DEKKERS MARIJN E

SEC source: 0000950170-24-090815 · ownership.xml · derivative · entry 4

DEKKERS MARIJN E · CIK 0001216068 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 95,242 shares

Expires not disclosed

F4 · derivative.exercise_price: At the Effective Time, each outstanding option, whether vested or unvested, was cancelled and converted into the right to receive an amount of cash equal to the product of (i) the aggregate number of common stock underlying such option immediately prior to the Effective Time, multiplied by (ii) the amount, if any, by which the Merger Consideration exceeds the exercise price per share of such option, subject to any applicable withholding taxes and in accordance with the terms of the Merger Agreement.

F4 · price: At the Effective Time, each outstanding option, whether vested or unvested, was cancelled and converted into the right to receive an amount of cash equal to the product of (i) the aggregate number of common stock underlying such option immediately prior to the Effective Time, multiplied by (ii) the amount, if any, by which the Merger Consideration exceeds the exercise price per share of such option, subject to any applicable withholding taxes and in accordance with the terms of the Merger Agreement.

F4 · derivative.exercise_date: At the Effective Time, each outstanding option, whether vested or unvested, was cancelled and converted into the right to receive an amount of cash equal to the product of (i) the aggregate number of common stock underlying such option immediately prior to the Effective Time, multiplied by (ii) the amount, if any, by which the Merger Consideration exceeds the exercise price per share of such option, subject to any applicable withholding taxes and in accordance with the terms of the Merger Agreement.

F4 · derivative.expiration_date: At the Effective Time, each outstanding option, whether vested or unvested, was cancelled and converted into the right to receive an amount of cash equal to the product of (i) the aggregate number of common stock underlying such option immediately prior to the Effective Time, multiplied by (ii) the amount, if any, by which the Merger Consideration exceeds the exercise price per share of such option, subject to any applicable withholding taxes and in accordance with the terms of the Merger Agreement.

SEC source: 0000950170-24-090815 · ownership.xml · nonDerivative · entry 3

DEKKERS MARIJN E · CIK 0001216068 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 0

F1 · shares: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated December 6, 2023, by and among AbbVie Inc. ("Parent"), Symphony Harlan LLC, Symphony Harlan Merger Sub Inc. ("Merger Sub") and Cerevel Therapeutics Holdings, Inc. ("Issuer"), on August 1, 2024 (the "Effective Time"), Merger Sub merged with and into Issuer, with Issuer surviving as a wholly owned subsidiary of Parent upon consummation of the transactions contemplated by the Merger Agreement. At the Effective Time, each outstanding share of common stock was cancelled and converted into the right to receive $45.00 in cash (the "Merger Consideration"), without interest.

F1 · price: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated December 6, 2023, by and among AbbVie Inc. ("Parent"), Symphony Harlan LLC, Symphony Harlan Merger Sub Inc. ("Merger Sub") and Cerevel Therapeutics Holdings, Inc. ("Issuer"), on August 1, 2024 (the "Effective Time"), Merger Sub merged with and into Issuer, with Issuer surviving as a wholly owned subsidiary of Parent upon consummation of the transactions contemplated by the Merger Agreement. At the Effective Time, each outstanding share of common stock was cancelled and converted into the right to receive $45.00 in cash (the "Merger Consideration"), without interest.

F3 · ownership.nature: Represents shares held by Novalis LifeSciences Investments I, L.P. ("Novalis LifeSciences"). The Reporting Person, the Manager of the general partner of Novalis LifeSciences, has sole voting and dispositive power over the shares held by Novalis LifeSciences and, as a result, may be deemed to share beneficial ownership of the shares held by Novalis LifeSciences. The Reporting Person disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein.

SEC source: 0000950170-24-090815 · ownership.xml · nonDerivative · entry 2

DEKKERS MARIJN E · CIK 0001216068 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

F2 · shares: These shares are represented by restricted stock units ("RSUs"). At the Effective Time, each outstanding award of RSUs was cancelled and converted into the right to receive an amount in cash equal to the product of the aggregate number of shares underlying such RSU immediately prior to the Effective Time, multiplied by the Merger Consideration.

F2 · price: These shares are represented by restricted stock units ("RSUs"). At the Effective Time, each outstanding award of RSUs was cancelled and converted into the right to receive an amount in cash equal to the product of the aggregate number of shares underlying such RSU immediately prior to the Effective Time, multiplied by the Merger Consideration.

SEC source: 0000950170-24-090815 · ownership.xml · nonDerivative · entry 1

DEKKERS MARIJN E · CIK 0001216068 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,461

F1 · shares: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated December 6, 2023, by and among AbbVie Inc. ("Parent"), Symphony Harlan LLC, Symphony Harlan Merger Sub Inc. ("Merger Sub") and Cerevel Therapeutics Holdings, Inc. ("Issuer"), on August 1, 2024 (the "Effective Time"), Merger Sub merged with and into Issuer, with Issuer surviving as a wholly owned subsidiary of Parent upon consummation of the transactions contemplated by the Merger Agreement. At the Effective Time, each outstanding share of common stock was cancelled and converted into the right to receive $45.00 in cash (the "Merger Consideration"), without interest.

F1 · price: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated December 6, 2023, by and among AbbVie Inc. ("Parent"), Symphony Harlan LLC, Symphony Harlan Merger Sub Inc. ("Merger Sub") and Cerevel Therapeutics Holdings, Inc. ("Issuer"), on August 1, 2024 (the "Effective Time"), Merger Sub merged with and into Issuer, with Issuer surviving as a wholly owned subsidiary of Parent upon consummation of the transactions contemplated by the Merger Agreement. At the Effective Time, each outstanding share of common stock was cancelled and converted into the right to receive $45.00 in cash (the "Merger Consideration"), without interest.

SEC source: 0001127602-24-018709 · form4.xml · derivative · entry 3

DEKKERS MARIJN E · CIK 0001216068 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Class A Common Stock · 105,263 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: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's Class A Common Stock.

F1 · kind: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's Class A Common Stock.

F1 · price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's Class A Common Stock.

F4 · derivative.exercise_date: In accordance with the Issuer's Non-Employee Director Compensation Program, the RSUs granted on June 16, 2023 vested in full in Class A shares on June 12, 2024, which was the day immediately prior to the date of the Issuer's next Annual Meeting of Shareholders occurring after the grant date, and was subject to the Reporting Person continuing in service as a Non-Employee Director of the Issuer through such date.

F4 · derivative.expiration_date: In accordance with the Issuer's Non-Employee Director Compensation Program, the RSUs granted on June 16, 2023 vested in full in Class A shares on June 12, 2024, which was the day immediately prior to the date of the Issuer's next Annual Meeting of Shareholders occurring after the grant date, and was subject to the Reporting Person continuing in service as a Non-Employee Director of the Issuer through such date.

SEC source: 0001127602-24-018709 · form4.xml · nonDerivative · entry 1

DEKKERS MARIJN E · CIK 0001216068 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 386,480

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 · kind: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's Class A Common Stock.

F1 · price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's Class A Common Stock.

SEC source: 0000950170-24-070735 · ownership.xml · nonDerivative · entry 1

DEKKERS MARIJN E · CIK 0001216068 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 42,283

F1 · shares: The shares reported in this transaction represent Restricted Stock Units ("RSUs") granted under the Cerevel Therapeutics Holdings, Inc. 2020 Equity Incentive Plan. Each RSU represents the contingent right to receive one share of the Issuer's common stock. 100% of the RSUs subject to this grant shall vest upon the earlier of: (i) the one-year anniversary of the Grant Date, or (ii) the 2025 annual meeting of stockholders of the Company.

F1 · price: The shares reported in this transaction represent Restricted Stock Units ("RSUs") granted under the Cerevel Therapeutics Holdings, Inc. 2020 Equity Incentive Plan. Each RSU represents the contingent right to receive one share of the Issuer's common stock. 100% of the RSUs subject to this grant shall vest upon the earlier of: (i) the one-year anniversary of the Grant Date, or (ii) the 2025 annual meeting of stockholders of the Company.

SEC source: 0001127602-24-015998 · form4.xml · nonDerivative · entry 1

DEKKERS MARIJN E · CIK 0001216068 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By Novalis LifeSciences Investments I, L.P.

Disclosed balance after: 5,515,364

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.8233 to $0.8387, 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 above.

F2 · balance_after: Includes 464,481 earn-out shares that will vest in substantially equal installments if the Issuer's Class A Common Stock achieves a price per share for any period of 20 trading days out of 30 consecutive trading days prior to September 16, 2026 that equals or exceeds the following thresholds: $15.00, $17.50 and $20.00.

F3 · ownership.nature: The reporting person is the manager of the general partner of Novalis LifeSciences Investments I, L.P. ("Novalis LifeSciences"), and as such, has sole voting and dispositive power over the shares held by Novalis LifeSciences and, as a result, may be deemed to share beneficial ownership of the shares held by Novalis LifeSciences.

SEC source: 0001127602-24-015293 · form4.xml · nonDerivative · entry 1

DEKKERS MARIJN E · CIK 0001216068 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 281,217

F1 · balance_after: Includes 281,217 earn-out shares that will vest in substantially equal installments if the Issuer's Class A Common Stock achieves a price per share for any period of 20 trading days out of 30 consecutive trading days prior to September 16, 2026 that equals or exceeds the following thresholds: $15.00, $17.50 and $20.00.

SEC source: 0001127602-23-019167 · form4.xml · derivative · entry 2

DEKKERS MARIJN E · CIK 0001216068 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 139,860

Underlying: Class A Common Stock · 139,860 shares

Expires 2033-06-16

F3 · shares: In accordance with the Issuer's Non-Employee Director Compensation Program, the Black-Scholes value of the option award as of the grant date is $200,000.

F2 · derivative.exercise_date: The vesting date of the RSUs and stock options, and in the case of the stock options the date they become exercisable, will be the earlier of (i) June 16, 2024 or (ii) the day immediately prior to the date of the Issuer's next Annual Meeting of Shareholders occurring after the grant date, in either case subject to the Reporting Person continuing in service as a Non-Employee Director of the Issuer through such date. The RSUs have no expiration date. RSUs granted on June 10, 2022 that were initially reported as Class A Common Stock in Table I of a Form 4 dated June 13, 2022 vested in full in shares on June 10, 2023.

F3 · derivative.underlying_shares: In accordance with the Issuer's Non-Employee Director Compensation Program, the Black-Scholes value of the option award as of the grant date is $200,000.

SEC source: 0001127602-23-019167 · form4.xml · derivative · entry 1

DEKKERS MARIJN E · CIK 0001216068 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 105,263

Underlying: Class A Common Stock · 105,263 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's Class A Common Stock.

F2 · derivative.exercise_date: The vesting date of the RSUs and stock options, and in the case of the stock options the date they become exercisable, will be the earlier of (i) June 16, 2024 or (ii) the day immediately prior to the date of the Issuer's next Annual Meeting of Shareholders occurring after the grant date, in either case subject to the Reporting Person continuing in service as a Non-Employee Director of the Issuer through such date. The RSUs have no expiration date. RSUs granted on June 10, 2022 that were initially reported as Class A Common Stock in Table I of a Form 4 dated June 13, 2022 vested in full in shares on June 10, 2023.

F2 · derivative.expiration_date: The vesting date of the RSUs and stock options, and in the case of the stock options the date they become exercisable, will be the earlier of (i) June 16, 2024 or (ii) the day immediately prior to the date of the Issuer's next Annual Meeting of Shareholders occurring after the grant date, in either case subject to the Reporting Person continuing in service as a Non-Employee Director of the Issuer through such date. The RSUs have no expiration date. RSUs granted on June 10, 2022 that were initially reported as Class A Common Stock in Table I of a Form 4 dated June 13, 2022 vested in full in shares on June 10, 2023.

SEC source: 0000950170-23-028968 · ownership.xml · nonDerivative · entry 1

DEKKERS MARIJN E · CIK 0001216068 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 402,326

F1 · ownership.nature: Represents shares held by Novalis LifeSciences Investments I, L.P. ("Novalis LifeSciences"). The Reporting Person, the Manager of the general partner of Novalis LifeSciences, has sole voting and dispositive power over the shares held by Novalis LifeSciences and, as a result, may be deemed to share beneficial ownership of the shares held by Novalis LifeSciences. The Reporting Person disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein.

SEC source: 0000899243-23-015176 · doc4.xml · derivative · entry 3

DEKKERS MARIJN E · CIK 0001216068 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 13,780

Underlying: Common Stock · 13,780 shares

Expires 2033-06-07

F4 · derivative.exercise_date: 100% of the shares subject to this option shall vest and become exercisable on the earlier of: (i) the one-year anniversary of the Grant Date, or (ii) the next annual meeting of stockholders of the Company occurring after the Grant Date.

SEC source: 0000899243-23-015176 · doc4.xml · nonDerivative · entry 1

DEKKERS MARIJN E · CIK 0001216068 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 31,822

F1 · shares: The shares reported in this transaction represent Restricted Stock Units ("RSUs") granted under the Cerevel Therapeutics Holdings, Inc. 2020 Equity Incentive Plan. Each RSU represents the contingent right to receive one share of the Issuer's common stock. 100% of the RSUs subject to this grant shall vest upon the earlier of: (i) the one-year anniversary of the Grant Date, or (ii) the next annual meeting of stockholders of the Company occurring after the Grant Date.

F1 · price: The shares reported in this transaction represent Restricted Stock Units ("RSUs") granted under the Cerevel Therapeutics Holdings, Inc. 2020 Equity Incentive Plan. Each RSU represents the contingent right to receive one share of the Issuer's common stock. 100% of the RSUs subject to this grant shall vest upon the earlier of: (i) the one-year anniversary of the Grant Date, or (ii) the next annual meeting of stockholders of the Company occurring after the Grant Date.

SEC source: 0000899243-23-005033 · doc5.xml · nonDerivative · entry 1

DEKKERS MARIJN E · CIK 0001216068 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,540

SEC source: 0000899243-22-035326 · doc4.xml · nonDerivative · entry 1

DEKKERS MARIJN E · CIK 0001216068 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,021,132

F1 · kind: Represents the number of shares sold by the Reporting Person pursuant to a 10b5-1 plan to cover such individual's estimated tax withholding obligations in connection with the vesting of restricted stock units.

F1 · shares: Represents the number of shares sold by the Reporting Person pursuant to a 10b5-1 plan to cover such individual's estimated tax withholding obligations in connection with the vesting of restricted stock units.

SEC source: 0000899243-22-022834 · doc4.xml · derivative · entry 1

DEKKERS MARIJN E · CIK 0001216068 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,459

Underlying: Common Stock · 23,459 shares

Expires 2032-06-14

F1 · derivative.exercise_date: 100% of the shares subject to this option shall vest and become exercisable on the earlier of: (i) the one-year anniversary of the Grant Date, or (ii) the next annual meeting of stockholders of the Company occurring after the Grant Date.

SEC source: 0000899243-22-022291 · doc4.xml · derivative · entry 3

DEKKERS MARIJN E · CIK 0001216068 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 108,516

Underlying: Class A Common Stock · 108,516 shares

Expires 2032-06-10

F3 · shares: In accordance with the Non-Employee Director Compensation Policy of the Issuer, the Black-Scholes value of the option award as of the grant date is $200,000.

F1 · derivative.exercise_date: The vesting date of the restricted stock units and stock options, and in the case of the stock options, the exercise date, will be the earlier of either June 10, 2023 or the day immediately prior to the date of the next Annual Meeting of Shareholders of the Issuer occurring after the date of grant, in either case, subject to the Reporting Person continuing in service as a Non-Employee Director through such date.

SEC source: 0000899243-22-022291 · doc4.xml · nonDerivative · entry 1

DEKKERS MARIJN E · CIK 0001216068 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,192,587

F1 · shares: The vesting date of the restricted stock units and stock options, and in the case of the stock options, the exercise date, will be the earlier of either June 10, 2023 or the day immediately prior to the date of the next Annual Meeting of Shareholders of the Issuer occurring after the date of grant, in either case, subject to the Reporting Person continuing in service as a Non-Employee Director through such date.

SEC source: 0001140361-22-019083 · form4.xml · derivative · entry 1

DEKKERS MARIJN E · CIK 0001216068 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,880

Underlying: Class A Common Stock · 59,880 shares

Expires 2032-05-11

F1 · derivative.exercise_date: The shares underlying this option vest on the date of the Issuer's next regular annual stockholders meeting, subject to Dr. Dekkers' continued service through the applicable vesting date.

SEC source: 0000899243-22-010987 · doc4.xml · nonDerivative · entry 1

DEKKERS MARIJN E · CIK 0001216068 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,121,666

F1 · kind: The reporting person was previously granted awards of restricted stock units covering Class A Common Stock, which vest based upon the Issuer's achievement of an event condition (i.e., an underwritten initial public offering or a change in control), subject to additional time based vesting conditions in accordance with the terms of the award. On March 11, 2022, the Compensation Committee of the Issuer's Board of Directors, after consideration of the completion of the initial business combination, modified the event condition, resulting in the immediate vesting of 1,390,938 restricted stock units for which the time based vesting requirements had been satisfied as of December 31, 2021 and the issuance of a corresponding number of shares of Class A Common Stock. The remaining restricted stock units will continue to vest in accordance with the terms of the award.

F1 · shares: The reporting person was previously granted awards of restricted stock units covering Class A Common Stock, which vest based upon the Issuer's achievement of an event condition (i.e., an underwritten initial public offering or a change in control), subject to additional time based vesting conditions in accordance with the terms of the award. On March 11, 2022, the Compensation Committee of the Issuer's Board of Directors, after consideration of the completion of the initial business combination, modified the event condition, resulting in the immediate vesting of 1,390,938 restricted stock units for which the time based vesting requirements had been satisfied as of December 31, 2021 and the issuance of a corresponding number of shares of Class A Common Stock. The remaining restricted stock units will continue to vest in accordance with the terms of the award.

SEC source: 0000899243-21-038068 · doc4.xml · derivative · entry 3

DEKKERS MARIJN E · CIK 0001216068 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 14,270 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 reported in this transaction represent Restricted Stock Units ("RSUs") granted under the Cerevel Therapeutics Holdings, Inc. 2020 Equity Incentive Plan. Each RSU represents the contingent right to receive one share of the Issuer's common stock.

F3 · derivative.exercise_date: 14,270 RSUs vested on September 24, 2021, the third anniversary of the vesting commencement date of September 24, 2018.

F3 · derivative.expiration_date: 14,270 RSUs vested on September 24, 2021, the third anniversary of the vesting commencement date of September 24, 2018.

SEC source: 0000899243-21-038068 · doc4.xml · nonDerivative · entry 1

DEKKERS MARIJN E · CIK 0001216068 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,810

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 reported in this transaction represent Restricted Stock Units ("RSUs") granted under the Cerevel Therapeutics Holdings, Inc. 2020 Equity Incentive Plan. Each RSU represents the contingent right to receive one share of the Issuer's common stock.

SEC source: 0000899243-21-036672 · doc4.xml · nonDerivative · entry 2

DEKKERS MARIJN E · CIK 0001216068 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Novalis LifeSciences Investments I, L.P.

Disclosed balance after: 5,780,364

F3 · shares: Includes 619,309 earn-out shares that will vest in four substantially equal installments if the Issuer's Class A Common Stock achieves a price per share for any period of 20 trading days out of 30 consecutive trading days prior to September 16, 2026 that equals or exceeds the following thresholds: $12.50, $15.00, $17.50 and $20.00.

F2 · price: Pursuant to the business combination of Soaring Eagle Acquisition Corp. and Ginkgo Bioworks, Inc. ("Legacy Ginkgo"), as contemplated by an agreement and plan of merger, dated May 11, 2021 as amended on May 14, 2021 (the "Merger Agreement"), each share of Class A common stock of Legacy Ginkgo, each share of Class B common stock of Legacy Ginkgo, each option of Legacy Ginkgo under Legacy Ginkgo's stock incentive plans, each award of restricted common stock of Legacy Ginkgo under Legacy Ginkgo's stock incentive plans, and each award of restricted stock units of Legacy Ginkgo under Legacy Ginkgo's stock incentive plans, in each case outstanding immediately prior to the effective time of the business combination, received a proportional amount of the approximately 188.7 million earn-out shares.

F4 · price: Pursuant to the Merger Agreement, (a) each share of Class A common stock of Legacy Ginkgo outstanding immediately prior to the effective time of the business combination was converted into approximately 49.080452 shares of the Issuer's Class A Common Stock; and (b) each share of Class B common stock of Legacy Ginkgo outstanding immediately prior to the effective time of the business combination was converted into approximately 49.080452 shares of the Issuer's Class B Common Stock.

F5 · ownership.nature: The Reporting Person is the manager of the general partner of Novalis LifeSciences Investments I, L.P. ("Novalis LifeSciences"), and as such, has sole voting and dispositive power over the shares held by Novalis LifeSciences and, as a result, may be deemed to share beneficial ownership of the shares held by Novalis LifeSciences.

SEC source: 0000899243-21-036672 · doc4.xml · nonDerivative · entry 1

DEKKERS MARIJN E · CIK 0001216068 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 374,960

F1 · shares: Reflects earn-out shares that will vest in four substantially equal installments if the Issuer's Class A Common Stock achieves a price per share for any period of 20 trading days out of 30 consecutive trading days prior to September 16, 2026 that equals or exceeds the following thresholds: $12.50, $15.00, $17.50 and $20.00.

F2 · price: Pursuant to the business combination of Soaring Eagle Acquisition Corp. and Ginkgo Bioworks, Inc. ("Legacy Ginkgo"), as contemplated by an agreement and plan of merger, dated May 11, 2021 as amended on May 14, 2021 (the "Merger Agreement"), each share of Class A common stock of Legacy Ginkgo, each share of Class B common stock of Legacy Ginkgo, each option of Legacy Ginkgo under Legacy Ginkgo's stock incentive plans, each award of restricted common stock of Legacy Ginkgo under Legacy Ginkgo's stock incentive plans, and each award of restricted stock units of Legacy Ginkgo under Legacy Ginkgo's stock incentive plans, in each case outstanding immediately prior to the effective time of the business combination, received a proportional amount of the approximately 188.7 million earn-out shares.

SEC source: 0001104659-21-080928 · tm2119549-19_4seq1.xml · nonDerivative · entry 3

DEKKERS MARIJN E · CIK 0001216068 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 170,512

F5 · shares: Consists of RSUs. Each RSU represents the right to receive one share of common stock upon vesting. The RSUs vest in equal annual installments over three years beginning on June 11, 2022, subject to Dr. Dekkers's continued service through the applicable vesting date.

SEC source: 0001104659-21-080928 · tm2119549-19_4seq1.xml · nonDerivative · entry 2

DEKKERS MARIJN E · CIK 0001216068 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,000

F3 · shares: Consists of restricted stock units ("RSUs"). Each RSU represents the right to receive one share of common stock upon vesting. The RSUs vest in 12 equal quarterly installments beginning on June 30, 2021, which vesting will be delayed to the extent the Issuer has not filed a Form S-8 registering such shares by the applicable vesting date, subject to Dr. Dekkers's continued service through the applicable vesting date.

F4 · price: Received in connection with the Merger in exchange for 188,089 RSUs of Qunatum-Si.

SEC source: 0001104659-21-080928 · tm2119549-19_4seq1.xml · nonDerivative · entry 1

DEKKERS MARIJN E · CIK 0001216068 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Novalis Lifesciences Investments I, LP

Disclosed balance after: 500,000

F1 · shares: In connection with the closing of the transactions contemplated by the Business Combination Agreement, dated as of February 18, 2021, by and among HighCape Capital Acquisition Corp. ("HighCape"), Tenet Merger Sub, Inc., a Delaware corporation and wholly owned subsidiary of HighCape ("Merger Sub"), and Quantum-Si Incorporated, a Delaware corporation ("Quantum-Si"), pursuant to which Merger Sub merged with and into Quantum-Si (the "Merger"), with Quantum-Si surviving as a wholly-owned subsidiary of HighCape (which changed its name to "Quantum-Si Incorporated", the "Issuer"), Novalis Lifesciences Investments I, LP ("Novalis") purchased 500,000 shares of Class A common stock from the Issuer, at a price of $10.00 per share, in a private placement immediately prior to the closing of the Merger.

F2 · ownership.nature: Dr. Dekkers has sole voting and investment control over the shares held by Novalis.

SEC source: 0000899243-21-023719 · doc4.xml · derivative · entry 1

DEKKERS MARIJN E · CIK 0001216068 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,003

Underlying: Common Stock · 58,003 shares

Expires 2031-06-10

F1 · derivative.exercise_date: 100% of the shares subject to this option shall vest and become exercisable on the earlier of: (i) the one year anniversary of the Grant Date, or (ii) the next annual meeting of stockholders of the Company occurring after the Grant Date.

SEC source: 0001562180-21-004128 · primarydocument.xml · derivative · entry 9

DEKKERS MARIJN E · CIK 0001216068 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 4,732 shares

Expires 2030-01-02

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.

SEC source: 0001562180-21-004128 · primarydocument.xml · nonDerivative · entry 6

DEKKERS MARIJN E · CIK 0001216068 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,270

F2 · kind: The sale of shares was effected pursuant to a Rule 10b5-1 trading plan adopted on March 12, 2021.

F5 · price: This transaction was executed in multiple trades at prices ranging from $56.17 to $56.41. The price reported reflects the weighted average sale price. The reporting person undertakes to provide upon request to the SEC staff, the issuer or any security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

F1 · balance_after: Includes 2,270 restricted stock units.

SEC source: 0001562180-21-004128 · primarydocument.xml · nonDerivative · entry 5

DEKKERS MARIJN E · CIK 0001216068 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,961

F2 · kind: The sale of shares was effected pursuant to a Rule 10b5-1 trading plan adopted on March 12, 2021.

F4 · price: This transaction was executed in multiple trades at prices ranging from $55.17 to $56.16. The price reported reflects the weighted average sale price. The reporting person undertakes to provide upon request to the SEC staff, the issuer or any security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

F1 · balance_after: Includes 2,270 restricted stock units.

SEC source: 0001562180-21-004128 · primarydocument.xml · nonDerivative · entry 4

DEKKERS MARIJN E · CIK 0001216068 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,321

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 · balance_after: Includes 2,270 restricted stock units.

SEC source: 0001562180-21-004128 · primarydocument.xml · derivative · entry 8

DEKKERS MARIJN E · CIK 0001216068 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,732

Underlying: Common Stock · 3,168 shares

Expires 2030-01-02

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.

SEC source: 0001562180-21-004128 · primarydocument.xml · derivative · entry 7

DEKKERS MARIJN E · CIK 0001216068 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,951 shares

Expires 2027-03-31

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.

F6 · derivative.exercise_date: The option vests as to 25% of the shares on March 13, 2018 and vests as to an additional 2.083% of the shares per month thereafter until February 28, 2021.

SEC source: 0001562180-21-004128 · primarydocument.xml · nonDerivative · entry 3

DEKKERS MARIJN E · CIK 0001216068 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,589

F2 · kind: The sale of shares was effected pursuant to a Rule 10b5-1 trading plan adopted on March 12, 2021.

F3 · price: This transaction was executed in multiple trades at prices ranging from $55.00 to $55.11. The price reported reflects the weighted average sale price. The reporting person undertakes to provide upon request to the SEC staff, the issuer or any security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

F1 · balance_after: Includes 2,270 restricted stock units.

SEC source: 0001562180-21-004128 · primarydocument.xml · nonDerivative · entry 2

DEKKERS MARIJN E · CIK 0001216068 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,199

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 · balance_after: Includes 2,270 restricted stock units.

SEC source: 0001562180-21-004128 · primarydocument.xml · nonDerivative · entry 1

DEKKERS MARIJN E · CIK 0001216068 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,031

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 · balance_after: Includes 2,270 restricted stock units.

SEC source: 0001562180-21-000339 · primarydocument.xml · derivative · entry 11

DEKKERS MARIJN E · CIK 0001216068 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,951

Underlying: Common Stock · 29,162 shares

Expires 2027-03-31

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.

F8 · derivative.exercise_date: The option vests as to 25% of the shares on March 13, 2018 and vests as to an additional 2.083% of the shares per month thereafter until February 28, 2021.

SEC source: 0001562180-21-000339 · primarydocument.xml · derivative · entry 10

DEKKERS MARIJN E · CIK 0001216068 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 7,900 shares

Expires 2028-08-07

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.

SEC source: 0001562180-21-000339 · primarydocument.xml · derivative · entry 9

DEKKERS MARIJN E · CIK 0001216068 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 7,900 shares

Expires 2029-01-02

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.

SEC source: 0001562180-21-000339 · primarydocument.xml · nonDerivative · entry 8

DEKKERS MARIJN E · CIK 0001216068 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,080

F1 · kind: The sale of shares was effected pursuant to a Rule 10b5-1 trading plan adopted on December 9, 2020.

F6 · price: This transaction was executed in multiple trades at prices ranging from $50.79 to $51.64. The price reported reflects the weighted average sale price. The reporting person undertakes to provide upon request to the SEC staff, the issuer or any security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

F7 · balance_after: Includes 2,270 restricted stock units.

SEC source: 0001562180-21-000339 · primarydocument.xml · nonDerivative · entry 7

DEKKERS MARIJN E · CIK 0001216068 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,279

F1 · kind: The sale of shares was effected pursuant to a Rule 10b5-1 trading plan adopted on December 9, 2020.

F5 · price: This transaction was executed in multiple trades at prices ranging from $49.79 to $50.78. The price reported reflects the weighted average sale price. The reporting person undertakes to provide upon request to the SEC staff, the issuer or any security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001562180-21-000339 · primarydocument.xml · nonDerivative · entry 6

DEKKERS MARIJN E · CIK 0001216068 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,679

F1 · kind: The sale of shares was effected pursuant to a Rule 10b5-1 trading plan adopted on December 9, 2020.

F4 · price: This transaction was executed in multiple trades at prices ranging from $48.74 to $49.70. The price reported reflects the weighted average sale price. The reporting person undertakes to provide upon request to the SEC staff, the issuer or any security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001562180-21-000339 · primarydocument.xml · nonDerivative · entry 5

DEKKERS MARIJN E · CIK 0001216068 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,012

F1 · kind: The sale of shares was effected pursuant to a Rule 10b5-1 trading plan adopted on December 9, 2020.

F3 · price: This transaction was executed in multiple trades at prices ranging from $47.47 to $48.43. The price reported reflects the weighted average sale price. The reporting person undertakes to provide upon request to the SEC staff, the issuer or any security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001562180-21-000339 · primarydocument.xml · nonDerivative · entry 4

DEKKERS MARIJN E · CIK 0001216068 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,842

F1 · kind: The sale of shares was effected pursuant to a Rule 10b5-1 trading plan adopted on December 9, 2020.

F2 · price: This transaction was executed in multiple trades at prices ranging from $46.47 to $47.46. The price reported reflects the weighted average sale price. The reporting person undertakes to provide upon request to the SEC staff, the issuer or any security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001562180-21-000339 · primarydocument.xml · nonDerivative · entry 3

DEKKERS MARIJN E · CIK 0001216068 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,042

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.

SEC source: 0001562180-21-000339 · primarydocument.xml · nonDerivative · entry 2

DEKKERS MARIJN E · CIK 0001216068 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,880

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.

SEC source: 0001562180-21-000339 · primarydocument.xml · nonDerivative · entry 1

DEKKERS MARIJN E · CIK 0001216068 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,980

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.

SEC source: 0001562180-21-000112 · primarydocument.xml · derivative · entry 2

DEKKERS MARIJN E · CIK 0001216068 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,900

Underlying: Common Stock · 7,900 shares

Expires 2031-01-04

F3 · shares: Represents non-qualified stock option to purchase 7,900 shares of common stock granted pursuant to the Quanterix Corporation 2018 Non-Employee Director Compensation Policy.