RVPH

SEC source: 0001437749-26-009258 · rdgdoc.xml · derivative · entry 2

Bhat Laxminarayan · CIK 0001818245 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Indirect · By Spouse

Disclosed balance after: 40,925

Underlying: Common Stock, par value $0.0001 per share · 40,925 shares

Expires 2036-03-17

F2 · kind: This option award was made on the Grant Date in accordance with the terms of the Issuer's 2020 Plan. The option provides for vesting as follows: (i) 12,789 of the shares subject to the option are immediately vested on the Grant Date, and (ii) 28,136 shares subject to the option will vest in equal installments on the last day of each month from April 2026 to December 2028. The exercise price is based on the closing price of the Issuer's common stock, par value $0.0001 per share, on the Grant Date in accordance with the terms of the 2020 Plan.

F2 · derivative.exercise_date: This option award was made on the Grant Date in accordance with the terms of the Issuer's 2020 Plan. The option provides for vesting as follows: (i) 12,789 of the shares subject to the option are immediately vested on the Grant Date, and (ii) 28,136 shares subject to the option will vest in equal installments on the last day of each month from April 2026 to December 2028. The exercise price is based on the closing price of the Issuer's common stock, par value $0.0001 per share, on the Grant Date in accordance with the terms of the 2020 Plan.

SEC source: 0001437749-26-009258 · rdgdoc.xml · derivative · entry 1

Bhat Laxminarayan · CIK 0001818245 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 109,150

Underlying: Common Stock, par value $0.0001 per share · 109,150 shares

Expires 2036-03-17

F1 · kind: This option award was made on March 18, 2026 (the "Grant Date") in accordance with the terms of the Issuer's 2020 Equity Incentive Plan (the "2020 Plan"). The option provides for vesting as follows: (i) 34,110 of the shares subject to the option are immediately vested on the Grant Date, and (ii) 75,040 shares subject to the option will vest in equal installments on the last day of each month from April 2026 to December 2028. The exercise price is based on the closing price of the Issuer's common stock, par value $0.0001 per share, on the Grant Date in accordance with the terms of the 2020 Plan.

F1 · derivative.exercise_date: This option award was made on March 18, 2026 (the "Grant Date") in accordance with the terms of the Issuer's 2020 Equity Incentive Plan (the "2020 Plan"). The option provides for vesting as follows: (i) 34,110 of the shares subject to the option are immediately vested on the Grant Date, and (ii) 75,040 shares subject to the option will vest in equal installments on the last day of each month from April 2026 to December 2028. The exercise price is based on the closing price of the Issuer's common stock, par value $0.0001 per share, on the Grant Date in accordance with the terms of the 2020 Plan.

SEC source: 0001437749-26-009260 · rdgdoc.xml · derivative · entry 1

Prabhu Narayan · CIK 0001829831 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,925

Underlying: Common Stock, par value $0.0001 per share · 40,925 shares

Expires 2036-03-17

F1 · derivative.exercise_date: This option award was made on March 18, 2026 (the "Grant Date") in accordance with the terms of the Issuer's 2020 Equity Incentive Plan (the "2020 Plan"). The option provides for vesting as follows: (i) 12,789 of the shares subject to the option are immediately vested on the Grant Date, and (ii) 28,136 shares subject to the option will vest in equal installments on the last day of each month from April 2026 to December 2028. The exercise price is based on the closing price of the Issuer's common stock, par value $0.0001 per share, on the Grant Date in accordance with the terms of the 2020 Plan.

SEC source: 0001437749-25-038443 · rdgdoc.xml · derivative · entry 1

SAXENA PARAG · CIK 0001015823 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,200

Underlying: Common Stock, par value $0.0001 per share · 8,200 shares

Expires 2035-12-17

F1 · derivative.exercise_date: This option award (the "Option") was made in accordance with the terms of the 2020 Equity Incentive Plan (the "2020 Plan") of Reviva Pharmaceuticals Holdings, Inc. (the "Company"). The Option will vest at the rate of one hundred percent (100%) of the shares of common stock, par value $0.0001 per share ("Common Stock"), subject thereto upon the one year anniversary of the date of grant, provided that the reporting person remains a director of the Company through such vesting date. The exercise price is based on the closing price of the Common Stock on the date of grant in accordance with the terms of the 2020 Plan.

SEC source: 0001437749-25-038445 · rdgdoc.xml · derivative · entry 1

Margolin Richard A · CIK 0001822761 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,200

Underlying: Common Stock, par value $0.0001 per share · 8,200 shares

Expires 2035-12-17

F1 · derivative.exercise_date: This option award (the "Option") was made in accordance with the terms of the 2020 Equity Incentive Plan (the "2020 Plan") of Reviva Pharmaceuticals Holdings, Inc. (the "Company"). The Option will vest at the rate of one hundred percent (100%) of the shares of common stock, par value $0.0001 per share ("Common Stock"), subject thereto upon the one year anniversary of the date of grant, provided that the reporting person remains a director of the Company through such vesting date. The exercise price is based on the closing price of the Common Stock on the date of grant in accordance with the terms of the 2020 Plan.

SEC source: 0001437749-25-038444 · rdgdoc.xml · derivative · entry 1

Patel Purav · CIK 0001818246 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,200

Underlying: Common Stock, par value $0.0001 per share · 8,200 shares

Expires 2035-12-17

F1 · derivative.exercise_date: This option award (the "Option") was made in accordance with the terms of the 2020 Equity Incentive Plan (the "2020 Plan") of Reviva Pharmaceuticals Holdings, Inc. (the "Company"). The Option will vest at the rate of one hundred percent (100%) of the shares of common stock, par value $0.0001 per share ("Common Stock"), subject thereto upon the one year anniversary of the date of grant, provided that the reporting person remains a director of the Company through such vesting date. The exercise price is based on the closing price of the Common Stock on the date of grant in accordance with the terms of the 2020 Plan.

SEC source: 0001437749-25-038446 · rdgdoc.xml · derivative · entry 1

Funtleyder Leslie D. · CIK 0001775394 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,200

Underlying: Common Stock, par value $0.0001 per share · 8,200 shares

Expires 2035-12-17

F1 · derivative.exercise_date: This option award (the "Option") was made in accordance with the terms of the 2020 Equity Incentive Plan (the "2020 Plan") of Reviva Pharmaceuticals Holdings, Inc. (the "Company"). The Option will vest at the rate of one hundred percent (100%) of the shares of common stock, par value $0.0001 per share ("Common Stock"), subject thereto upon the one year anniversary of the date of grant, provided that the reporting person remains a director of the Company through such vesting date. The exercise price is based on the closing price of the Common Stock on the date of grant in accordance with the terms of the 2020 Plan.

SEC source: 0001437749-25-004220 · rdgdoc.xml · derivative · entry 2

Bhat Laxminarayan · CIK 0001818245 · Director · President and CEO · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Spouse

Disclosed balance after: 181,500

Underlying: Common Stock, par value $0.0001 per share · 181,500 shares

Expires 2035-02-12

F2 · kind: This option award was made on the Grant Date in accordance with the terms of the 2020 Plan. The option provides for vesting as follows: (i) 75,625 of the shares subject to the option are immediately vested on the Grant Date, (ii) 83,195 shares subject to the option will vest in equal installments on the last day of each month from March 2025 to December 2026, and (iii) 22,680 shares subject to the option will vest in equal installments on the last day of each month from January 2027 to December 2027. The exercise price is based on the closing price of the Issuer's common stock, par value $0.0001 per share, on the Grant Date in accordance with the terms of the 2020 Plan.

F2 · derivative.exercise_date: This option award was made on the Grant Date in accordance with the terms of the 2020 Plan. The option provides for vesting as follows: (i) 75,625 of the shares subject to the option are immediately vested on the Grant Date, (ii) 83,195 shares subject to the option will vest in equal installments on the last day of each month from March 2025 to December 2026, and (iii) 22,680 shares subject to the option will vest in equal installments on the last day of each month from January 2027 to December 2027. The exercise price is based on the closing price of the Issuer's common stock, par value $0.0001 per share, on the Grant Date in accordance with the terms of the 2020 Plan.

SEC source: 0001437749-25-004220 · rdgdoc.xml · derivative · entry 1

Bhat Laxminarayan · CIK 0001818245 · Director · President and CEO · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 519,000

Underlying: Common Stock, par value $0.0001 per share · 519,000 shares

Expires 2035-02-12

F1 · kind: This option award was made on February 13, 2025 (the "Grant Date") in accordance with the terms of the Issuer's 2020 Equity Incentive Plan (the "2020 Plan"). The option provides for vesting as follows: (i) 216,125 of the shares subject to the option are immediately vested on the Grant Date, (ii) 237,882 shares subject to the option will vest in equal installments on the last day of each month from March 2025 to December 2026, and (iii) 64,993 shares subject to the option will vest in equal installments on the last day of each month from January 2027 to December 2027. The exercise price is based on the closing price of the Issuer's common stock, par value $0.0001 per share, on the Grant Date in accordance with the terms of the 2020 Plan.

F1 · derivative.exercise_date: This option award was made on February 13, 2025 (the "Grant Date") in accordance with the terms of the Issuer's 2020 Equity Incentive Plan (the "2020 Plan"). The option provides for vesting as follows: (i) 216,125 of the shares subject to the option are immediately vested on the Grant Date, (ii) 237,882 shares subject to the option will vest in equal installments on the last day of each month from March 2025 to December 2026, and (iii) 64,993 shares subject to the option will vest in equal installments on the last day of each month from January 2027 to December 2027. The exercise price is based on the closing price of the Issuer's common stock, par value $0.0001 per share, on the Grant Date in accordance with the terms of the 2020 Plan.

SEC source: 0001437749-25-004221 · rdgdoc.xml · derivative · entry 1

Narayan Prabhu · CIK 0001829831 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 194,250

Underlying: Common Stock, par value $0.0001 per share · 194,250 shares

Expires 2035-02-12

F1 · derivative.exercise_date: The option award was made on February 13, 2025 (the "Grant Date") in accordance with the terms of the Issuer's 2020 Equity Incentive Plan (the "2020 Plan"). The option provides for vesting as follows: (i) 80,938 of the shares subject to the option are immediately vested on the Grant Date, (ii) 89,043 shares subject to the option will vest in equal installments on the last day of each month from March 2025 to December 2026, and (iii) 24,269 shares subject to the option will vest in equal installments on the last day of each month from January 2027 to December 2027. The exercise price is based on the closing price of the Issuer's common stock, par value $0.0001 per share, on the Grant Date in accordance with the terms of the 2020 Plan.

SEC source: 0001437749-24-037371 · rdgdoc.xml · derivative · entry 1

SAXENA PARAG · CIK 0001015823 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,200

Underlying: Common Stock, par value $0.0001 per share · 8,200 shares

Expires 2034-12-09

F1 · derivative.exercise_date: This option award (the "Option") was made in accordance with the terms of the 2020 Equity Incentive Plan (the "2020 Plan") of Reviva Pharmaceuticals Holdings, Inc. (the "Company"). The Option will vest at the rate of one hundred percent (100%) of the shares of common stock ("Common Stock") subject thereto upon the one year anniversary of the date of grant, provided that the reporting person remains a director of the Company through such vesting date. The exercise price is based on the closing price of the Common Stock on the date of grant in accordance with the terms of the 2020 Plan.

SEC source: 0001437749-24-037369 · rdgdoc.xml · derivative · entry 1

Margolin Richard A · CIK 0001822761 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,200

Underlying: Common Stock, par value $0.0001 per share · 8,200 shares

Expires 2034-12-09

F1 · derivative.exercise_date: This option award (the "Option") was made in accordance with the terms of the 2020 Equity Incentive Plan (the "2020 Plan") of Reviva Pharmaceuticals Holdings, Inc. (the "Company"). The Option will vest at the rate of one hundred percent (100%) of the shares of common stock ("Common Stock") subject thereto upon the one year anniversary of the date of grant, provided that the reporting person remains a director of the Company through such vesting date. The exercise price is based on the closing price of the Common Stock on the date of grant in accordance with the terms of the 2020 Plan.

SEC source: 0001437749-24-037372 · rdgdoc.xml · derivative · entry 1

Patel Purav · CIK 0001818246 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,200

Underlying: Common Stock, par value $0.0001 per share · 8,200 shares

Expires 2034-12-09

F1 · derivative.exercise_date: This option award (the "Option") was made in accordance with the terms of the 2020 Equity Incentive Plan (the "2020 Plan") of Reviva Pharmaceuticals Holdings, Inc. (the "Company"). The Option will vest at the rate of one hundred percent (100%) of the shares of common stock ("Common Stock") subject thereto upon the one year anniversary of the date of grant, provided that the reporting person remains a director of the Company through such vesting date. The exercise price is based on the closing price of the Common Stock on the date of grant in accordance with the terms of the 2020 Plan.

SEC source: 0001437749-24-037370 · rdgdoc.xml · derivative · entry 1

Funtleyder Leslie D. · CIK 0001775394 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,200

Underlying: Common Stock, par value $0.0001 per share · 8,200 shares

Expires 2034-12-09

F1 · derivative.exercise_date: This option award (the "Option") was made in accordance with the terms of the 2020 Equity Incentive Plan (the "2020 Plan") of Reviva Pharmaceuticals Holdings, Inc. (the "Company"). The Option will vest at the rate of one hundred percent (100%) of the shares of common stock ("Common Stock") subject thereto upon the one year anniversary of the date of grant, provided that the reporting person remains a director of the Company through such vesting date. The exercise price is based on the closing price of the Common Stock on the date of grant in accordance with the terms of the 2020 Plan.

SEC source: 0001437749-24-029388 · rdgdoc.xml · derivative · entry 2

Bhat Laxminarayan · CIK 0001818245 · Director · President and CEO · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Spouse

Disclosed balance after: 77,843

Underlying: Common Stock, par value $0.0001 per share · 77,843 shares

Expires 2034-09-14

F2 · kind: Represents an option award granted to Ms. Seema Bhat, the Issuer's Vice President for Program & Portfolio Management and the spouse of the Reporting Person, by the Compensation Committee on September 15, 2024, in accordance with the terms of the 2020 Plan. On the Grant Date, the Compensation Committee determined the amount of incentive bonus earned by Ms. Bhat for 2023 and determined that the Issuer would pay the incentive bonus in the form of fully vested options in lieu of cash payment. The exercise price of the option award is based on the closing price of the Issuer's common stock on September 13, 2024, in accordance with the terms of the 2020 Plan.

F2 · derivative.exercise_date: Represents an option award granted to Ms. Seema Bhat, the Issuer's Vice President for Program & Portfolio Management and the spouse of the Reporting Person, by the Compensation Committee on September 15, 2024, in accordance with the terms of the 2020 Plan. On the Grant Date, the Compensation Committee determined the amount of incentive bonus earned by Ms. Bhat for 2023 and determined that the Issuer would pay the incentive bonus in the form of fully vested options in lieu of cash payment. The exercise price of the option award is based on the closing price of the Issuer's common stock on September 13, 2024, in accordance with the terms of the 2020 Plan.

SEC source: 0001437749-24-029388 · rdgdoc.xml · derivative · entry 1

Bhat Laxminarayan · CIK 0001818245 · Director · President and CEO · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 158,451

Underlying: Common Stock, par value $0.0001 per share · 158,451 shares

Expires 2034-09-14

F1 · kind: Represents an option award granted to Dr. Laxminarayan Bhat, the Issuer's President and Chief Executive Officer (the "Reporting Person"), by the Issuer's compensation committee (the "Compensation Committee") on September 15, 2024 (the "Grant Date") in accordance with the terms of the Issuer's 2020 Equity Incentive Plan (the "2020 Plan"). On the Grant Date, the Compensation Committee determined the amount of incentive bonus earned by Dr. Bhat for 2023 and determined that the Issuer would pay the incentive bonus in the form of fully vested options in lieu of cash payment. The exercise price of the option award is based on the closing price of the Issuer's common stock on September 13, 2024, in accordance with the terms of the 2020 Plan.

F1 · derivative.exercise_date: Represents an option award granted to Dr. Laxminarayan Bhat, the Issuer's President and Chief Executive Officer (the "Reporting Person"), by the Issuer's compensation committee (the "Compensation Committee") on September 15, 2024 (the "Grant Date") in accordance with the terms of the Issuer's 2020 Equity Incentive Plan (the "2020 Plan"). On the Grant Date, the Compensation Committee determined the amount of incentive bonus earned by Dr. Bhat for 2023 and determined that the Issuer would pay the incentive bonus in the form of fully vested options in lieu of cash payment. The exercise price of the option award is based on the closing price of the Issuer's common stock on September 13, 2024, in accordance with the terms of the 2020 Plan.

SEC source: 0001437749-24-029387 · rdgdoc.xml · derivative · entry 1

Narayan Prabhu · CIK 0001829831 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 96,519

Underlying: Common Stock, par value $0.0001 per shae · 96,519 shares

Expires 2034-09-14

F1 · kind: Represents an option award (the "Option") granted to Mr. Narayan Prabhu, the Issuer's Chief Financial Officer (the "Reporting Person"), by the Issuer's compensation committee (the "Compensation Committee") on September 15, 2024 (the "Grant Date") in accordance with the terms of the Issuer's 2020 Equity Incentive Plan (the "2020 Plan"). On the Grant Date, the Compensation Committee determined the amount of incentive bonus earned by Mr. Prabhu for 2023 and determined that the Issuer would pay the incentive bonus in the form of fully vested options in lieu of cash payment. The Option, which is fully vested on the Grant Date, represents payment of Mr. Prabhu's incentive bonus earned for 2023. The exercise price of the Option is based on the closing price of the Issuer's common stock on September 13, 2024, in accordance with the terms of the 2020 Plan.

F1 · derivative.exercise_date: Represents an option award (the "Option") granted to Mr. Narayan Prabhu, the Issuer's Chief Financial Officer (the "Reporting Person"), by the Issuer's compensation committee (the "Compensation Committee") on September 15, 2024 (the "Grant Date") in accordance with the terms of the Issuer's 2020 Equity Incentive Plan (the "2020 Plan"). On the Grant Date, the Compensation Committee determined the amount of incentive bonus earned by Mr. Prabhu for 2023 and determined that the Issuer would pay the incentive bonus in the form of fully vested options in lieu of cash payment. The Option, which is fully vested on the Grant Date, represents payment of Mr. Prabhu's incentive bonus earned for 2023. The exercise price of the Option is based on the closing price of the Issuer's common stock on September 13, 2024, in accordance with the terms of the 2020 Plan.

SEC source: 0001493152-23-042540 · ownership.xml · derivative · entry 2

SAXENA PARAG · CIK 0001015823 · Director · 10% owner

VEDANTA PARTNERS, LLC · CIK 0001502216 · 10% owner

VEDANTA ASSOCIATES, L.P. · CIK 0001502222 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 585,366

Underlying: Common Stock · 585,366 shares

Expires 2028-11-20

F1 · kind: The reported securities are included within 585,366 units purchased by Vedanta R2 Partners, LP ("Vedanta R2"), an investment vehicle managed by the Reporting Persons, for $5.1249 per unit (each, a "Unit"), with such purchase approved by the board of directors of Reviva Pharmaceuticals Holdings, Inc. (the "Issuer") as exempt from Section 16(b), to the extent applicable, as an acquisition from the Issuer pursuant to Rule 16b-3(d). Each Unit consists of one pre-funded warrant to purchase one share of common stock, par value $0.0001 per share, of the Issuer (the "Common Stock"), and one common stock warrant to purchase one share of Common Stock.

F1 · price: The reported securities are included within 585,366 units purchased by Vedanta R2 Partners, LP ("Vedanta R2"), an investment vehicle managed by the Reporting Persons, for $5.1249 per unit (each, a "Unit"), with such purchase approved by the board of directors of Reviva Pharmaceuticals Holdings, Inc. (the "Issuer") as exempt from Section 16(b), to the extent applicable, as an acquisition from the Issuer pursuant to Rule 16b-3(d). Each Unit consists of one pre-funded warrant to purchase one share of common stock, par value $0.0001 per share, of the Issuer (the "Common Stock"), and one common stock warrant to purchase one share of Common Stock.

F4 · derivative.exercise_date: The common stock warrants expire on November 20, 2028, and are exercisable immediately, to the extent that after giving effect to such exercise the Reporting Persons and their affiliates would beneficially own, for purposes of Section 13(d) of the Exchange Act, no more than 19.99% of the outstanding shares of Common Stock of the Issuer.

F3 · ownership.nature: Held directly by Vedanta R2. Vedanta Associates, L.P. ("Vedanta Associates") is the general partner of Vedanta R2. Vedanta Partners, LLC ("Vedanta Partners") is the general partner of Vedanta Associates, and Parag Saxena is the majority member of Vedanta Partners and exercises voting and dispositive power over the securities held by Vedanta Partners. Each of Vedanta Associates, Vedanta Partners and Mr. Saxena disclaim beneficial ownership of the securities reported on this Form 4, except to the extent of any pecuniary interest therein.

SEC source: 0001493152-23-042540 · ownership.xml · derivative · entry 1

SAXENA PARAG · CIK 0001015823 · Director · 10% owner

VEDANTA PARTNERS, LLC · CIK 0001502216 · 10% owner

VEDANTA ASSOCIATES, L.P. · CIK 0001502222 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 585,366

Underlying: Common Stock · 585,366 shares

Expires not disclosed

F1 · kind: The reported securities are included within 585,366 units purchased by Vedanta R2 Partners, LP ("Vedanta R2"), an investment vehicle managed by the Reporting Persons, for $5.1249 per unit (each, a "Unit"), with such purchase approved by the board of directors of Reviva Pharmaceuticals Holdings, Inc. (the "Issuer") as exempt from Section 16(b), to the extent applicable, as an acquisition from the Issuer pursuant to Rule 16b-3(d). Each Unit consists of one pre-funded warrant to purchase one share of common stock, par value $0.0001 per share, of the Issuer (the "Common Stock"), and one common stock warrant to purchase one share of Common Stock.

F1 · price: The reported securities are included within 585,366 units purchased by Vedanta R2 Partners, LP ("Vedanta R2"), an investment vehicle managed by the Reporting Persons, for $5.1249 per unit (each, a "Unit"), with such purchase approved by the board of directors of Reviva Pharmaceuticals Holdings, Inc. (the "Issuer") as exempt from Section 16(b), to the extent applicable, as an acquisition from the Issuer pursuant to Rule 16b-3(d). Each Unit consists of one pre-funded warrant to purchase one share of common stock, par value $0.0001 per share, of the Issuer (the "Common Stock"), and one common stock warrant to purchase one share of Common Stock.

F2 · derivative.exercise_date: The pre-funded warrants have no expiration date and are exercisable immediately, to the extent that after giving effect to such exercise the Reporting Persons and their affiliates would beneficially own, for purposes of Section 13(d) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), no more than 19.99% of the outstanding shares of Common Stock of the Issuer.

F2 · derivative.expiration_date: The pre-funded warrants have no expiration date and are exercisable immediately, to the extent that after giving effect to such exercise the Reporting Persons and their affiliates would beneficially own, for purposes of Section 13(d) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), no more than 19.99% of the outstanding shares of Common Stock of the Issuer.

F3 · ownership.nature: Held directly by Vedanta R2. Vedanta Associates, L.P. ("Vedanta Associates") is the general partner of Vedanta R2. Vedanta Partners, LLC ("Vedanta Partners") is the general partner of Vedanta Associates, and Parag Saxena is the majority member of Vedanta Partners and exercises voting and dispositive power over the securities held by Vedanta Partners. Each of Vedanta Associates, Vedanta Partners and Mr. Saxena disclaim beneficial ownership of the securities reported on this Form 4, except to the extent of any pecuniary interest therein.

SEC source: 0001437749-23-031985 · rdgdoc.xml · derivative · entry 1

SAXENA PARAG · CIK 0001015823 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,200

Underlying: Common Stock, par value $0.0001 per share · 8,200 shares

Expires 2033-11-12

F1 · derivative.exercise_date: The option award was made in accordance with the terms of the Issuer's 2020 Equity Incentive Plan (the "2020 Plan"). The Option will vest at the rate of one hundred percent (100%) of the shares subject thereto upon the one year anniversary of the date of grant, provided that Awardee remains a director of the Company through such vesting date. The exercise price is based on the closing price for the shares of the Common Stock on the date of grant in accordance with the terms of the 2020 Plan.

SEC source: 0001437749-23-031989 · rdgdoc.xml · derivative · entry 1

Margolin Richard A · CIK 0001822761 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,200

Underlying: Common Stock, par value $0.0001 per share · 8,200 shares

Expires 2033-11-12

F1 · derivative.exercise_date: The option award was made in accordance with the terms of the Issuer's 2020 Equity Incentive Plan (the "2020 Plan"). The Option will vest at the rate of one hundred percent (100%) of the shares subject thereto upon the one year anniversary of the date of grant, provided that Awardee remains a director of the Company through such vesting date. The exercise price is based on the closing price for the shares of the Common Stock on the date of grant in accordance with the terms of the 2020 Plan.

SEC source: 0001437749-23-031986 · rdgdoc.xml · derivative · entry 1

Patel Purav · CIK 0001818246 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,200

Underlying: Common Stock, par value $0.0001 per share · 8,200 shares

Expires 2033-11-12

F1 · derivative.exercise_date: The option award was made in accordance with the terms of the Issuer's 2020 Equity Incentive Plan (the "2020 Plan"). The Option will vest at the rate of one hundred percent (100%) of the shares subject thereto upon the one year anniversary of the date of grant, provided that Awardee remains a director of the Company through such vesting date. The exercise price is based on the closing price for the shares of the Common Stock on the date of grant in accordance with the terms of the 2020 Plan.

SEC source: 0001437749-23-031992 · rdgdoc.xml · derivative · entry 1

Funtleyder Leslie D. · CIK 0001775394 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,200

Underlying: Common Stock, par value $0.0001 per share · 8,200 shares

Expires 2033-11-12

F1 · derivative.exercise_date: The option award was made in accordance with the terms of the Issuer's 2020 Equity Incentive Plan (the "2020 Plan"). The Option will vest at the rate of one hundred percent (100%) of the shares subject thereto upon the one year anniversary of the date of grant, provided that Awardee remains a director of the Company through such vesting date. The exercise price is based on the closing price for the shares of the Common Stock on the date of grant in accordance with the terms of the 2020 Plan.

SEC source: 0001437749-23-011381 · rdgdoc.xml · derivative · entry 2

Bhat Laxminarayan · CIK 0001818245 · Director · President and CEO · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Spouse

Disclosed balance after: 150,000

Underlying: Common Stock, par value $0.0001 per share · 150,000 shares

Expires 2033-04-24

F2 · derivative.exercise_date: Represents an option award granted to Ms. Seema Bhat, the Issuer's Vice President for Program & Portfolio Management and the spouse of the Reporting Person, by the Issuer's compensation committee on April 25, 2023 (the "Grant Date") in accordance with the terms of the 2020 Plan. The option vested as to fifty percent (50%) of the shares subject thereto on the Grant Date, and will vest as to an additional 1.389% of the shares subject thereto on the last day of each month thereafter. The exercise price is based on the closing price of the Issuer's common stock on the Grant Date in accordance with the terms of the 2020 Plan.

SEC source: 0001437749-23-011381 · rdgdoc.xml · derivative · entry 1

Bhat Laxminarayan · CIK 0001818245 · Director · President and CEO · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 443,000

Underlying: Common Stock, par value $0.0001 per share · 443,000 shares

Expires 2033-04-24

F1 · derivative.exercise_date: Represents an option award granted to Dr. Laxminarayan Bhat, the Issuer's President and Chief Executive Officer (the "Reporting Person"), by the Issuer's compensation committee on April 25, 2023 (the "Grant Date") in accordance with the terms of the Issuer's 2020 Equity Incentive Plan (the "2020 Plan"). The option vested as to fifty percent (50%) of the shares subject thereto on the Grant Date, and will vest as to an additional 1.389% of the shares subject thereto on the last day of each month thereafter. The exercise price is based on the closing price of the Issuer's common stock on the Grant Date in accordance with the terms of the 2020 Plan.

SEC source: 0001437749-23-011378 · rdgdoc.xml · derivative · entry 1

Narayan Prabhu · CIK 0001829831 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 170,000

Underlying: Common Stock, par value $0.0001 per share · 170,000 shares

Expires 2033-04-24

F1 · derivative.exercise_date: Represents an option award granted to Mr. Narayan Prabhu, the Issuer's Chief Financial Officer (the "Reporting Person"), by the Issuer's compensation committee on April 25, 2023 (the "Grant Date") in accordance with the terms of the Issuer's 2020 Equity Incentive Plan (the "2020 Plan"). The option vested as to fifty percent (50%) of the shares subject thereto on the Grant Date, and will vest as to an additional 1.389% of the shares subject thereto on the last day of each month thereafter. The exercise price is based on the closing price of the Issuer's common stock on the Grant Date in accordance with the terms of the 2020 Plan.

SEC source: 0001437749-22-027849 · rdgdoc.xml · nonDerivative · entry 1

Patel Purav · CIK 0001818246 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,547

SEC source: 0001437749-22-027114 · rdgdoc.xml · derivative · entry 1

SAXENA PARAG · CIK 0001015823 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,900

Underlying: Common Stock, par value $0.0001 per share · 3,900 shares

Expires 2032-11-09

F1 · derivative.exercise_date: The option award was made in accordance with the terms of the Issuer's 2020 Equity Incentive Plan (the "2020 Plan"). The Option will vest at the rate of one hundred percent (100%) of the shares subject thereto upon the one year anniversary of the date of grant, provided that Awardee remains a director of the Company through such vesting date. The exercise price is based on the closing price for the shares of the Common Stock on the date of grant in accordance with the terms of the 2020 Plan.

SEC source: 0001437749-22-027081 · rdgdoc.xml · derivative · entry 1

Margolin Richard A · CIK 0001822761 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,900

Underlying: Common Stock, par value $0.0001 per share · 3,900 shares

Expires 2032-11-09

F1 · derivative.exercise_date: The option award was made in accordance with the terms of the Issuer's 2020 Equity Incentive Plan (the "2020 Plan"). The Option will vest at the rate of one hundred percent (100%) of the shares subject thereto upon the one year anniversary of the date of grant, provided that Awardee remains a director of the Company through such vesting date. The exercise price is based on the closing price for the shares of the Common Stock on the date of grant in accordance with the terms of the 2020 Plan.

SEC source: 0001437749-22-027082 · rdgdoc.xml · derivative · entry 1

Patel Purav · CIK 0001818246 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,900

Underlying: Common Stock, par value $0.0001 per share · 3,900 shares

Expires 2032-11-09

F1 · derivative.exercise_date: The option award was made in accordance with the terms of the Issuer's 2020 Equity Incentive Plan (the "2020 Plan"). The Option will vest at the rate of one hundred percent (100%) of the shares subject thereto upon the one year anniversary of the date of grant, provided that Awardee remains a director of the Company through such vesting date. The exercise price is based on the closing price for the shares of the Common Stock on the date of grant in accordance with the terms of the 2020 Plan.

SEC source: 0001437749-22-027080 · rdgdoc.xml · derivative · entry 1

Funtleyder Leslie D. · CIK 0001775394 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,900

Underlying: Common Stock, par value $0.0001 per share · 3,900 shares

Expires 2032-11-09

F1 · derivative.exercise_date: The option award was made in accordance with the terms of the Issuer's 2020 Equity Incentive Plan (the "2020 Plan"). The Option will vest at the rate of one hundred percent (100%) of the shares subject thereto upon the one year anniversary of the date of grant, provided that Awardee remains a director of the Company through such vesting date. The exercise price is based on the closing price for the shares of the Common Stock on the date of grant in accordance with the terms of the 2020 Plan.

SEC source: 0001437749-22-023485 · rdgdoc.xml · nonDerivative · entry 1

Narayan Prabhu · CIK 0001829831 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

SEC source: 0001104659-22-099268 · tm2225524-1_4seq1.xml · derivative · entry 4

VEDANTA PARTNERS, LLC · CIK 0001502216 · 10% owner

Vedanta Associates-R, LP · CIK 0001865703 · 10% owner

VEDANTA ASSOCIATES, L.P. · CIK 0001502222 · 10% owner

BETA OPERATORS FUND, L.P. · CIK 0001614642 · 10% owner

SAXENA PARAG · CIK 0001015823 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 513,834

Underlying: Common Stock · 513,834 shares

Expires 2027-09-08

F4 · derivative.exercise_date: The common stock warrants expire on September 8, 2027 and are exercisable immediately, to the extent that after giving effect to such exercise the reporting person and its affiliates would beneficially own, for purposes of Section 13(d) of the Securities Exchange Act of 1934, as amended, no more than 19.99% of the outstanding shares of Common Stock of the Issuer.

F3 · ownership.nature: Held directly by Vedanta Associates-R, L.P. ("Vedanta Associates-R"). Vedanta Partners is the general partner of Vedanta Associates-R, and Parag Saxena is the majority member of Vedanta Partners. Each of Vedanta Partners and Mr. Saxena disclaim beneficial ownership of the securities reported on this Form 4, except to the extent of any pecuniary interest therein.

SEC source: 0001104659-22-099268 · tm2225524-1_4seq1.xml · derivative · entry 3

VEDANTA PARTNERS, LLC · CIK 0001502216 · 10% owner

Vedanta Associates-R, LP · CIK 0001865703 · 10% owner

VEDANTA ASSOCIATES, L.P. · CIK 0001502222 · 10% owner

BETA OPERATORS FUND, L.P. · CIK 0001614642 · 10% owner

SAXENA PARAG · CIK 0001015823 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 869,565

Underlying: Common Stock · 869,565 shares

Expires 2027-09-08

F4 · derivative.exercise_date: The common stock warrants expire on September 8, 2027 and are exercisable immediately, to the extent that after giving effect to such exercise the reporting person and its affiliates would beneficially own, for purposes of Section 13(d) of the Securities Exchange Act of 1934, as amended, no more than 19.99% of the outstanding shares of Common Stock of the Issuer.

F2 · ownership.nature: Held directly by Beta Operators Fund, L.P. ("Beta Operators Fund"). Vedanta Associates, L.P. ("Vedanta Associates") is the general partner of Beta Operators Fund. Vedanta Partners, LLC ("Vedanta Partners") is the general partner of Vedanta Associates, and Parag Saxena is the majority member of Vedanta Partners. Each of Vedanta Associates, Vedanta Partners and Mr. Saxena disclaim beneficial ownership of the securities reported on this Form 4, except to the extent of any pecuniary interest therein.

SEC source: 0001104659-22-099268 · tm2225524-1_4seq1.xml · derivative · entry 2

VEDANTA PARTNERS, LLC · CIK 0001502216 · 10% owner

Vedanta Associates-R, LP · CIK 0001865703 · 10% owner

VEDANTA ASSOCIATES, L.P. · CIK 0001502222 · 10% owner

BETA OPERATORS FUND, L.P. · CIK 0001614642 · 10% owner

SAXENA PARAG · CIK 0001015823 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 513,834

Underlying: Common Stock · 513,834 shares

Expires not disclosed

F1 · derivative.exercise_date: The pre-funded warrants have no expiration date and are exercisable immediately, to the extent that after giving effect to such exercise the reporting person and its affiliates would beneficially own, for purposes of Section 13(d) of the Securities Exchange Act of 1934, as amended, no more than 19.99% of the outstanding shares of Common Stock of the Issuer.

F1 · derivative.expiration_date: The pre-funded warrants have no expiration date and are exercisable immediately, to the extent that after giving effect to such exercise the reporting person and its affiliates would beneficially own, for purposes of Section 13(d) of the Securities Exchange Act of 1934, as amended, no more than 19.99% of the outstanding shares of Common Stock of the Issuer.

F3 · ownership.nature: Held directly by Vedanta Associates-R, L.P. ("Vedanta Associates-R"). Vedanta Partners is the general partner of Vedanta Associates-R, and Parag Saxena is the majority member of Vedanta Partners. Each of Vedanta Partners and Mr. Saxena disclaim beneficial ownership of the securities reported on this Form 4, except to the extent of any pecuniary interest therein.

SEC source: 0001104659-22-099268 · tm2225524-1_4seq1.xml · derivative · entry 1

VEDANTA PARTNERS, LLC · CIK 0001502216 · 10% owner

Vedanta Associates-R, LP · CIK 0001865703 · 10% owner

VEDANTA ASSOCIATES, L.P. · CIK 0001502222 · 10% owner

BETA OPERATORS FUND, L.P. · CIK 0001614642 · 10% owner

SAXENA PARAG · CIK 0001015823 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 869,565

Underlying: Common Stock · 869,565 shares

Expires not disclosed

F1 · derivative.exercise_date: The pre-funded warrants have no expiration date and are exercisable immediately, to the extent that after giving effect to such exercise the reporting person and its affiliates would beneficially own, for purposes of Section 13(d) of the Securities Exchange Act of 1934, as amended, no more than 19.99% of the outstanding shares of Common Stock of the Issuer.

F1 · derivative.expiration_date: The pre-funded warrants have no expiration date and are exercisable immediately, to the extent that after giving effect to such exercise the reporting person and its affiliates would beneficially own, for purposes of Section 13(d) of the Securities Exchange Act of 1934, as amended, no more than 19.99% of the outstanding shares of Common Stock of the Issuer.

F2 · ownership.nature: Held directly by Beta Operators Fund, L.P. ("Beta Operators Fund"). Vedanta Associates, L.P. ("Vedanta Associates") is the general partner of Beta Operators Fund. Vedanta Partners, LLC ("Vedanta Partners") is the general partner of Vedanta Associates, and Parag Saxena is the majority member of Vedanta Partners. Each of Vedanta Associates, Vedanta Partners and Mr. Saxena disclaim beneficial ownership of the securities reported on this Form 4, except to the extent of any pecuniary interest therein.

SEC source: 0001437749-22-016306 · rdgdoc.xml · nonDerivative · entry 1

Narayan Prabhu · CIK 0001829831 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.08 to $1.37 per share, inclusive. The Reporting Person undertakes to provide to Issuer, any security holder of 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 ranges set forth herein.

SEC source: 0001062993-21-012667 · form4.xml · derivative · entry 1

SAXENA PARAG · CIK 0001015823 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,300

Underlying: Common Stock, par value $0.0001 per share · 5,300 shares

Expires 2031-12-07

F1 · derivative.exercise_date: The option award was made in accordance with the terms of the Issuer's 2020 Equity Incentive Plan (the "2020 Plan"). The Option will vest at the rate of one hundred percent (100%) of the shares subject thereto upon the one year anniversary of the date of grant, provided that Awardee remains a director of the Company through such vesting date. The exercise price is based on the closing price for the shares of the Common Stock on the date of grant in accordance with the terms of the 2020 Plan.

SEC source: 0001437749-21-028320 · rdgdoc.xml · derivative · entry 1

Margolin Richard A · CIK 0001822761 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,300

Underlying: Common Stock, par value $0.0001 per share · 5,300 shares

Expires 2031-12-07

F1 · derivative.exercise_date: The option award was made in accordance with the terms of the Issuer's 2020 Equity Incentive Plan (the "2020 Plan"). The Option will vest at the rate of one hundred percent (100%) of the shares subject thereto upon the one year anniversary of the date of grant, provided that Awardee remains a director of the Company through such vesting date. The exercise price is based on the closing price for the shares of the Common Stock on the date of grant in accordance with the terms of the 2020 Plan.

SEC source: 0001437749-21-028321 · rdgdoc.xml · derivative · entry 1

Patel Purav · CIK 0001818246 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,300

Underlying: Common Stock, par value $0.001 per share · 5,300 shares

Expires 2031-12-07

F1 · derivative.exercise_date: The option award was made in accordance with the terms of the Issuer's 2020 Equity Incentive Plan (the "2020 Plan"). The Option will vest at the rate of one hundred percent (100%) of the shares subject thereto upon the one year anniversary of the date of grant, provided that Awardee remains a director of the Company through such vesting date. The exercise price is based on the closing price for the shares of the Common Stock on the date of grant in accordance with the terms of the 2020 Plan.

SEC source: 0001437749-21-028318 · rdgdoc.xml · derivative · entry 1

Funtleyder Leslie D. · CIK 0001775394 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,300

Underlying: Common Stock, par value $0.0001 per share · 5,300 shares

Expires 2031-12-07

F1 · derivative.exercise_date: The option award was made in accordance with the terms of the Issuer's 2020 Equity Incentive Plan (the "2020 Plan"). The Option will vest at the rate of one hundred percent (100%) of the shares subject thereto upon the one year anniversary of the date of grant, provided that Awardee remains a director of the Company through such vesting date. The exercise price is based on the closing price for the shares of the Common Stock on the date of grant in accordance with the terms of the 2020 Plan.

SEC source: 0001062993-21-005717 · form4.xml · derivative · entry 1

SAXENA PARAG · CIK 0001015823 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,000

Underlying: Common Stock, par value $0.0001 per share · 4,000 shares

Expires 2031-06-14

F1 · derivative.exercise_date: The option award was made in accordance with the terms of the Issuer's 2020 Equity Incentive Plan (the "2020 Plan"). The Option will vest at the rate of thirty-three percent (33%) of the shares subject thereto upon the one year anniversary of December 14, 2020, and as to an additional thirty-three percent (33%) of the shares subject to the Option on each successive one year anniversary thereafter, provided that Awardee remains a director of the Company through each such vesting date. The exercise price is based on the closing price for the shares of the Common Stock on the date of grant in accordance with the terms of the 2020 Plan.

SEC source: 0001437749-21-014949 · rdgdoc.xml · derivative · entry 1

Margolin Richard A · CIK 0001822761 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,000

Underlying: Common Stock, par value $0.0001 per share · 4,000 shares

Expires 2031-06-14

F1 · derivative.exercise_date: The option award was made in accordance with the terms of the Issuer's 2020 Equity Incentive Plan (the "2020 Plan"). The Option will vest at the rate of thirty-three percent (33%) of the shares subject thereto upon the one year anniversary of December 14, 2020, and as to an additional thirty-three percent (33%) of the shares subject to the Option on each successive one year anniversary thereafter, provided that Awardee remains a director of the Company through each such vesting date. The exercise price is based on the closing price for the shares of the Common Stock on the date of grant in accordance with the terms of the 2020 Plan.

SEC source: 0001437749-21-014950 · rdgdoc.xml · derivative · entry 1

Patel Purav · CIK 0001818246 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,000

Underlying: Common Stock, par value $0.0001 per share · 4,000 shares

Expires 2031-06-14

F1 · derivative.exercise_date: The option award was made in accordance with the terms of the Issuer's 2020 Equity Incentive Plan (the "2020 Plan"). The Option will vest at the rate of thirty-three percent (33%) of the shares subject thereto upon the one year anniversary of December 14, 2020, and as to an additional thirty-three percent (33%) of the shares subject to the Option on each successive one year anniversary thereafter, provided that Awardee remains a director of the Company through each such vesting date. The exercise price is based on the closing price for the shares of the Common Stock on the date of grant in accordance with the terms of the 2020 Plan.

SEC source: 0001437749-21-014948 · rdgdoc.xml · derivative · entry 1

Funtleyder Leslie D. · CIK 0001775394 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,000

Underlying: Common Stock, par value $0.0001 per share · 4,000 shares

Expires 2031-06-14

F1 · derivative.exercise_date: The option award was made in accordance with the terms of the Issuer's 2020 Equity Incentive Plan (the "2020 Plan"). The Option will vest at the rate of thirty-three percent (33%) of the shares subject thereto upon the one year anniversary of December 14, 2020, and as to an additional thirty-three percent (33%) of the shares subject to the Option on each successive one year anniversary thereafter, provided that Awardee remains a director of the Company through each such vesting date. The exercise price is based on the closing price for the shares of the Common Stock on the date of grant in accordance with the terms of the 2020 Plan.

SEC source: 0001062993-21-005353 · form4.xml · derivative · entry 6

VEDANTA PARTNERS, LLC · CIK 0001502216 · 10% owner

Vedanta Associates-R, LP · CIK 0001865703 · 10% owner

VEDANTA ASSOCIATES, L.P. · CIK 0001502222 · 10% owner

BETA OPERATORS FUND, L.P. · CIK 0001614642 · 10% owner

SAXENA PARAG · CIK 0001015823 · Director · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 399,000

Underlying: Common Stock · 299,250 shares

Expires 2026-06-01

F1 · price: The securities were purchased as a unit, with each unit consisting of one share of common stock and one warrant exercisable for 0.75 shares of common stock. The purchase price of each unit was $3.75 per share.

F3 · ownership.nature: Held directly by Beta Operators Fund, L.P. ("Beta Operators Fund"). Vedanta Associates, L.P. ("Vedanta Associates") is the general partner of Beta Operators Fund. Vedanta Partners is the general partner of Vedanta Associates, and Parag Saxena is the majority member of Vedanta Partners.

F7 · ownership.nature: Each of Vedanta Associates, Vedanta Partners and Mr. Saxena disclaim beneficial ownership of the securities reported on this Form 4, except to the extent of any pecuniary interest therein.

SEC source: 0001062993-21-005353 · form4.xml · derivative · entry 5

VEDANTA PARTNERS, LLC · CIK 0001502216 · 10% owner

Vedanta Associates-R, LP · CIK 0001865703 · 10% owner

VEDANTA ASSOCIATES, L.P. · CIK 0001502222 · 10% owner

BETA OPERATORS FUND, L.P. · CIK 0001614642 · 10% owner

SAXENA PARAG · CIK 0001015823 · Director · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 931,000

Underlying: Common Stock · 698,250 shares

Expires 2026-06-01

F1 · price: The securities were purchased as a unit, with each unit consisting of one share of common stock and one warrant exercisable for 0.75 shares of common stock. The purchase price of each unit was $3.75 per share.

F2 · ownership.nature: Held directly by Vedanta Associates-R, L.P. ("Vedanta Associates-R"). Vedanta Partners, LLC ("Vedanta Partners") is the general partner of Vedanta Associates-R, and Parag Saxena is the majority member of Vedanta Partners.

F6 · ownership.nature: Each of Vedanta Partners and Mr. Saxena disclaim beneficial ownership of the securities reported on this Form 4, except to the extent of any pecuniary interest therein.

SEC source: 0001062993-21-005353 · form4.xml · nonDerivative · entry 2

VEDANTA PARTNERS, LLC · CIK 0001502216 · 10% owner

Vedanta Associates-R, LP · CIK 0001865703 · 10% owner

VEDANTA ASSOCIATES, L.P. · CIK 0001502222 · 10% owner

BETA OPERATORS FUND, L.P. · CIK 0001614642 · 10% owner

SAXENA PARAG · CIK 0001015823 · Director · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 399,000

F1 · price: The securities were purchased as a unit, with each unit consisting of one share of common stock and one warrant exercisable for 0.75 shares of common stock. The purchase price of each unit was $3.75 per share.

F3 · ownership.nature: Held directly by Beta Operators Fund, L.P. ("Beta Operators Fund"). Vedanta Associates, L.P. ("Vedanta Associates") is the general partner of Beta Operators Fund. Vedanta Partners is the general partner of Vedanta Associates, and Parag Saxena is the majority member of Vedanta Partners.

F7 · ownership.nature: Each of Vedanta Associates, Vedanta Partners and Mr. Saxena disclaim beneficial ownership of the securities reported on this Form 4, except to the extent of any pecuniary interest therein.

SEC source: 0001062993-21-005353 · form4.xml · nonDerivative · entry 1

VEDANTA PARTNERS, LLC · CIK 0001502216 · 10% owner

Vedanta Associates-R, LP · CIK 0001865703 · 10% owner

VEDANTA ASSOCIATES, L.P. · CIK 0001502222 · 10% owner

BETA OPERATORS FUND, L.P. · CIK 0001614642 · 10% owner

SAXENA PARAG · CIK 0001015823 · Director · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 931,000

F1 · price: The securities were purchased as a unit, with each unit consisting of one share of common stock and one warrant exercisable for 0.75 shares of common stock. The purchase price of each unit was $3.75 per share.

F2 · ownership.nature: Held directly by Vedanta Associates-R, L.P. ("Vedanta Associates-R"). Vedanta Partners, LLC ("Vedanta Partners") is the general partner of Vedanta Associates-R, and Parag Saxena is the majority member of Vedanta Partners.

F6 · ownership.nature: Each of Vedanta Partners and Mr. Saxena disclaim beneficial ownership of the securities reported on this Form 4, except to the extent of any pecuniary interest therein.

SEC source: 0001437749-21-009049 · rdgdoc.xml · derivative · entry 1

Patel Purav · CIK 0001818246 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,227

Underlying: Common Stock, par value $0.0001 per share · 15,227 shares

Expires 2031-04-13

F1 · derivative.exercise_date: The option award was made in accordance with the terms of the Issuer's 2020 Equity Incentive Plan (the "2020 Plan"). The Option will vest at the rate of twenty-five percent (25%) of the shares subject thereto upon the one year anniversary of the date of grant, and as to an additional 2.0833% of the shares on the last day of each month thereafter. The exercise price is based on the closing price for the shares of the Common Stock on the date of grant in accordance with the terms of the 2020 Plan.