Keuer Thomas A

SEC source: 0001209191-22-060498 · doc4.xml · nonDerivative · entry 1

Keuer Thomas A · CIK 0001290482 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,730

F1 · shares: Represents shares issued as restricted stock units (an "RSU") under the Issuer's 2020 Equity Incentive Plan (the "2020 Plan"). The RSUs vest one year from December 8, 2022, subject to continuing employment with the Company through that date. In the event of a change in control of the Issuer or the grantee's involuntary termination without cause or by the grantee for good reason, 100% of the unvested RSUs shall become fully and immediately vested upon the closing date of such change in control or such involuntary termination date, respectively (to the extent such unvested RSUs have not yet then vested).

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

Keuer Thomas A · CIK 0001290482 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,000

Underlying: Common Stock · 35,000 shares

Expires 2031-12-14

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

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

Keuer Thomas A · CIK 0001290482 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,000

Underlying: Common Stock · 70,000 shares

Expires 2030-12-21

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

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

Keuer Thomas A · CIK 0001290482 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,153

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

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

Keuer Thomas A · CIK 0001290482 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,635

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

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

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

SEC source: 0001209191-17-025619 · doc4.xml · nonDerivative · entry 1

Keuer Thomas A · CIK 0001290482 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,045

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

F2 · balance_after: Includes (i) remaining 1,222 previously reported shares issued as RSUs under the Plan that vest on 2/27/18, and (ii) remaining 1,207 previously reported shares issued as RSUs under the Plan that vest on 4/2/18, provided that the Reporting Person's continuous service to the Issuer has not been terminated as defined under the Plan; and 11,616 previously reported shares of common stock owned.

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

Keuer Thomas A · CIK 0001290482 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,435

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

F2 · balance_after: Includes (i) remaining 1,222 previously reported shares issued as RSUs under the Plan that vest on 2/27/18, and (ii) 2,414 previously reported shares issued as RSUs under the Plan that vest in two equal annual installments beginning 4/2/17, provided that the Reporting Person's continuous service to the Issuer has not been terminated as defined under the Plan; and 10,799 previously reported shares of common stock owned.

SEC source: 0001209191-17-015981 · doc4.xml · derivative · entry 2

Keuer Thomas A · CIK 0001290482 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,800

Underlying: Common Stock · 23,800 shares

Expires 2027-02-26

F3 · derivative.exercise_date: Grant to the Reporting Person of a stock option under the Plan, 50% vesting upon achievement of certain pre-specified corporate milestone related to the outcome of the interim data analysis by that trial's Data and Safety Monitoring Board, and if the milestone is achieved, the remainder of the grant will vest on March 31, 2018, provided that the Reporting Person's continuous service to the Issuer has not been terminated as defined in or as determined under the Plan prior to such time. If the corporate milestone is not achieved, the Option will be cancelled. In the event of a change in control of the Issuer, 50% of the unvested options shall become fully and immediately vested upon the closing date of such change in control, provided, however, that on the earlier of (i) the one-year anniversary of the closing date or (ii) involuntary termination, any options that remain unvested on such earlier date shall become fully and immediately vested.

SEC source: 0001209191-17-012752 · doc4.xml · derivative · entry 2

Keuer Thomas A · CIK 0001290482 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,200

Underlying: Common Stock · 25,200 shares

Expires 2027-02-15

F2 · derivative.exercise_date: Grant to the Reporting Person of a stock option under the Plan, vesting in 36 equal monthly installments from the date of grant, provided that the Reporting Person's continuous service to the Issuer has not been terminated as defined in or as determined under the Plan prior to such time. In the event of a change in control of the Issuer, 50% of the unvested options shall become fully and immediately vested upon the closing date of such change in control, provided, however, that on the earlier of (i) the one-year anniversary of the closing date or (ii) involuntary termination, any options that remain unvested on such earlier date shall become fully and immediately vested.

SEC source: 0001209191-16-146208 · doc4.xml · nonDerivative · entry 1

Keuer Thomas A · CIK 0001290482 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,900

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

F2 · balance_after: Includes (i) remaining 2,443 previously reported shares issued as RSUs under the Plan that vest in two equal annual installments beginning on 2/27/17, and (ii) 2,414 previously reported shares issued as RSUs under the Plan that vest in two equal annual installments beginning 4/2/17, provided that the Reporting Person's continuous service to the Issuer has not been terminated as defined under the Plan; and 10,043 previously reported shares of common stock owned.

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

Keuer Thomas A · CIK 0001290482 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,383

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

F2 · price: The price represents the weighted average sale price for multiple transactions reported on this line. The prices of the transactions ranged from $2.88 to $2.89. Upon request of the SEC staff, ARCA biopharma, Inc. (the "Company") or a security holder of the Company, the reporting person will provide full information regarding the number of shares sold at each separate price.

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