ORKA

SEC source: 0000921895-22-001438 · form413392002_05022022.xml · nonDerivative · entry 1

Funicular Fund, LP · CIK 0001752618 · See Footnote 1

Ma-Weaver Jacob · CIK 0001922140 · See Footnote 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,217,351

F1 · security: This Form 4 is filed by the Funicular Fund, LP (the "Fund") and Jacob Ma-Weaver (the "Reporting Persons"). The Reporting Persons and Cable Car Capital LLC ("Cable Car") may be deemed to be a member of a Section 13(d) group that may be deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of Common Stock (the "Shares"). Each of the Reporting Persons and Cable Car disclaim beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein.

F2 · price: Represents a weighted average price. These Shares were purchased in multiple transactions at prices ranging from $2.2650 to $2.3250, inclusive of brokerage commissions. The Reporting Persons undertake to provide 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 this footnote.

F3 · ownership.direct: Represents securities directly owned by the Fund. Cable Car, as the general partner of the Fund, may be deemed to beneficially own the securities directly owned by the Fund. Mr. Ma-Weaver, as the Managing Member of Cable Car, may be deemed to beneficially own the securities directly owned by the Fund.

SEC source: 0000921895-22-001390 · form413392002_04272022.xml · derivative · entry 2

Funicular Fund, LP · CIK 0001752618 · See Footnote 1

Ma-Weaver Jacob · CIK 0001922140 · See Footnote 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,500

Underlying: Common Stock · 1,450,000 shares

Expires 2022-12-16

F1 · security: This Form 4 is filed by the Funicular Fund, LP (the "Fund") and Jacob Ma-Weaver (the "Reporting Persons"). The Reporting Persons and Cable Car Capital LLC ("Cable Car") may be deemed to be a member of a Section 13(d) group that may be deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of Common Stock (the "Shares"). Each of the Reporting Persons and Cable Car disclaim beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein.

F4 · security: The Fund wrote 7,500 European-Style put option contracts expiring in December 2022 (the "Put Options") which provide that the Fund will be required to purchase shares of Common Stock at the stated strike price if the counterparty exercises such option. The price of the premium received by the Fund for each contract includes brokerage commissions.

F4 · price: The Fund wrote 7,500 European-Style put option contracts expiring in December 2022 (the "Put Options") which provide that the Fund will be required to purchase shares of Common Stock at the stated strike price if the counterparty exercises such option. The price of the premium received by the Fund for each contract includes brokerage commissions.

F4 · ownership.direct: The Fund wrote 7,500 European-Style put option contracts expiring in December 2022 (the "Put Options") which provide that the Fund will be required to purchase shares of Common Stock at the stated strike price if the counterparty exercises such option. The price of the premium received by the Fund for each contract includes brokerage commissions.

SEC source: 0000921895-22-001390 · form413392002_04272022.xml · nonDerivative · entry 1

Funicular Fund, LP · CIK 0001752618 · See Footnote 1

Ma-Weaver Jacob · CIK 0001922140 · See Footnote 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,193,970

F1 · security: This Form 4 is filed by the Funicular Fund, LP (the "Fund") and Jacob Ma-Weaver (the "Reporting Persons"). The Reporting Persons and Cable Car Capital LLC ("Cable Car") may be deemed to be a member of a Section 13(d) group that may be deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of Common Stock (the "Shares"). Each of the Reporting Persons and Cable Car disclaim beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein.

F2 · price: Represents a weighted average price. These Shares were purchased in multiple transactions at prices ranging from $2.2750 to $2.3050, inclusive of brokerage commissions. The Reporting Persons undertake to provide 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 this footnote.

F3 · ownership.direct: Represents securities directly owned by the Fund. Cable Car, as the general partner of the Fund, may be deemed to beneficially own the securities directly owned by the Fund. Mr. Ma-Weaver, as the Managing Member of Cable Car, may be deemed to beneficially own the securities directly owned by the Fund.

SEC source: 0000921895-22-001318 · form413392002_04202022.xml · derivative · entry 2

Funicular Fund, LP · CIK 0001752618 · See Footnote 1

Ma-Weaver Jacob · CIK 0001922140 · See Footnote 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,000

Underlying: Common Stock · 700,000 shares

Expires 2022-12-16

F1 · security: This Form 4 is filed by the Funicular Fund, LP (the "Fund") and Jacob Ma-Weaver (the "Reporting Persons"). The Reporting Persons and Cable Car Capital LLC ("Cable Car") may be deemed to be a member of a Section 13(d) group that may be deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of Common Stock (the "Shares"). Each of the Reporting Persons and Cable Car disclaim beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein.

F4 · security: The Fund wrote 7,000 European-Style put option contracts expiring in December 2022 (the "Put Options") which provide that the Fund will be required to purchase shares of Common Stock at the stated strike price if the counterparty exercises such option. The price of the premium received by the Fund for each contract includes brokerage commissions.

F4 · price: The Fund wrote 7,000 European-Style put option contracts expiring in December 2022 (the "Put Options") which provide that the Fund will be required to purchase shares of Common Stock at the stated strike price if the counterparty exercises such option. The price of the premium received by the Fund for each contract includes brokerage commissions.

F4 · ownership.direct: The Fund wrote 7,000 European-Style put option contracts expiring in December 2022 (the "Put Options") which provide that the Fund will be required to purchase shares of Common Stock at the stated strike price if the counterparty exercises such option. The price of the premium received by the Fund for each contract includes brokerage commissions.

SEC source: 0000921895-22-001318 · form413392002_04202022.xml · nonDerivative · entry 1

Funicular Fund, LP · CIK 0001752618 · See Footnote 1

Ma-Weaver Jacob · CIK 0001922140 · See Footnote 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,180,219

F1 · security: This Form 4 is filed by the Funicular Fund, LP (the "Fund") and Jacob Ma-Weaver (the "Reporting Persons"). The Reporting Persons and Cable Car Capital LLC ("Cable Car") may be deemed to be a member of a Section 13(d) group that may be deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of Common Stock (the "Shares"). Each of the Reporting Persons and Cable Car disclaim beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein.

F2 · price: Represents a weighted average price. These Shares were purchased in multiple transactions at prices ranging from $2.3050 to $2.3150, inclusive of brokerage commissions. The Reporting Persons undertake to provide 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 this footnote.

F3 · ownership.direct: Represents securities directly owned by the Fund. Cable Car, as the general partner of the Fund, may be deemed to beneficially own the securities directly owned by the Fund. Mr. Ma-Weaver, as the Managing Member of Cable Car, may be deemed to beneficially own the securities directly owned by the Fund.

SEC source: 0000921895-22-001257 · form413392002_04142022.xml · nonDerivative · entry 1

Funicular Fund, LP · CIK 0001752618 · See Footnote 1

Ma-Weaver Jacob · CIK 0001922140 · See Footnote 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,171,100

F1 · security: This Form 4 is filed by the Funicular Fund, LP (the "Fund") and Jacob Ma-Weaver (the "Reporting Persons"). The Reporting Persons and Cable Car Capital LLC ("Cable Car") may be deemed to be a member of a Section 13(d) group that may be deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of Common Stock. Each of the Reporting Persons and Cable Car disclaim beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein.

F2 · price: Represents a weighted average price. These Shares were purchased in multiple transactions at prices ranging from $2.3050 to $2.3350, inclusive of brokerage commissions. The Reporting Persons undertake to provide 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 this footnote.

F3 · ownership.direct: Represents securities directly owned by the Fund. Cable Car, as the general partner of the Fund, may be deemed to beneficially own the securities directly owned by the Fund. Mr. Ma-Weaver, as the Managing Member of Cable Car, may be deemed to beneficially own the securities directly owned by the Fund.

SEC source: 0000921895-22-001225 · form413392002_04122022.xml · nonDerivative · entry 3

Funicular Fund, LP · CIK 0001752618 · See Footnote 1

Ma-Weaver Jacob · CIK 0001922140 · See Footnote 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,153,690

F1 · security: This Form 4 is filed by the Funicular Fund, LP (the "Fund") and Jacob Ma-Weaver (the "Reporting Persons"). The Reporting Persons and Cable Car Capital LLC ("Cable Car") may be deemed to be a member of a Section 13(d) group that may be deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of Common Stock. Each of the Reporting Persons and Cable Car disclaim beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein.

F3 · price: Represents a weighted average price. These Shares were purchased in multiple transactions at prices ranging from $2.3050 to $2.3250, inclusive of brokerage commissions. The Reporting Persons undertake to provide 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 this footnote.

F4 · ownership.direct: Represents securities directly owned by the Fund. Cable Car, as the general partner of the Fund, may be deemed to beneficially own the securities directly owned by the Fund. Mr. Ma-Weaver, as the Managing Member of Cable Car, may be deemed to beneficially own the securities directly owned by the Fund.

SEC source: 0000921895-22-001225 · form413392002_04122022.xml · nonDerivative · entry 2

Funicular Fund, LP · CIK 0001752618 · See Footnote 1

Ma-Weaver Jacob · CIK 0001922140 · See Footnote 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,084,292

F1 · security: This Form 4 is filed by the Funicular Fund, LP (the "Fund") and Jacob Ma-Weaver (the "Reporting Persons"). The Reporting Persons and Cable Car Capital LLC ("Cable Car") may be deemed to be a member of a Section 13(d) group that may be deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of Common Stock. Each of the Reporting Persons and Cable Car disclaim beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein.

F4 · ownership.direct: Represents securities directly owned by the Fund. Cable Car, as the general partner of the Fund, may be deemed to beneficially own the securities directly owned by the Fund. Mr. Ma-Weaver, as the Managing Member of Cable Car, may be deemed to beneficially own the securities directly owned by the Fund.

SEC source: 0000921895-22-001225 · form413392002_04122022.xml · nonDerivative · entry 1

Funicular Fund, LP · CIK 0001752618 · See Footnote 1

Ma-Weaver Jacob · CIK 0001922140 · See Footnote 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,079,637

F1 · security: This Form 4 is filed by the Funicular Fund, LP (the "Fund") and Jacob Ma-Weaver (the "Reporting Persons"). The Reporting Persons and Cable Car Capital LLC ("Cable Car") may be deemed to be a member of a Section 13(d) group that may be deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of Common Stock. Each of the Reporting Persons and Cable Car disclaim beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein.

F2 · price: Represents a weighted average price. These Shares were purchased in multiple transactions at prices ranging from $2.3050 to $2.3350, inclusive of brokerage commissions. The Reporting Persons undertake to provide 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 this footnote.

F4 · ownership.direct: Represents securities directly owned by the Fund. Cable Car, as the general partner of the Fund, may be deemed to beneficially own the securities directly owned by the Fund. Mr. Ma-Weaver, as the Managing Member of Cable Car, may be deemed to beneficially own the securities directly owned by the Fund.

SEC source: 0000921895-22-001178 · form413392002_04072022.xml · nonDerivative · entry 3

Funicular Fund, LP · CIK 0001752618 · See Footnote 1

Ma-Weaver Jacob · CIK 0001922140 · See Footnote 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,048,977

F1 · security: This Form 4 is filed by the Funicular Fund, LP (the "Fund") and Jacob Ma-Weaver (the "Reporting Persons"). The Reporting Persons and Cable Car Capital LLC ("Cable Car") may be deemed to be a member of a Section 13(d) group that may be deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of Common Stock. Each of the Reporting Persons and Cable Car disclaim beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein.

F4 · price: Represents a weighted average price. These Shares were purchased in multiple transactions at prices ranging from $2.2950 to $2.3350, inclusive of brokerage commissions. The Reporting Persons undertake to provide 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 this footnote.

F5 · ownership.direct: Represents securities directly owned by the Fund. Cable Car, as the general partner of the Fund, may be deemed to beneficially own the securities directly owned by the Fund. Mr. Ma-Weaver, as the Managing Member of Cable Car, may be deemed to beneficially own the securities directly owned by the Fund.

SEC source: 0000921895-22-001178 · form413392002_04072022.xml · nonDerivative · entry 2

Funicular Fund, LP · CIK 0001752618 · See Footnote 1

Ma-Weaver Jacob · CIK 0001922140 · See Footnote 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,021,527

F1 · security: This Form 4 is filed by the Funicular Fund, LP (the "Fund") and Jacob Ma-Weaver (the "Reporting Persons"). The Reporting Persons and Cable Car Capital LLC ("Cable Car") may be deemed to be a member of a Section 13(d) group that may be deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of Common Stock. Each of the Reporting Persons and Cable Car disclaim beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein.

F3 · price: Represents a weighted average price. These Shares were purchased in multiple transactions at prices ranging from $2.2550 to $2.3050, inclusive of brokerage commissions. The Reporting Persons undertake to provide 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 this footnote.

F5 · ownership.direct: Represents securities directly owned by the Fund. Cable Car, as the general partner of the Fund, may be deemed to beneficially own the securities directly owned by the Fund. Mr. Ma-Weaver, as the Managing Member of Cable Car, may be deemed to beneficially own the securities directly owned by the Fund.

SEC source: 0000921895-22-001178 · form413392002_04072022.xml · nonDerivative · entry 1

Funicular Fund, LP · CIK 0001752618 · See Footnote 1

Ma-Weaver Jacob · CIK 0001922140 · See Footnote 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,994,721

F1 · security: This Form 4 is filed by the Funicular Fund, LP (the "Fund") and Jacob Ma-Weaver (the "Reporting Persons"). The Reporting Persons and Cable Car Capital LLC ("Cable Car") may be deemed to be a member of a Section 13(d) group that may be deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of Common Stock. Each of the Reporting Persons and Cable Car disclaim beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein.

F2 · price: Represents a weighted average price. These Shares were purchased in multiple transactions at prices ranging from $2.2950 to $2.3050, inclusive of brokerage commissions. The Reporting Persons undertake to provide 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 this footnote.

F5 · ownership.direct: Represents securities directly owned by the Fund. Cable Car, as the general partner of the Fund, may be deemed to beneficially own the securities directly owned by the Fund. Mr. Ma-Weaver, as the Managing Member of Cable Car, may be deemed to beneficially own the securities directly owned by the Fund.

SEC source: 0000921895-22-001091 · form413392002_04042022.xml · nonDerivative · entry 1

Funicular Fund, LP · CIK 0001752618 · See Footnote 1

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,944,993

F1 · security: This Form 4 is filed by the Funicular Fund LP (the "Reporting Person"). The Reporting Person, Cable Car Capital LLC ("Cable Car"), and Jacob Ma-Weaver may be deemed to be a member of a Section 13(d) group that may be deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of Common Stock. Each of the Reporting Person, Cable Car and Mr. Ma-Weaver disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein.

F2 · price: Represents a weighted average price. These Shares were purchased in multiple transactions at prices ranging from $2.1650 to $2.3050, inclusive of brokerage commissions. The Reporting Person undertakes to provide 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 this footnote.

F3 · ownership.direct: Represents securities directly owned by the Reporting Person. Cable Car, as the general partner of the Reporting Person, may be deemed to beneficially own the securities directly owned by the Reporting Person. Mr. Ma-Weaver, as the Managing Member of Cable Car, may be deemed to beneficially own the securities directly owned by the Reporting Person.

SEC source: 0000921895-22-001177 · form4a13392002_04072022.xml · nonDerivative · entry 1

Funicular Fund, LP · CIK 0001752618 · See Footnote 1

Ma-Weaver Jacob · CIK 0001922140 · See Remarks

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,944,993

F1 · security: This Form 4 is filed by the Funicular Fund LP (the "Fund") and Jacob Ma-Weaver (the "Reporting Persons"). The Reporting Persons and Cable Car Capital LLC ("Cable Car") may be deemed to be a member of a Section 13(d) group that may be deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of Common Stock. Each of the Reporting Persons and Cable Car disclaim beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein.

F2 · price: Represents a weighted average price. These Shares were purchased in multiple transactions at prices ranging from $2.1650 to $2.3050, inclusive of brokerage commissions. The Reporting Persons undertake to provide 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 this footnote.

F3 · ownership.direct: Represents securities directly owned by the Fund. Cable Car, as the general partner of the Fund, may be deemed to beneficially own the securities directly owned by the Fund. Mr. Ma-Weaver, as the Managing Member of Cable Car, may be deemed to beneficially own the securities directly owned by the Fund.

SEC source: 0001209191-21-069964 · doc4.xml · derivative · entry 2

Ozeroff Christopher David · CIK 0001454996 · S.V.P., General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,500

Underlying: Common Stock · 27,500 shares

Expires 2031-12-14

F1 · derivative.exercise_date: Grant to the Reporting Person of a stock option under the 2020 Equity Incentive Plan (the Plan), vesting in 36 equal monthly installments from the date of grant, provided that the Reporting Person's continuous service to the Issuer has not been terminated as defined in or as determined under the Plan prior to such time. In the event of a change in control of the Issuer, 50% of the unvested options shall become fully and immediately vested upon the closing date of such change in control, provided, however, that on the earlier of (i) the one-year anniversary of the closing date or (ii) involuntary termination, any options that remain unvested on such earlier date shall become fully and immediately vested.

SEC source: 0001209191-21-069963 · doc4.xml · derivative · entry 2

Keuer Thomas A · CIK 0001290482 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,000

Underlying: Common Stock · 35,000 shares

Expires 2031-12-14

F1 · derivative.exercise_date: Grant to the Reporting Person of a stock option under the 2020 Equity Incentive Plan (the Plan), vesting in 36 equal monthly installments from the date of grant, provided that the Reporting Person's continuous service to the Issuer has not been terminated as defined in or as determined under the Plan prior to such time. In the event of a change in control of the Issuer, 50% of the unvested options shall become fully and immediately vested upon the closing date of such change in control, provided, however, that on the earlier of (i) the one-year anniversary of the closing date or (ii) involuntary termination, any options that remain unvested on such earlier date shall become fully and immediately vested.

SEC source: 0001209191-21-069962 · doc4.xml · derivative · entry 1

Dekker C. Jeffrey · CIK 0001546840 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,700

Underlying: Common Stock · 17,700 shares

Expires 2031-12-14

F1 · derivative.exercise_date: Grant to the Reporting Person of a stock option under the 2020 Equity Incentive Plan (the Plan), vesting in 36 equal monthly installments from the date of grant, provided that the Reporting Person's continuous service to the Issuer has not been terminated as defined in or as determined under the Plan prior to such time. In the event of a change in control of the Issuer, 50% of the unvested options shall become fully and immediately vested upon the closing date of such change in control, provided, however, that on the earlier of (i) the one-year anniversary of the closing date or (ii) involuntary termination, any options that remain unvested on such earlier date shall become fully and immediately vested.

SEC source: 0001209191-21-069960 · doc4.xml · derivative · entry 4

BRISTOW MICHAEL R · CIK 0001266125 · Director · Pres. & Chief Executive Offic

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 95,000

Underlying: Common Stock · 95,000 shares

Expires 2031-12-14

F1 · derivative.exercise_date: Grant to the Reporting Person of a stock option under the 2020 Equity Incentive Plan (the Plan), vesting in 36 equal monthly installments from the date of grant, provided that the Reporting Person's continuous service to the Issuer has not been terminated as defined in or as determined under the Plan prior to such time. In the event of a change in control of the Issuer, 50% of the unvested options shall become fully and immediately vested upon the closing date of such change in control, provided, however, that on the earlier of (i) the one-year anniversary of the closing date or (ii) involuntary termination, any options that remain unvested on such earlier date shall become fully and immediately vested.

SEC source: 0001209191-21-066497 · doc4.xml · nonDerivative · entry 1

Ozeroff Christopher David · CIK 0001454996 · S.V.P., General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,970

F1 · price: The price represents the weighted average purchase price for multiple transactions reported on this line. The prices of the transactions ranged from $2.21 to $2.329. Upon request of the SEC staff, ARCA biopharma, Inc. (the "Company") or a security holder of the Company, the reporting person will provide full information regarding the number of shares purchased at each separate price.

SEC source: 0001209191-21-032381 · doc4.xml · nonDerivative · entry 1

CONWAY ROBERT E · CIK 0001184334 · Director · Chairman of the Board

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

F1 · price: The price represents the weighted average purchase price for multiple transactions reported on this line. The prices of the transactions ranged from $3.18 to $3.20. Upon request of the SEC staff, ARCA biopharma, Inc. (the "Company") or a security holder of the Company, the reporting person will provide full information regarding the number of shares purchased at each separate price.

SEC source: 0001209191-21-030629 · doc4.xml · nonDerivative · entry 1

CONWAY ROBERT E · CIK 0001184334 · Director · Chairman of the Board

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

F1 · price: The price represents the weighted average purchase price for multiple transactions reported on this line. The prices of the transactions ranged from $3.229 to $3.24. Upon request of the SEC staff, ARCA biopharma, Inc. (the "Company") or a security holder of the Company, the reporting person will provide full information regarding the number of shares purchased at each separate price.

SEC source: 0001209191-21-003472 · doc4.xml · derivative · entry 1

Hove Anders D · CIK 0001365618 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,000

Underlying: Common Stock · 12,000 shares

Expires 2031-01-12

F1 · derivative.exercise_date: Grant to the Reporting Person of a stock option under the 2020 Equity Incentive Plan, vesting in 36 equal monthly installments beginning as of December 21, 2020. If the Reporting Person's service as a director of the Issuer terminates in connection with or at any time following a change in control (for whatever reason), then any unexpired options that remain unvested shall become fully vested.

SEC source: 0001209191-21-003471 · doc4.xml · derivative · entry 1

Woosley Raymond L. · CIK 0001582095 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,000

Underlying: Common Stock · 12,000 shares

Expires 2031-01-12

F1 · derivative.exercise_date: Grant to the Reporting Person of a stock option under the 2020 Equity Incentive Plan, vesting in 36 equal monthly installments beginning as of December 21, 2020. If the Reporting Person's service as a director of the Issuer terminates in connection with or at any time following a change in control (for whatever reason), then any unexpired options that remain unvested shall become fully vested.

SEC source: 0001209191-21-003470 · doc4.xml · derivative · entry 1

Grais Linda · CIK 0001413306 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,000

Underlying: Common Stock · 12,000 shares

Expires 2031-01-12

F1 · derivative.exercise_date: Grant to the Reporting Person of a stock option under the 2020 Equity Incentive Plan, vesting in 36 equal monthly installments beginning as of December 21, 2020. If the Reporting Person's service as a director of the Issuer terminates in connection with or at any time following a change in control (for whatever reason), then any unexpired options that remain unvested shall become fully vested.

SEC source: 0001209191-21-003469 · doc4.xml · derivative · entry 2

MITCHELL DANIEL J · CIK 0001113661 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,000

Underlying: Common Stock · 12,000 shares

Expires 2031-01-12

F1 · derivative.exercise_date: Grant to the Reporting Person of a stock option under the 2020 Equity Incentive Plan, vesting in 36 equal monthly installments beginning as of December 21, 2020. If the Reporting Person's service as a director of the Issuer terminates in connection with or at any time following a change in control (for whatever reason), then any unexpired options that remain unvested shall become fully vested.

SEC source: 0001209191-21-003468 · doc4.xml · derivative · entry 2

CONWAY ROBERT E · CIK 0001184334 · Director · Chairman of the Board

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,000

Underlying: Common Stock · 12,000 shares

Expires 2031-01-12

F1 · derivative.exercise_date: Grant to the Reporting Person of a stock option under the 2020 Equity Incentive Plan, vesting in 36 equal monthly installments beginning as of December 21, 2020. If the Reporting Person's service as a director of the Issuer terminates in connection with or at any time following a change in control (for whatever reason), then any unexpired options that remain unvested shall become fully vested.

SEC source: 0001209191-20-065028 · doc4.xml · derivative · entry 2

Keuer Thomas A · CIK 0001290482 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,000

Underlying: Common Stock · 70,000 shares

Expires 2030-12-21

F1 · derivative.exercise_date: Grant to the Reporting Person of a stock option under the 2020 Equity Incentive Plan (the Plan), vesting in 48 equal monthly installments from the date of grant, provided that the Reporting Person's continuous service to the Issuer has not been terminated as defined in or as determined under the Plan prior to such time. In the event of a change in control of the Issuer, 50% of the unvested options shall become fully and immediately vested upon the closing date of such change in control, provided, however, that on the earlier of (i) the one-year anniversary of the closing date or (ii) involuntary termination, any options that remain unvested on such earlier date shall become fully and immediately vested.

SEC source: 0001209191-20-065003 · doc4.xml · derivative · entry 2

Ozeroff Christopher David · CIK 0001454996 · S.V.P., General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,000

Underlying: Common Stock · 55,000 shares

Expires 2030-12-21

F1 · derivative.exercise_date: Grant to the Reporting Person of a stock option under the 2020 Equity Incentive Plan (the Plan), vesting in 48 equal monthly installments from the date of grant, provided that the Reporting Person's continuous service to the Issuer has not been terminated as defined in or as determined under the Plan prior to such time. In the event of a change in control of the Issuer, 50% of the unvested options shall become fully and immediately vested upon the closing date of such change in control, provided, however, that on the earlier of (i) the one-year anniversary of the closing date or (ii) involuntary termination, any options that remain unvested on such earlier date shall become fully and immediately vested.

SEC source: 0001209191-20-065002 · doc4.xml · derivative · entry 4

BRISTOW MICHAEL R · CIK 0001266125 · Director · Pres. & Chief Executive Offic

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 190,000

Underlying: Common Stock · 190,000 shares

Expires 2030-12-21

F1 · derivative.exercise_date: Grant to the Reporting Person of a stock option under the 2020 Equity Incentive Plan (the Plan), vesting in 48 equal monthly installments from the date of grant, provided that the Reporting Person's continuous service to the Issuer has not been terminated as defined in or as determined under the Plan prior to such time. In the event of a change in control of the Issuer, 50% of the unvested options shall become fully and immediately vested upon the closing date of such change in control, provided, however, that on the earlier of (i) the one-year anniversary of the closing date or (ii) involuntary termination, any options that remain unvested on such earlier date shall become fully and immediately vested.

SEC source: 0001209191-20-065001 · doc4.xml · derivative · entry 1

Selby Brian L. · CIK 0001628992 · VP, Finance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,000

Underlying: Common Stock · 55,000 shares

Expires 2030-12-21

F1 · derivative.exercise_date: Grant to the Reporting Person of a stock option under the 2020 Equity Incentive Plan (the Plan), vesting in 48 equal monthly installments from the date of grant, provided that the Reporting Person's continuous service to the Issuer has not been terminated as defined in or as determined under the Plan prior to such time. In the event of a change in control of the Issuer, 50% of the unvested options shall become fully and immediately vested upon the closing date of such change in control, provided, however, that on the earlier of (i) the one-year anniversary of the closing date or (ii) involuntary termination, any options that remain unvested on such earlier date shall become fully and immediately vested.

SEC source: 0001209191-20-064624 · doc4.xml · nonDerivative · entry 1

CONWAY ROBERT E · CIK 0001184334 · Director · Chairman of the Board

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

F1 · price: The price represents the weighted average purchase price for multiple transactions reported on this line. The prices of the transactions ranged from $4.1497 to $4.1696. Upon request of the SEC staff, ARCA biopharma, Inc. (the "Company") or a security holder of the Company, the reporting person will provide full information regarding the number of shares purchased at each separate price.

SEC source: 0001209191-20-052094 · doc4.xml · nonDerivative · entry 1

CONWAY ROBERT E · CIK 0001184334 · Director · Chairman of the Board

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

SEC source: 0001209191-20-051890 · doc4.xml · nonDerivative · entry 1

CONWAY ROBERT E · CIK 0001184334 · Director · Chairman of the Board

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

SEC source: 0001209191-20-051302 · doc4.xml · nonDerivative · entry 1

CONWAY ROBERT E · CIK 0001184334 · Director · Chairman of the Board

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,944

F1 · price: The price represents the weighted average sale price for multiple transactions reported on this line. The prices of the transactions ranged from $4.743 to $4.80. Upon request of the SEC staff, ARCA biopharma, Inc. (the "Company") or a security holder of the Company, the reporting person will provide full information regarding the number of shares sold at each separate price.

SEC source: 0001209191-18-023122 · doc4.xml · nonDerivative · entry 1

Keuer Thomas A · CIK 0001290482 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,153

F1 · shares: Represents shares of common stock sold pursuant to a Rule 10b5-1 Plan adopted by the Reporting Person with respect to the vesting of previously reported Restricted Stock Units ("RSUs") granted to the Reporting Person under the Issuer's 2013 Amended and Restated Equity Incentive Plan (the "Plan").

SEC source: 0001209191-18-023118 · doc4.xml · nonDerivative · entry 1

Selby Brian L. · CIK 0001628992 · VP, Finance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · shares: Represents shares of common stock sold pursuant to a Rule 10b5-1 Plan adopted by the Reporting Person with respect to the vesting of previously reported Restricted Stock Units ("RSUs") granted to the Reporting Person under the Issuer's 2013 Amended and Restated Equity Incentive Plan (the "Plan").

SEC source: 0001209191-18-016698 · doc4.xml · derivative · entry 2

CONWAY ROBERT E · CIK 0001184334 · Director · Chairman of the Board

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,000

Underlying: Common Stock · 8,000 shares

Expires 2028-02-29

F1 · derivative.exercise_date: Grant to the Reporting Person of a stock option under the 2013 Amended and Restated Equity Incentive Plan, vesting in 12 equal monthly installments beginning as of January 1, 2018. If the Reporting Person's service as a director of the Issuer terminates in connection with or at any time following a change in control (for whatever reason), then any unexpired options that remain unvested shall become fully vested.

SEC source: 0001209191-18-016693 · doc4.xml · derivative · entry 1

Woosley Raymond L. · CIK 0001582095 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,000

Underlying: Common Stock · 8,000 shares

Expires 2028-02-29

F1 · derivative.exercise_date: Grant to the Reporting Person of a stock option under the 2013 Amended and Restated Equity Incentive Plan, vesting in 12 equal monthly installments beginning as of January 1, 2018. If the Reporting Person's service as a director of the Issuer terminates in connection with or at any time following a change in control (for whatever reason), then any unexpired options that remain unvested shall become fully vested.

SEC source: 0001209191-18-016691 · doc4.xml · derivative · entry 1

Grais Linda S · CIK 0001413306 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,000

Underlying: Common Stock · 8,000 shares

Expires 2028-02-29

F1 · derivative.exercise_date: Grant to the Reporting Person of a stock option under the 2013 Amended and Restated Equity Incentive Plan, vesting in 12 equal monthly installments beginning as of January 1, 2018. If the Reporting Person's service as a director of the Issuer terminates in connection with or at any time following a change in control (for whatever reason), then any unexpired options that remain unvested shall become fully vested.

SEC source: 0001209191-18-016685 · doc4.xml · derivative · entry 1

Hove Anders D · CIK 0001365618 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,000

Underlying: Common Stock · 8,000 shares

Expires 2028-02-29

F1 · derivative.exercise_date: Grant to the Reporting Person of a stock option under the 2013 Amended and Restated Equity Incentive Plan, vesting in 12 equal monthly installments beginning as of January 1, 2018. If the Reporting Person's service as a director of the Issuer terminates in connection with or at any time following a change in control (for whatever reason), then any unexpired options that remain unvested shall become fully vested.

SEC source: 0001209191-18-016689 · doc4.xml · derivative · entry 2

MITCHELL DANIEL J · CIK 0001113661 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,000

Underlying: Common Stock · 8,000 shares

Expires 2028-02-29

F1 · derivative.exercise_date: Grant to the Reporting Person of a stock option under the 2013 Amended and Restated Equity Incentive Plan, vesting in 12 equal monthly installments beginning as of January 1, 2018. If the Reporting Person's service as a director of the Issuer terminates in connection with or at any time following a change in control (for whatever reason), then any unexpired options that remain unvested shall become fully vested.

SEC source: 0001209191-18-015077 · doc4.xml · nonDerivative · entry 1

Keuer Thomas A · CIK 0001290482 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,635

F1 · shares: Represents shares of common stock sold pursuant to a Rule 10b5-1 Plan adopted by the Reporting Person with respect to the vesting of previously reported Restricted Stock Units ("RSUs") granted to the Reporting Person under the Issuer's 2013 Amended and Restated Equity Incentive Plan (the "Plan").

F2 · price: The price represents the weighted average purchase price for multiple transactions reported on this line. The prices of the transactions ranged from $0.7111 to $0.723. Upon request of the SEC staff, ARCA biopharma, Inc. (the "Company") or a security holder of the Company, the reporting person will provide full information regarding the number of shares purchased at each separate price.

F3 · balance_after: Includes remaining 1,207 previously reported shares issued as RSUs under the Plan that vest on 4/2/18, provided that the Reporting Person's continuous service to the Issuer has not been terminated as defined under the Plan; and 12,428 previously reported shares of common stock owned.

SEC source: 0001458177-18-000001 · edgar.xml · nonDerivative · entry 2

VENROCK HEALTHCARE CAPITAL PARTNERS LP · CIK 0001458177 · 10% owner

VHCP Co-Investment Holdings, LLC · CIK 0001479354 · 10% owner

VHCP Management, LLC · CIK 0001479355 · 10% owner

Venrock Healthcare Capital Partners II, L.P. · CIK 0001602264 · 10% owner

VHCP Co-Investment Holdings II, LLC · CIK 0001615983 · 10% owner

VHCP Management II, LLC · CIK 0001602263 · 10% owner

Koh Bong Y · CIK 0001615979 · 10% owner

Shah Nimish P · CIK 0001698082 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Funds

Disclosed balance after: 0

F3 · ownership.nature: VHCP Management, LLC ("VHCP Management") is the general partner of VHCP and the manager of Co-Invest and may be deemed to beneficially own these shares. VHCP Management II, LLC ("VHCP Management II") is the general partner of VHCP II and the manager of Co-Invest II and may be deemed to beneficially own these shares. Drs. Bong Koh and Nimish Shah are the managing members of VHCP Management and VHCP Management II and may be deemed to beneficially own these shares. Drs. Koh and Shah, VHCP Management and VHCP Management II expressly disclaim beneficial ownership over these shares except to the extent of their indirect pecuniary interests therein.

SEC source: 0001209191-18-015074 · doc4.xml · nonDerivative · entry 1

Selby Brian L. · CIK 0001628992 · VP, Finance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,114

F1 · shares: Represents shares of common stock sold pursuant to a Rule 10b5-1 Plan adopted by the Reporting Person with respect to the vesting of previously reported Restricted Stock Units ("RSUs") granted to the Reporting Person under the Issuer's 2013 Amended and Restated Equity Incentive Plan (the "Plan")

F2 · balance_after: Includes remaining 1,114 previously reported shares issued as RSUs under the Plan that vest on 4/2/18, provided that the Reporting Person's continuous service to the Issuer has not been terminated as defined under the Plan.

SEC source: 0001209191-18-013942 · doc4.xml · nonDerivative · entry 1

Viswanathan Ravi · CIK 0001479386 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Note 2

Disclosed balance after: 0

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.475 to $0.625, 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 sold at each separate price within the range set forth in this footnote (1) to this Form 4.

F2 · ownership.nature: The Reporting Person is a manager of NEA 15 GP, LLC, ("NEA 15 GP") which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L. P. ("NEA 15"). NEA 15 is the sole member of Growth Equity Opportunities Fund IV, LLC ("GEO IV"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by GEO IV in which the Reporting Person has no pecuniary interest.

SEC source: 0001209191-18-013940 · doc4.xml · nonDerivative · entry 1

Sonsini Peter W. · CIK 0001559807 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Note 2

Disclosed balance after: 0

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.475 to $0.625, 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 sold at each separate price within the range set forth in this footnote (1) to this Form 4.

F2 · ownership.nature: The Reporting Person is a manager of NEA 15 GP, LLC, ("NEA 15 GP") which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L. P. ("NEA 15"). NEA 15 is the sole member of Growth Equity Opportunities Fund IV, LLC ("GEO IV"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by GEO IV in which the Reporting Person has no pecuniary interest.

SEC source: 0001209191-18-013937 · doc4.xml · nonDerivative · entry 1

Sakoda Jon · CIK 0001589961 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Note 2

Disclosed balance after: 0

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.475 to $0.625, 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 sold at each separate price within the range set forth in this footnote (1) to this Form 4.

F2 · ownership.nature: The Reporting Person is a manager of NEA 15 GP, LLC, ("NEA 15 GP") which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L. P. ("NEA 15"). NEA 15 is the sole member of Growth Equity Opportunities Fund IV, LLC ("GEO IV"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by GEO IV in which the Reporting Person has no pecuniary interest.

SEC source: 0001209191-18-013939 · doc4.xml · nonDerivative · entry 1

SANDELL SCOTT D · CIK 0001237289 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Note 2

Disclosed balance after: 0

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.475 to $0.625, 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 sold at each separate price within the range set forth in this footnote (1) to this Form 4.

F2 · ownership.nature: The Reporting Person is a manager of NEA 15 GP, LLC, ("NEA 15 GP") which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L. P. ("NEA 15"). NEA 15 is the sole member of Growth Equity Opportunities Fund IV, LLC ("GEO IV"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by GEO IV in which the Reporting Person has no pecuniary interest.

SEC source: 0001209191-18-013935 · doc4.xml · nonDerivative · entry 1

MAKOWER JOSHUA · CIK 0001235952 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Note 2

Disclosed balance after: 0

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.475 to $0.625, 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 sold at each separate price within the range set forth in this footnote (1) to this Form 4.

F2 · ownership.nature: The Reporting Person is a manager of NEA 15 GP, LLC, ("NEA 15 GP") which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L. P. ("NEA 15"). NEA 15 is the sole member of Growth Equity Opportunities Fund IV, LLC ("GEO IV"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by GEO IV in which the Reporting Person has no pecuniary interest.

SEC source: 0001209191-18-013936 · doc4.xml · nonDerivative · entry 1

MOTT DAVID M · CIK 0001219871 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Note 2

Disclosed balance after: 0

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.475 to $0.625, 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 sold at each separate price within the range set forth in this footnote (1) to this Form 4.

F2 · ownership.nature: The Reporting Person is a manager of NEA 15 GP, LLC, ("NEA 15 GP") which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L. P. ("NEA 15"). NEA 15 is the sole member of Growth Equity Opportunities Fund IV, LLC ("GEO IV"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by GEO IV in which the Reporting Person has no pecuniary interest.