ORKA

SEC source: 0001209191-18-013932 · doc4.xml · nonDerivative · entry 1

Florence Anthony A. Jr. · CIK 0001559827 · 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: 0001209191-18-013931 · doc4.xml · nonDerivative · entry 1

BASKETT FOREST · CIK 0001277631 · 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: 0001209191-18-013928 · doc4.xml · nonDerivative · entry 1

BARRIS PETER J · CIK 0001005561 · 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: 0001209191-18-013927 · doc4.xml · nonDerivative · entry 1

Growth Equity Opportunities IV, LLC · CIK 0001644965 · 10% owner

New Enterprise Associates 15, L.P. · CIK 0001629794 · 10% owner

NEA Partners 15, L.P. · CIK 0001640031 · 10% owner

NEA 15 GP, LLC · CIK 0001640033 · 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

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.direct: The shares are directly held by Growth Equity Opportunities Fund IV, LLC ("GEO IV") and indirectly held by New Enterprise Associates 15, L.P. ("NEA 15"), the sole member of GEO IV, NEA Partners 15, L.P. ("NEA Partners 15"), the sole general partner of NEA 15, NEA 15 GP, LLC ("NEA 15 GP"), the sole general partner of NEA Partners 15, and the individual managers of NEA 15 GP (NEA 15, NEA Partners 15, NEA 15 GP and the individual managers of NEA 15 GP, together, the "Indirect Reporting Persons").The individual managers of NEA 15 GP are Peter J. Barris, Forest Baskett, Anthony A. Florence, Jr., Josh Makower, David M. Mott, Jon Sakoda, Scott D. Sandell, Peter W. Sonsini and Ravi Viswanathan. The Indirect Reporting Persons disclaim 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 of the Issuer held by GEO IV in which the Indirect Reporting Persons have no pecuniary interest.

SEC source: 0001458177-18-000001 · edgar.xml · nonDerivative · entry 1

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: 41,331

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.50 to $0.63, inclusive. The reporting persons undertake 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 ranges set forth in this footnote (1) to this Form 4.

F2 · balance_after: Consists of: 10,482 shares held directly by Venrock Healthcare Capital Partners, L.P. ("VHCP"); 20,585 shares held directly by Venrock Healthcare Capital Partners II, L.P. ("VHCP II"); 1,917 shares held directly by VHCP Co-Investment Holdings, LLC ("Co-Invest"); and 8,347 shares held directly by VHCP Co-Investment Holdings II, LLC ("Co-Invest II").

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: 0001209191-17-045336 · 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: 35,000

F1 · price: The price represents the weighted average sale price for multiple transactions reported on this line. The prices of the transactions ranged from $2.475 to $2.55. 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: 0001209191-17-029621 · doc4.xml · nonDerivative · entry 1

MITCHELL DANIEL J · CIK 0001113661 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,000

F1 · price: The price represents the weighted average purchase price for multiple transactions reported on this line. The prices of the transactions ranged from $2.65 to $2.75. 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: 0001209191-17-025619 · doc4.xml · nonDerivative · entry 1

Keuer Thomas A · CIK 0001290482 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,045

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 (i) remaining 1,222 previously reported shares issued as RSUs under the Plan that vest on 2/27/18, and (ii) 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 11,616 previously reported shares of common stock owned.

SEC source: 0001209191-17-025622 · 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: 17,517

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 (i) remaining 1,222 previously reported shares issued as RSUs under the Plan that vest on 2/27/18, and (ii) remaining 1,145 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 15,150 previously reported shares of common stock held directly.

SEC source: 0001209191-17-025617 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,155

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 (i) remaining 2,025 previously reported shares issued as RSUs under the Plan that vest on 2/27/18, and (ii) remaining 2,291 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 36,839 previously reported shares of common stock held directly.

SEC source: 0001209191-17-025624 · doc4.xml · nonDerivative · entry 1

Selby Brian L. · CIK 0001628992 · VP, Finance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,275

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 (i) remaining 161 previously reported shares issued as RSUs under the Plan that vest on 2/27/18, and (ii) 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: 0001209191-17-022934 · doc4.xml · nonDerivative · entry 1

CONWAY ROBERT E · CIK 0001184334 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

F1 · price: The price represents the weighted average sale price for multiple transactions reported on this line. The prices of the transactions ranged from $2.52 to $2.75. 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: 0001209191-17-015984 · 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: 17,935

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 (i) remaining 1,222 previously reported shares issued as RSUs under the Plan that vest on 2/27/18, and (ii) 2,290 previously reported shares issued as RSUs under the Plan that vest in two equal annual installments beginning 4/2/17, provided that the Reporting Person's continuous service to the Issuer has not been terminated as defined under the Plan; and 14,423 previously reported shares of common stock held directly.

SEC source: 0001209191-17-015981 · doc4.xml · nonDerivative · entry 1

Keuer Thomas A · CIK 0001290482 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,435

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 (i) remaining 1,222 previously reported shares issued as RSUs under the Plan that vest on 2/27/18, and (ii) 2,414 previously reported shares issued as RSUs under the Plan that vest in two equal annual installments beginning 4/2/17, provided that the Reporting Person's continuous service to the Issuer has not been terminated as defined under the Plan; and 10,799 previously reported shares of common stock owned.

SEC source: 0001209191-17-015978 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,875

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 (i) remaining 2,025 previously reported shares issued as RSUs under the Plan that vest on 2/27/18, and (ii) 4,581 previously reported shares issued as RSUs under the Plan that vest in two equal annual installments beginning 4/2/17, provided that the Reporting Person's continuous service to the Issuer has not been terminated as defined under the Plan; and 35,269 previously reported shares of common stock held directly.

SEC source: 0001209191-17-015990 · doc4.xml · derivative · entry 2

Selby Brian L. · CIK 0001628992 · VP, Finance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,100

Underlying: Common Stock · 24,100 shares

Expires 2027-02-26

F3 · derivative.exercise_date: Grant to the Reporting Person of a stock option under the Plan, 50% vesting upon achievement of certain pre-specified corporate milestone related to the outcome of the interim data analysis by that trial's Data and Safety Monitoring Board, and if the milestone is achieved, the remainder of the grant will vest on March 31, 2018, 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. If the corporate milestone is not achieved, the Option will be cancelled. 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: 0001209191-17-015990 · doc4.xml · nonDerivative · entry 1

Selby Brian L. · CIK 0001628992 · VP, Finance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,389

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 (i) remaining 161 previously reported shares issued as RSUs under the Plan that vest on 2/27/18, and (ii) 2,228 previously reported shares issued as RSUs under the Plan that vest in two equal annual installments beginning 4/2/17, provided that the Reporting Person's continuous service to the Issuer has not been terminated as defined under the Plan.

SEC source: 0001209191-17-015984 · 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: 22,700

Underlying: Common Stock · 22,700 shares

Expires 2027-02-26

F3 · derivative.exercise_date: Grant to the Reporting Person of a stock option under the Plan, 50% vesting upon achievement of certain pre-specified corporate milestone related to the outcome of the interim data analysis by that trial's Data and Safety Monitoring Board, and if the milestone is achieved, the remainder of the grant will vest on March 31, 2018, 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. If the corporate milestone is not achieved, the Option will be cancelled. 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: 0001209191-17-015981 · doc4.xml · derivative · entry 2

Keuer Thomas A · CIK 0001290482 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,800

Underlying: Common Stock · 23,800 shares

Expires 2027-02-26

F3 · derivative.exercise_date: Grant to the Reporting Person of a stock option under the Plan, 50% vesting upon achievement of certain pre-specified corporate milestone related to the outcome of the interim data analysis by that trial's Data and Safety Monitoring Board, and if the milestone is achieved, the remainder of the grant will vest on March 31, 2018, 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. If the corporate milestone is not achieved, the Option will be cancelled. 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: 0001209191-17-015978 · 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: 41,600

Underlying: Common Stock · 41,600 shares

Expires 2027-02-26

F3 · derivative.exercise_date: Grant to the Reporting Person of a stock option under the Plan, 50% vesting upon achievement of certain pre-specified corporate milestone related to the outcome of the interim data analysis by that trial's Data and Safety Monitoring Board, and if the milestone is achieved, the remainder of the grant will vest on March 31, 2018, 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. If the corporate milestone is not achieved, the Option will be cancelled. 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: 0001209191-17-012757 · 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: 42,000

Underlying: Common Stock · 42,000 shares

Expires 2027-02-15

F2 · derivative.exercise_date: Grant to the Reporting Person of a stock option under 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: 0001209191-17-012755 · doc4.xml · derivative · entry 5

Hove Anders D · CIK 0001365618 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2027-02-15

F5 · 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 February 16, 2017. 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: 0001209191-17-012803 · 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 2027-02-15

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, 2017. 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: 0001209191-17-012763 · doc4.xml · derivative · entry 1

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 2027-02-15

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, 2017. 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: 0001209191-17-012760 · doc4.xml · derivative · entry 2

Selby Brian L. · CIK 0001628992 · VP, Finance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,000

Underlying: Common Stock · 23,000 shares

Expires 2027-02-15

F2 · derivative.exercise_date: Grant to the Reporting Person of a stock option under 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: 0001209191-17-012759 · 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: 24,000

Underlying: Common Stock · 24,000 shares

Expires 2027-02-15

F2 · derivative.exercise_date: Grant to the Reporting Person of a stock option under 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: 0001209191-17-012758 · doc4.xml · derivative · entry 1

CONWAY ROBERT E · CIK 0001184334 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,000

Underlying: Common Stock · 8,000 shares

Expires 2027-02-15

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, 2017. 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: 0001209191-17-012756 · 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 2027-02-15

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, 2017. 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: 0001209191-17-012752 · doc4.xml · derivative · entry 2

Keuer Thomas A · CIK 0001290482 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,200

Underlying: Common Stock · 25,200 shares

Expires 2027-02-15

F2 · derivative.exercise_date: Grant to the Reporting Person of a stock option under 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: 0001209191-16-146208 · doc4.xml · nonDerivative · entry 1

Keuer Thomas A · CIK 0001290482 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,900

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 (i) remaining 2,443 previously reported shares issued as RSUs under the Plan that vest in two equal annual installments beginning on 2/27/17, and (ii) 2,414 previously reported shares issued as RSUs under the Plan that vest in two equal annual installments beginning 4/2/17, provided that the Reporting Person's continuous service to the Issuer has not been terminated as defined under the Plan; and 10,043 previously reported shares of common stock owned.

SEC source: 0001209191-16-142261 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,638

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 sale price for multiple transactions reported on this line. The prices of the transactions ranged from $2.88 to $2.89. 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.

F3 · balance_after: Includes (i) remaining 4,050 previously reported shares issued as RSUs under the Plan that vest in two equal annual installments beginning on 2/27/17, and (ii) 4,581 previously reported shares issued as RSUs under the Plan that vest in two equal annual installments beginning 4/2/17, provided that the Reporting Person's continuous service to the Issuer has not been terminated as defined under the Plan; and 34,007 previously reported shares of common stock held directly.

SEC source: 0001209191-16-142260 · doc4.xml · nonDerivative · entry 1

Keuer Thomas A · CIK 0001290482 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,383

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 sale price for multiple transactions reported on this line. The prices of the transactions ranged from $2.88 to $2.89. 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.

F3 · balance_after: Includes (i) remaining 1,429 previously reported shares issued as RSUs under the Plan that vests on 10/15/16, (ii) remaining 2,443 previously reported shares issued as RSUs under the Plan that vest in two equal annual installments beginning on 2/27/17, and (iii) 2,414 previously reported shares issued as RSUs under the Plan that vest in two equal annual installments beginning 4/2/17, provided that the Reporting Person's continuous service to the Issuer has not been terminated as defined under the Plan; and 9,097 previously reported shares of common stock owned.

SEC source: 0001209191-16-142259 · 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: 18,400

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 sale price for multiple transactions reported on this line. The prices of the transactions ranged from $2.88 to $2.89. 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.

F3 · balance_after: Includes (i) remaining 2,443 previously reported shares issued as RSUs under the Plan that vest in two equal annual installments beginning on 2/27/17, and (ii) 2,290 previously reported shares issued as RSUs under the Plan that vest in two equal annual installments beginning 4/2/17, provided that the Reporting Person's continuous service to the Issuer has not been terminated as defined under the Plan; and 13,667 previously reported shares of common stock held directly.

SEC source: 0001209191-16-142255 · doc4.xml · nonDerivative · entry 1

Selby Brian L. · CIK 0001628992 · VP, Finance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,550

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 (i) remaining 322 previously reported shares issued as RSUs under the Plan that vest in two equal annual installments beginning on 2/27/17, and (ii) 2,228 previously reported shares issued as RSUs under the Plan that vest in two equal annual installments beginning 4/2/17, provided that the Reporting Person's continuous service to the Issuer has not been terminated as defined under the Plan.