subject to continuous service through the vesting date.

SEC source: 0001493152-22-007201 · ownership.xml · derivative · entry 1

Sundar Padmavathi · CIK 0001778709 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 87,500

Underlying: Common Stock · 87,500 shares

Expires 2032-03-15

F1 · derivative.exercise_date: 25% of the options will become exercisable after one year of continuous service from the effective date of grant, and the balance will become exercisable in 36 equal monthly installments commencing one year after the date of grant subject to continuous service through the applicable vesting date.

SEC source: 0001493152-22-007202 · ownership.xml · derivative · entry 5

ANDREWS RONALD ASBURY · CIK 0001299153 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 500,000

Underlying: Common Stock · 500,000 shares

Expires 2024-12-31

F5 · derivative.exercise_date: The restricted stock units will vest immediately upon the Issuer's achievement with respect to pre-defined market capitalization objectives and product-related milestones during the period beginning on January 1, 2022 and ending on December 31, 2024, subject to continuous service through the applicable vesting date. The number of restricted stock units that will vest will be determined based on the Issuer's level of achievement with respect to such pre-defined milestones. If such pre-defined milestones are not achieved at a minimum level, no vesting will occur and the restricted stock units will be cancelled.

SEC source: 0001493152-22-007202 · ownership.xml · derivative · entry 4

ANDREWS RONALD ASBURY · CIK 0001299153 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,000

Underlying: Common Stock · 35,000 shares

Expires 2023-03-15

F4 · derivative.exercise_date: The restricted stock units shall vest upon the completion of one year of continuous service from the date of grant.

SEC source: 0001493152-22-007202 · ownership.xml · derivative · entry 3

ANDREWS RONALD ASBURY · CIK 0001299153 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 375,000

Underlying: Common Stock · 375,000 shares

Expires 2032-03-15

F3 · derivative.exercise_date: Options vest subject to the Issuer's achievement of pre-defined product-related milestones and financial performance and corporate budget objectives in 2022. The number of options that will vest will be determined based on the Issuer's level of achievement in 2022 with respect to such pre-defined objectives. If such pre-defined objectives are not achieved at a minimum level, no vesting will occur and the options will be cancelled. Options will vest in annual installments over three years from the effective date of grant, if such pre-defined objectives have been achieved in 2022, subject to continuous service through the applicable vesting date.

SEC source: 0001493152-22-007202 · ownership.xml · derivative · entry 2

ANDREWS RONALD ASBURY · CIK 0001299153 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 200,000

Underlying: Common Stock · 200,000 shares

Expires 2032-03-15

F2 · derivative.exercise_date: Options vest subject to the Issuer's achievement of pre-defined product development, regulatory and financial goals in 2022. 100% of the options will vest on December 31, 2023, if such pre-defined goals have been achieved in 2022, subject to continuous service through the vesting date.

SEC source: 0001493152-22-007202 · ownership.xml · derivative · entry 1

ANDREWS RONALD ASBURY · CIK 0001299153 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 300,000

Underlying: Common Stock · 300,000 shares

Expires 2032-03-15

F1 · derivative.exercise_date: 25% of the options will become exercisable after one year of continuous service from the effective date of grant, and the balance will become exercisable in 36 equal monthly installments commencing one year after the date of grant subject to continuous service through the applicable vesting date.

SEC source: 0001493152-22-007198 · ownership.xml · derivative · entry 2

Levine Mitchell S · CIK 0001383492 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 87,500

Underlying: Common Stock · 87,500 shares

Expires 2032-03-15

F2 · derivative.exercise_date: Options vest subject to the Issuer's achievement of pre-defined product development, regulatory and financial goals in 2022. 100% of the options will vest on December 31, 2023, if such pre-defined goals have been achieved in 2022, subject to continuous service through the vesting date.

SEC source: 0001493152-22-007198 · ownership.xml · derivative · entry 1

Levine Mitchell S · CIK 0001383492 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 87,500

Underlying: Common Stock · 87,500 shares

Expires 2032-03-15

F1 · derivative.exercise_date: 25% of the options will become exercisable after one year of continuous service from the effective date of grant, and the balance will become exercisable in 36 equal monthly installments commencing one year after the date of grant subject to continuous service through the applicable vesting date.

SEC source: 0001493152-22-007210 · ownership.xml · derivative · entry 2

Yu Li · CIK 0001777275 · VP Cntrllr/Prncpl Acctng Offcr

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,500

Underlying: Common Stock · 37,500 shares

Expires 2032-03-15

F2 · derivative.exercise_date: Options vest subject to the Issuer's achievement of pre-defined product development, regulatory and financial goals in 2022. 100% of the options will vest on December 31, 2023, if such pre-defined goals have been achieved in 2022, subject to continuous service through the vesting date.

SEC source: 0001493152-22-007210 · ownership.xml · derivative · entry 1

Yu Li · CIK 0001777275 · VP Cntrllr/Prncpl Acctng Offcr

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,500

Underlying: Common Stock · 37,500 shares

Expires 2032-03-15

F1 · derivative.exercise_date: 25% of the options will become exercisable after one year of continuous service from the effective date of grant, and the balance will become exercisable in 36 equal monthly installments commencing one year after the date of grant subject to continuous service through the applicable vesting date.

SEC source: 0000919574-21-005979 · ownership.xml · derivative · entry 9

BROADWOOD PARTNERS, L.P. · CIK 0001278386 · 10% owner

BROADWOOD CAPITAL INC · CIK 0001278387 · 10% owner

BRADSHER NEAL C · CIK 0001278388 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · Footnote

Disclosed balance after: 0

Underlying: Common Stock · 573,461 shares

Expires 2021-09-30

F2 · kind: On September 23, 2021, Broadwood Partners and Oncocyte Corporation (the "Issuer") entered into a Warrant Exercise Agreement pursuant to which: (i) the Issuer agreed to reduce the exercise price of a common stock warrant (the "Common Stock Warrant") held by Broadwood Partners to purchase up to 573,461 shares of the Issuer's common stock (the "Shares") from $3.25 per Share to $3.1525 per Share; and (ii) Broadwood Partners agreed to exercise the Common Stock Warrant in full on or prior to September 30, 2021. Shortly after executing the Warrant Exercise Agreement, Broadwood Partners exercised the Common Stock Warrant in full and received 573,461 Shares in exchange for payment to the Issuer of $1,807,835.81.

F3 · kind: (Continued from Footnote 2) The first two reported transactions reflect the deemed cancellation of the "old" Common Stock Warrant and the grant of a "replacement" Common Stock Warrant, respectively, pursuant to the amendment of the Common Stock Warrant set forth in the Warrant Exercise Agreement. The third reported transaction reflects Broadwood Partners' full exercise of the replacement Common Stock Warrant after executing the Warrant Exercise Agreement.

F2 · price: On September 23, 2021, Broadwood Partners and Oncocyte Corporation (the "Issuer") entered into a Warrant Exercise Agreement pursuant to which: (i) the Issuer agreed to reduce the exercise price of a common stock warrant (the "Common Stock Warrant") held by Broadwood Partners to purchase up to 573,461 shares of the Issuer's common stock (the "Shares") from $3.25 per Share to $3.1525 per Share; and (ii) Broadwood Partners agreed to exercise the Common Stock Warrant in full on or prior to September 30, 2021. Shortly after executing the Warrant Exercise Agreement, Broadwood Partners exercised the Common Stock Warrant in full and received 573,461 Shares in exchange for payment to the Issuer of $1,807,835.81.

F3 · price: (Continued from Footnote 2) The first two reported transactions reflect the deemed cancellation of the "old" Common Stock Warrant and the grant of a "replacement" Common Stock Warrant, respectively, pursuant to the amendment of the Common Stock Warrant set forth in the Warrant Exercise Agreement. The third reported transaction reflects Broadwood Partners' full exercise of the replacement Common Stock Warrant after executing the Warrant Exercise Agreement.

F5 · derivative.exercise_date: These warrants are currently exercisable.

F1 · ownership.nature: The reported securities are directly owned by Broadwood Partners, L.P. ("Broadwood Partners") and may be deemed to be indirectly beneficially owned by: (i) Broadwood Capital, Inc. ("Broadwood Capital") as General Partner of Broadwood Partners; and (ii) Neal C. Bradsher as President of Broadwood Capital. Each Reporting Person disclaims beneficial ownership of the reported securities except to the extent of its or his pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0000919574-21-005979 · ownership.xml · derivative · entry 8

BROADWOOD PARTNERS, L.P. · CIK 0001278386 · 10% owner

BROADWOOD CAPITAL INC · CIK 0001278387 · 10% owner

BRADSHER NEAL C · CIK 0001278388 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 573,461 shares

Expires 2021-09-30

F2 · kind: On September 23, 2021, Broadwood Partners and Oncocyte Corporation (the "Issuer") entered into a Warrant Exercise Agreement pursuant to which: (i) the Issuer agreed to reduce the exercise price of a common stock warrant (the "Common Stock Warrant") held by Broadwood Partners to purchase up to 573,461 shares of the Issuer's common stock (the "Shares") from $3.25 per Share to $3.1525 per Share; and (ii) Broadwood Partners agreed to exercise the Common Stock Warrant in full on or prior to September 30, 2021. Shortly after executing the Warrant Exercise Agreement, Broadwood Partners exercised the Common Stock Warrant in full and received 573,461 Shares in exchange for payment to the Issuer of $1,807,835.81.

F3 · kind: (Continued from Footnote 2) The first two reported transactions reflect the deemed cancellation of the "old" Common Stock Warrant and the grant of a "replacement" Common Stock Warrant, respectively, pursuant to the amendment of the Common Stock Warrant set forth in the Warrant Exercise Agreement. The third reported transaction reflects Broadwood Partners' full exercise of the replacement Common Stock Warrant after executing the Warrant Exercise Agreement.

F2 · price: On September 23, 2021, Broadwood Partners and Oncocyte Corporation (the "Issuer") entered into a Warrant Exercise Agreement pursuant to which: (i) the Issuer agreed to reduce the exercise price of a common stock warrant (the "Common Stock Warrant") held by Broadwood Partners to purchase up to 573,461 shares of the Issuer's common stock (the "Shares") from $3.25 per Share to $3.1525 per Share; and (ii) Broadwood Partners agreed to exercise the Common Stock Warrant in full on or prior to September 30, 2021. Shortly after executing the Warrant Exercise Agreement, Broadwood Partners exercised the Common Stock Warrant in full and received 573,461 Shares in exchange for payment to the Issuer of $1,807,835.81.

F3 · price: (Continued from Footnote 2) The first two reported transactions reflect the deemed cancellation of the "old" Common Stock Warrant and the grant of a "replacement" Common Stock Warrant, respectively, pursuant to the amendment of the Common Stock Warrant set forth in the Warrant Exercise Agreement. The third reported transaction reflects Broadwood Partners' full exercise of the replacement Common Stock Warrant after executing the Warrant Exercise Agreement.

F5 · derivative.exercise_date: These warrants are currently exercisable.

F1 · ownership.direct: The reported securities are directly owned by Broadwood Partners, L.P. ("Broadwood Partners") and may be deemed to be indirectly beneficially owned by: (i) Broadwood Capital, Inc. ("Broadwood Capital") as General Partner of Broadwood Partners; and (ii) Neal C. Bradsher as President of Broadwood Capital. Each Reporting Person disclaims beneficial ownership of the reported securities except to the extent of its or his pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0000919574-21-005979 · ownership.xml · derivative · entry 7

BROADWOOD PARTNERS, L.P. · CIK 0001278386 · 10% owner

BROADWOOD CAPITAL INC · CIK 0001278387 · 10% owner

BRADSHER NEAL C · CIK 0001278388 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · Footnote

Disclosed balance after: 573,461

Underlying: Common Stock · 573,461 shares

Expires 2021-09-30

F2 · kind: On September 23, 2021, Broadwood Partners and Oncocyte Corporation (the "Issuer") entered into a Warrant Exercise Agreement pursuant to which: (i) the Issuer agreed to reduce the exercise price of a common stock warrant (the "Common Stock Warrant") held by Broadwood Partners to purchase up to 573,461 shares of the Issuer's common stock (the "Shares") from $3.25 per Share to $3.1525 per Share; and (ii) Broadwood Partners agreed to exercise the Common Stock Warrant in full on or prior to September 30, 2021. Shortly after executing the Warrant Exercise Agreement, Broadwood Partners exercised the Common Stock Warrant in full and received 573,461 Shares in exchange for payment to the Issuer of $1,807,835.81.

F3 · kind: (Continued from Footnote 2) The first two reported transactions reflect the deemed cancellation of the "old" Common Stock Warrant and the grant of a "replacement" Common Stock Warrant, respectively, pursuant to the amendment of the Common Stock Warrant set forth in the Warrant Exercise Agreement. The third reported transaction reflects Broadwood Partners' full exercise of the replacement Common Stock Warrant after executing the Warrant Exercise Agreement.

F2 · price: On September 23, 2021, Broadwood Partners and Oncocyte Corporation (the "Issuer") entered into a Warrant Exercise Agreement pursuant to which: (i) the Issuer agreed to reduce the exercise price of a common stock warrant (the "Common Stock Warrant") held by Broadwood Partners to purchase up to 573,461 shares of the Issuer's common stock (the "Shares") from $3.25 per Share to $3.1525 per Share; and (ii) Broadwood Partners agreed to exercise the Common Stock Warrant in full on or prior to September 30, 2021. Shortly after executing the Warrant Exercise Agreement, Broadwood Partners exercised the Common Stock Warrant in full and received 573,461 Shares in exchange for payment to the Issuer of $1,807,835.81.

F3 · price: (Continued from Footnote 2) The first two reported transactions reflect the deemed cancellation of the "old" Common Stock Warrant and the grant of a "replacement" Common Stock Warrant, respectively, pursuant to the amendment of the Common Stock Warrant set forth in the Warrant Exercise Agreement. The third reported transaction reflects Broadwood Partners' full exercise of the replacement Common Stock Warrant after executing the Warrant Exercise Agreement.

F5 · derivative.exercise_date: These warrants are currently exercisable.

F1 · ownership.nature: The reported securities are directly owned by Broadwood Partners, L.P. ("Broadwood Partners") and may be deemed to be indirectly beneficially owned by: (i) Broadwood Capital, Inc. ("Broadwood Capital") as General Partner of Broadwood Partners; and (ii) Neal C. Bradsher as President of Broadwood Capital. Each Reporting Person disclaims beneficial ownership of the reported securities except to the extent of its or his pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0000919574-21-005979 · ownership.xml · derivative · entry 6

BROADWOOD PARTNERS, L.P. · CIK 0001278386 · 10% owner

BROADWOOD CAPITAL INC · CIK 0001278387 · 10% owner

BRADSHER NEAL C · CIK 0001278388 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 573,461

Underlying: Common Stock · 573,461 shares

Expires 2021-09-30

F2 · kind: On September 23, 2021, Broadwood Partners and Oncocyte Corporation (the "Issuer") entered into a Warrant Exercise Agreement pursuant to which: (i) the Issuer agreed to reduce the exercise price of a common stock warrant (the "Common Stock Warrant") held by Broadwood Partners to purchase up to 573,461 shares of the Issuer's common stock (the "Shares") from $3.25 per Share to $3.1525 per Share; and (ii) Broadwood Partners agreed to exercise the Common Stock Warrant in full on or prior to September 30, 2021. Shortly after executing the Warrant Exercise Agreement, Broadwood Partners exercised the Common Stock Warrant in full and received 573,461 Shares in exchange for payment to the Issuer of $1,807,835.81.

F3 · kind: (Continued from Footnote 2) The first two reported transactions reflect the deemed cancellation of the "old" Common Stock Warrant and the grant of a "replacement" Common Stock Warrant, respectively, pursuant to the amendment of the Common Stock Warrant set forth in the Warrant Exercise Agreement. The third reported transaction reflects Broadwood Partners' full exercise of the replacement Common Stock Warrant after executing the Warrant Exercise Agreement.

F2 · price: On September 23, 2021, Broadwood Partners and Oncocyte Corporation (the "Issuer") entered into a Warrant Exercise Agreement pursuant to which: (i) the Issuer agreed to reduce the exercise price of a common stock warrant (the "Common Stock Warrant") held by Broadwood Partners to purchase up to 573,461 shares of the Issuer's common stock (the "Shares") from $3.25 per Share to $3.1525 per Share; and (ii) Broadwood Partners agreed to exercise the Common Stock Warrant in full on or prior to September 30, 2021. Shortly after executing the Warrant Exercise Agreement, Broadwood Partners exercised the Common Stock Warrant in full and received 573,461 Shares in exchange for payment to the Issuer of $1,807,835.81.

F3 · price: (Continued from Footnote 2) The first two reported transactions reflect the deemed cancellation of the "old" Common Stock Warrant and the grant of a "replacement" Common Stock Warrant, respectively, pursuant to the amendment of the Common Stock Warrant set forth in the Warrant Exercise Agreement. The third reported transaction reflects Broadwood Partners' full exercise of the replacement Common Stock Warrant after executing the Warrant Exercise Agreement.

F5 · derivative.exercise_date: These warrants are currently exercisable.

F1 · ownership.direct: The reported securities are directly owned by Broadwood Partners, L.P. ("Broadwood Partners") and may be deemed to be indirectly beneficially owned by: (i) Broadwood Capital, Inc. ("Broadwood Capital") as General Partner of Broadwood Partners; and (ii) Neal C. Bradsher as President of Broadwood Capital. Each Reporting Person disclaims beneficial ownership of the reported securities except to the extent of its or his pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0000919574-21-005979 · ownership.xml · derivative · entry 5

BROADWOOD PARTNERS, L.P. · CIK 0001278386 · 10% owner

BROADWOOD CAPITAL INC · CIK 0001278387 · 10% owner

BRADSHER NEAL C · CIK 0001278388 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · Footnote

Disclosed balance after: 0

Underlying: Common Stock · 573,461 shares

Expires 2021-10-17

F2 · kind: On September 23, 2021, Broadwood Partners and Oncocyte Corporation (the "Issuer") entered into a Warrant Exercise Agreement pursuant to which: (i) the Issuer agreed to reduce the exercise price of a common stock warrant (the "Common Stock Warrant") held by Broadwood Partners to purchase up to 573,461 shares of the Issuer's common stock (the "Shares") from $3.25 per Share to $3.1525 per Share; and (ii) Broadwood Partners agreed to exercise the Common Stock Warrant in full on or prior to September 30, 2021. Shortly after executing the Warrant Exercise Agreement, Broadwood Partners exercised the Common Stock Warrant in full and received 573,461 Shares in exchange for payment to the Issuer of $1,807,835.81.

F3 · kind: (Continued from Footnote 2) The first two reported transactions reflect the deemed cancellation of the "old" Common Stock Warrant and the grant of a "replacement" Common Stock Warrant, respectively, pursuant to the amendment of the Common Stock Warrant set forth in the Warrant Exercise Agreement. The third reported transaction reflects Broadwood Partners' full exercise of the replacement Common Stock Warrant after executing the Warrant Exercise Agreement.

F2 · price: On September 23, 2021, Broadwood Partners and Oncocyte Corporation (the "Issuer") entered into a Warrant Exercise Agreement pursuant to which: (i) the Issuer agreed to reduce the exercise price of a common stock warrant (the "Common Stock Warrant") held by Broadwood Partners to purchase up to 573,461 shares of the Issuer's common stock (the "Shares") from $3.25 per Share to $3.1525 per Share; and (ii) Broadwood Partners agreed to exercise the Common Stock Warrant in full on or prior to September 30, 2021. Shortly after executing the Warrant Exercise Agreement, Broadwood Partners exercised the Common Stock Warrant in full and received 573,461 Shares in exchange for payment to the Issuer of $1,807,835.81.

F3 · price: (Continued from Footnote 2) The first two reported transactions reflect the deemed cancellation of the "old" Common Stock Warrant and the grant of a "replacement" Common Stock Warrant, respectively, pursuant to the amendment of the Common Stock Warrant set forth in the Warrant Exercise Agreement. The third reported transaction reflects Broadwood Partners' full exercise of the replacement Common Stock Warrant after executing the Warrant Exercise Agreement.

F5 · derivative.exercise_date: These warrants are currently exercisable.

F1 · ownership.nature: The reported securities are directly owned by Broadwood Partners, L.P. ("Broadwood Partners") and may be deemed to be indirectly beneficially owned by: (i) Broadwood Capital, Inc. ("Broadwood Capital") as General Partner of Broadwood Partners; and (ii) Neal C. Bradsher as President of Broadwood Capital. Each Reporting Person disclaims beneficial ownership of the reported securities except to the extent of its or his pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0000919574-21-005979 · ownership.xml · derivative · entry 4

BROADWOOD PARTNERS, L.P. · CIK 0001278386 · 10% owner

BROADWOOD CAPITAL INC · CIK 0001278387 · 10% owner

BRADSHER NEAL C · CIK 0001278388 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 573,461 shares

Expires 2021-10-17

F2 · kind: On September 23, 2021, Broadwood Partners and Oncocyte Corporation (the "Issuer") entered into a Warrant Exercise Agreement pursuant to which: (i) the Issuer agreed to reduce the exercise price of a common stock warrant (the "Common Stock Warrant") held by Broadwood Partners to purchase up to 573,461 shares of the Issuer's common stock (the "Shares") from $3.25 per Share to $3.1525 per Share; and (ii) Broadwood Partners agreed to exercise the Common Stock Warrant in full on or prior to September 30, 2021. Shortly after executing the Warrant Exercise Agreement, Broadwood Partners exercised the Common Stock Warrant in full and received 573,461 Shares in exchange for payment to the Issuer of $1,807,835.81.

F3 · kind: (Continued from Footnote 2) The first two reported transactions reflect the deemed cancellation of the "old" Common Stock Warrant and the grant of a "replacement" Common Stock Warrant, respectively, pursuant to the amendment of the Common Stock Warrant set forth in the Warrant Exercise Agreement. The third reported transaction reflects Broadwood Partners' full exercise of the replacement Common Stock Warrant after executing the Warrant Exercise Agreement.

F2 · price: On September 23, 2021, Broadwood Partners and Oncocyte Corporation (the "Issuer") entered into a Warrant Exercise Agreement pursuant to which: (i) the Issuer agreed to reduce the exercise price of a common stock warrant (the "Common Stock Warrant") held by Broadwood Partners to purchase up to 573,461 shares of the Issuer's common stock (the "Shares") from $3.25 per Share to $3.1525 per Share; and (ii) Broadwood Partners agreed to exercise the Common Stock Warrant in full on or prior to September 30, 2021. Shortly after executing the Warrant Exercise Agreement, Broadwood Partners exercised the Common Stock Warrant in full and received 573,461 Shares in exchange for payment to the Issuer of $1,807,835.81.

F3 · price: (Continued from Footnote 2) The first two reported transactions reflect the deemed cancellation of the "old" Common Stock Warrant and the grant of a "replacement" Common Stock Warrant, respectively, pursuant to the amendment of the Common Stock Warrant set forth in the Warrant Exercise Agreement. The third reported transaction reflects Broadwood Partners' full exercise of the replacement Common Stock Warrant after executing the Warrant Exercise Agreement.

F5 · derivative.exercise_date: These warrants are currently exercisable.

F1 · ownership.direct: The reported securities are directly owned by Broadwood Partners, L.P. ("Broadwood Partners") and may be deemed to be indirectly beneficially owned by: (i) Broadwood Capital, Inc. ("Broadwood Capital") as General Partner of Broadwood Partners; and (ii) Neal C. Bradsher as President of Broadwood Capital. Each Reporting Person disclaims beneficial ownership of the reported securities except to the extent of its or his pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0000919574-21-005979 · ownership.xml · nonDerivative · entry 2

BROADWOOD PARTNERS, L.P. · CIK 0001278386 · 10% owner

BROADWOOD CAPITAL INC · CIK 0001278387 · 10% owner

BRADSHER NEAL C · CIK 0001278388 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · Footnote

Disclosed balance after: 17,349,945

F1 · ownership.nature: The reported securities are directly owned by Broadwood Partners, L.P. ("Broadwood Partners") and may be deemed to be indirectly beneficially owned by: (i) Broadwood Capital, Inc. ("Broadwood Capital") as General Partner of Broadwood Partners; and (ii) Neal C. Bradsher as President of Broadwood Capital. Each Reporting Person disclaims beneficial ownership of the reported securities except to the extent of its or his pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0000919574-21-005979 · ownership.xml · nonDerivative · entry 1

BROADWOOD PARTNERS, L.P. · CIK 0001278386 · 10% owner

BROADWOOD CAPITAL INC · CIK 0001278387 · 10% owner

BRADSHER NEAL C · CIK 0001278388 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,349,945

F2 · price: On September 23, 2021, Broadwood Partners and Oncocyte Corporation (the "Issuer") entered into a Warrant Exercise Agreement pursuant to which: (i) the Issuer agreed to reduce the exercise price of a common stock warrant (the "Common Stock Warrant") held by Broadwood Partners to purchase up to 573,461 shares of the Issuer's common stock (the "Shares") from $3.25 per Share to $3.1525 per Share; and (ii) Broadwood Partners agreed to exercise the Common Stock Warrant in full on or prior to September 30, 2021. Shortly after executing the Warrant Exercise Agreement, Broadwood Partners exercised the Common Stock Warrant in full and received 573,461 Shares in exchange for payment to the Issuer of $1,807,835.81.

F3 · price: (Continued from Footnote 2) The first two reported transactions reflect the deemed cancellation of the "old" Common Stock Warrant and the grant of a "replacement" Common Stock Warrant, respectively, pursuant to the amendment of the Common Stock Warrant set forth in the Warrant Exercise Agreement. The third reported transaction reflects Broadwood Partners' full exercise of the replacement Common Stock Warrant after executing the Warrant Exercise Agreement.

F1 · ownership.direct: The reported securities are directly owned by Broadwood Partners, L.P. ("Broadwood Partners") and may be deemed to be indirectly beneficially owned by: (i) Broadwood Capital, Inc. ("Broadwood Capital") as General Partner of Broadwood Partners; and (ii) Neal C. Bradsher as President of Broadwood Capital. Each Reporting Person disclaims beneficial ownership of the reported securities except to the extent of its or his pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0001493152-21-016130 · ownership.xml · derivative · entry 3

ANDREWS RONALD ASBURY · CIK 0001299153 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Shares · 65,000 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.exercise_date: Restricted Stock Units vested on July 1, 2021.

F2 · derivative.expiration_date: Restricted Stock Units vested on July 1, 2021.

SEC source: 0001493152-21-016130 · ownership.xml · nonDerivative · entry 2

ANDREWS RONALD ASBURY · CIK 0001299153 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 243,212

F1 · kind: Securities withheld for tax purposes exempt under Rule 16(b)-3 in connection with the vesting of 65,000 Restricted Stock Units.

SEC source: 0001493152-21-016130 · ownership.xml · nonDerivative · entry 1

ANDREWS RONALD ASBURY · CIK 0001299153 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 259,046

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.