Bertram Timothy

SEC source: 0000950170-23-032243 · ownership.xml · derivative · entry 1

Bertram Timothy · CIK 0001488033 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 44,983

Underlying: Common Stock · 44,983 shares

Expires 2033-07-04

SEC source: 0001209191-23-023682 · doc4.xml · derivative · entry 8

Bertram Timothy · CIK 0001488033 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 12,634

Underlying: Common Stock · 12,634 shares

Expires 2037-03-02

F4 · kind: The reported transactions involved an amendment of an outstanding stock option grant, resulting in the deemed cancellation of the old option and the grant of a replacement option. The option was originally granted on March 3, 2017, of which all of the shares subject to such option have vested.

F4 · price: The reported transactions involved an amendment of an outstanding stock option grant, resulting in the deemed cancellation of the old option and the grant of a replacement option. The option was originally granted on March 3, 2017, of which all of the shares subject to such option have vested.

F4 · derivative.exercise_date: The reported transactions involved an amendment of an outstanding stock option grant, resulting in the deemed cancellation of the old option and the grant of a replacement option. The option was originally granted on March 3, 2017, of which all of the shares subject to such option have vested.

SEC source: 0001209191-23-023682 · doc4.xml · derivative · entry 7

Bertram Timothy · CIK 0001488033 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 12,634

Underlying: Common Stock · 12,634 shares

Expires 2037-03-02

F4 · kind: The reported transactions involved an amendment of an outstanding stock option grant, resulting in the deemed cancellation of the old option and the grant of a replacement option. The option was originally granted on March 3, 2017, of which all of the shares subject to such option have vested.

F4 · price: The reported transactions involved an amendment of an outstanding stock option grant, resulting in the deemed cancellation of the old option and the grant of a replacement option. The option was originally granted on March 3, 2017, of which all of the shares subject to such option have vested.

F4 · derivative.exercise_date: The reported transactions involved an amendment of an outstanding stock option grant, resulting in the deemed cancellation of the old option and the grant of a replacement option. The option was originally granted on March 3, 2017, of which all of the shares subject to such option have vested.

SEC source: 0001209191-23-023682 · doc4.xml · derivative · entry 6

Bertram Timothy · CIK 0001488033 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 23,122

Underlying: Common Stock · 23,122 shares

Expires 2029-03-18

F3 · kind: The reported transactions involved an amendment of an outstanding stock option grant, resulting in the deemed cancellation of the old option and the grant of a replacement option. The option was originally granted on March 19, 2019, of which all of the shares subject to such option have vested.

F3 · price: The reported transactions involved an amendment of an outstanding stock option grant, resulting in the deemed cancellation of the old option and the grant of a replacement option. The option was originally granted on March 19, 2019, of which all of the shares subject to such option have vested.

F3 · derivative.exercise_date: The reported transactions involved an amendment of an outstanding stock option grant, resulting in the deemed cancellation of the old option and the grant of a replacement option. The option was originally granted on March 19, 2019, of which all of the shares subject to such option have vested.

SEC source: 0001209191-23-023682 · doc4.xml · derivative · entry 5

Bertram Timothy · CIK 0001488033 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 23,122 shares

Expires 2029-03-18

F3 · kind: The reported transactions involved an amendment of an outstanding stock option grant, resulting in the deemed cancellation of the old option and the grant of a replacement option. The option was originally granted on March 19, 2019, of which all of the shares subject to such option have vested.

F3 · price: The reported transactions involved an amendment of an outstanding stock option grant, resulting in the deemed cancellation of the old option and the grant of a replacement option. The option was originally granted on March 19, 2019, of which all of the shares subject to such option have vested.

F3 · derivative.exercise_date: The reported transactions involved an amendment of an outstanding stock option grant, resulting in the deemed cancellation of the old option and the grant of a replacement option. The option was originally granted on March 19, 2019, of which all of the shares subject to such option have vested.

SEC source: 0001209191-23-023682 · doc4.xml · derivative · entry 4

Bertram Timothy · CIK 0001488033 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 9,556

Underlying: Common Stock · 9,556 shares

Expires 2031-02-10

F2 · kind: The reported transactions involved an amendment of an outstanding stock option grant, resulting in the deemed cancellation of the old option and the grant of a replacement option. The option was originally granted on February 11, 2021, of which all of the shares subject to such option have vested.

F2 · price: The reported transactions involved an amendment of an outstanding stock option grant, resulting in the deemed cancellation of the old option and the grant of a replacement option. The option was originally granted on February 11, 2021, of which all of the shares subject to such option have vested.

F2 · derivative.exercise_date: The reported transactions involved an amendment of an outstanding stock option grant, resulting in the deemed cancellation of the old option and the grant of a replacement option. The option was originally granted on February 11, 2021, of which all of the shares subject to such option have vested.

SEC source: 0001209191-23-023682 · doc4.xml · derivative · entry 3

Bertram Timothy · CIK 0001488033 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 9,556 shares

Expires 2031-02-10

F2 · kind: The reported transactions involved an amendment of an outstanding stock option grant, resulting in the deemed cancellation of the old option and the grant of a replacement option. The option was originally granted on February 11, 2021, of which all of the shares subject to such option have vested.

F2 · price: The reported transactions involved an amendment of an outstanding stock option grant, resulting in the deemed cancellation of the old option and the grant of a replacement option. The option was originally granted on February 11, 2021, of which all of the shares subject to such option have vested.

F2 · derivative.exercise_date: The reported transactions involved an amendment of an outstanding stock option grant, resulting in the deemed cancellation of the old option and the grant of a replacement option. The option was originally granted on February 11, 2021, of which all of the shares subject to such option have vested.

SEC source: 0001209191-23-023682 · doc4.xml · derivative · entry 2

Bertram Timothy · CIK 0001488033 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 61,678

Underlying: Common Stock · 61,678 shares

Expires 2032-06-12

F1 · kind: The reported transactions involved an amendment of an outstanding stock option grant, resulting in the deemed cancellation of the old option and the grant of a replacement option. The option was originally granted on June 13, 2022, of which all of the shares subject to such option will vest on June 13, 2023, subject to Mr. Bertram's continued service on such vesting date.

F1 · price: The reported transactions involved an amendment of an outstanding stock option grant, resulting in the deemed cancellation of the old option and the grant of a replacement option. The option was originally granted on June 13, 2022, of which all of the shares subject to such option will vest on June 13, 2023, subject to Mr. Bertram's continued service on such vesting date.

F1 · derivative.exercise_date: The reported transactions involved an amendment of an outstanding stock option grant, resulting in the deemed cancellation of the old option and the grant of a replacement option. The option was originally granted on June 13, 2022, of which all of the shares subject to such option will vest on June 13, 2023, subject to Mr. Bertram's continued service on such vesting date.

SEC source: 0001209191-23-023682 · doc4.xml · derivative · entry 1

Bertram Timothy · CIK 0001488033 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 61,678 shares

Expires 2032-06-12

F1 · kind: The reported transactions involved an amendment of an outstanding stock option grant, resulting in the deemed cancellation of the old option and the grant of a replacement option. The option was originally granted on June 13, 2022, of which all of the shares subject to such option will vest on June 13, 2023, subject to Mr. Bertram's continued service on such vesting date.

F1 · price: The reported transactions involved an amendment of an outstanding stock option grant, resulting in the deemed cancellation of the old option and the grant of a replacement option. The option was originally granted on June 13, 2022, of which all of the shares subject to such option will vest on June 13, 2023, subject to Mr. Bertram's continued service on such vesting date.

F1 · derivative.exercise_date: The reported transactions involved an amendment of an outstanding stock option grant, resulting in the deemed cancellation of the old option and the grant of a replacement option. The option was originally granted on June 13, 2022, of which all of the shares subject to such option will vest on June 13, 2023, subject to Mr. Bertram's continued service on such vesting date.

SEC source: 0001209191-23-003705 · doc4.xml · derivative · entry 1

Bertram Timothy · CIK 0001488033 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,011,500

Underlying: Class A Ordinary Shares · 1,011,500 shares

Expires 2033-01-16

F1 · derivative.exercise_date: The option vests in substantially equal monthly installments over the four year period beginning on January 16, 2023.

SEC source: 0001209191-22-054426 · doc4.xml · derivative · entry 1

Bertram Timothy · CIK 0001488033 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,639,607

Underlying: Class A Ordinary Shares · 3,639,607 shares

Expires 2032-10-20

F1 · derivative.exercise_date: Awards vest and become exercisable based on the satisfaction of both time and performance vesting conditions. The performance vesting conditions become satisfied in equal one-third tranches upon the Company's Class A ordinary shares exceeding a volume weighted average price hurdle of $15.00, $20.00 and $25.00, respectively, for 20 trading days within any 30 consecutive trading day period occurring prior to July 11, 2027. Once the performance vesting condition for a tranche is satisfied, such tranche will continue to be subject to time-vesting conditions and will vest ratably on each of the first, second and third anniversaries of the date that such tranche satisfied the performance vesting condition described above.

SEC source: 0000950103-22-012377 · dp177031_4-bertram.xml · derivative · entry 2

Bertram Timothy · CIK 0001488033 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,944,938

Underlying: Class A Ordinary Shares · 4,944,938 shares

Expires not disclosed

F3 · security: Each Common Unit may, at the election of the reporting person and subject to the limitations set forth in the Exchange Agreement and the Second Amended and Restated Company Partnership Agreement, be exchanged, together with the paired Class B Ordinary Share, into a Class A Ordinary Share on a one-for-one basis.

F3 · derivative.exercise_price: Each Common Unit may, at the election of the reporting person and subject to the limitations set forth in the Exchange Agreement and the Second Amended and Restated Company Partnership Agreement, be exchanged, together with the paired Class B Ordinary Share, into a Class A Ordinary Share on a one-for-one basis.

F4 · derivative.exercise_price: These 2,696,469 Common Units and 2,248,469 Restricted Common Units of ProKidney Equity LLC that upon vesting will settle in Common Units ("PMEL RCUs") were received pursuant to the terms of the Business Combination Agreement in exchange for historical interests held by the reporting person in ProKidney. The PMEL RCUs vest in installments over a period through January 17, 2026. The Common Units and the PMEL RCUs do not expire.

F4 · derivative.exercise_date: These 2,696,469 Common Units and 2,248,469 Restricted Common Units of ProKidney Equity LLC that upon vesting will settle in Common Units ("PMEL RCUs") were received pursuant to the terms of the Business Combination Agreement in exchange for historical interests held by the reporting person in ProKidney. The PMEL RCUs vest in installments over a period through January 17, 2026. The Common Units and the PMEL RCUs do not expire.

F4 · derivative.expiration_date: These 2,696,469 Common Units and 2,248,469 Restricted Common Units of ProKidney Equity LLC that upon vesting will settle in Common Units ("PMEL RCUs") were received pursuant to the terms of the Business Combination Agreement in exchange for historical interests held by the reporting person in ProKidney. The PMEL RCUs vest in installments over a period through January 17, 2026. The Common Units and the PMEL RCUs do not expire.

SEC source: 0000950103-22-012377 · dp177031_4-bertram.xml · derivative · entry 1

Bertram Timothy · CIK 0001488033 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,944,938

Underlying: Class A Ordinary Shares · 4,944,938 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Class B Ordinary Share has no economic rights but entitles the reporting person to vote on all matters on which shareholders of the issuer vote and may, at the election of the reporting person and subject to the limitations set forth in the Exchange Agreement and the Second Amended and Restated Company Partnership Agreement (each as defined and as described in the issuer's Definitive Proxy Statement filed with the Securities and Exchange Commission on June 10, 2022), be exchanged, together with the paired Common Unit in ProKidney LP ("ProKidney") (a "Common Unit"), for a Class A Ordinary Share on a one-for-one basis.

F2 · derivative.exercise_price: These 2,696,469 Class B Ordinary Shares and 2,248,469 Restricted Stock Rights in respect of Class B Ordinary Shares ("Class B PMEL RSRs") were received pursuant to the terms of the Business Combination Agreement by and between the issuer and ProKidney, dated as of January 18, 2022 (the "Business Combination Agreement") in exchange for historical interests held by the reporting person in ProKidney. The Class B PMEL RSRs vest in installments over a period through January 17, 2026, and upon vesting are immediately settled as Class B Ordinary Shares. The Class B Ordinary Shares and Class B PMEL RSRs do not expire.

F2 · derivative.exercise_date: These 2,696,469 Class B Ordinary Shares and 2,248,469 Restricted Stock Rights in respect of Class B Ordinary Shares ("Class B PMEL RSRs") were received pursuant to the terms of the Business Combination Agreement by and between the issuer and ProKidney, dated as of January 18, 2022 (the "Business Combination Agreement") in exchange for historical interests held by the reporting person in ProKidney. The Class B PMEL RSRs vest in installments over a period through January 17, 2026, and upon vesting are immediately settled as Class B Ordinary Shares. The Class B Ordinary Shares and Class B PMEL RSRs do not expire.

F2 · derivative.expiration_date: These 2,696,469 Class B Ordinary Shares and 2,248,469 Restricted Stock Rights in respect of Class B Ordinary Shares ("Class B PMEL RSRs") were received pursuant to the terms of the Business Combination Agreement by and between the issuer and ProKidney, dated as of January 18, 2022 (the "Business Combination Agreement") in exchange for historical interests held by the reporting person in ProKidney. The Class B PMEL RSRs vest in installments over a period through January 17, 2026, and upon vesting are immediately settled as Class B Ordinary Shares. The Class B Ordinary Shares and Class B PMEL RSRs do not expire.

SEC source: 0001209191-22-037030 · doc4.xml · derivative · entry 1

Bertram Timothy · CIK 0001488033 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,678

Underlying: Common Stock · 61,678 shares

Expires 2032-06-12

SEC source: 0001209191-21-012356 · doc4.xml · derivative · entry 6

Bertram Timothy · CIK 0001488033 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 16,440 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: The shares of preferred stock automatically converted into common stock immediately upon completion of the Issuer's initial public offering on a 1-for-1 basis.

F1 · price: The shares of preferred stock automatically converted into common stock immediately upon completion of the Issuer's initial public offering on a 1-for-1 basis.

F2 · derivative.exercise_date: The shares of preferred stock were convertible into the Issuer's common stock in accordance with the Issuer's Restated Certificate of Incorporation, as amended, immediately upon completion of the Issuer's initial public offering.

F3 · derivative.expiration_date: Not applicable.

SEC source: 0001209191-21-012356 · doc4.xml · derivative · entry 5

Bertram Timothy · CIK 0001488033 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 10,344 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: The shares of preferred stock automatically converted into common stock immediately upon completion of the Issuer's initial public offering on a 1-for-1 basis.

F1 · price: The shares of preferred stock automatically converted into common stock immediately upon completion of the Issuer's initial public offering on a 1-for-1 basis.

F2 · derivative.exercise_date: The shares of preferred stock were convertible into the Issuer's common stock in accordance with the Issuer's Restated Certificate of Incorporation, as amended, immediately upon completion of the Issuer's initial public offering.

F3 · derivative.expiration_date: Not applicable.

SEC source: 0001209191-21-012356 · doc4.xml · derivative · entry 4

Bertram Timothy · CIK 0001488033 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 44,965 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: The shares of preferred stock automatically converted into common stock immediately upon completion of the Issuer's initial public offering on a 1-for-1 basis.

F1 · price: The shares of preferred stock automatically converted into common stock immediately upon completion of the Issuer's initial public offering on a 1-for-1 basis.

F2 · derivative.exercise_date: The shares of preferred stock were convertible into the Issuer's common stock in accordance with the Issuer's Restated Certificate of Incorporation, as amended, immediately upon completion of the Issuer's initial public offering.

F3 · derivative.expiration_date: Not applicable.

SEC source: 0001209191-21-012356 · doc4.xml · nonDerivative · entry 3

Bertram Timothy · CIK 0001488033 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 78,199

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: The shares of preferred stock automatically converted into common stock immediately upon completion of the Issuer's initial public offering on a 1-for-1 basis.

SEC source: 0001209191-21-012356 · doc4.xml · nonDerivative · entry 2

Bertram Timothy · CIK 0001488033 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,759

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: The shares of preferred stock automatically converted into common stock immediately upon completion of the Issuer's initial public offering on a 1-for-1 basis.

SEC source: 0001209191-21-012356 · doc4.xml · nonDerivative · entry 1

Bertram Timothy · CIK 0001488033 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 51,415

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: The shares of preferred stock automatically converted into common stock immediately upon completion of the Issuer's initial public offering on a 1-for-1 basis.

SEC source: 0001209191-21-010658 · doc4.xml · derivative · entry 1

Bertram Timothy · CIK 0001488033 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,312

Underlying: Common Stock · 9,556 shares

Expires 2025-02-11

F1 · derivative.exercise_date: These stock options will vest and become exercisable at the first anniversary of the vesting commencement date (2/11/21).