LESCHLY MARK

SEC source: 0001120545-26-000004 · wk-form4_1784764617.xml · nonDerivative · entry 3

LESCHLY MARK · CIK 0001120545 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 47,761

F3 · shares: The Reporting Person was granted Restricted Stock Units ("RSUs") which represent a contingent right to receive one share of Common Stock for each RSU. The RSUs are subject to a service-based vesting requirement which shall vest in four equal quarterly installments with the final installment vesting on the earlier of (i) the one-year anniversary of the date of grant or (ii) the date of the next annual meeting of stockholders, subject to the Reporting Person's continuous service with the Issuer through such date.

SEC source: 0001120545-26-000004 · wk-form4_1784764617.xml · nonDerivative · entry 2

LESCHLY MARK · CIK 0001120545 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 46,425

F3 · shares: The Reporting Person was granted Restricted Stock Units ("RSUs") which represent a contingent right to receive one share of Common Stock for each RSU. The RSUs are subject to a service-based vesting requirement which shall vest in four equal quarterly installments with the final installment vesting on the earlier of (i) the one-year anniversary of the date of grant or (ii) the date of the next annual meeting of stockholders, subject to the Reporting Person's continuous service with the Issuer through such date.

SEC source: 0001120545-26-000004 · wk-form4_1784764617.xml · nonDerivative · entry 1

LESCHLY MARK · CIK 0001120545 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 39,745

F1 · shares: The Reporting Person was granted Restricted Stock Units ("RSUs") which represent a contingent right to receive one share of Common Stock for each RSU. The RSUs are subject to a service-based vesting requirement, which shall be satisfied in full on the earlier of (i) the one-year anniversary of the date of grant or (ii) the date of the next annual meeting of stockholders, subject to the Reporting Person's continuous service with the Issuer through such date.

F2 · balance_after: Effective July 28, 2025, the Issuer effected a 1-for-20 reverse stock split of its common stock (the "Reverse Stock Split"). The amount of the securities reported on this Form 4 has been adjusted to reflect the Reverse Stock Split.

SEC source: 0001777393-25-000135 · wk-form4_1752107614.xml · nonDerivative · entry 1

LESCHLY MARK · CIK 0001120545 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 427,517

F1 · shares: The Reporting Person was granted Restricted Stock Units ("RSUs") which represent a contingent right to receive one share of Common Stock for each RSU. The RSUs are subject to a service-based vesting requirement, which shall be satisfied in full on the earlier of (i) the one-year anniversary of the date of grant or (ii) the date of the next annual meeting of stockholders, subject to the Reporting Person's continuous service with the Issuer through such date.

SEC source: 0001777393-24-000122 · wk-form4_1720733389.xml · nonDerivative · entry 1

LESCHLY MARK · CIK 0001120545 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 172,732

F1 · shares: The Reporting Person was granted Restricted Stock Units ("RSUs") which represent a contingent right to receive one share of Common Stock for each RSU. The RSUs are subject to a service-based vesting requirement, which shall be satisfied in full on the earlier of (i) July 9, 2025 or (ii) the date of the next annual meeting of stockholders, subject to the Reporting Person's continuous service with the Issuer through such date.

SEC source: 0001140361-23-035542 · form4.xml · nonDerivative · entry 1

LESCHLY MARK · CIK 0001120545 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 57,180

F1 · shares: The Reporting Person was granted Restricted Stock Units ("RSUs") which represent a contingent right to receive one share of Common Stock for each RSU. The RSUs are subject to a service-based vesting requirement, which shall be satisfied in full on the earlier of (i) the one-year anniversary of July 18, 2023 or (ii) the date of the next annual meeting of stockholders, subject to the Reporting Person's continuous service with the Issuer through such date.

SEC source: 0000899243-22-026083 · doc4.xml · nonDerivative · entry 1

LESCHLY MARK · CIK 0001120545 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,255

F1 · shares: The Reporting Person was granted Restricted Stock Units ("RSUs") which represent a contingent right to receive one share of Common Stock for each RSU. The RSUs are subject to a service-based vesting requirement, which shall be satisfied in full on the earlier of (i) the one-year anniversary of July 12, 2022 or (ii) the date of the next annual meeting of stockholders, subject to the Reporting Person's continuous service with the Issuer through such date.

SEC source: 0000899243-21-028321 · doc4.xml · nonDerivative · entry 1

LESCHLY MARK · CIK 0001120545 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,692

F1 · shares: The Reporting Person was granted Restricted Stock Units ("RSUs") which represent a contingent right to receive one share of Common Stock for each RSU. The RSUs are subject to a service-based vesting requirement, which shall be satisfied in full on the earlier of (i) the one-year anniversary of July 12, 2021 or (ii) the date of the next annual meeting of stockholders, subject to the Reporting Person's continuous service with the issuer through such date.

SEC source: 0000899243-21-027377 · doc4.xml · nonDerivative · entry 1

LESCHLY MARK · CIK 0001120545 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By LLC

Disclosed balance after: 420,946

F1 · kind: Pursuant to the terms of that certain Business Combination Agreement and Plan of Reorganization, dated as of September 23, 2020 (the "Business Combination Agreement"), among Switchback Energy Acquisition Corporation (since renamed "ChargePoint Holdings, Inc." and referred to herein as the "Issuer"), Lightning Merger Sub Inc., a wholly owned subsidiary of the Issuer ("Merger Sub"), and ChargePoint, Inc., the Merger Sub merged with and into ChargePoint, Inc. (the "Merger"), the reporting persons became entitled to receive shares of the Issuer's Common Stock (the "Earnout Shares") following each of three Triggering Events (as defined in the Business Combination Agreement) that occur within five years of the February 26, 2021 closing of the Merger.

F2 · kind: The third "Triggering Event" is the date on which the volume-weighted average closing sale price of the Issuer's Common Stock is greater than or equal to $30.00 for any ten trading days within any twenty consecutive trading day period. The third Triggering Event occurred, and pursuant to the terms of the Business Combination Agreement, the Earnout Shares reported on this Form 4 were issued on July 1, 2021. The issuance of shares as merger consideration in the Merger transaction, including the receipt of the Earnout Shares reported on this Form 4, was exempt under Rule 16b-3.

F3 · ownership.nature: The Shares are held directly by Iconica LLC. The Reporting Person is managing member of Iconica LLC and as such Mr. Leschly possesses sole power to direct the voting and disposition of the shares owned by Iconica LLC.

SEC source: 0001209191-21-039596 · doc4.xml · derivative · entry 1

LESCHLY MARK · CIK 0001120545 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,619

Underlying: Common Stock · 19,619 shares

Expires 2031-06-07

F1 · derivative.exercise_date: The stock option shall vest in four (4) approximately equal quarterly installments, such that the option shall be fully vested on the earlier of (i) the one-year anniversary of the date of grant and (ii) the day prior to the Issuer's next annual stockholder meeting, subject to the Reporting Person's Continuous Service (as defined in the Amended and Restated 2018 Equity Incentive Plan) on each applicable vesting date.

SEC source: 0000899243-21-021421 · doc4.xml · nonDerivative · entry 1

LESCHLY MARK · CIK 0001120545 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,500

F1 · shares: The Reporting Person was granted restricted stock units ("RSUs"), each representing the right to receive one share of the issuer's common stock. The RSUs are subject to a service-based vesting requirement, which shall be satisfied in full on the earlier of (i) the one-year anniversary of February 26, 2021 or (ii) a change of control event, subject to the Reporting Person's continuous service with the issuer.

SEC source: 0000899243-21-013214 · doc4.xml · nonDerivative · entry 1

LESCHLY MARK · CIK 0001120545 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By LLC

Disclosed balance after: 408,296

F1 · kind: Pursuant to the terms of that certain Business Combination Agreement and Plan of Reorganization, dated as of September 23, 2020 (the "Business Combination Agreement"), among Switchback Energy Acquisition Corporation (since renamed "ChargePoint Holdings, Inc." and referred to herein as the "Issuer"), Lightning Merger Sub Inc., a wholly owned subsidiary of the Issuer ("Merger Sub"), and ChargePoint, Inc., the Merger Sub merged with and into ChargePoint, Inc. (the "Merger"), the reporting person became entitled to receive shares of the Issuer's Common Stock (the "Earnout Shares") following each of three Triggering Events (as defined in the Business Combination Agreement) that occur within five years of the February 26, 2021 closing of the Merger.

F2 · kind: The three "Triggering Events" are (i) the date on which the volume-weighted average closing sale price of the Issuer's Common Stock is greater than or equal to $15.00 for any ten trading days within any twenty consecutive trading day period; (ii) the date on which the volume-weighted average closing sale price of the Issuer's Common Stock is greater than or equal to $20.00 for any ten trading days within any twenty consecutive trading day period; and (iii) the dates on which the volume-weighted average closing sale price of the Issuer's Common Stock is greater than or equal to $30.00 for any ten trading days within any twenty consecutive trading day period. In addition, Trigger Events may occur upon a Change of Control (as defined in the Business Combination Agreement).

F3 · kind: The first two Triggering Events occurred on the same date, and pursuant to the terms of the Business Combination Agreement, the Earnout Shares reported on this Form 4 were issued on March 19, 2021. The issuance of the shares as merger consideration in the Merger transaction, including the receipt of the Earnout Shares reported on this Form 4, was exempt under Rule 16b-3.

F4 · ownership.nature: The Shares are held directly by Iconica LLC. The Reporting Person is managing member of Iconica LLC and as such Mr. Leschly possesses sole power to direct the voting and disposition of the shares owned by Iconica LLC.

SEC source: 0000899243-21-009014 · doc4.xml · nonDerivative · entry 1

LESCHLY MARK · CIK 0001120545 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 382,996

F1 · price: Pursuant to the terms of that certain Business Combination Agreement and Plan of Reorganization, dated as of September 23, 2020 (the "Business Combination Agreement"), among Switchback, Lightning Merger Sub Inc., a Delaware corporation and a wholly owned subsidiary of Switchback ("Merger Sub"), and ChargePoint, Inc., a Delaware corporation ("ChargePoint"), the Merger Sub merged with and into ChargePoint Holdings, Inc. (the "Merger"). On the closing date of the Merger, the price of ChargePoint's Common Stock was $30.83 per share. The Shares were received in exchange for 384,303 shares of Common Stock of ChargePoint, Inc. in connection with the Merger. The Shares are held directly by Iconica LLC. The Reporting Person is managing member of Iconica LLC and as such Mr. Leschly possesses sole power to direct the voting and disposition of the shares owned by Iconica LLC.

F1 · ownership.nature: Pursuant to the terms of that certain Business Combination Agreement and Plan of Reorganization, dated as of September 23, 2020 (the "Business Combination Agreement"), among Switchback, Lightning Merger Sub Inc., a Delaware corporation and a wholly owned subsidiary of Switchback ("Merger Sub"), and ChargePoint, Inc., a Delaware corporation ("ChargePoint"), the Merger Sub merged with and into ChargePoint Holdings, Inc. (the "Merger"). On the closing date of the Merger, the price of ChargePoint's Common Stock was $30.83 per share. The Shares were received in exchange for 384,303 shares of Common Stock of ChargePoint, Inc. in connection with the Merger. The Shares are held directly by Iconica LLC. The Reporting Person is managing member of Iconica LLC and as such Mr. Leschly possesses sole power to direct the voting and disposition of the shares owned by Iconica LLC.

SEC source: 0001179110-21-001413 · edgar.xml · derivative · entry 4

Rho Ventures III Holdings LLC · CIK 0001533276 · 10% owner

Rho Capital Partners LLC · CIK 0001325385 · 10% owner

KAIROUZ HABIB · CIK 0001082907 · 10% owner

LESCHLY MARK · CIK 0001120545 · 10% owner

RUCH JOSHUA · CIK 0000943431 · 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: 0

Underlying: Common Stock · 3,364,868 shares

Expires not disclosed

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

F1 · derivative.exercise_price: All of the shares of convertible preferred stock automatically converted into shares of the Issuer's common stock on a 1-for-1 basis upon the closing of the Issuer's initial public offering. The convertible preferred stock had no expiration date.

F1 · derivative.exercise_date: All of the shares of convertible preferred stock automatically converted into shares of the Issuer's common stock on a 1-for-1 basis upon the closing of the Issuer's initial public offering. The convertible preferred stock had no expiration date.

F1 · derivative.expiration_date: All of the shares of convertible preferred stock automatically converted into shares of the Issuer's common stock on a 1-for-1 basis upon the closing of the Issuer's initial public offering. The convertible preferred stock had no expiration date.

F2 · ownership.nature: These securities are owned directly by Rho Ventures III Holdings LLC ("RV III"). Rho Capital Partners LLC ("RCP") is the managing member of RV III, and each of Mark Leschly, Habib Kairouz and Joshua Ruch are managing members of RCP and exercise shared voting and investment power with respect to the shares owned by RV III. Each of the reporting persons disclaims beneficial ownership of such securities, except to the extent of his or its respective pecuniary interest therein.

SEC source: 0001179110-21-001413 · edgar.xml · derivative · entry 3

Rho Ventures III Holdings LLC · CIK 0001533276 · 10% owner

Rho Capital Partners LLC · CIK 0001325385 · 10% owner

KAIROUZ HABIB · CIK 0001082907 · 10% owner

LESCHLY MARK · CIK 0001120545 · 10% owner

RUCH JOSHUA · CIK 0000943431 · 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: 0

Underlying: Common Stock · 567,991 shares

Expires not disclosed

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

F1 · derivative.exercise_price: All of the shares of convertible preferred stock automatically converted into shares of the Issuer's common stock on a 1-for-1 basis upon the closing of the Issuer's initial public offering. The convertible preferred stock had no expiration date.

F1 · derivative.exercise_date: All of the shares of convertible preferred stock automatically converted into shares of the Issuer's common stock on a 1-for-1 basis upon the closing of the Issuer's initial public offering. The convertible preferred stock had no expiration date.

F1 · derivative.expiration_date: All of the shares of convertible preferred stock automatically converted into shares of the Issuer's common stock on a 1-for-1 basis upon the closing of the Issuer's initial public offering. The convertible preferred stock had no expiration date.

F2 · ownership.nature: These securities are owned directly by Rho Ventures III Holdings LLC ("RV III"). Rho Capital Partners LLC ("RCP") is the managing member of RV III, and each of Mark Leschly, Habib Kairouz and Joshua Ruch are managing members of RCP and exercise shared voting and investment power with respect to the shares owned by RV III. Each of the reporting persons disclaims beneficial ownership of such securities, except to the extent of his or its respective pecuniary interest therein.

SEC source: 0001179110-21-001413 · edgar.xml · nonDerivative · entry 2

Rho Ventures III Holdings LLC · CIK 0001533276 · 10% owner

Rho Capital Partners LLC · CIK 0001325385 · 10% owner

KAIROUZ HABIB · CIK 0001082907 · 10% owner

LESCHLY MARK · CIK 0001120545 · 10% owner

RUCH JOSHUA · CIK 0000943431 · 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: 3,637,894

F2 · ownership.nature: These securities are owned directly by Rho Ventures III Holdings LLC ("RV III"). Rho Capital Partners LLC ("RCP") is the managing member of RV III, and each of Mark Leschly, Habib Kairouz and Joshua Ruch are managing members of RCP and exercise shared voting and investment power with respect to the shares owned by RV III. Each of the reporting persons disclaims beneficial ownership of such securities, except to the extent of his or its respective pecuniary interest therein.

SEC source: 0001179110-21-001413 · edgar.xml · nonDerivative · entry 1

Rho Ventures III Holdings LLC · CIK 0001533276 · 10% owner

Rho Capital Partners LLC · CIK 0001325385 · 10% owner

KAIROUZ HABIB · CIK 0001082907 · 10% owner

LESCHLY MARK · CIK 0001120545 · 10% owner

RUCH JOSHUA · CIK 0000943431 · 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: 3,932,859

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

F1 · price: All of the shares of convertible preferred stock automatically converted into shares of the Issuer's common stock on a 1-for-1 basis upon the closing of the Issuer's initial public offering. The convertible preferred stock had no expiration date.

F2 · ownership.nature: These securities are owned directly by Rho Ventures III Holdings LLC ("RV III"). Rho Capital Partners LLC ("RCP") is the managing member of RV III, and each of Mark Leschly, Habib Kairouz and Joshua Ruch are managing members of RCP and exercise shared voting and investment power with respect to the shares owned by RV III. Each of the reporting persons disclaims beneficial ownership of such securities, except to the extent of his or its respective pecuniary interest therein.

SEC source: 0001209191-20-031866 · doc4.xml · derivative · entry 1

LESCHLY MARK · CIK 0001120545 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,806

Underlying: Common Stock · 16,806 shares

Expires 2030-05-19

F1 · derivative.exercise_date: The stock option shall vest in four (4) approximately equal quarterly installments, such that the option shall be fully vested on the earlier of (i) the one-year anniversary of the date of grant and (ii) the day prior to the next Issuer's annual stockholder meeting, subject to the Reporting Person's Continuous Service (as defined in the Amended and Restated 2018 Equity Incentive Plan) on each applicable vesting date.

SEC source: 0001209191-19-030717 · doc4.xml · derivative · entry 1

LESCHLY MARK · CIK 0001120545 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,000

Underlying: Common Stock · 24,000 shares

Expires 2029-05-14

F1 · security: Issued pursuant to the Amended and Restated 2018 Equity Incentive Plan.

F2 · derivative.exercise_date: The stock option shall vest in four (4) approximately equal quarterly installments, such that the option shall be fully vested on the earlier of (i) the one-year anniversary of the date of grant and (ii) the day prior to the next Issuer's annual stockholder meeting held after the effective date of the initial public offering, subject to the Reporting Person's Continuous Service (as defined in the Amended and Restated 2018 Equity Incentive Plan) on each applicable vesting date.

SEC source: 0001209191-19-024282 · doc4.xml · derivative · entry 4

LESCHLY MARK · CIK 0001120545 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 0

Underlying: Common Stock · 166,667 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Every two shares of Series A preferred stock, Series B preferred stock and Series C preferred stock automatically converted into one share of common stock in connection with the closing of the issuer's initial public offering. These shares have no expiration date.

F1 · derivative.exercise_date: Every two shares of Series A preferred stock, Series B preferred stock and Series C preferred stock automatically converted into one share of common stock in connection with the closing of the issuer's initial public offering. These shares have no expiration date.

F1 · derivative.expiration_date: Every two shares of Series A preferred stock, Series B preferred stock and Series C preferred stock automatically converted into one share of common stock in connection with the closing of the issuer's initial public offering. These shares have no expiration date.

F5 · ownership.nature: The Reporting Person, a Director of the Issuer, shares voting and dispositive power with members of Rho Capital Partners LLC, which is the managing member of RMV V, L.L.C., which is the general partner of Rho Ventures V, L.P. and the managing member of Rho Ventures V Affiliates L.L.C., but disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein.

F7 · ownership.nature: Consists of 153,215 shares beneficially owned by Rho Ventures V L.P., and 13,452 shares beneficially owned by Rho Ventures V Affiliates L.L.C.

SEC source: 0001209191-19-024282 · doc4.xml · derivative · entry 3

LESCHLY MARK · CIK 0001120545 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 0

Underlying: Common Stock · 600,000 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Every two shares of Series A preferred stock, Series B preferred stock and Series C preferred stock automatically converted into one share of common stock in connection with the closing of the issuer's initial public offering. These shares have no expiration date.

F1 · derivative.exercise_date: Every two shares of Series A preferred stock, Series B preferred stock and Series C preferred stock automatically converted into one share of common stock in connection with the closing of the issuer's initial public offering. These shares have no expiration date.

F1 · derivative.expiration_date: Every two shares of Series A preferred stock, Series B preferred stock and Series C preferred stock automatically converted into one share of common stock in connection with the closing of the issuer's initial public offering. These shares have no expiration date.

F5 · ownership.nature: The Reporting Person, a Director of the Issuer, shares voting and dispositive power with members of Rho Capital Partners LLC, which is the managing member of RMV V, L.L.C., which is the general partner of Rho Ventures V, L.P. and the managing member of Rho Ventures V Affiliates L.L.C., but disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein.

F6 · ownership.nature: Consists of 551,572 shares beneficially owned by Rho Ventures V L.P., and 48,428 shares beneficially owned by Rho Ventures V Affiliates L.L.C.

SEC source: 0001209191-19-024282 · doc4.xml · derivative · entry 2

LESCHLY MARK · CIK 0001120545 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 0

Underlying: Common Stock · 3,000,000 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Every two shares of Series A preferred stock, Series B preferred stock and Series C preferred stock automatically converted into one share of common stock in connection with the closing of the issuer's initial public offering. These shares have no expiration date.

F1 · derivative.exercise_date: Every two shares of Series A preferred stock, Series B preferred stock and Series C preferred stock automatically converted into one share of common stock in connection with the closing of the issuer's initial public offering. These shares have no expiration date.

F1 · derivative.expiration_date: Every two shares of Series A preferred stock, Series B preferred stock and Series C preferred stock automatically converted into one share of common stock in connection with the closing of the issuer's initial public offering. These shares have no expiration date.

F4 · ownership.nature: Consists of 2,757,861 shares beneficially owned by Rho Ventures V L.P., and 242,139 shares beneficially owned by Rho Ventures V Affiliates L.L.C.

F5 · ownership.nature: The Reporting Person, a Director of the Issuer, shares voting and dispositive power with members of Rho Capital Partners LLC, which is the managing member of RMV V, L.L.C., which is the general partner of Rho Ventures V, L.P. and the managing member of Rho Ventures V Affiliates L.L.C., but disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein.

SEC source: 0001209191-19-024282 · doc4.xml · nonDerivative · entry 1

LESCHLY MARK · CIK 0001120545 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 3,766,667

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

F1 · price: Every two shares of Series A preferred stock, Series B preferred stock and Series C preferred stock automatically converted into one share of common stock in connection with the closing of the issuer's initial public offering. These shares have no expiration date.

F2 · ownership.nature: Consists of 3,462,648 shares beneficially owned by Rho Ventures V L.P., and 304,019 shares beneficially owned by Rho Ventures V Affiliates L.L.C.

F3 · ownership.nature: The Reporting Person, a Director of the Issuer, shares voting and dispositive power with members of Rho Capital Partners LLC, which is the managing member of RMV V, L.L.C., which is the general partner of Rho Ventures V, L.P. and the managing member of Rho Ventures V Affiliates L.L.C., but disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein.

SEC source: 0001179110-17-005327 · edgar.xml · nonDerivative · entry 1

RHO Ventures VI LP · CIK 0001419636 · 10% owner

RMV VI, L.L.C. · CIK 0001478944 · 10% owner

Rho Capital Partners LLC · CIK 0001325385 · 10% owner

LESCHLY MARK · CIK 0001120545 · 10% owner

KAIROUZ HABIB · CIK 0001082907 · 10% owner

RUCH JOSHUA · CIK 0000943431 · 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: 3,568,057

F1 · ownership.nature: These securities are owned directly by Rho Ventures VI, L.P. ("RV VI"). RMV VI, L.L.C. ("RMV") is the general partner of RV VI and Rho Capital Partners LLC ("RCP") is the managing member of RMV. Mark Leschly, Habib Kairouz and Joshua Ruch are managing members of RCP and exercise shared voting and investment power with respect to the shares owned by RV VI. Each of the reporting persons disclaims beneficial ownership of such securities, except to the extent of his or its respective pecuniary interest therein.

SEC source: 0001179110-17-001074 · edgar.xml · nonDerivative · entry 1

RHO VENTURES IV QP LP · CIK 0001126022 · 10% owner

RHO VENTURES IV GMBH & CO BETEILIGUNGS KG · CIK 0001269066 · 10% owner

Rho Ventures IV Holdings LLC · CIK 0001533275 · 10% owner

Rho Ventures III Holdings LLC · CIK 0001533276 · 10% owner

RHO MANAGEMENT VENTURES IV LLC · CIK 0001269064 · 10% owner

RHO VENTURES IV LP · CIK 0001126016 · 10% owner

RUCH JOSHUA · CIK 0000943431 · 10% owner

LESCHLY MARK · CIK 0001120545 · 10% owner

Rho Investment Partners Holdings LLC · CIK 0001533280 · 10% owner

RHO CAPITAL PARTNERS VERWALTUNGS GMBH · CIK 0001269068 · 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: 0

F1 · kind: Disposed of pursuant to the closing, on January 19, 2017, of a cash tender offer by GL Merger Sub, Inc., a wholly owned subsidiary of Synchronoss Technologies, Inc.

F2 · shares: Rho Ventures IV (QP), L.P. ("RV QP") tendered 1,306,363 shares, Rho Ventures IV GmbH & Co. Beteiligungs KG ("RV KG") tendered 1,361,423 shares, Rho Ventures IV Holdings LLC ("RV IV Holdings") tendered 931,746 shares, Rho Ventures IV, L.P. ("RV IV LP") tendered 247,170 shares, Rho Ventures III Holdings LLC ("RV III") tendered 1,986,389 shares and Rho Investment Partners Holdings LLC ("RIP Holdings") tendered 457,412 shares.

F3 · ownership.nature: Rho Management Ventures IV, L.L.C. ("RMV") is the general partner of RV QP and RV IV LP and the managing member of RV IV Holdings, Rho Capital Partners Verwaltings GmbH ("RCP Verwaltungs") is the general partner of RV KG and Rho Capital Partners LLC ("RCP LLC") is the managing member of RV III and RIP Holdings. Each of RMV, RCP Verwaltungs and RCP LLC disclaim beneficial ownership of the reportable securities and this report shall not be deemed an admission that RMV, RCP Verwaltungs or RCP LLC is the beneficial owner of such securities, except to the extent of its pecuniary interest therein. Mark Leschly and Joshua Ruch are managing members of RMV and RCP LLC and managing directors of RCP Verwaltungs. Each of Mark Leschly and Joshua Ruch disclaim beneficial ownership of the reportable securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities, except to the extent of his pecuniary interest thereu

SEC source: 0001209191-16-153734 · doc4.xml · derivative · entry 3

Rho Capital Partners LLC · CIK 0001325385 · 10% owner

Rho Ventures II Holdings LLC · CIK 0001603655 · 10% owner

Rho Ventures III Holdings LLC · CIK 0001533276 · 10% owner

Rho Ventures Partners Holdings LLC · CIK 0001533278 · 10% owner

Rho Investment Partners Holdings LLC · CIK 0001533280 · 10% owner

RHO Ventures VI LP · CIK 0001419636 · 10% owner

RMV VI, L.L.C. · CIK 0001478944 · 10% owner

RUCH JOSHUA · CIK 0000943431 · 10% owner

LESCHLY MARK · CIK 0001120545 · 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: 0

Underlying: Common Stock · 176,690 shares

Expires not disclosed

F8 · security: Represents the Performance Warrant.

F9 · derivative.exercise_date: Pursuant to the Performace Warrant Agreement, and subject to the terms and conditions thereof, beginning on January 1, 2017, the Performance Warrant was to become exercisable, subject to the potential acceleration of exercisability upon the occurrence of a change in control of the Issuer (the "Trigger Date"). Because the Merger constituted a change in control, the Trigger Date occurred on, and the Performance Warrant was exercised effective as of, December 5, 2016.

F10 · derivative.expiration_date: The Performance Warrant was scheduled to expire, if not previously exercised, upon the last day of the year in which the Trigger Date occurred.

F3 · ownership.nature: RMV VI, L.L.C. ("RMV VI") is the general partner of RV VI and RCP is the managing member of RMV VI, RV III, Rho Ventures II Holdings LLC ("RV II"), Rho Venture Partners Holdings LLC ("RVP Holdings") and RIP Holdings. As such, RMV VI and RCP possess power to direct the voting and disposition of the shares owned by RV VI, RV III, RV II, RVP Holdings and RIP Holdings and may be deemed to have indirect beneficial ownership of the shares held by RV VI, RV III, RV II, RVP Holdings and RIP Holdings. RMV VI holds no shares of the Issuer directly. Ruch, Habib Kairouz and Leschly are managing members of RCP and as such possess power to direct the voting and disposition of the shares owned by RV VI, RV III, RV II, RVP Holdings, RIP Holdings and RCP and may be deemed to have indirect beneficial ownership of the shares held by RV VI, RV III, RV II, RVP Holdings, RIP Holdings and RCP.

F4 · ownership.nature: Pinnacle Management Partners LLC ("PMP") is the general partner of Q4 and RUGU Partners LLC ("Rugu") is the managing member of PMP. As such, PMP and Rugu possess power to direct the voting and disposition of the shares owned by Q4 and may be deemed to have indirect beneficial ownership of the shares held by Q4. PMP and Rugu hold no shares of the Issuer directly. Ruch is the managing member of Rugu and as such possesses power to direct the voting and disposition of the shares owned Q4 and may be deemed to have indirect beneficial ownership of the shares held by Q4.

F7 · ownership.nature: Shares disposed of pursuant to the exercise of the Performance Warrant were held as follows: (a) 27,725 shares held by RV III; (b) 30,931 shares held by RV II; (c) 58,712 shares held by RVP Holdings; (d) 53,586 shares held by RIP Holdings; (e) 51 shares held by RCP; (f) 5,070 shares held by Q4; (g) 5 shares held by Ruch; and (h) 610 shares held by the Managed Account.

SEC source: 0001209191-16-153734 · doc4.xml · nonDerivative · entry 2

Rho Capital Partners LLC · CIK 0001325385 · 10% owner

Rho Ventures II Holdings LLC · CIK 0001603655 · 10% owner

Rho Ventures III Holdings LLC · CIK 0001533276 · 10% owner

Rho Ventures Partners Holdings LLC · CIK 0001533278 · 10% owner

Rho Investment Partners Holdings LLC · CIK 0001533280 · 10% owner

RHO Ventures VI LP · CIK 0001419636 · 10% owner

RMV VI, L.L.C. · CIK 0001478944 · 10% owner

RUCH JOSHUA · CIK 0000943431 · 10% owner

LESCHLY MARK · CIK 0001120545 · 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: 0

F5 · security: Represents shares underlying a performance warrant (the "Performance Warrant") granted to Benjamin Wolin and Michael Keriakos, the founders of the Issuer, as reflected in the Performance Warrant Agreement, as amended (the "Performance Warrant Agreement"), by and among the Reporting Person, Mr. Wolin, Mr. Keriakos and certain other stockholders of the Issuer.

F6 · kind: Disposed of pursuant to the exercise of the Performance Warrant, as described in footnote (9) below.

F3 · ownership.nature: RMV VI, L.L.C. ("RMV VI") is the general partner of RV VI and RCP is the managing member of RMV VI, RV III, Rho Ventures II Holdings LLC ("RV II"), Rho Venture Partners Holdings LLC ("RVP Holdings") and RIP Holdings. As such, RMV VI and RCP possess power to direct the voting and disposition of the shares owned by RV VI, RV III, RV II, RVP Holdings and RIP Holdings and may be deemed to have indirect beneficial ownership of the shares held by RV VI, RV III, RV II, RVP Holdings and RIP Holdings. RMV VI holds no shares of the Issuer directly. Ruch, Habib Kairouz and Leschly are managing members of RCP and as such possess power to direct the voting and disposition of the shares owned by RV VI, RV III, RV II, RVP Holdings, RIP Holdings and RCP and may be deemed to have indirect beneficial ownership of the shares held by RV VI, RV III, RV II, RVP Holdings, RIP Holdings and RCP.

F4 · ownership.nature: Pinnacle Management Partners LLC ("PMP") is the general partner of Q4 and RUGU Partners LLC ("Rugu") is the managing member of PMP. As such, PMP and Rugu possess power to direct the voting and disposition of the shares owned by Q4 and may be deemed to have indirect beneficial ownership of the shares held by Q4. PMP and Rugu hold no shares of the Issuer directly. Ruch is the managing member of Rugu and as such possesses power to direct the voting and disposition of the shares owned Q4 and may be deemed to have indirect beneficial ownership of the shares held by Q4.

F7 · ownership.nature: Shares disposed of pursuant to the exercise of the Performance Warrant were held as follows: (a) 27,725 shares held by RV III; (b) 30,931 shares held by RV II; (c) 58,712 shares held by RVP Holdings; (d) 53,586 shares held by RIP Holdings; (e) 51 shares held by RCP; (f) 5,070 shares held by Q4; (g) 5 shares held by Ruch; and (h) 610 shares held by the Managed Account.

SEC source: 0001209191-16-153734 · doc4.xml · nonDerivative · entry 1

Rho Capital Partners LLC · CIK 0001325385 · 10% owner

Rho Ventures II Holdings LLC · CIK 0001603655 · 10% owner

Rho Ventures III Holdings LLC · CIK 0001533276 · 10% owner

Rho Ventures Partners Holdings LLC · CIK 0001533278 · 10% owner

Rho Investment Partners Holdings LLC · CIK 0001533280 · 10% owner

RHO Ventures VI LP · CIK 0001419636 · 10% owner

RMV VI, L.L.C. · CIK 0001478944 · 10% owner

RUCH JOSHUA · CIK 0000943431 · 10% owner

LESCHLY MARK · CIK 0001120545 · 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: 176,690

F1 · kind: Disposed of pursuant to a cash tender offer conducted in accordance with the Agreement and Plan of Merger (the "Merger Agreement"), dated October 21, 2016, among the Issuer, Ziff Davis, LLC, a Delaware limited liability company (the "Parent"), Project Echo Acquisition Corp., a Delaware corporation and a wholly owned subsidiary of Parent ("Purchaser") and j2 Global, Inc. in exchange for cash consideration of $10.50 per share, without interest and less any applicable tax withholding. Pursuant to the Merger Agreement, the Purchaser merged with and into the Issuer, with the Issuer surviving as a wholly owned subsidiary of Parent (the "Merger").

F1 · price: Disposed of pursuant to a cash tender offer conducted in accordance with the Agreement and Plan of Merger (the "Merger Agreement"), dated October 21, 2016, among the Issuer, Ziff Davis, LLC, a Delaware limited liability company (the "Parent"), Project Echo Acquisition Corp., a Delaware corporation and a wholly owned subsidiary of Parent ("Purchaser") and j2 Global, Inc. in exchange for cash consideration of $10.50 per share, without interest and less any applicable tax withholding. Pursuant to the Merger Agreement, the Purchaser merged with and into the Issuer, with the Issuer surviving as a wholly owned subsidiary of Parent (the "Merger").

F2 · ownership.nature: Shares disposed of pursuant to the cash tender offer conducted in accordance with the Merger Agreement were held as follows: (a) 2,445,350 shares held by Rho Ventures VI, L.P. ("RV VI"); (b) 594,631 shares held by Rho Ventures III Holdings LLC ("RV III"); (c) 895,680 shares held by Rho Investment Partners Holdings LLC ("RIP Holdings"); (d) 856 shares held by Rho Capital Partners LLC ("RCP"); (e) 84,754 shares held by Pinnacle Investment Partners "Q-4", L.P. ("Q-4"); (f) 59,311 shares held by Joshua Ruch ("Ruch"); (g) 313,914 shares held in an account managed by Ruch (the "Managed Account"); (h) 270 shares held in trusts for Ruch's children and in respect of which Ruch is a trustee; and (i) 2,864 shares held by Mark Leschly ("Leschly").

F3 · ownership.nature: RMV VI, L.L.C. ("RMV VI") is the general partner of RV VI and RCP is the managing member of RMV VI, RV III, Rho Ventures II Holdings LLC ("RV II"), Rho Venture Partners Holdings LLC ("RVP Holdings") and RIP Holdings. As such, RMV VI and RCP possess power to direct the voting and disposition of the shares owned by RV VI, RV III, RV II, RVP Holdings and RIP Holdings and may be deemed to have indirect beneficial ownership of the shares held by RV VI, RV III, RV II, RVP Holdings and RIP Holdings. RMV VI holds no shares of the Issuer directly. Ruch, Habib Kairouz and Leschly are managing members of RCP and as such possess power to direct the voting and disposition of the shares owned by RV VI, RV III, RV II, RVP Holdings, RIP Holdings and RCP and may be deemed to have indirect beneficial ownership of the shares held by RV VI, RV III, RV II, RVP Holdings, RIP Holdings and RCP.

F4 · ownership.nature: Pinnacle Management Partners LLC ("PMP") is the general partner of Q4 and RUGU Partners LLC ("Rugu") is the managing member of PMP. As such, PMP and Rugu possess power to direct the voting and disposition of the shares owned by Q4 and may be deemed to have indirect beneficial ownership of the shares held by Q4. PMP and Rugu hold no shares of the Issuer directly. Ruch is the managing member of Rugu and as such possesses power to direct the voting and disposition of the shares owned Q4 and may be deemed to have indirect beneficial ownership of the shares held by Q4.