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person · Reporting owner

KOLLURI KRISHNA KITTU

Disclosed activity across 8 companies

Tapewire entity
18812
SEC CIK
0001270521

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Reported relationships

Latest disclosed role at each company.

CompanyLast reported asReport datePublished
Achaogen, Inc.AKAO · Entity 15895710% ownerDecember 19, 2016December 19, 2016
BillionToOne, Inc.BLLN · Entity 3992DirectorAugust 26, 2026August 28, 2026
KINETA, INC./DEPTI · Entity 7777810% ownerSeptember 14, 2016September 15, 2016
Ra Pharmaceuticals, Inc.RARX · Entity 15003410% ownerOctober 31, 2016October 31, 2016
Roka BioScience, Inc.ROKA · Entity 17268210% ownerSeptember 21, 2016September 30, 2016
Tracon Pharmaceuticals, Inc.TCON · Entity 9113410% ownerNovember 29, 2016November 29, 2016
Zosano Pharma CorpZSAN · Entity 1251810% ownerSeptember 16, 2016September 20, 2016

Disclosed balances

About these balances

Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.

Achaogen, Inc.

Report date December 19, 2016 · Filed December 19, 2016

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectSee Note 15,215,128 Reported balance After 2016-12-19 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2016-12-19 · Purchase · Acquired 500,000 · Balance 5,215,128

F1: The Reporting Person is a manager of NEA 15 GP, LLC, ("NEA 15 GP") which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L. P. ("NEA 15"). NEA 15 is the sole member of Growth Equity Opportunities Fund IV, LLC ("GEO IV"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by GEO IV in which the Reporting Person has no pecuniary interest.

Filing footnotes · ownership attribution and instrument terms

F1: The Reporting Person is a manager of NEA 15 GP, LLC, ("NEA 15 GP") which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L. P. ("NEA 15"). NEA 15 is the sole member of Growth Equity Opportunities Fund IV, LLC ("GEO IV"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by GEO IV in which the Reporting Person has no pecuniary interest.

BillionToOne, Inc.

Report date August 26, 2026 · Filed August 28, 2026

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Class A Common StockSEC Table I · non-derivativeIndirectSee Footnote908,459 Reported balance After 2026-08-26 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2026-08-26 · Other · Disposed 129,780 · Balance 908,459

F1: Represents a pro-rata, in-kind distribution by Neotribe Ignite Fund I, L.P. ("NTIF I") to its partners, for no additional consideration.

F2: The reported security is directly held by NTIF I. Neotribe Ignite Partners I, LLC ("NTIP I") is the general partner of NTIF I. Krishna Kittu Kolluri ("Kolluri") is the managing member of NTIP I and therefore may be deemed to have voting and dispositive power over the shares held by NTIF I. Kolluri disclaims beneficial ownership of the shares held by NTIF I except to the extent of his pecuniary interest therein.

Class A Common StockSEC Table I · non-derivativeIndirectSee Footnote7,980 Reported balance After 2026-08-26 transaction · row 2 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 2 · 2026-08-26 · Other · Acquired 7,980 · Balance 7,980

F3: The shares were obtained pursuant to a pro-rata, in-kind distribution from NTIF I, for no additional consideration.

F4: The reported security is directly held by NTIP I. Kolluri is the managing member of NTIP I and therefore may be deemed to have voting and dispositive power over the shares held by NTIP I. Kolluri disclaims beneficial ownership of the shares held by NTIP I except to the extent of his pecuniary interest therein.

Class A Common StockSEC Table I · non-derivativeIndirectSee Footnote0 Reported balance After 2026-08-26 transaction · row 3 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 3 · 2026-08-26 · Other · Disposed 7,980 · Balance 0

F5: Represents a pro-rata, in-kind distribution by NTIP I to its members and assignees, for no additional consideration.

F4: The reported security is directly held by NTIP I. Kolluri is the managing member of NTIP I and therefore may be deemed to have voting and dispositive power over the shares held by NTIP I. Kolluri disclaims beneficial ownership of the shares held by NTIP I except to the extent of his pecuniary interest therein.

Class A Common StockSEC Table I · non-derivativeIndirectSee Footnote169,550 Reported balance After 2026-08-26 transaction · row 4 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 4 · 2026-08-26 · Other · Disposed 24,222 · Balance 169,550

F6: Represents a pro-rata, in-kind distribution by Neotribe SPV I BTO, LLC ("NT SPV I") to its members, for no additional consideration.

F7: The reported security is directly held by NT SPV I. Neotribe Partners SPV I BTO, LLC ("NTP SPV I") is the managing member of NT SPV I. Kolluri is the managing member of NTP SPV I and therefore may be deemed to have voting and dispositive power over the shares held by NT SPV I. Kolluri disclaims beneficial ownership of the shares held by NT SPV I except to the extent of his pecuniary interest therein.

Class A Common StockSEC Table I · non-derivativeIndirectSee Footnote2,405 Reported balance After 2026-08-26 transaction · row 5 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 5 · 2026-08-26 · Other · Acquired 2,405 · Balance 2,405

F8: The shares were obtained pursuant to a pro-rata, in-kind distribution from NT SPV I, for no additional consideration.

F9: The reported security is directly held by NTP SPV I. Kolluri is the managing member of NTP SPV I and therefore may be deemed to have voting and dispositive power over the shares held by NTP SPV I. Kolluri disclaims beneficial ownership of the shares held by NTP SPV I except to the extent of his pecuniary interest therein.

Class A Common StockSEC Table I · non-derivativeIndirectSee Footnote0 Reported balance After 2026-08-26 transaction · row 6 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 6 · 2026-08-26 · Other · Disposed 2,405 · Balance 0

F10: Represents a pro-rata, in-kind distribution by NTP SPV I to its members and assignees, for no additional consideration.

F9: The reported security is directly held by NTP SPV I. Kolluri is the managing member of NTP SPV I and therefore may be deemed to have voting and dispositive power over the shares held by NTP SPV I. Kolluri disclaims beneficial ownership of the shares held by NTP SPV I except to the extent of his pecuniary interest therein.

Class A Common StockSEC Table I · non-derivativeIndirectSee Footnote1,897,202 Reported balance After 2026-08-26 transaction · row 7 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 7 · 2026-08-26 · Other · Disposed 271,028 · Balance 1,897,202

F11: Represents a pro-rata, in-kind distribution by NeoTribe Ventures I, L.P. ("NTV I") to its partners, for no additional consideration.

F12: The reported security is directly held by NTV I, for itself. NeoTribe Partners I, LLC ("NTP I") is the general partner of NTV I. Kolluri is the managing member of NTP I and therefore may be deemed to hold voting and dispositive power over the shares held by NTV I. Kolluri disclaims beneficial ownership of the shares held by NTV I except to the extent of his pecuniary interest therein.

Class A Common StockSEC Table I · non-derivativeIndirectSee Footnote38,106 Reported balance After 2026-08-26 transaction · row 8 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 8 · 2026-08-26 · Other · Acquired 38,106 · Balance 38,106

F13: The shares were obtained pursuant to a pro-rata, in-kind distribution from NTV I, for no additional consideration.

F14: The reported security is directly held by NTP I. Kolluri is the managing member of NTP I and therefore may be deemed to have voting and dispositive power over the shares held by NTP I. Kolluri disclaims beneficial ownership of the shares held by NTP I except to the extent of his pecuniary interest therein.

Class A Common StockSEC Table I · non-derivativeIndirectSee Footnote0 Reported balance After 2026-08-26 transaction · row 9 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 9 · 2026-08-26 · Other · Disposed 38,106 · Balance 0

F15: Represents a pro-rata, in-kind distribution by NTP I to its members and assignees, for no additional consideration.

F14: The reported security is directly held by NTP I. Kolluri is the managing member of NTP I and therefore may be deemed to have voting and dispositive power over the shares held by NTP I. Kolluri disclaims beneficial ownership of the shares held by NTP I except to the extent of his pecuniary interest therein.

Class A Common StockSEC Table I · non-derivativeIndirectSee Footnote76,441 Reported balance After 2026-08-26 transaction · row 10 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 10 · 2026-08-26 · Other · Disposed 10,921 · Balance 76,441

F16: Represents a pro-rata, in-kind distribution by NeoTribe Associates I, L.P. ("NTA I") to its partners, for no additional consideration.

F17: The reported security is directly held by NTV I, as nominee for NTA I. NTP I is the general partner of NTA I. Kolluri is the managing member of NTP I and therefore may be deemed to hold voting and dispositive power over the shares held by NTA I. Kolluri disclaims beneficial ownership of the shares held by NTA I except to the extent of his pecuniary interest therein.

Class A Common StockSEC Table I · non-derivativeIndirectSee Footnote2,157 Reported balance After 2026-08-26 transaction · row 11 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 11 · 2026-08-26 · Other · Acquired 719 · Balance 2,157

F3: The shares were obtained pursuant to a pro-rata, in-kind distribution from NTIF I, for no additional consideration.

F18: The reported security is directly held by Ishaan S. Kolluri GST Exempt Trust under the Kolluri 2012 Trust Dtd 11/16/2012, of which Kolluri is a trustee and therefore may be deemed to hold voting and dispositive power over these shares. Kolluri disclaims beneficial ownership of these shares.

Class A Common StockSEC Table I · non-derivativeIndirectSee Footnote2,157 Reported balance After 2026-08-26 transaction · row 12 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 12 · 2026-08-26 · Other · Acquired 719 · Balance 2,157

F3: The shares were obtained pursuant to a pro-rata, in-kind distribution from NTIF I, for no additional consideration.

F19: The reported security is directly held by Raina V. Kolluri GST Exempt Trust under the Kolluri 2012 Trust Dtd 11/16/2012, of which Kolluri is a trustee and therefore may be deemed to hold voting and dispositive power over these shares. Kolluri disclaims beneficial ownership of these shares.

Class A Common StockSEC Table I · non-derivativeIndirectSee Footnote35,285 Reported balance After 2026-08-26 transaction · row 13 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 13 · 2026-08-26 · Other · Acquired 5,761 · Balance 35,285

F20: The shares were obtained pursuant to a pro-rata, in-kind distribution from NTIP I, for no additional consideration.

F21: The reported security is directly held by Kolluri Living Trust dated 11/05/1999, of which Kolluri is a trustee and therefore may be deemed to hold voting and dispositive power over these shares. Kolluri disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.

Class A Common StockSEC Table I · non-derivativeIndirectSee Footnote36,951 Reported balance After 2026-08-26 transaction · row 14 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 14 · 2026-08-26 · Other · Acquired 1,666 · Balance 36,951

F22: The shares were obtained pursuant to a pro-rata, in-kind distribution from NTP SPV I, for no additional consideration.

F21: The reported security is directly held by Kolluri Living Trust dated 11/05/1999, of which Kolluri is a trustee and therefore may be deemed to hold voting and dispositive power over these shares. Kolluri disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.

Class A Common StockSEC Table I · non-derivativeIndirectSee Footnote52,195 Reported balance After 2026-08-26 transaction · row 15 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 15 · 2026-08-26 · Other · Acquired 15,244 · Balance 52,195

F23: The shares were obtained pursuant to a pro-rata, in-kind distribution from NTP I, for no additional consideration.

F21: The reported security is directly held by Kolluri Living Trust dated 11/05/1999, of which Kolluri is a trustee and therefore may be deemed to hold voting and dispositive power over these shares. Kolluri disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.

Class A Common StockSEC Table I · non-derivativeIndirectSee Footnote57,839 Reported balance After 2026-08-26 transaction · row 16 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 16 · 2026-08-26 · Other · Acquired 5,644 · Balance 57,839

F24: The shares were obtained pursuant to a pro-rata, in-kind distribution from NTA I, for no additional consideration.

F21: The reported security is directly held by Kolluri Living Trust dated 11/05/1999, of which Kolluri is a trustee and therefore may be deemed to hold voting and dispositive power over these shares. Kolluri disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.

Filing footnotes · ownership attribution and instrument terms

F1: Represents a pro-rata, in-kind distribution by Neotribe Ignite Fund I, L.P. ("NTIF I") to its partners, for no additional consideration.

F2: The reported security is directly held by NTIF I. Neotribe Ignite Partners I, LLC ("NTIP I") is the general partner of NTIF I. Krishna Kittu Kolluri ("Kolluri") is the managing member of NTIP I and therefore may be deemed to have voting and dispositive power over the shares held by NTIF I. Kolluri disclaims beneficial ownership of the shares held by NTIF I except to the extent of his pecuniary interest therein.

F3: The shares were obtained pursuant to a pro-rata, in-kind distribution from NTIF I, for no additional consideration.

F4: The reported security is directly held by NTIP I. Kolluri is the managing member of NTIP I and therefore may be deemed to have voting and dispositive power over the shares held by NTIP I. Kolluri disclaims beneficial ownership of the shares held by NTIP I except to the extent of his pecuniary interest therein.

F5: Represents a pro-rata, in-kind distribution by NTIP I to its members and assignees, for no additional consideration.

F6: Represents a pro-rata, in-kind distribution by Neotribe SPV I BTO, LLC ("NT SPV I") to its members, for no additional consideration.

F7: The reported security is directly held by NT SPV I. Neotribe Partners SPV I BTO, LLC ("NTP SPV I") is the managing member of NT SPV I. Kolluri is the managing member of NTP SPV I and therefore may be deemed to have voting and dispositive power over the shares held by NT SPV I. Kolluri disclaims beneficial ownership of the shares held by NT SPV I except to the extent of his pecuniary interest therein.

F8: The shares were obtained pursuant to a pro-rata, in-kind distribution from NT SPV I, for no additional consideration.

F9: The reported security is directly held by NTP SPV I. Kolluri is the managing member of NTP SPV I and therefore may be deemed to have voting and dispositive power over the shares held by NTP SPV I. Kolluri disclaims beneficial ownership of the shares held by NTP SPV I except to the extent of his pecuniary interest therein.

F10: Represents a pro-rata, in-kind distribution by NTP SPV I to its members and assignees, for no additional consideration.

F11: Represents a pro-rata, in-kind distribution by NeoTribe Ventures I, L.P. ("NTV I") to its partners, for no additional consideration.

F12: The reported security is directly held by NTV I, for itself. NeoTribe Partners I, LLC ("NTP I") is the general partner of NTV I. Kolluri is the managing member of NTP I and therefore may be deemed to hold voting and dispositive power over the shares held by NTV I. Kolluri disclaims beneficial ownership of the shares held by NTV I except to the extent of his pecuniary interest therein.

F13: The shares were obtained pursuant to a pro-rata, in-kind distribution from NTV I, for no additional consideration.

F14: The reported security is directly held by NTP I. Kolluri is the managing member of NTP I and therefore may be deemed to have voting and dispositive power over the shares held by NTP I. Kolluri disclaims beneficial ownership of the shares held by NTP I except to the extent of his pecuniary interest therein.

F15: Represents a pro-rata, in-kind distribution by NTP I to its members and assignees, for no additional consideration.

F16: Represents a pro-rata, in-kind distribution by NeoTribe Associates I, L.P. ("NTA I") to its partners, for no additional consideration.

F17: The reported security is directly held by NTV I, as nominee for NTA I. NTP I is the general partner of NTA I. Kolluri is the managing member of NTP I and therefore may be deemed to hold voting and dispositive power over the shares held by NTA I. Kolluri disclaims beneficial ownership of the shares held by NTA I except to the extent of his pecuniary interest therein.

F18: The reported security is directly held by Ishaan S. Kolluri GST Exempt Trust under the Kolluri 2012 Trust Dtd 11/16/2012, of which Kolluri is a trustee and therefore may be deemed to hold voting and dispositive power over these shares. Kolluri disclaims beneficial ownership of these shares.

F19: The reported security is directly held by Raina V. Kolluri GST Exempt Trust under the Kolluri 2012 Trust Dtd 11/16/2012, of which Kolluri is a trustee and therefore may be deemed to hold voting and dispositive power over these shares. Kolluri disclaims beneficial ownership of these shares.

F20: The shares were obtained pursuant to a pro-rata, in-kind distribution from NTIP I, for no additional consideration.

F21: The reported security is directly held by Kolluri Living Trust dated 11/05/1999, of which Kolluri is a trustee and therefore may be deemed to hold voting and dispositive power over these shares. Kolluri disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.

F22: The shares were obtained pursuant to a pro-rata, in-kind distribution from NTP SPV I, for no additional consideration.

F23: The shares were obtained pursuant to a pro-rata, in-kind distribution from NTP I, for no additional consideration.

F24: The shares were obtained pursuant to a pro-rata, in-kind distribution from NTA I, for no additional consideration.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect3,554,610 Reported balance After 2016-09-14 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2016-09-14 · Purchase · Acquired 461,538 · Balance 3,554,610

F1: The shares are directly held by New Enterprise Associates 12, Limited Partnership ("NEA 12") and indirectly held by NEA Partners 12, Limited Partnership ("NEA Partners 12"), the sole general partner of NEA 12, NEA 12 GP, LLC ("NEA 12 GP"), the sole general partner of NEA Partners 12, and the individual managers of NEA 12 GP (NEA Partners 12, NEA 12 GP and the individual managers of NEA 12 GP together, the "NEA 12 Indirect Reporting Persons"). The individual managers of NEA 12 GP are M. James Barrett, Peter J. Barris, Forest Baskett, Patrick J. Kerins, Krishna "Kittu" Kolluri, and Scott D. Sandell. The NEA 12 Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 12 shares in which the NEA 12 Indirect Reporting Persons have no pecuniary interest.

Filing footnotes · ownership attribution and instrument terms

F1: The shares are directly held by New Enterprise Associates 12, Limited Partnership ("NEA 12") and indirectly held by NEA Partners 12, Limited Partnership ("NEA Partners 12"), the sole general partner of NEA 12, NEA 12 GP, LLC ("NEA 12 GP"), the sole general partner of NEA Partners 12, and the individual managers of NEA 12 GP (NEA Partners 12, NEA 12 GP and the individual managers of NEA 12 GP together, the "NEA 12 Indirect Reporting Persons"). The individual managers of NEA 12 GP are M. James Barrett, Peter J. Barris, Forest Baskett, Patrick J. Kerins, Krishna "Kittu" Kolluri, and Scott D. Sandell. The NEA 12 Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 12 shares in which the NEA 12 Indirect Reporting Persons have no pecuniary interest.

Ra Pharmaceuticals, Inc.

Report date October 31, 2016 · Filed October 31, 2016

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectSee Note 23,490,073 Last balance in matching sequence After 2016-10-31 transaction · row 6 Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
6 source rows

Row 1 · 2016-10-31 · Other · Acquired 80,658 · Balance 80,658

F1: The Warrants automatically exercised immediately prior to the closing of the Issuer's initial public offering for such number of shares issuable pursuant to a cashless net exercise provision, resulting in the Issuer withholding 435 of the warrant shares to pay the exercise price and issuing to the reporting person the remaining 80,223 shares, after deducting the aggregate exercise price.

F2: The Reporting Person is a director of NEA 13 GP, LTD, which is the sole general partner of NEA Partners 13, L.P. ("NEA Partners 13"). NEA Partners 13 is the sole general partner of New Enterprise Associates 13, L.P. ("NEA 13"), which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 13 shares in which the Reporting Person has no pecuniary interest.

Row 2 · 2016-10-31 · Sale · Disposed 435 · Balance 80,223

F1: The Warrants automatically exercised immediately prior to the closing of the Issuer's initial public offering for such number of shares issuable pursuant to a cashless net exercise provision, resulting in the Issuer withholding 435 of the warrant shares to pay the exercise price and issuing to the reporting person the remaining 80,223 shares, after deducting the aggregate exercise price.

F2: The Reporting Person is a director of NEA 13 GP, LTD, which is the sole general partner of NEA Partners 13, L.P. ("NEA Partners 13"). NEA Partners 13 is the sole general partner of New Enterprise Associates 13, L.P. ("NEA 13"), which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 13 shares in which the Reporting Person has no pecuniary interest.

Row 3 · 2016-10-31 · Conversion · Acquired 1,778,227 · Balance 1,858,450

F3: Each share of the Series A Preferred Stock is convertible into Common Stock on a 1-for-7 basis automatically upon the closing of the Issuer's initial public offering, and has no expiration date.

F2: The Reporting Person is a director of NEA 13 GP, LTD, which is the sole general partner of NEA Partners 13, L.P. ("NEA Partners 13"). NEA Partners 13 is the sole general partner of New Enterprise Associates 13, L.P. ("NEA 13"), which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 13 shares in which the Reporting Person has no pecuniary interest.

Row 4 · 2016-10-31 · Conversion · Acquired 669,951 · Balance 2,528,401

F4: Each share of the Series B-1 Preferred Stock is convertible into Common Stock on a 1-for-7 basis automatically upon the closing of the Issuer's initial public offering, and has no expiration date.

F2: The Reporting Person is a director of NEA 13 GP, LTD, which is the sole general partner of NEA Partners 13, L.P. ("NEA Partners 13"). NEA Partners 13 is the sole general partner of New Enterprise Associates 13, L.P. ("NEA 13"), which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 13 shares in which the Reporting Person has no pecuniary interest.

Row 5 · 2016-10-31 · Conversion · Acquired 623,210 · Balance 3,151,611

F5: Each share of the Series B-2 Preferred Stock is convertible into Common Stock on a 1-for-7 basis automatically upon the closing of the Issuer's initial public offering, and has no expiration date.

F2: The Reporting Person is a director of NEA 13 GP, LTD, which is the sole general partner of NEA Partners 13, L.P. ("NEA Partners 13"). NEA Partners 13 is the sole general partner of New Enterprise Associates 13, L.P. ("NEA 13"), which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 13 shares in which the Reporting Person has no pecuniary interest.

Row 6 · 2016-10-31 · Purchase · Acquired 338,462 · Balance 3,490,073

F2: The Reporting Person is a director of NEA 13 GP, LTD, which is the sole general partner of NEA Partners 13, L.P. ("NEA Partners 13"). NEA Partners 13 is the sole general partner of New Enterprise Associates 13, L.P. ("NEA 13"), which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 13 shares in which the Reporting Person has no pecuniary interest.

Warrants to Purchase Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.07 · Expires 2022-04-01IndirectSee Note 20 Reported balance After 2016-10-31 transaction · row 7 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 7 · 2016-10-31 · Other · Disposed 80,658 · Balance 0

F1: The Warrants automatically exercised immediately prior to the closing of the Issuer's initial public offering for such number of shares issuable pursuant to a cashless net exercise provision, resulting in the Issuer withholding 435 of the warrant shares to pay the exercise price and issuing to the reporting person the remaining 80,223 shares, after deducting the aggregate exercise price.

F2: The Reporting Person is a director of NEA 13 GP, LTD, which is the sole general partner of NEA Partners 13, L.P. ("NEA Partners 13"). NEA Partners 13 is the sole general partner of New Enterprise Associates 13, L.P. ("NEA 13"), which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 13 shares in which the Reporting Person has no pecuniary interest.

Series A Preferred StockSEC Table II · derivative / convertible securityIndirectSee Note 20 Reported balance After 2016-10-31 transaction · row 8 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 8 · 2016-10-31 · Conversion · Disposed 12,447,605 · Balance 0

F3: Each share of the Series A Preferred Stock is convertible into Common Stock on a 1-for-7 basis automatically upon the closing of the Issuer's initial public offering, and has no expiration date.

F2: The Reporting Person is a director of NEA 13 GP, LTD, which is the sole general partner of NEA Partners 13, L.P. ("NEA Partners 13"). NEA Partners 13 is the sole general partner of New Enterprise Associates 13, L.P. ("NEA 13"), which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 13 shares in which the Reporting Person has no pecuniary interest.

Series B-1 Preferred StockSEC Table II · derivative / convertible securityIndirectSee Note 20 Reported balance After 2016-10-31 transaction · row 9 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 9 · 2016-10-31 · Conversion · Disposed 4,689,657 · Balance 0

F4: Each share of the Series B-1 Preferred Stock is convertible into Common Stock on a 1-for-7 basis automatically upon the closing of the Issuer's initial public offering, and has no expiration date.

F2: The Reporting Person is a director of NEA 13 GP, LTD, which is the sole general partner of NEA Partners 13, L.P. ("NEA Partners 13"). NEA Partners 13 is the sole general partner of New Enterprise Associates 13, L.P. ("NEA 13"), which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 13 shares in which the Reporting Person has no pecuniary interest.

Series B-2 Preferred StockSEC Table II · derivative / convertible securityIndirectSee Note 20 Reported balance After 2016-10-31 transaction · row 10 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 10 · 2016-10-31 · Conversion · Disposed 4,362,472 · Balance 0

F5: Each share of the Series B-2 Preferred Stock is convertible into Common Stock on a 1-for-7 basis automatically upon the closing of the Issuer's initial public offering, and has no expiration date.

F2: The Reporting Person is a director of NEA 13 GP, LTD, which is the sole general partner of NEA Partners 13, L.P. ("NEA Partners 13"). NEA Partners 13 is the sole general partner of New Enterprise Associates 13, L.P. ("NEA 13"), which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 13 shares in which the Reporting Person has no pecuniary interest.

Filing footnotes · ownership attribution and instrument terms

F1: The Warrants automatically exercised immediately prior to the closing of the Issuer's initial public offering for such number of shares issuable pursuant to a cashless net exercise provision, resulting in the Issuer withholding 435 of the warrant shares to pay the exercise price and issuing to the reporting person the remaining 80,223 shares, after deducting the aggregate exercise price.

F2: The Reporting Person is a director of NEA 13 GP, LTD, which is the sole general partner of NEA Partners 13, L.P. ("NEA Partners 13"). NEA Partners 13 is the sole general partner of New Enterprise Associates 13, L.P. ("NEA 13"), which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 13 shares in which the Reporting Person has no pecuniary interest.

F3: Each share of the Series A Preferred Stock is convertible into Common Stock on a 1-for-7 basis automatically upon the closing of the Issuer's initial public offering, and has no expiration date.

F4: Each share of the Series B-1 Preferred Stock is convertible into Common Stock on a 1-for-7 basis automatically upon the closing of the Issuer's initial public offering, and has no expiration date.

F5: Each share of the Series B-2 Preferred Stock is convertible into Common Stock on a 1-for-7 basis automatically upon the closing of the Issuer's initial public offering, and has no expiration date.

Roka BioScience, Inc.

Report date September 21, 2016 · Filed September 30, 2016 · Amendment

Amendment: balances below belong to this corrected disclosure, not necessarily a complete replacement of earlier positions.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Series A Convertible Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.70IndirectSee Note 34,000 Reported balance After 2016-09-21 transaction · row 1 Amendment: may correct only part of an earlier disclosure.
1 source row

Row 1 · 2016-09-21 · Purchase · Acquired 4,000 · Balance 4,000

F2: NEA 13 purchased 4,000 Shares of Series A Preferred Shares and five-year warrants to purchase 5,714,286 Common Shares at a purchase price of $1,000 per unit pursuant to a Securities Purchase Agreement dated September 16, 2016, with a closing date of September 21, 2016 for a total of $4,000,000.

F1: This amendment to Form 4 is being filed to correct the number of shares of Common Stock underlying the Series A Convertible Preferred Stock. Pursuant to the terms of the Certificate of Designation of Preferences, Rights and Limitations of Series A Convertible Preferred Stock and the lock up agreement dated September 21, 2016, NEA 13's Series A Convertible Preferred Stock, par value $0.001 per share (the "Series A Preferred Shares") automatically converts, upon receipt by the Company of shareholder approval, into a number of shares of the Issuer's common stock, par value $0.001 per share ("Common Shares"), determined by dividing the stated value of each Preferred Share (which is $1,000) by $0.70. Such conversion is reflected in the amount of Common Shares reported in column 7 as underlying the security. The Series A Preferred Shares have no expiration date.

F3: The Reporting Person is a director of NEA 13 GP, LTD, which is the sole general partner of NEA Partners 13, L.P. ("NEA Partners 13"). NEA Partners 13 is the sole general partner of New Enterprise Associates 13, L.P. ("NEA 13"), which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 13 shares in which the Reporting Person has no pecuniary interest.

Filing footnotes · ownership attribution and instrument terms

F1: This amendment to Form 4 is being filed to correct the number of shares of Common Stock underlying the Series A Convertible Preferred Stock. Pursuant to the terms of the Certificate of Designation of Preferences, Rights and Limitations of Series A Convertible Preferred Stock and the lock up agreement dated September 21, 2016, NEA 13's Series A Convertible Preferred Stock, par value $0.001 per share (the "Series A Preferred Shares") automatically converts, upon receipt by the Company of shareholder approval, into a number of shares of the Issuer's common stock, par value $0.001 per share ("Common Shares"), determined by dividing the stated value of each Preferred Share (which is $1,000) by $0.70. Such conversion is reflected in the amount of Common Shares reported in column 7 as underlying the security. The Series A Preferred Shares have no expiration date.

F2: NEA 13 purchased 4,000 Shares of Series A Preferred Shares and five-year warrants to purchase 5,714,286 Common Shares at a purchase price of $1,000 per unit pursuant to a Securities Purchase Agreement dated September 16, 2016, with a closing date of September 21, 2016 for a total of $4,000,000.

F3: The Reporting Person is a director of NEA 13 GP, LTD, which is the sole general partner of NEA Partners 13, L.P. ("NEA Partners 13"). NEA Partners 13 is the sole general partner of New Enterprise Associates 13, L.P. ("NEA 13"), which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 13 shares in which the Reporting Person has no pecuniary interest.

Tracon Pharmaceuticals, Inc.

Report date November 29, 2016 · Filed November 29, 2016

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectSee Note 12,758,039 Reported balance After 2016-11-29 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2016-11-29 · Purchase · Acquired 869,565 · Balance 2,758,039

F1: The Reporting Person is a director of NEA 14 GP, LTD, which is the sole general partner of NEA Partners 14, L.P. ("NEA Partners 14"). NEA Partners 14 is the sole general partner of New Enterprise Associates 14, L.P. ("NEA 14"), which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 14 shares in which the Reporting Person has no pecuniary interest.

Filing footnotes · ownership attribution and instrument terms

F1: The Reporting Person is a director of NEA 14 GP, LTD, which is the sole general partner of NEA Partners 14, L.P. ("NEA Partners 14"). NEA Partners 14 is the sole general partner of New Enterprise Associates 14, L.P. ("NEA 14"), which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 14 shares in which the Reporting Person has no pecuniary interest.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect2,052,805 Reported balance After 2016-09-16 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2016-09-16 · Sale · Disposed 7,471 · Balance 2,052,805

F1: The securities are directly held by New Enterprise Associates 12, Limited Partnership ("NEA 12") and indirectly held by NEA Partners 12, Limited Partnership ("NEA Partners 12"), the sole general partner of NEA 12, NEA 12 GP, LLC ("NEA 12 GP"), the sole general partner of NEA Partners 12, and the individual managers of NEA 12 GP (NEA Partners 12, NEA 12 GP and the individual managers of NEA 12 GP together, the "NEA 12 Indirect Reporting Persons"). The individual managers of NEA 12 GP are M. James Barrett, Peter J. Barris, Forest Baskett, Patrick J. Kerins, Krishna "Kittu" Kolluri, and Scott D. Sandell. The NEA 12 Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 12 shares in which the NEA 12 Indirect Reporting Persons have no pecuniary interest.

Filing footnotes · ownership attribution and instrument terms

F1: The securities are directly held by New Enterprise Associates 12, Limited Partnership ("NEA 12") and indirectly held by NEA Partners 12, Limited Partnership ("NEA Partners 12"), the sole general partner of NEA 12, NEA 12 GP, LLC ("NEA 12 GP"), the sole general partner of NEA Partners 12, and the individual managers of NEA 12 GP (NEA Partners 12, NEA 12 GP and the individual managers of NEA 12 GP together, the "NEA 12 Indirect Reporting Persons"). The individual managers of NEA 12 GP are M. James Barrett, Peter J. Barris, Forest Baskett, Patrick J. Kerins, Krishna "Kittu" Kolluri, and Scott D. Sandell. The NEA 12 Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 12 shares in which the NEA 12 Indirect Reporting Persons have no pecuniary interest.

Past disclosures · reporting ended (1)

No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.

Heliogen, Inc.

Report date August 24, 2022 · Filed August 26, 2022

Jointly reported with NeoTribe Partners I, LLC, NeoTribe Ventures I, L.P., NeoTribe Associates I, L.P.

Section 16 reporting ended · disclosed 2022-08-26. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectSee footnote18,193,084 Reported balance After 2022-08-24 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2022-08-24 · Sale · Disposed 133,299 · Balance 18,193,084

F1: Represents a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $2.38 to $2.67. The reporting person undertakes to provide to the issuer, any stockholder 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.

F2: Shares are held directly by NeoTribe Ventures I, L.P. ("NTV I"). NeoTribe Partners I, LLC ("NTP I") is the general partner of NTV I. Krishna Kolluri ("Kolluri") is the managing member of NTP I and therefore may be deemed to hold voting and dispositive power over the shares held by NTV I. Such managing member disclaims beneficial ownership of the shares held by NTV I except to the extent of his pecuniary interest therein.

Common StockSEC Table I · non-derivativeIndirectSee footnote733,255 Reported balance After 2022-08-24 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 2 · 2022-08-24 · Sale · Disposed 5,366 · Balance 733,255

F1: Represents a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $2.38 to $2.67. The reporting person undertakes to provide to the issuer, any stockholder 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.

F3: Shares are held directly by NeoTribe Associates I, L.P. ("NTA I"). NTP I is the general partner of NTA I. Kolluri is the managing member of NTP I and therefore may be deemed to hold voting and dispositive power over the shares held by NTA I. Such managing member disclaims beneficial ownership of the shares held by NTA I except to the extent of his pecuniary interest therein.

Common StockSEC Table I · non-derivativeIndirectSee footnote18,086,126 Reported balance After 2022-08-25 transaction · row 3 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 3 · 2022-08-25 · Sale · Disposed 106,958 · Balance 18,086,126

F4: Represents a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $2.41 to $2.62. The reporting person undertakes to provide to the issuer, any stockholder 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.

F2: Shares are held directly by NeoTribe Ventures I, L.P. ("NTV I"). NeoTribe Partners I, LLC ("NTP I") is the general partner of NTV I. Krishna Kolluri ("Kolluri") is the managing member of NTP I and therefore may be deemed to hold voting and dispositive power over the shares held by NTV I. Such managing member disclaims beneficial ownership of the shares held by NTV I except to the extent of his pecuniary interest therein.

Common StockSEC Table I · non-derivativeIndirectSee footnote728,950 Reported balance After 2022-08-25 transaction · row 4 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 4 · 2022-08-25 · Sale · Disposed 4,305 · Balance 728,950

F4: Represents a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $2.41 to $2.62. The reporting person undertakes to provide to the issuer, any stockholder 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.

F3: Shares are held directly by NeoTribe Associates I, L.P. ("NTA I"). NTP I is the general partner of NTA I. Kolluri is the managing member of NTP I and therefore may be deemed to hold voting and dispositive power over the shares held by NTA I. Such managing member disclaims beneficial ownership of the shares held by NTA I except to the extent of his pecuniary interest therein.

Filing footnotes · ownership attribution and instrument terms

F1: Represents a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $2.38 to $2.67. The reporting person undertakes to provide to the issuer, any stockholder 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.

F2: Shares are held directly by NeoTribe Ventures I, L.P. ("NTV I"). NeoTribe Partners I, LLC ("NTP I") is the general partner of NTV I. Krishna Kolluri ("Kolluri") is the managing member of NTP I and therefore may be deemed to hold voting and dispositive power over the shares held by NTV I. Such managing member disclaims beneficial ownership of the shares held by NTV I except to the extent of his pecuniary interest therein.

F3: Shares are held directly by NeoTribe Associates I, L.P. ("NTA I"). NTP I is the general partner of NTA I. Kolluri is the managing member of NTP I and therefore may be deemed to hold voting and dispositive power over the shares held by NTA I. Such managing member disclaims beneficial ownership of the shares held by NTA I except to the extent of his pecuniary interest therein.

F4: Represents a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $2.41 to $2.62. The reporting person undertakes to provide to the issuer, any stockholder 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.

Transaction history

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateCompanyActivity / securityShares / unitsReported priceReported valueDetails
November 07, 2025 Filed Nov 11, 2025 02:42 UTC BillionToOne, Inc. BLLN · Entity 3992 ConversionSeries B-2 Convertible Preferred Stock · Derivative 320,363 Not disclosed Not disclosed
Disclosure

SEC source: 0001193125-25-274951 · ownership.xml · derivative · entry 18

KOLLURI KRISHNA KITTU · CIK 0001270521 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 0

Underlying: Common Stock · 320,363 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.

F3 · derivative.exercise_price: The reported security converted into the Issuer's Common Stock on a one-for-one basis automatically immediately prior to the closing of the Issuer's initial public offering of Class A common stock (the "Offering") without payment of further consideration. The shares have no expiration date.

F3 · price: The reported security converted into the Issuer's Common Stock on a one-for-one basis automatically immediately prior to the closing of the Issuer's initial public offering of Class A common stock (the "Offering") without payment of further consideration. The shares have no expiration date.

F3 · derivative.exercise_date: The reported security converted into the Issuer's Common Stock on a one-for-one basis automatically immediately prior to the closing of the Issuer's initial public offering of Class A common stock (the "Offering") without payment of further consideration. The shares have no expiration date.

F3 · derivative.expiration_date: The reported security converted into the Issuer's Common Stock on a one-for-one basis automatically immediately prior to the closing of the Issuer's initial public offering of Class A common stock (the "Offering") without payment of further consideration. The shares have no expiration date.

F6 · ownership.nature: The reported security is directly held by NeoTribe Ventures I, L.P. ("NTV I"), for itself and as nominee for NeoTribe Associates I, L.P. ("NTA I"). NeoTribe Partners I, LLC ("NTP I") is the general partner of NTV I and NTA I. Kolluri is the managing member of NTP I and therefore may be deemed to hold voting and dispositive power over the shares held by NTV I and NTA I. Kolluri disclaims beneficial ownership of the shares held by NTV I and NTA I except to the extent of his pecuniary interest therein.

F12 · ownership.nature: Consists of 307,955 shares held of record by NTV I for itself and 12,408 shares held of record by NTV I as nominee for NTA I.

Read SEC document
November 07, 2025 Filed Nov 11, 2025 02:42 UTC BillionToOne, Inc. BLLN · Entity 3992 ConversionSeries A-6 Convertible Preferred Stock · Derivative 2,318,482 Not disclosed Not disclosed
Disclosure

SEC source: 0001193125-25-274951 · ownership.xml · derivative · entry 17

KOLLURI KRISHNA KITTU · CIK 0001270521 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 0

Underlying: Common Stock · 2,318,482 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.

F3 · derivative.exercise_price: The reported security converted into the Issuer's Common Stock on a one-for-one basis automatically immediately prior to the closing of the Issuer's initial public offering of Class A common stock (the "Offering") without payment of further consideration. The shares have no expiration date.

F3 · price: The reported security converted into the Issuer's Common Stock on a one-for-one basis automatically immediately prior to the closing of the Issuer's initial public offering of Class A common stock (the "Offering") without payment of further consideration. The shares have no expiration date.

F3 · derivative.exercise_date: The reported security converted into the Issuer's Common Stock on a one-for-one basis automatically immediately prior to the closing of the Issuer's initial public offering of Class A common stock (the "Offering") without payment of further consideration. The shares have no expiration date.

F3 · derivative.expiration_date: The reported security converted into the Issuer's Common Stock on a one-for-one basis automatically immediately prior to the closing of the Issuer's initial public offering of Class A common stock (the "Offering") without payment of further consideration. The shares have no expiration date.

F6 · ownership.nature: The reported security is directly held by NeoTribe Ventures I, L.P. ("NTV I"), for itself and as nominee for NeoTribe Associates I, L.P. ("NTA I"). NeoTribe Partners I, LLC ("NTP I") is the general partner of NTV I and NTA I. Kolluri is the managing member of NTP I and therefore may be deemed to hold voting and dispositive power over the shares held by NTV I and NTA I. Kolluri disclaims beneficial ownership of the shares held by NTV I and NTA I except to the extent of his pecuniary interest therein.

F11 · ownership.nature: Consists of 2,228,682 shares held of record by NTV I for itself and 89,800 shares held of record by NTV I as nominee for NTA I.

Read SEC document
November 07, 2025 Filed Nov 11, 2025 02:42 UTC BillionToOne, Inc. BLLN · Entity 3992 ConversionSeries A-3 Convertible Preferred Stock · Derivative 19,985 Not disclosed Not disclosed
Disclosure

SEC source: 0001193125-25-274951 · ownership.xml · derivative · entry 16

KOLLURI KRISHNA KITTU · CIK 0001270521 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 0

Underlying: Common Stock · 19,985 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.

F3 · derivative.exercise_price: The reported security converted into the Issuer's Common Stock on a one-for-one basis automatically immediately prior to the closing of the Issuer's initial public offering of Class A common stock (the "Offering") without payment of further consideration. The shares have no expiration date.

F3 · price: The reported security converted into the Issuer's Common Stock on a one-for-one basis automatically immediately prior to the closing of the Issuer's initial public offering of Class A common stock (the "Offering") without payment of further consideration. The shares have no expiration date.

F3 · derivative.exercise_date: The reported security converted into the Issuer's Common Stock on a one-for-one basis automatically immediately prior to the closing of the Issuer's initial public offering of Class A common stock (the "Offering") without payment of further consideration. The shares have no expiration date.

F3 · derivative.expiration_date: The reported security converted into the Issuer's Common Stock on a one-for-one basis automatically immediately prior to the closing of the Issuer's initial public offering of Class A common stock (the "Offering") without payment of further consideration. The shares have no expiration date.

F6 · ownership.nature: The reported security is directly held by NeoTribe Ventures I, L.P. ("NTV I"), for itself and as nominee for NeoTribe Associates I, L.P. ("NTA I"). NeoTribe Partners I, LLC ("NTP I") is the general partner of NTV I and NTA I. Kolluri is the managing member of NTP I and therefore may be deemed to hold voting and dispositive power over the shares held by NTV I and NTA I. Kolluri disclaims beneficial ownership of the shares held by NTV I and NTA I except to the extent of his pecuniary interest therein.

F10 · ownership.nature: Consists of 19,211 shares held of record by NTV I for itself and 774 shares held of record by NTV I as nominee for NTA I.

Read SEC document
November 07, 2025 Filed Nov 11, 2025 02:42 UTC BillionToOne, Inc. BLLN · Entity 3992 ConversionSeries A-1 Convertible Preferred Stock · Derivative 16,746 Not disclosed Not disclosed
Disclosure

SEC source: 0001193125-25-274951 · ownership.xml · derivative · entry 15

KOLLURI KRISHNA KITTU · CIK 0001270521 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 0

Underlying: Common Stock · 16,746 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.

F3 · derivative.exercise_price: The reported security converted into the Issuer's Common Stock on a one-for-one basis automatically immediately prior to the closing of the Issuer's initial public offering of Class A common stock (the "Offering") without payment of further consideration. The shares have no expiration date.

F3 · price: The reported security converted into the Issuer's Common Stock on a one-for-one basis automatically immediately prior to the closing of the Issuer's initial public offering of Class A common stock (the "Offering") without payment of further consideration. The shares have no expiration date.

F3 · derivative.exercise_date: The reported security converted into the Issuer's Common Stock on a one-for-one basis automatically immediately prior to the closing of the Issuer's initial public offering of Class A common stock (the "Offering") without payment of further consideration. The shares have no expiration date.

F3 · derivative.expiration_date: The reported security converted into the Issuer's Common Stock on a one-for-one basis automatically immediately prior to the closing of the Issuer's initial public offering of Class A common stock (the "Offering") without payment of further consideration. The shares have no expiration date.

F6 · ownership.nature: The reported security is directly held by NeoTribe Ventures I, L.P. ("NTV I"), for itself and as nominee for NeoTribe Associates I, L.P. ("NTA I"). NeoTribe Partners I, LLC ("NTP I") is the general partner of NTV I and NTA I. Kolluri is the managing member of NTP I and therefore may be deemed to hold voting and dispositive power over the shares held by NTV I and NTA I. Kolluri disclaims beneficial ownership of the shares held by NTV I and NTA I except to the extent of his pecuniary interest therein.

F9 · ownership.nature: Consists of 16,098 shares held of record by NTV I for itself and 648 shares held of record by NTV I as nominee for NTA I.

Read SEC document
November 07, 2025 Filed Nov 11, 2025 02:42 UTC BillionToOne, Inc. BLLN · Entity 3992 ConversionSeries C Convertible Preferred Stock · Derivative 242,216 Not disclosed Not disclosed
Disclosure

SEC source: 0001193125-25-274951 · ownership.xml · derivative · entry 14

KOLLURI KRISHNA KITTU · CIK 0001270521 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 242,216 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.

F3 · derivative.exercise_price: The reported security converted into the Issuer's Common Stock on a one-for-one basis automatically immediately prior to the closing of the Issuer's initial public offering of Class A common stock (the "Offering") without payment of further consideration. The shares have no expiration date.

F3 · price: The reported security converted into the Issuer's Common Stock on a one-for-one basis automatically immediately prior to the closing of the Issuer's initial public offering of Class A common stock (the "Offering") without payment of further consideration. The shares have no expiration date.

F3 · derivative.exercise_date: The reported security converted into the Issuer's Common Stock on a one-for-one basis automatically immediately prior to the closing of the Issuer's initial public offering of Class A common stock (the "Offering") without payment of further consideration. The shares have no expiration date.

F3 · derivative.expiration_date: The reported security converted into the Issuer's Common Stock on a one-for-one basis automatically immediately prior to the closing of the Issuer's initial public offering of Class A common stock (the "Offering") without payment of further consideration. The shares have no expiration date.

F5 · ownership.nature: The reported security is directly held by Neotribe SPV I BTO, LLC. ("NT SPV I"). Neotribe Partners SPV I BTO, LLC ("NTP SPV I") is the managing member of NT SPV I. Kolluri is the managing member of NTP SPV I and therefore may be deemed to have voting and dispositive power over the shares held by NT SPV I. Kolluri disclaims beneficial ownership of the shares held by NT SPV I except to the extent of his pecuniary interest therein.

Read SEC document
November 07, 2025 Filed Nov 11, 2025 02:42 UTC BillionToOne, Inc. BLLN · Entity 3992 ConversionSeries B-1 Convertible Preferred Stock · Derivative 1,177,800 Not disclosed Not disclosed
Disclosure

SEC source: 0001193125-25-274951 · ownership.xml · derivative · entry 13

KOLLURI KRISHNA KITTU · CIK 0001270521 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 1,177,800 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.

F3 · derivative.exercise_price: The reported security converted into the Issuer's Common Stock on a one-for-one basis automatically immediately prior to the closing of the Issuer's initial public offering of Class A common stock (the "Offering") without payment of further consideration. The shares have no expiration date.

F3 · price: The reported security converted into the Issuer's Common Stock on a one-for-one basis automatically immediately prior to the closing of the Issuer's initial public offering of Class A common stock (the "Offering") without payment of further consideration. The shares have no expiration date.

F3 · derivative.exercise_date: The reported security converted into the Issuer's Common Stock on a one-for-one basis automatically immediately prior to the closing of the Issuer's initial public offering of Class A common stock (the "Offering") without payment of further consideration. The shares have no expiration date.

F3 · derivative.expiration_date: The reported security converted into the Issuer's Common Stock on a one-for-one basis automatically immediately prior to the closing of the Issuer's initial public offering of Class A common stock (the "Offering") without payment of further consideration. The shares have no expiration date.

F4 · ownership.nature: The reported security is directly held by Neotribe Ignite Fund I, L.P. ("NTIF I"). Neotribe Ignite Partners I, LLC ("NTIP I") is the general partner of NTIF I. Krishna Kittu Kolluri ("Kolluri") is the managing member of NTIP I and therefore may be deemed to have voting and dispositive power over the shares held by NTIF I. Kolluri disclaims beneficial ownership of the shares held by NTIF I except to the extent of his pecuniary interest therein.

Read SEC document
November 07, 2025 Filed Nov 11, 2025 02:42 UTC BillionToOne, Inc. BLLN · Entity 3992 OtherClass A Common Stock 2,819,490 Not disclosed Not disclosed
Disclosure

SEC source: 0001193125-25-274951 · ownership.xml · nonDerivative · entry 12

KOLLURI KRISHNA KITTU · CIK 0001270521 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 2,819,490

F8 · kind: Pursuant to a reclassification exempt under Rule 16b-7, each share of Common Stock was automatically reclassified into one share of Class A common stock immediately prior to the completion of the Offering.

F8 · price: Pursuant to a reclassification exempt under Rule 16b-7, each share of Common Stock was automatically reclassified into one share of Class A common stock immediately prior to the completion of the Offering.

F6 · ownership.nature: The reported security is directly held by NeoTribe Ventures I, L.P. ("NTV I"), for itself and as nominee for NeoTribe Associates I, L.P. ("NTA I"). NeoTribe Partners I, LLC ("NTP I") is the general partner of NTV I and NTA I. Kolluri is the managing member of NTP I and therefore may be deemed to hold voting and dispositive power over the shares held by NTV I and NTA I. Kolluri disclaims beneficial ownership of the shares held by NTV I and NTA I except to the extent of his pecuniary interest therein.

F7 · ownership.nature: Consists of 2,710,286 shares held of record by NTV I for itself and 109,204 shares held of record by NTV I as nominee for NTA I.

Read SEC document
November 07, 2025 Filed Nov 11, 2025 02:42 UTC BillionToOne, Inc. BLLN · Entity 3992 OtherClass A Common Stock 242,216 Not disclosed Not disclosed
Disclosure

SEC source: 0001193125-25-274951 · ownership.xml · nonDerivative · entry 11

KOLLURI KRISHNA KITTU · CIK 0001270521 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 242,216

F8 · kind: Pursuant to a reclassification exempt under Rule 16b-7, each share of Common Stock was automatically reclassified into one share of Class A common stock immediately prior to the completion of the Offering.

F8 · price: Pursuant to a reclassification exempt under Rule 16b-7, each share of Common Stock was automatically reclassified into one share of Class A common stock immediately prior to the completion of the Offering.

F5 · ownership.nature: The reported security is directly held by Neotribe SPV I BTO, LLC. ("NT SPV I"). Neotribe Partners SPV I BTO, LLC ("NTP SPV I") is the managing member of NT SPV I. Kolluri is the managing member of NTP SPV I and therefore may be deemed to have voting and dispositive power over the shares held by NT SPV I. Kolluri disclaims beneficial ownership of the shares held by NT SPV I except to the extent of his pecuniary interest therein.

Read SEC document
November 07, 2025 Filed Nov 11, 2025 02:42 UTC BillionToOne, Inc. BLLN · Entity 3992 OtherClass A Common Stock 1,297,799 Not disclosed Not disclosed
Disclosure

SEC source: 0001193125-25-274951 · ownership.xml · nonDerivative · entry 10

KOLLURI KRISHNA KITTU · CIK 0001270521 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 1,297,799

F8 · kind: Pursuant to a reclassification exempt under Rule 16b-7, each share of Common Stock was automatically reclassified into one share of Class A common stock immediately prior to the completion of the Offering.

F8 · price: Pursuant to a reclassification exempt under Rule 16b-7, each share of Common Stock was automatically reclassified into one share of Class A common stock immediately prior to the completion of the Offering.

F4 · ownership.nature: The reported security is directly held by Neotribe Ignite Fund I, L.P. ("NTIF I"). Neotribe Ignite Partners I, LLC ("NTIP I") is the general partner of NTIF I. Krishna Kittu Kolluri ("Kolluri") is the managing member of NTIP I and therefore may be deemed to have voting and dispositive power over the shares held by NTIF I. Kolluri disclaims beneficial ownership of the shares held by NTIF I except to the extent of his pecuniary interest therein.

Read SEC document
November 07, 2025 Filed Nov 11, 2025 02:42 UTC BillionToOne, Inc. BLLN · Entity 3992 OtherClass A Common Stock 8,333 Not disclosed Not disclosed
Disclosure

SEC source: 0001193125-25-274951 · ownership.xml · nonDerivative · entry 9

KOLLURI KRISHNA KITTU · CIK 0001270521 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,333

F8 · kind: Pursuant to a reclassification exempt under Rule 16b-7, each share of Common Stock was automatically reclassified into one share of Class A common stock immediately prior to the completion of the Offering.

F8 · price: Pursuant to a reclassification exempt under Rule 16b-7, each share of Common Stock was automatically reclassified into one share of Class A common stock immediately prior to the completion of the Offering.

Read SEC document
November 07, 2025 Filed Nov 11, 2025 02:42 UTC BillionToOne, Inc. BLLN · Entity 3992 OtherCommon Stock 2,819,490 Not disclosed Not disclosed
Disclosure

SEC source: 0001193125-25-274951 · ownership.xml · nonDerivative · entry 8

KOLLURI KRISHNA KITTU · CIK 0001270521 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 0

F8 · kind: Pursuant to a reclassification exempt under Rule 16b-7, each share of Common Stock was automatically reclassified into one share of Class A common stock immediately prior to the completion of the Offering.

F8 · price: Pursuant to a reclassification exempt under Rule 16b-7, each share of Common Stock was automatically reclassified into one share of Class A common stock immediately prior to the completion of the Offering.

F6 · ownership.nature: The reported security is directly held by NeoTribe Ventures I, L.P. ("NTV I"), for itself and as nominee for NeoTribe Associates I, L.P. ("NTA I"). NeoTribe Partners I, LLC ("NTP I") is the general partner of NTV I and NTA I. Kolluri is the managing member of NTP I and therefore may be deemed to hold voting and dispositive power over the shares held by NTV I and NTA I. Kolluri disclaims beneficial ownership of the shares held by NTV I and NTA I except to the extent of his pecuniary interest therein.

F7 · ownership.nature: Consists of 2,710,286 shares held of record by NTV I for itself and 109,204 shares held of record by NTV I as nominee for NTA I.

Read SEC document
November 07, 2025 Filed Nov 11, 2025 02:42 UTC BillionToOne, Inc. BLLN · Entity 3992 OtherCommon Stock 242,216 Not disclosed Not disclosed
Disclosure

SEC source: 0001193125-25-274951 · ownership.xml · nonDerivative · entry 7

KOLLURI KRISHNA KITTU · CIK 0001270521 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 0

F8 · kind: Pursuant to a reclassification exempt under Rule 16b-7, each share of Common Stock was automatically reclassified into one share of Class A common stock immediately prior to the completion of the Offering.

F8 · price: Pursuant to a reclassification exempt under Rule 16b-7, each share of Common Stock was automatically reclassified into one share of Class A common stock immediately prior to the completion of the Offering.

F5 · ownership.nature: The reported security is directly held by Neotribe SPV I BTO, LLC. ("NT SPV I"). Neotribe Partners SPV I BTO, LLC ("NTP SPV I") is the managing member of NT SPV I. Kolluri is the managing member of NTP SPV I and therefore may be deemed to have voting and dispositive power over the shares held by NT SPV I. Kolluri disclaims beneficial ownership of the shares held by NT SPV I except to the extent of his pecuniary interest therein.

Read SEC document
November 07, 2025 Filed Nov 11, 2025 02:42 UTC BillionToOne, Inc. BLLN · Entity 3992 OtherCommon Stock 1,297,799 Not disclosed Not disclosed
Disclosure

SEC source: 0001193125-25-274951 · ownership.xml · nonDerivative · entry 6

KOLLURI KRISHNA KITTU · CIK 0001270521 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 0

F8 · kind: Pursuant to a reclassification exempt under Rule 16b-7, each share of Common Stock was automatically reclassified into one share of Class A common stock immediately prior to the completion of the Offering.

F8 · price: Pursuant to a reclassification exempt under Rule 16b-7, each share of Common Stock was automatically reclassified into one share of Class A common stock immediately prior to the completion of the Offering.

F4 · ownership.nature: The reported security is directly held by Neotribe Ignite Fund I, L.P. ("NTIF I"). Neotribe Ignite Partners I, LLC ("NTIP I") is the general partner of NTIF I. Krishna Kittu Kolluri ("Kolluri") is the managing member of NTIP I and therefore may be deemed to have voting and dispositive power over the shares held by NTIF I. Kolluri disclaims beneficial ownership of the shares held by NTIF I except to the extent of his pecuniary interest therein.

Read SEC document
November 07, 2025 Filed Nov 11, 2025 02:42 UTC BillionToOne, Inc. BLLN · Entity 3992 OtherCommon Stock 8,333 Not disclosed Not disclosed
Disclosure

SEC source: 0001193125-25-274951 · ownership.xml · nonDerivative · entry 5

KOLLURI KRISHNA KITTU · CIK 0001270521 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

F8 · kind: Pursuant to a reclassification exempt under Rule 16b-7, each share of Common Stock was automatically reclassified into one share of Class A common stock immediately prior to the completion of the Offering.

F8 · price: Pursuant to a reclassification exempt under Rule 16b-7, each share of Common Stock was automatically reclassified into one share of Class A common stock immediately prior to the completion of the Offering.

Read SEC document
November 07, 2025 Filed Nov 11, 2025 02:42 UTC BillionToOne, Inc. BLLN · Entity 3992 ConversionCommon Stock 2,819,490 Not disclosed Not disclosed
Disclosure

SEC source: 0001193125-25-274951 · ownership.xml · nonDerivative · entry 4

KOLLURI KRISHNA KITTU · CIK 0001270521 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 2,819,490

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.

F2 · kind: The total represents shares received upon conversion of shares of Series A-1 Convertible Preferred Stock, Series A-3 Convertible Preferred Stock, Series A-6 Convertible Preferred Stock, Series B-1 Convertible Preferred Stock, Series B-2 Convertible Preferred Stock, Series C Convertible Preferred Stock and/or Series C-1 Convertible Preferred Stock.

F3 · kind: The reported security converted into the Issuer's Common Stock on a one-for-one basis automatically immediately prior to the closing of the Issuer's initial public offering of Class A common stock (the "Offering") without payment of further consideration. The shares have no expiration date.

F3 · price: The reported security converted into the Issuer's Common Stock on a one-for-one basis automatically immediately prior to the closing of the Issuer's initial public offering of Class A common stock (the "Offering") without payment of further consideration. The shares have no expiration date.

F6 · ownership.nature: The reported security is directly held by NeoTribe Ventures I, L.P. ("NTV I"), for itself and as nominee for NeoTribe Associates I, L.P. ("NTA I"). NeoTribe Partners I, LLC ("NTP I") is the general partner of NTV I and NTA I. Kolluri is the managing member of NTP I and therefore may be deemed to hold voting and dispositive power over the shares held by NTV I and NTA I. Kolluri disclaims beneficial ownership of the shares held by NTV I and NTA I except to the extent of his pecuniary interest therein.

F7 · ownership.nature: Consists of 2,710,286 shares held of record by NTV I for itself and 109,204 shares held of record by NTV I as nominee for NTA I.

Read SEC document
November 07, 2025 Filed Nov 11, 2025 02:42 UTC BillionToOne, Inc. BLLN · Entity 3992 ConversionCommon Stock 242,216 Not disclosed Not disclosed
Disclosure

SEC source: 0001193125-25-274951 · ownership.xml · nonDerivative · entry 3

KOLLURI KRISHNA KITTU · CIK 0001270521 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 242,216

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.

F2 · kind: The total represents shares received upon conversion of shares of Series A-1 Convertible Preferred Stock, Series A-3 Convertible Preferred Stock, Series A-6 Convertible Preferred Stock, Series B-1 Convertible Preferred Stock, Series B-2 Convertible Preferred Stock, Series C Convertible Preferred Stock and/or Series C-1 Convertible Preferred Stock.

F3 · kind: The reported security converted into the Issuer's Common Stock on a one-for-one basis automatically immediately prior to the closing of the Issuer's initial public offering of Class A common stock (the "Offering") without payment of further consideration. The shares have no expiration date.

F3 · price: The reported security converted into the Issuer's Common Stock on a one-for-one basis automatically immediately prior to the closing of the Issuer's initial public offering of Class A common stock (the "Offering") without payment of further consideration. The shares have no expiration date.

F5 · ownership.nature: The reported security is directly held by Neotribe SPV I BTO, LLC. ("NT SPV I"). Neotribe Partners SPV I BTO, LLC ("NTP SPV I") is the managing member of NT SPV I. Kolluri is the managing member of NTP SPV I and therefore may be deemed to have voting and dispositive power over the shares held by NT SPV I. Kolluri disclaims beneficial ownership of the shares held by NT SPV I except to the extent of his pecuniary interest therein.

Read SEC document
November 07, 2025 Filed Nov 11, 2025 02:42 UTC BillionToOne, Inc. BLLN · Entity 3992 ConversionCommon Stock 1,177,800 Not disclosed Not disclosed
Disclosure

SEC source: 0001193125-25-274951 · ownership.xml · nonDerivative · entry 2

KOLLURI KRISHNA KITTU · CIK 0001270521 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 1,297,799

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.

F2 · kind: The total represents shares received upon conversion of shares of Series A-1 Convertible Preferred Stock, Series A-3 Convertible Preferred Stock, Series A-6 Convertible Preferred Stock, Series B-1 Convertible Preferred Stock, Series B-2 Convertible Preferred Stock, Series C Convertible Preferred Stock and/or Series C-1 Convertible Preferred Stock.

F3 · kind: The reported security converted into the Issuer's Common Stock on a one-for-one basis automatically immediately prior to the closing of the Issuer's initial public offering of Class A common stock (the "Offering") without payment of further consideration. The shares have no expiration date.

F3 · price: The reported security converted into the Issuer's Common Stock on a one-for-one basis automatically immediately prior to the closing of the Issuer's initial public offering of Class A common stock (the "Offering") without payment of further consideration. The shares have no expiration date.

F4 · ownership.nature: The reported security is directly held by Neotribe Ignite Fund I, L.P. ("NTIF I"). Neotribe Ignite Partners I, LLC ("NTIP I") is the general partner of NTIF I. Krishna Kittu Kolluri ("Kolluri") is the managing member of NTIP I and therefore may be deemed to have voting and dispositive power over the shares held by NTIF I. Kolluri disclaims beneficial ownership of the shares held by NTIF I except to the extent of his pecuniary interest therein.

Read SEC document
November 06, 2025 Filed Nov 11, 2025 02:42 UTC BillionToOne, Inc. BLLN · Entity 3992 GrantCommon Stock 8,333 $0.00 $0.00
Disclosure

SEC source: 0001193125-25-274951 · ownership.xml · nonDerivative · entry 1

KOLLURI KRISHNA KITTU · CIK 0001270521 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,333

F1 · shares: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock. The RSUs shall vest over three years in equal annual installments on the anniversary of November 6, 2025, subject to the Reporting Person's continuous service to the Issuer through each such vesting date.

Read SEC document
August 25, 2022 Filed Aug 26, 2022 20:02 UTC Heliogen, Inc. HLGN · Entity 78373 SaleCommon Stock 4,305 $2.48 $10,694.48
Disclosure

SEC source: 0001104659-22-095276 · tm2224669-1_4.xml · nonDerivative · entry 4

NeoTribe Partners I, LLC · CIK 0001696925 · 10% owner

NeoTribe Ventures I, L.P. · CIK 0001696926 · 10% owner

NeoTribe Associates I, L.P. · CIK 0001696927 · 10% owner

KOLLURI KRISHNA KITTU · CIK 0001270521 · 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: 728,950

F4 · price: Represents a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $2.41 to $2.62. The reporting person undertakes to provide to the issuer, any stockholder 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.

F3 · ownership.nature: Shares are held directly by NeoTribe Associates I, L.P. ("NTA I"). NTP I is the general partner of NTA I. Kolluri is the managing member of NTP I and therefore may be deemed to hold voting and dispositive power over the shares held by NTA I. Such managing member disclaims beneficial ownership of the shares held by NTA I except to the extent of his pecuniary interest therein.

Read SEC document
August 25, 2022 Filed Aug 26, 2022 20:02 UTC Heliogen, Inc. HLGN · Entity 78373 SaleCommon Stock 106,958 $2.48 $265,705.06
Disclosure

SEC source: 0001104659-22-095276 · tm2224669-1_4.xml · nonDerivative · entry 3

NeoTribe Partners I, LLC · CIK 0001696925 · 10% owner

NeoTribe Ventures I, L.P. · CIK 0001696926 · 10% owner

NeoTribe Associates I, L.P. · CIK 0001696927 · 10% owner

KOLLURI KRISHNA KITTU · CIK 0001270521 · 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: 18,086,126

F4 · price: Represents a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $2.41 to $2.62. The reporting person undertakes to provide to the issuer, any stockholder 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.

F2 · ownership.nature: Shares are held directly by NeoTribe Ventures I, L.P. ("NTV I"). NeoTribe Partners I, LLC ("NTP I") is the general partner of NTV I. Krishna Kolluri ("Kolluri") is the managing member of NTP I and therefore may be deemed to hold voting and dispositive power over the shares held by NTV I. Such managing member disclaims beneficial ownership of the shares held by NTV I except to the extent of his pecuniary interest therein.

Read SEC document
August 24, 2022 Filed Aug 26, 2022 20:02 UTC Heliogen, Inc. HLGN · Entity 78373 SaleCommon Stock 5,366 $2.55 $13,697.25
Disclosure

SEC source: 0001104659-22-095276 · tm2224669-1_4.xml · nonDerivative · entry 2

NeoTribe Partners I, LLC · CIK 0001696925 · 10% owner

NeoTribe Ventures I, L.P. · CIK 0001696926 · 10% owner

NeoTribe Associates I, L.P. · CIK 0001696927 · 10% owner

KOLLURI KRISHNA KITTU · CIK 0001270521 · 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: 733,255

F1 · price: Represents a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $2.38 to $2.67. The reporting person undertakes to provide to the issuer, any stockholder 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.

F3 · ownership.nature: Shares are held directly by NeoTribe Associates I, L.P. ("NTA I"). NTP I is the general partner of NTA I. Kolluri is the managing member of NTP I and therefore may be deemed to hold voting and dispositive power over the shares held by NTA I. Such managing member disclaims beneficial ownership of the shares held by NTA I except to the extent of his pecuniary interest therein.

Read SEC document
August 24, 2022 Filed Aug 26, 2022 20:02 UTC Heliogen, Inc. HLGN · Entity 78373 SaleCommon Stock 133,299 $2.55 $340,259.03
Disclosure

SEC source: 0001104659-22-095276 · tm2224669-1_4.xml · nonDerivative · entry 1

NeoTribe Partners I, LLC · CIK 0001696925 · 10% owner

NeoTribe Ventures I, L.P. · CIK 0001696926 · 10% owner

NeoTribe Associates I, L.P. · CIK 0001696927 · 10% owner

KOLLURI KRISHNA KITTU · CIK 0001270521 · 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: 18,193,084

F1 · price: Represents a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $2.38 to $2.67. The reporting person undertakes to provide to the issuer, any stockholder 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.

F2 · ownership.nature: Shares are held directly by NeoTribe Ventures I, L.P. ("NTV I"). NeoTribe Partners I, LLC ("NTP I") is the general partner of NTV I. Krishna Kolluri ("Kolluri") is the managing member of NTP I and therefore may be deemed to hold voting and dispositive power over the shares held by NTV I. Such managing member disclaims beneficial ownership of the shares held by NTV I except to the extent of his pecuniary interest therein.

Read SEC document
August 23, 2022 Filed Aug 24, 2022 19:20 UTC Heliogen, Inc. HLGN · Entity 78373 SaleCommon Stock 6,182 $2.42 $14,950.55
Disclosure

SEC source: 0001104659-22-094119 · tm2224493-1_4seq1.xml · nonDerivative · entry 4

NeoTribe Partners I, LLC · CIK 0001696925 · 10% owner

NeoTribe Ventures I, L.P. · CIK 0001696926 · 10% owner

NeoTribe Associates I, L.P. · CIK 0001696927 · 10% owner

KOLLURI KRISHNA KITTU · CIK 0001270521 · 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: 738,621

F4 · price: Represents a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $2.35 to $2.59. The reporting person undertakes to provide to the issuer, any stockholder 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.

F3 · ownership.nature: Shares are held directly by NeoTribe Associates I, L.P. ("NTA I"). NTP I is the general partner of NTA I. Kolluri is the managing member of NTP I and therefore may be deemed to hold voting and dispositive power over the shares held by NTA I. Such managing member disclaims beneficial ownership of the shares held by NTA I except to the extent of his pecuniary interest therein.

Read SEC document
August 23, 2022 Filed Aug 24, 2022 19:20 UTC Heliogen, Inc. HLGN · Entity 78373 SaleCommon Stock 153,565 $2.42 $371,381.60
Disclosure

SEC source: 0001104659-22-094119 · tm2224493-1_4seq1.xml · nonDerivative · entry 3

NeoTribe Partners I, LLC · CIK 0001696925 · 10% owner

NeoTribe Ventures I, L.P. · CIK 0001696926 · 10% owner

NeoTribe Associates I, L.P. · CIK 0001696927 · 10% owner

KOLLURI KRISHNA KITTU · CIK 0001270521 · 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: 18,326,383

F4 · price: Represents a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $2.35 to $2.59. The reporting person undertakes to provide to the issuer, any stockholder 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.

F2 · ownership.nature: Shares are held directly by NeoTribe Ventures I, L.P. ("NTV I"). NeoTribe Partners I, LLC ("NTP I") is the general partner of NTV I. Krishna Kolluri ("Kolluri") is the managing member of NTP I and therefore may be deemed to hold voting and dispositive power over the shares held by NTV I. Such managing member disclaims beneficial ownership of the shares held by NTV I except to the extent of his pecuniary interest therein.

Read SEC document
August 22, 2022 Filed Aug 24, 2022 19:20 UTC Heliogen, Inc. HLGN · Entity 78373 SaleCommon Stock 8,593 $2.54 $21,787.55
Disclosure

SEC source: 0001104659-22-094119 · tm2224493-1_4seq1.xml · nonDerivative · entry 2

NeoTribe Partners I, LLC · CIK 0001696925 · 10% owner

NeoTribe Ventures I, L.P. · CIK 0001696926 · 10% owner

NeoTribe Associates I, L.P. · CIK 0001696927 · 10% owner

KOLLURI KRISHNA KITTU · CIK 0001270521 · 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: 744,803

F1 · price: Represents a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $2.32 to $2.65. The reporting person undertakes to provide to the issuer, any stockholder 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.

F3 · ownership.nature: Shares are held directly by NeoTribe Associates I, L.P. ("NTA I"). NTP I is the general partner of NTA I. Kolluri is the managing member of NTP I and therefore may be deemed to hold voting and dispositive power over the shares held by NTA I. Such managing member disclaims beneficial ownership of the shares held by NTA I except to the extent of his pecuniary interest therein.

Read SEC document
August 22, 2022 Filed Aug 24, 2022 19:20 UTC Heliogen, Inc. HLGN · Entity 78373 SaleCommon Stock 213,462 $2.54 $541,232.90
Disclosure

SEC source: 0001104659-22-094119 · tm2224493-1_4seq1.xml · nonDerivative · entry 1

NeoTribe Partners I, LLC · CIK 0001696925 · 10% owner

NeoTribe Ventures I, L.P. · CIK 0001696926 · 10% owner

NeoTribe Associates I, L.P. · CIK 0001696927 · 10% owner

KOLLURI KRISHNA KITTU · CIK 0001270521 · 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: 18,479,948

F1 · price: Represents a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $2.32 to $2.65. The reporting person undertakes to provide to the issuer, any stockholder 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.

F2 · ownership.nature: Shares are held directly by NeoTribe Ventures I, L.P. ("NTV I"). NeoTribe Partners I, LLC ("NTP I") is the general partner of NTV I. Krishna Kolluri ("Kolluri") is the managing member of NTP I and therefore may be deemed to hold voting and dispositive power over the shares held by NTV I. Such managing member disclaims beneficial ownership of the shares held by NTV I except to the extent of his pecuniary interest therein.

Read SEC document
August 19, 2022 Filed Aug 22, 2022 20:36 UTC Heliogen, Inc. HLGN · Entity 78373 SaleCommon Stock 4,026 $2.43 $9,769.09
Disclosure

SEC source: 0001104659-22-093492 · tm2223612-2_4.xml · nonDerivative · entry 4

NeoTribe Partners I, LLC · CIK 0001696925 · 10% owner

NeoTribe Ventures I, L.P. · CIK 0001696926 · 10% owner

NeoTribe Associates I, L.P. · CIK 0001696927 · 10% owner

KOLLURI KRISHNA KITTU · CIK 0001270521 · 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: 753,396

F4 · price: Represents a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $2.37 to $2.53. The reporting person undertakes to provide to the issuer, any stockholder 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.

F3 · ownership.nature: Shares are held directly by NeoTribe Associates I, L.P. ("NTA I"). NTP I is the general partner of NTA I. Kolluri is the managing member of NTP I and therefore may be deemed to hold voting and dispositive power over the shares held by NTA I. Such managing member disclaims beneficial ownership of the shares held by NTA I except to the extent of his pecuniary interest therein.

Read SEC document
August 19, 2022 Filed Aug 22, 2022 20:36 UTC Heliogen, Inc. HLGN · Entity 78373 SaleCommon Stock 100,022 $2.43 $242,703.38
Disclosure

SEC source: 0001104659-22-093492 · tm2223612-2_4.xml · nonDerivative · entry 3

NeoTribe Partners I, LLC · CIK 0001696925 · 10% owner

NeoTribe Ventures I, L.P. · CIK 0001696926 · 10% owner

NeoTribe Associates I, L.P. · CIK 0001696927 · 10% owner

KOLLURI KRISHNA KITTU · CIK 0001270521 · 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: 18,693,410

F4 · price: Represents a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $2.37 to $2.53. The reporting person undertakes to provide to the issuer, any stockholder 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.

F2 · ownership.nature: Shares are held directly by NeoTribe Ventures I, L.P. ("NTV I"). NeoTribe Partners I, LLC ("NTP I") is the general partner of NTV I. Krishna Kolluri ("Kolluri") is the managing member of NTP I and therefore may be deemed to hold voting and dispositive power over the shares held by NTV I. Such managing member disclaims beneficial ownership of the shares held by NTV I except to the extent of his pecuniary interest therein.

Read SEC document
August 18, 2022 Filed Aug 22, 2022 20:36 UTC Heliogen, Inc. HLGN · Entity 78373 SaleCommon Stock 5,455 $2.49 $13,556.77
Disclosure

SEC source: 0001104659-22-093492 · tm2223612-2_4.xml · nonDerivative · entry 2

NeoTribe Partners I, LLC · CIK 0001696925 · 10% owner

NeoTribe Ventures I, L.P. · CIK 0001696926 · 10% owner

NeoTribe Associates I, L.P. · CIK 0001696927 · 10% owner

KOLLURI KRISHNA KITTU · CIK 0001270521 · 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: 757,422

F1 · price: Represents a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $2.38 to $2.64. The reporting person undertakes to provide to the issuer, any stockholder 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.

F3 · ownership.nature: Shares are held directly by NeoTribe Associates I, L.P. ("NTA I"). NTP I is the general partner of NTA I. Kolluri is the managing member of NTP I and therefore may be deemed to hold voting and dispositive power over the shares held by NTA I. Such managing member disclaims beneficial ownership of the shares held by NTA I except to the extent of his pecuniary interest therein.

Read SEC document
August 18, 2022 Filed Aug 22, 2022 20:36 UTC Heliogen, Inc. HLGN · Entity 78373 SaleCommon Stock 135,501 $2.49 $336,747.09
Disclosure

SEC source: 0001104659-22-093492 · tm2223612-2_4.xml · nonDerivative · entry 1

NeoTribe Partners I, LLC · CIK 0001696925 · 10% owner

NeoTribe Ventures I, L.P. · CIK 0001696926 · 10% owner

NeoTribe Associates I, L.P. · CIK 0001696927 · 10% owner

KOLLURI KRISHNA KITTU · CIK 0001270521 · 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: 18,793,432

F1 · price: Represents a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $2.38 to $2.64. The reporting person undertakes to provide to the issuer, any stockholder 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.

F2 · ownership.nature: Shares are held directly by NeoTribe Ventures I, L.P. ("NTV I"). NeoTribe Partners I, LLC ("NTP I") is the general partner of NTV I. Krishna Kolluri ("Kolluri") is the managing member of NTP I and therefore may be deemed to hold voting and dispositive power over the shares held by NTV I. Such managing member disclaims beneficial ownership of the shares held by NTV I except to the extent of his pecuniary interest therein.

Read SEC document
August 17, 2022 Filed Aug 18, 2022 15:54 UTC Heliogen, Inc. HLGN · Entity 78373 SaleCommon Stock 7,820 $2.53 $19,769.74
Disclosure

SEC source: 0001104659-22-092540 · tm2224113-1_4seq1.xml · nonDerivative · entry 4

NeoTribe Partners I, LLC · CIK 0001696925 · 10% owner

NeoTribe Ventures I, L.P. · CIK 0001696926 · 10% owner

NeoTribe Associates I, L.P. · CIK 0001696927 · 10% owner

KOLLURI KRISHNA KITTU · CIK 0001270521 · 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: 762,877

F4 · price: Represents a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $2.36 to $2.67. The reporting person undertakes to provide to the issuer, any stockholder 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.

F3 · ownership.nature: Shares are held directly by NeoTribe Associates I, L.P. ("NTA I"). NTP I is the general partner of NTA I. Kolluri is the managing member of NTP I and therefore may be deemed to hold voting and dispositive power over the shares held by NTA I. Such managing member disclaims beneficial ownership of the shares held by NTA I except to the extent of his pecuniary interest therein.

Read SEC document
August 17, 2022 Filed Aug 18, 2022 15:54 UTC Heliogen, Inc. HLGN · Entity 78373 SaleCommon Stock 194,263 $2.53 $491,116.29
Disclosure

SEC source: 0001104659-22-092540 · tm2224113-1_4seq1.xml · nonDerivative · entry 3

NeoTribe Partners I, LLC · CIK 0001696925 · 10% owner

NeoTribe Ventures I, L.P. · CIK 0001696926 · 10% owner

NeoTribe Associates I, L.P. · CIK 0001696927 · 10% owner

KOLLURI KRISHNA KITTU · CIK 0001270521 · 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: 18,928,933

F4 · price: Represents a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $2.36 to $2.67. The reporting person undertakes to provide to the issuer, any stockholder 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.

F2 · ownership.nature: Shares are held directly by NeoTribe Ventures I, L.P. ("NTV I"). NeoTribe Partners I, LLC ("NTP I") is the general partner of NTV I. Krishna Kolluri ("Kolluri") is the managing member of NTP I and therefore may be deemed to hold voting and dispositive power over the shares held by NTV I. Such managing member disclaims beneficial ownership of the shares held by NTV I except to the extent of his pecuniary interest therein.

Read SEC document
August 16, 2022 Filed Aug 18, 2022 15:54 UTC Heliogen, Inc. HLGN · Entity 78373 SaleCommon Stock 6,787 $2.48 $16,846.69
Disclosure

SEC source: 0001104659-22-092540 · tm2224113-1_4seq1.xml · nonDerivative · entry 2

NeoTribe Partners I, LLC · CIK 0001696925 · 10% owner

NeoTribe Ventures I, L.P. · CIK 0001696926 · 10% owner

NeoTribe Associates I, L.P. · CIK 0001696927 · 10% owner

KOLLURI KRISHNA KITTU · CIK 0001270521 · 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: 770,697

F1 · price: Represents a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $2.28 to $2.64. The reporting person undertakes to provide to the issuer, any stockholder 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.

F3 · ownership.nature: Shares are held directly by NeoTribe Associates I, L.P. ("NTA I"). NTP I is the general partner of NTA I. Kolluri is the managing member of NTP I and therefore may be deemed to hold voting and dispositive power over the shares held by NTA I. Such managing member disclaims beneficial ownership of the shares held by NTA I except to the extent of his pecuniary interest therein.

Read SEC document
August 16, 2022 Filed Aug 18, 2022 15:54 UTC Heliogen, Inc. HLGN · Entity 78373 SaleCommon Stock 168,611 $2.48 $418,526.22
Disclosure

SEC source: 0001104659-22-092540 · tm2224113-1_4seq1.xml · nonDerivative · entry 1

NeoTribe Partners I, LLC · CIK 0001696925 · 10% owner

NeoTribe Ventures I, L.P. · CIK 0001696926 · 10% owner

NeoTribe Associates I, L.P. · CIK 0001696927 · 10% owner

KOLLURI KRISHNA KITTU · CIK 0001270521 · 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: 19,123,196

F1 · price: Represents a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $2.28 to $2.64. The reporting person undertakes to provide to the issuer, any stockholder 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.

F2 · ownership.nature: Shares are held directly by NeoTribe Ventures I, L.P. ("NTV I"). NeoTribe Partners I, LLC ("NTP I") is the general partner of NTV I. Krishna Kolluri ("Kolluri") is the managing member of NTP I and therefore may be deemed to hold voting and dispositive power over the shares held by NTV I. Such managing member disclaims beneficial ownership of the shares held by NTV I except to the extent of his pecuniary interest therein.

Read SEC document
August 15, 2022 Filed Aug 16, 2022 19:21 UTC Heliogen, Inc. HLGN · Entity 78373 SaleCommon Stock 13,978 $2.45 $34,246.10
Disclosure

SEC source: 0001104659-22-091885 · tm2223645-1_4seq1.xml · nonDerivative · entry 4

NeoTribe Partners I, LLC · CIK 0001696925 · 10% owner

NeoTribe Ventures I, L.P. · CIK 0001696926 · 10% owner

NeoTribe Associates I, L.P. · CIK 0001696927 · 10% owner

KOLLURI KRISHNA KITTU · CIK 0001270521 · 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: 777,484

F4 · price: Represents a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $2.30 to $2.92. The reporting person undertakes to provide to the issuer, any stockholder 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.

F3 · ownership.nature: Shares are held directly by NeoTribe Associates I, L.P. ("NTA I"). NTP I is the general partner of NTA I. Kolluri is the managing member of NTP I and therefore may be deemed to hold voting and dispositive power over the shares held by NTA I. Such managing member disclaims beneficial ownership of the shares held by NTA I except to the extent of his pecuniary interest therein.

Read SEC document
August 15, 2022 Filed Aug 16, 2022 19:21 UTC Heliogen, Inc. HLGN · Entity 78373 SaleCommon Stock 347,211 $2.45 $850,666.95
Disclosure

SEC source: 0001104659-22-091885 · tm2223645-1_4seq1.xml · nonDerivative · entry 3

NeoTribe Partners I, LLC · CIK 0001696925 · 10% owner

NeoTribe Ventures I, L.P. · CIK 0001696926 · 10% owner

NeoTribe Associates I, L.P. · CIK 0001696927 · 10% owner

KOLLURI KRISHNA KITTU · CIK 0001270521 · 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: 19,291,807

F4 · price: Represents a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $2.30 to $2.92. The reporting person undertakes to provide to the issuer, any stockholder 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.

F2 · ownership.nature: Shares are held directly by NeoTribe Ventures I, L.P. ("NTV I"). NeoTribe Partners I, LLC ("NTP I") is the general partner of NTV I. Krishna Kolluri ("Kolluri") is the managing member of NTP I and therefore may be deemed to hold voting and dispositive power over the shares held by NTV I. Such managing member disclaims beneficial ownership of the shares held by NTV I except to the extent of his pecuniary interest therein.

Read SEC document
August 12, 2022 Filed Aug 16, 2022 19:21 UTC Heliogen, Inc. HLGN · Entity 78373 SaleCommon Stock 12,748 $2.84 $36,173.72
Disclosure

SEC source: 0001104659-22-091885 · tm2223645-1_4seq1.xml · nonDerivative · entry 2

NeoTribe Partners I, LLC · CIK 0001696925 · 10% owner

NeoTribe Ventures I, L.P. · CIK 0001696926 · 10% owner

NeoTribe Associates I, L.P. · CIK 0001696927 · 10% owner

KOLLURI KRISHNA KITTU · CIK 0001270521 · 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: 791,462

F1 · price: Represents a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $2.52 to $3.02. The reporting person undertakes to provide to the issuer, any stockholder 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.

F3 · ownership.nature: Shares are held directly by NeoTribe Associates I, L.P. ("NTA I"). NTP I is the general partner of NTA I. Kolluri is the managing member of NTP I and therefore may be deemed to hold voting and dispositive power over the shares held by NTA I. Such managing member disclaims beneficial ownership of the shares held by NTA I except to the extent of his pecuniary interest therein.

Read SEC document
August 12, 2022 Filed Aug 16, 2022 19:21 UTC Heliogen, Inc. HLGN · Entity 78373 SaleCommon Stock 316,658 $2.84 $898,548.74
Disclosure

SEC source: 0001104659-22-091885 · tm2223645-1_4seq1.xml · nonDerivative · entry 1

NeoTribe Partners I, LLC · CIK 0001696925 · 10% owner

NeoTribe Ventures I, L.P. · CIK 0001696926 · 10% owner

NeoTribe Associates I, L.P. · CIK 0001696927 · 10% owner

KOLLURI KRISHNA KITTU · CIK 0001270521 · 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: 19,639,018

F1 · price: Represents a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $2.52 to $3.02. The reporting person undertakes to provide to the issuer, any stockholder 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.

F2 · ownership.nature: Shares are held directly by NeoTribe Ventures I, L.P. ("NTV I"). NeoTribe Partners I, LLC ("NTP I") is the general partner of NTV I. Krishna Kolluri ("Kolluri") is the managing member of NTP I and therefore may be deemed to hold voting and dispositive power over the shares held by NTV I. Such managing member disclaims beneficial ownership of the shares held by NTV I except to the extent of his pecuniary interest therein.

Read SEC document
August 11, 2022 Filed Aug 12, 2022 18:25 UTC Heliogen, Inc. HLGN · Entity 78373 SaleCommon Stock 6,258 $2.66 $16,625.63
Disclosure

SEC source: 0001104659-22-090222 · tm2223130-2_4seq1.xml · nonDerivative · entry 4

NeoTribe Partners I, LLC · CIK 0001696925 · 10% owner

NeoTribe Ventures I, L.P. · CIK 0001696926 · 10% owner

NeoTribe Associates I, L.P. · CIK 0001696927 · 10% owner

KOLLURI KRISHNA KITTU · CIK 0001270521 · 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: 804,210

F4 · price: Represents a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $2.59 to $2.90. The reporting person undertakes to provide to the issuer, any stockholder 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.

F3 · ownership.nature: Shares are held directly by NeoTribe Associates I, L.P. ("NTA I"). NTP I is the general partner of NTA I. Kolluri is the managing member of NTP I and therefore may be deemed to hold voting and dispositive power over the shares held by NTA I. Such managing member disclaims beneficial ownership of the shares held by NTA I except to the extent of his pecuniary interest therein.

Read SEC document
August 11, 2022 Filed Aug 12, 2022 18:25 UTC Heliogen, Inc. HLGN · Entity 78373 SaleCommon Stock 155,465 $2.66 $413,023.87
Disclosure

SEC source: 0001104659-22-090222 · tm2223130-2_4seq1.xml · nonDerivative · entry 3

NeoTribe Partners I, LLC · CIK 0001696925 · 10% owner

NeoTribe Ventures I, L.P. · CIK 0001696926 · 10% owner

NeoTribe Associates I, L.P. · CIK 0001696927 · 10% owner

KOLLURI KRISHNA KITTU · CIK 0001270521 · 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: 19,955,676

F4 · price: Represents a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $2.59 to $2.90. The reporting person undertakes to provide to the issuer, any stockholder 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.

F2 · ownership.nature: Shares are held directly by NeoTribe Ventures I, L.P. ("NTV I"). NeoTribe Partners I, LLC ("NTP I") is the general partner of NTV I. Krishna Kolluri ("Kolluri") is the managing member of NTP I and therefore may be deemed to hold voting and dispositive power over the shares held by NTV I. Such managing member disclaims beneficial ownership of the shares held by NTV I except to the extent of his pecuniary interest therein.

Read SEC document
August 10, 2022 Filed Aug 12, 2022 18:25 UTC Heliogen, Inc. HLGN · Entity 78373 SaleCommon Stock 15,940 $2.85 $45,441.75
Disclosure

SEC source: 0001104659-22-090222 · tm2223130-2_4seq1.xml · nonDerivative · entry 2

NeoTribe Partners I, LLC · CIK 0001696925 · 10% owner

NeoTribe Ventures I, L.P. · CIK 0001696926 · 10% owner

NeoTribe Associates I, L.P. · CIK 0001696927 · 10% owner

KOLLURI KRISHNA KITTU · CIK 0001270521 · 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: 810,468

F1 · price: Represents a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $2.60 to $2.94. The reporting person undertakes to provide to the issuer, any stockholder 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.

F3 · ownership.nature: Shares are held directly by NeoTribe Associates I, L.P. ("NTA I"). NTP I is the general partner of NTA I. Kolluri is the managing member of NTP I and therefore may be deemed to hold voting and dispositive power over the shares held by NTA I. Such managing member disclaims beneficial ownership of the shares held by NTA I except to the extent of his pecuniary interest therein.

Read SEC document
August 10, 2022 Filed Aug 12, 2022 18:25 UTC Heliogen, Inc. HLGN · Entity 78373 SaleCommon Stock 395,957 $2.85 $1,128,794.22
Disclosure

SEC source: 0001104659-22-090222 · tm2223130-2_4seq1.xml · nonDerivative · entry 1

NeoTribe Partners I, LLC · CIK 0001696925 · 10% owner

NeoTribe Ventures I, L.P. · CIK 0001696926 · 10% owner

NeoTribe Associates I, L.P. · CIK 0001696927 · 10% owner

KOLLURI KRISHNA KITTU · CIK 0001270521 · 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: 20,111,141

F1 · price: Represents a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $2.60 to $2.94. The reporting person undertakes to provide to the issuer, any stockholder 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.

F2 · ownership.nature: Shares are held directly by NeoTribe Ventures I, L.P. ("NTV I"). NeoTribe Partners I, LLC ("NTP I") is the general partner of NTV I. Krishna Kolluri ("Kolluri") is the managing member of NTP I and therefore may be deemed to hold voting and dispositive power over the shares held by NTV I. Such managing member disclaims beneficial ownership of the shares held by NTV I except to the extent of his pecuniary interest therein.

Read SEC document
August 09, 2022 Filed Aug 10, 2022 19:15 UTC Heliogen, Inc. HLGN · Entity 78373 SaleCommon Stock 11,109 $2.65 $29,481.06
Disclosure

SEC source: 0001104659-22-088847 · tm2223130-1_4seq1.xml · nonDerivative · entry 4

NeoTribe Partners I, LLC · CIK 0001696925 · 10% owner

NeoTribe Ventures I, L.P. · CIK 0001696926 · 10% owner

NeoTribe Associates I, L.P. · CIK 0001696927 · 10% owner

KOLLURI KRISHNA KITTU · CIK 0001270521 · 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: 826,408

F4 · price: Represents a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $2.49 to $2.77. The reporting person undertakes to provide to the issuer, any stockholder 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.

F3 · ownership.nature: Shares are held directly by NeoTribe Associates I, L.P. ("NTA I"). NTP I is the general partner of NTA I. Kolluri is the managing member of NTP I and therefore may be deemed to hold voting and dispositive power over the shares held by NTA I. Such managing member disclaims beneficial ownership of the shares held by NTA I except to the extent of his pecuniary interest therein.

Read SEC document
August 09, 2022 Filed Aug 10, 2022 19:15 UTC Heliogen, Inc. HLGN · Entity 78373 SaleCommon Stock 275,941 $2.65 $732,292.23
Disclosure

SEC source: 0001104659-22-088847 · tm2223130-1_4seq1.xml · nonDerivative · entry 3

NeoTribe Partners I, LLC · CIK 0001696925 · 10% owner

NeoTribe Ventures I, L.P. · CIK 0001696926 · 10% owner

NeoTribe Associates I, L.P. · CIK 0001696927 · 10% owner

KOLLURI KRISHNA KITTU · CIK 0001270521 · 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: 20,507,098

F4 · price: Represents a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $2.49 to $2.77. The reporting person undertakes to provide to the issuer, any stockholder 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.

F2 · ownership.nature: Shares are held directly by NeoTribe Ventures I, L.P. ("NTV I"). NeoTribe Partners I, LLC ("NTP I") is the general partner of NTV I. Krishna Kolluri ("Kolluri") is the managing member of NTP I and therefore may be deemed to hold voting and dispositive power over the shares held by NTV I. Such managing member disclaims beneficial ownership of the shares held by NTV I except to the extent of his pecuniary interest therein.

Read SEC document
August 08, 2022 Filed Aug 10, 2022 19:15 UTC Heliogen, Inc. HLGN · Entity 78373 SaleCommon Stock 8,939 $2.61 $23,371.02
Disclosure

SEC source: 0001104659-22-088847 · tm2223130-1_4seq1.xml · nonDerivative · entry 2

NeoTribe Partners I, LLC · CIK 0001696925 · 10% owner

NeoTribe Ventures I, L.P. · CIK 0001696926 · 10% owner

NeoTribe Associates I, L.P. · CIK 0001696927 · 10% owner

KOLLURI KRISHNA KITTU · CIK 0001270521 · 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: 837,517

F1 · price: Represents a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $2.48 to $2.70. The reporting person undertakes to provide to the issuer, any stockholder 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.

F3 · ownership.nature: Shares are held directly by NeoTribe Associates I, L.P. ("NTA I"). NTP I is the general partner of NTA I. Kolluri is the managing member of NTP I and therefore may be deemed to hold voting and dispositive power over the shares held by NTA I. Such managing member disclaims beneficial ownership of the shares held by NTA I except to the extent of his pecuniary interest therein.

Read SEC document
August 08, 2022 Filed Aug 10, 2022 19:15 UTC Heliogen, Inc. HLGN · Entity 78373 SaleCommon Stock 222,053 $2.61 $580,557.57
Disclosure

SEC source: 0001104659-22-088847 · tm2223130-1_4seq1.xml · nonDerivative · entry 1

NeoTribe Partners I, LLC · CIK 0001696925 · 10% owner

NeoTribe Ventures I, L.P. · CIK 0001696926 · 10% owner

NeoTribe Associates I, L.P. · CIK 0001696927 · 10% owner

KOLLURI KRISHNA KITTU · CIK 0001270521 · 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: 20,783,039

F1 · price: Represents a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $2.48 to $2.70. The reporting person undertakes to provide to the issuer, any stockholder 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.

F2 · ownership.nature: Shares are held directly by NeoTribe Ventures I, L.P. ("NTV I"). NeoTribe Partners I, LLC ("NTP I") is the general partner of NTV I. Krishna Kolluri ("Kolluri") is the managing member of NTP I and therefore may be deemed to hold voting and dispositive power over the shares held by NTV I. Such managing member disclaims beneficial ownership of the shares held by NTV I except to the extent of his pecuniary interest therein.

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August 05, 2022 Filed Aug 8, 2022 16:34 UTC Heliogen, Inc. HLGN · Entity 78373 SaleCommon Stock 7,475 $2.52 $18,833.26
Disclosure

SEC source: 0001104659-22-087282 · tm2222870-1_4.xml · nonDerivative · entry 4

NeoTribe Partners I, LLC · CIK 0001696925 · 10% owner

NeoTribe Ventures I, L.P. · CIK 0001696926 · 10% owner

NeoTribe Associates I, L.P. · CIK 0001696927 · 10% owner

KOLLURI KRISHNA KITTU · CIK 0001270521 · 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: 846,456

F4 · price: Represents a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $2.40 to $2.66. The reporting person undertakes to provide to the issuer, any stockholder 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.

F3 · ownership.nature: Shares are held directly by NeoTribe Associates I, L.P. ("NTA I"). NTP I is the general partner of NTA I. Kolluri is the managing member of NTP I and therefore may be deemed to hold voting and dispositive power over the shares held by NTA I. Such managing member disclaims beneficial ownership of the shares held by NTA I except to the extent of his pecuniary interest therein.

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August 05, 2022 Filed Aug 8, 2022 16:34 UTC Heliogen, Inc. HLGN · Entity 78373 SaleCommon Stock 185,696 $2.52 $467,861.07
Disclosure

SEC source: 0001104659-22-087282 · tm2222870-1_4.xml · nonDerivative · entry 3

NeoTribe Partners I, LLC · CIK 0001696925 · 10% owner

NeoTribe Ventures I, L.P. · CIK 0001696926 · 10% owner

NeoTribe Associates I, L.P. · CIK 0001696927 · 10% owner

KOLLURI KRISHNA KITTU · CIK 0001270521 · 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: 21,005,092

F4 · price: Represents a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $2.40 to $2.66. The reporting person undertakes to provide to the issuer, any stockholder 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.

F2 · ownership.nature: Shares are held directly by NeoTribe Ventures I, L.P. ("NTV I"). NeoTribe Partners I, LLC ("NTP I") is the general partner of NTV I. Krishna Kolluri ("Kolluri") is the managing member of NTP I and therefore may be deemed to hold voting and dispositive power over the shares held by NTV I. Such managing member disclaims beneficial ownership of the shares held by NTV I except to the extent of his pecuniary interest therein.

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August 04, 2022 Filed Aug 8, 2022 16:34 UTC Heliogen, Inc. HLGN · Entity 78373 SaleCommon Stock 2,958 $2.58 $7,630.16
Disclosure

SEC source: 0001104659-22-087282 · tm2222870-1_4.xml · nonDerivative · entry 2

NeoTribe Partners I, LLC · CIK 0001696925 · 10% owner

NeoTribe Ventures I, L.P. · CIK 0001696926 · 10% owner

NeoTribe Associates I, L.P. · CIK 0001696927 · 10% owner

KOLLURI KRISHNA KITTU · CIK 0001270521 · 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: 853,931

F1 · price: Represents a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $2.52 to $2.67. The reporting person undertakes to provide to the issuer, any stockholder 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.

F3 · ownership.nature: Shares are held directly by NeoTribe Associates I, L.P. ("NTA I"). NTP I is the general partner of NTA I. Kolluri is the managing member of NTP I and therefore may be deemed to hold voting and dispositive power over the shares held by NTA I. Such managing member disclaims beneficial ownership of the shares held by NTA I except to the extent of his pecuniary interest therein.

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August 04, 2022 Filed Aug 8, 2022 16:34 UTC Heliogen, Inc. HLGN · Entity 78373 SaleCommon Stock 72,156 $2.58 $186,126.40
Disclosure

SEC source: 0001104659-22-087282 · tm2222870-1_4.xml · nonDerivative · entry 1

NeoTribe Partners I, LLC · CIK 0001696925 · 10% owner

NeoTribe Ventures I, L.P. · CIK 0001696926 · 10% owner

NeoTribe Associates I, L.P. · CIK 0001696927 · 10% owner

KOLLURI KRISHNA KITTU · CIK 0001270521 · 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: 21,190,788

F1 · price: Represents a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $2.52 to $2.67. The reporting person undertakes to provide to the issuer, any stockholder 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.

F2 · ownership.nature: Shares are held directly by NeoTribe Ventures I, L.P. ("NTV I"). NeoTribe Partners I, LLC ("NTP I") is the general partner of NTV I. Krishna Kolluri ("Kolluri") is the managing member of NTP I and therefore may be deemed to hold voting and dispositive power over the shares held by NTV I. Such managing member disclaims beneficial ownership of the shares held by NTV I except to the extent of his pecuniary interest therein.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.