Graf James A

SEC source: 0001104659-26-076436 · tm2618310-4_4seq1.xml · derivative · entry 2

Graf Global Sponsor LLC · CIK 0002027349 · Director · 10% owner

Graf James A · CIK 0001519672 · Director · CEO and CFO · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1

Underlying: Class A Ordinary Shares · 5,659,999 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: On June 18, 2026, the Reporting Person elected to convert 5,659,999 Class B ordinary shares, par value $0.0001 per share ("Class B Ordinary Shares") of Graf Global Corp. (the "Issuer") held by the Reporting Person into Class A ordinary shares of the Issuer, par value $0.0001 ("Class A Ordinary Shares") on a one-for-one basis for no consideration.

F1 · price: On June 18, 2026, the Reporting Person elected to convert 5,659,999 Class B ordinary shares, par value $0.0001 per share ("Class B Ordinary Shares") of Graf Global Corp. (the "Issuer") held by the Reporting Person into Class A ordinary shares of the Issuer, par value $0.0001 ("Class A Ordinary Shares") on a one-for-one basis for no consideration.

F2 · derivative.exercise_date: The Class B Ordinary Shares are convertible into Class A Ordinary Shares on a one-for-one basis (i) at the Reporting Person's election and (ii) automatically at the time of the closing of the Issuer's initial business combination, in each case subject to adjustment pursuant to certain anti-dilution rights, and have no expiration date.

F2 · derivative.expiration_date: The Class B Ordinary Shares are convertible into Class A Ordinary Shares on a one-for-one basis (i) at the Reporting Person's election and (ii) automatically at the time of the closing of the Issuer's initial business combination, in each case subject to adjustment pursuant to certain anti-dilution rights, and have no expiration date.

F3 · ownership.direct: Graf Global Sponsor LLC is the record holder of the securities reported herein. James A. Graf is the sole managing member of Graf Global Sponsor LLC. Mr. Graf has voting and investment discretion with respect to the securities held of record by Graf Global Sponsor LLC.

SEC source: 0001104659-26-076436 · tm2618310-4_4seq1.xml · nonDerivative · entry 1

Graf Global Sponsor LLC · CIK 0002027349 · Director · 10% owner

Graf James A · CIK 0001519672 · Director · CEO and CFO · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,659,999

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 · shares: On June 18, 2026, the Reporting Person elected to convert 5,659,999 Class B ordinary shares, par value $0.0001 per share ("Class B Ordinary Shares") of Graf Global Corp. (the "Issuer") held by the Reporting Person into Class A ordinary shares of the Issuer, par value $0.0001 ("Class A Ordinary Shares") on a one-for-one basis for no consideration.

F1 · price: On June 18, 2026, the Reporting Person elected to convert 5,659,999 Class B ordinary shares, par value $0.0001 per share ("Class B Ordinary Shares") of Graf Global Corp. (the "Issuer") held by the Reporting Person into Class A ordinary shares of the Issuer, par value $0.0001 ("Class A Ordinary Shares") on a one-for-one basis for no consideration.

F3 · ownership.direct: Graf Global Sponsor LLC is the record holder of the securities reported herein. James A. Graf is the sole managing member of Graf Global Sponsor LLC. Mr. Graf has voting and investment discretion with respect to the securities held of record by Graf Global Sponsor LLC.

SEC source: 0001213900-24-112773 · ownership.xml · derivative · entry 3

Graf Acquisition Partners IV LLC · CIK 0001862622 · 10% owner

Graf James A · CIK 0001519672 · Interim CFO · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 96,472

Underlying: Common Stock · 93,334 shares

Expires 2028-09-29

F4 · kind: The Working Capital Warrants were distributed by the Sponsor to its members in accordance with its limited liability company agreement, as amended. The Working Capital Warrants were issued in connection with the conversion of working capital loans, entered into between the Sponsor and the Issuer, at a price of $1.50 per Working Capital Warrant.

F4 · price: The Working Capital Warrants were distributed by the Sponsor to its members in accordance with its limited liability company agreement, as amended. The Working Capital Warrants were issued in connection with the conversion of working capital loans, entered into between the Sponsor and the Issuer, at a price of $1.50 per Working Capital Warrant.

F2 · ownership.direct: The Sponsor is the record holder of the securities reported herein. James A. Graf is the managing member of the Sponsor. Mr. Graf has voting and investment discretion with respect to the securities held of record by the Sponsor.

SEC source: 0001213900-24-112773 · ownership.xml · derivative · entry 2

Graf Acquisition Partners IV LLC · CIK 0001862622 · 10% owner

Graf James A · CIK 0001519672 · Interim CFO · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,145,831

Underlying: Common Stock · 757,942 shares

Expires 2028-09-29

F3 · kind: The Private Placement Warrants were distributed by the Sponsor to its members in accordance with its limited liability company agreement, as amended. The Private Placement Warrants were initially purchased at a price of $1.50 per Private Placement Warrant in accordance with the private placement warrant agreement between the Sponsor and the Issuer.

F3 · price: The Private Placement Warrants were distributed by the Sponsor to its members in accordance with its limited liability company agreement, as amended. The Private Placement Warrants were initially purchased at a price of $1.50 per Private Placement Warrant in accordance with the private placement warrant agreement between the Sponsor and the Issuer.

F2 · ownership.direct: The Sponsor is the record holder of the securities reported herein. James A. Graf is the managing member of the Sponsor. Mr. Graf has voting and investment discretion with respect to the securities held of record by the Sponsor.

SEC source: 0001213900-24-112773 · ownership.xml · nonDerivative · entry 1

Graf Acquisition Partners IV LLC · CIK 0001862622 · 10% owner

Graf James A · CIK 0001519672 · Interim CFO · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,082,507

F1 · kind: On December 20, 2024, Graf Acquisition Partners IV LLC (the "Sponsor") distributed 63, 634 shares of common stock of the NKGen Biotech, Inc. (f/k/a Graf Acquisition Corp. IV, the "Issuer") to Christine Low, Franklin FTX I, L.P., and Andrew Bail, each a member of the Sponsor and initially entitled to the distribution of 15% of the original shares of common stock held by the Sponsor, which were issued upon the conversion of the shares of Class B common stock of Graf Acquisition Corp. IV, upon September 29, 2024, the one-year anniversary of the closing of the business combination between Graf Acquisition Corp. IV and the Issuer, and the additional parties thereto.

F2 · ownership.direct: The Sponsor is the record holder of the securities reported herein. James A. Graf is the managing member of the Sponsor. Mr. Graf has voting and investment discretion with respect to the securities held of record by the Sponsor.

SEC source: 0001213900-24-111880 · ownership.xml · derivative · entry 8

Graf Acquisition Partners IV LLC · CIK 0001862622 · 10% owner

Graf James A · CIK 0001519672 · Interim CFO · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 189,806

Underlying: Common Stock · 266,667 shares

Expires 2028-09-29

F6 · kind: The Working Capital Warrants were distributed by the Sponsor to its members in accordance with its limited liability company agreement, as amended. The Working Capital Warrants were issued in connection with the conversion of working capital loans, entered into between the Sponsor and the Issuer, at a price of $1.50 per Working Capital Warrant.

F6 · price: The Working Capital Warrants were distributed by the Sponsor to its members in accordance with its limited liability company agreement, as amended. The Working Capital Warrants were issued in connection with the conversion of working capital loans, entered into between the Sponsor and the Issuer, at a price of $1.50 per Working Capital Warrant.

F3 · ownership.direct: The Sponsor is the record holder of the securities reported herein. James A. Graf is the managing member of the Sponsor. Mr. Graf has voting and investment discretion with respect to the securities held of record by the Sponsor.

SEC source: 0001213900-24-111880 · ownership.xml · derivative · entry 7

Graf Acquisition Partners IV LLC · CIK 0001862622 · 10% owner

Graf James A · CIK 0001519672 · Interim CFO · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,903,773

Underlying: Common Stock · 891,696 shares

Expires 2028-09-29

F5 · kind: The Private Placement Warrants were distributed by the Sponsor to its members in accordance with its limited liability company agreement, as amended. The Private Placement Warrants were initially purchased at a price of $1.50 per Private Placement Warrant in accordance with the private placement warrant agreement between the Sponsor and the Issuer.

F5 · price: The Private Placement Warrants were distributed by the Sponsor to its members in accordance with its limited liability company agreement, as amended. The Private Placement Warrants were initially purchased at a price of $1.50 per Private Placement Warrant in accordance with the private placement warrant agreement between the Sponsor and the Issuer.

F3 · ownership.direct: The Sponsor is the record holder of the securities reported herein. James A. Graf is the managing member of the Sponsor. Mr. Graf has voting and investment discretion with respect to the securities held of record by the Sponsor.

SEC source: 0001213900-24-111880 · ownership.xml · nonDerivative · entry 3

Graf Acquisition Partners IV LLC · CIK 0001862622 · 10% owner

Graf James A · CIK 0001519672 · Interim CFO · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,146,141

F4 · kind: On December 17, 2024, the Sponsor distributed 110,157 shares of common stock of the Issuer to Magnetar Constellation Master Fund, Ltd., Magnetar Constellation Fund II, Ltd., Magnetar Structured Credit Fund, LP, Magnetar Xing He Master Fund Ltd., Magnetar SC Fund Ltd., Purpose Alternative Credit Fund Ltd., Purpose Alternative Credit Fund - T LLC, Magnetar Lake Credit Fund LLC, Magnetar Capital Master Fund, Ltd., Magnetar Discovery Master Fund Ltd., W.I. Cook Foundation Inc., Isalea Investments LP, Edwin J. Rigaud, and Jeff Sagansky, each a member of the Sponsor and initially entitled to the distribution of 15% of the Founder Shares, upon September 29, 2024, the one-year anniversary of the Closing.

F3 · ownership.direct: The Sponsor is the record holder of the securities reported herein. James A. Graf is the managing member of the Sponsor. Mr. Graf has voting and investment discretion with respect to the securities held of record by the Sponsor.

SEC source: 0001213900-24-111880 · ownership.xml · derivative · entry 6

Graf Acquisition Partners IV LLC · CIK 0001862622 · 10% owner

Graf James A · CIK 0001519672 · Interim CFO · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 456,473

Underlying: Common Stock · 66,667 shares

Expires 2028-09-29

F6 · kind: The Working Capital Warrants were distributed by the Sponsor to its members in accordance with its limited liability company agreement, as amended. The Working Capital Warrants were issued in connection with the conversion of working capital loans, entered into between the Sponsor and the Issuer, at a price of $1.50 per Working Capital Warrant.

F6 · price: The Working Capital Warrants were distributed by the Sponsor to its members in accordance with its limited liability company agreement, as amended. The Working Capital Warrants were issued in connection with the conversion of working capital loans, entered into between the Sponsor and the Issuer, at a price of $1.50 per Working Capital Warrant.

F3 · ownership.direct: The Sponsor is the record holder of the securities reported herein. James A. Graf is the managing member of the Sponsor. Mr. Graf has voting and investment discretion with respect to the securities held of record by the Sponsor.

SEC source: 0001213900-24-111880 · ownership.xml · derivative · entry 5

Graf Acquisition Partners IV LLC · CIK 0001862622 · 10% owner

Graf James A · CIK 0001519672 · Interim CFO · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,795,469

Underlying: Common Stock · 1,212,707 shares

Expires 2028-09-29

F5 · kind: The Private Placement Warrants were distributed by the Sponsor to its members in accordance with its limited liability company agreement, as amended. The Private Placement Warrants were initially purchased at a price of $1.50 per Private Placement Warrant in accordance with the private placement warrant agreement between the Sponsor and the Issuer.

F5 · price: The Private Placement Warrants were distributed by the Sponsor to its members in accordance with its limited liability company agreement, as amended. The Private Placement Warrants were initially purchased at a price of $1.50 per Private Placement Warrant in accordance with the private placement warrant agreement between the Sponsor and the Issuer.

F3 · ownership.direct: The Sponsor is the record holder of the securities reported herein. James A. Graf is the managing member of the Sponsor. Mr. Graf has voting and investment discretion with respect to the securities held of record by the Sponsor.

SEC source: 0001213900-24-111880 · ownership.xml · nonDerivative · entry 2

Graf Acquisition Partners IV LLC · CIK 0001862622 · 10% owner

Graf James A · CIK 0001519672 · Interim CFO · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,256,298

F2 · kind: On December 16, 2024, the Sponsor distributed 83,214 shares of common stock of the Issuer to ARI Founders Fund, L.P. and OC Opportunities Fund III, L.P, each a member of the Sponsor and initially entitled to the distribution of 15% of the Founder Shares, upon September 29, 2024, the one-year anniversary of the Closing.

F3 · ownership.direct: The Sponsor is the record holder of the securities reported herein. James A. Graf is the managing member of the Sponsor. Mr. Graf has voting and investment discretion with respect to the securities held of record by the Sponsor.

SEC source: 0001213900-24-107605 · ownership.xml · derivative · entry 1

Graf James A · CIK 0001519672 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 500,000

Underlying: Common Stock · 500,000 shares

Expires 2034-12-06

F1 · derivative.exercise_date: On December 6, 2024, the Reporting Person was granted 500,000 options pursuant to the Company's 2023 Equity Incentive Plan, with 25% vesting immediately as of the grant date, and the remaining options vesting in 36 equal installments on the sixth of each month, beginning January 6, 2025, and ending December 6, 2027, subject to the Reporting Person's continued service with the Issuer on each respective vesting date.

SEC source: 0001213900-24-111880 · ownership.xml · derivative · entry 4

Graf Acquisition Partners IV LLC · CIK 0001862622 · 10% owner

Graf James A · CIK 0001519672 · Interim CFO · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,008,176

Underlying: Common Stock · 713,357 shares

Expires 2028-09-29

F5 · kind: The Private Placement Warrants were distributed by the Sponsor to its members in accordance with its limited liability company agreement, as amended. The Private Placement Warrants were initially purchased at a price of $1.50 per Private Placement Warrant in accordance with the private placement warrant agreement between the Sponsor and the Issuer.

F5 · price: The Private Placement Warrants were distributed by the Sponsor to its members in accordance with its limited liability company agreement, as amended. The Private Placement Warrants were initially purchased at a price of $1.50 per Private Placement Warrant in accordance with the private placement warrant agreement between the Sponsor and the Issuer.

F3 · ownership.direct: The Sponsor is the record holder of the securities reported herein. James A. Graf is the managing member of the Sponsor. Mr. Graf has voting and investment discretion with respect to the securities held of record by the Sponsor.

SEC source: 0001213900-24-111880 · ownership.xml · nonDerivative · entry 1

Graf Acquisition Partners IV LLC · CIK 0001862622 · 10% owner

Graf James A · CIK 0001519672 · Interim CFO · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,339,512

F1 · kind: On December 2, 2024, Graf Acquisition Partners IV LLC (the "Sponsor") distributed 97,232 shares of common stock of the NKGen Biotech, Inc. (f/k/a Graf Acquisition Corp. IV, the "Issuer") to SPAC21, LLC, Claybaker LLC, and Venus Investments I LLC, each a member of the Sponsor and initially entitled to the distribution of 15% of the original shares of common stock held by the Sponsor, which were issued upon the conversion of the shares of Class B common stock of Graf Acquisition Corp. IV (the "Founder Shares"), upon September 29, 2024, the one-year anniversary of the closing of the business combination between Graf Acquisition Corp. IV and the Issuer, and the additional parties thereto (the "Closing").

F3 · ownership.direct: The Sponsor is the record holder of the securities reported herein. James A. Graf is the managing member of the Sponsor. Mr. Graf has voting and investment discretion with respect to the securities held of record by the Sponsor.

SEC source: 0001209191-23-057369 · doc4.xml · nonDerivative · entry 2

Graf James A · CIK 0001519672 · Interim CFO

Graf Acquisition Partners IV LLC · CIK 0001862622 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 693

F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.03 to $3.20, inclusive. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote.

SEC source: 0001209191-23-057369 · doc4.xml · nonDerivative · entry 1

Graf James A · CIK 0001519672 · Interim CFO

Graf Acquisition Partners IV LLC · CIK 0001862622 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 243

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.31 to $3.53, inclusive. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote.

SEC source: 0001209191-23-056524 · doc4.xml · nonDerivative · entry 2

Graf James A · CIK 0001519672 · Interim CFO

Graf Acquisition Partners IV LLC · CIK 0001862622 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 23

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.895 to $2.98, inclusive. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote.

SEC source: 0001209191-23-056524 · doc4.xml · nonDerivative · entry 1

Graf James A · CIK 0001519672 · Interim CFO

Graf Acquisition Partners IV LLC · CIK 0001862622 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10

SEC source: 0001104659-23-106578 · tm2327629-1_4.xml · derivative · entry 3

Graf Acquisition Partners IV LLC · CIK 0001862622 · 10% owner

Graf James A · CIK 0001519672 · Interim CFO · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,244,673

Underlying: Common Stock · 523,140 shares

Expires 2028-09-29

F4 · kind: The Working Capital Warrants were issued to the Sponsor concurrently with the Closing pursuant to a working capital note between the Sponsor and the Issuer.

F2 · ownership.direct: The Sponsor is the record holder of the securities reported herein. James A. Graf is the managing member of the Sponsor. Mr. Graf has voting and investment discretion with respect to the securities held of record by the Sponsor.

SEC source: 0001104659-23-106578 · tm2327629-1_4.xml · derivative · entry 2

Graf Acquisition Partners IV LLC · CIK 0001862622 · 10% owner

Graf James A · CIK 0001519672 · Interim CFO · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,721,533

Underlying: Common Stock · 4,721,533 shares

Expires 2028-09-29

F3 · kind: The Private Placement Warrants are reported as acquired for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), concurrent with the Closing, because, pursuant to their terms, their exercise was not within the control of the Reporting Persons until the Closing. The Private Placement Warrants were initially acquired in a private placement from the Issuer concurrent with Issuer's initial public offering.

F2 · ownership.direct: The Sponsor is the record holder of the securities reported herein. James A. Graf is the managing member of the Sponsor. Mr. Graf has voting and investment discretion with respect to the securities held of record by the Sponsor.

SEC source: 0001104659-23-106578 · tm2327629-1_4.xml · nonDerivative · entry 1

Graf Acquisition Partners IV LLC · CIK 0001862622 · 10% owner

Graf James A · CIK 0001519672 · Interim CFO · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,436,744

F1 · kind: On September 29, 2023, Graf Acquisition Partners IV LLC (the "Sponsor") forfeited 1,773,631 shares of common stock of the NKGen Biotech, Inc. (f/k/a Graf Acquisition Corp. IV, the "Issuer") held by it back to the Issuer for no consideration in connection with the closing of the Issuer's business combination transaction (the "Closing").

F2 · ownership.direct: The Sponsor is the record holder of the securities reported herein. James A. Graf is the managing member of the Sponsor. Mr. Graf has voting and investment discretion with respect to the securities held of record by the Sponsor.

SEC source: 0001104659-21-092153 · tm2122153-2_4seq1.xml · nonDerivative · entry 1

Graf Acquisition Partners IV LLC · CIK 0001862622 · Chief Executive Officer · 10% owner

Graf James A · CIK 0001519672 · Chief Executive Officer · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,210,375

F1 · kind: On July 14, 2021, Graf Acquisition Partners IV LLC (the "Sponsor") transferred 20,000 shares of common stock of the Issuer to Alexandra Lebenthal for $0.006 per share, the initial purchase price paid by the Sponsor for its shares of common stock.

F2 · ownership.direct: The Sponsor is the record holder of the securities reported herein. James A. Graf is the managing member of the Sponsor. Mr. Graf has voting and investment discretion with respect to the securities held of record by the Sponsor.

SEC source: 0001104659-21-075828 · tm2118241d1_4.xml · nonDerivative · entry 1

Graf Acquisition Partners IV LLC · CIK 0001862622 · Chief Executive Officer · 10% owner

Graf James A · CIK 0001519672 · Chief Executive Officer · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,230,375

F1 · kind: On June 2, 2021, Graf Acquisition Partners IV LLC (the "Sponsor") forfeited at no cost 22,125 shares of common stock of the Issuer in connection with the election by the underwriters of the Issuer's initial public offering of units to exercise an option granted to them to cover over-allotments in part and not in full.

F2 · ownership.direct: The Sponsor is the record holder of the securities reported herein. James A. Graf is the managing member of the Sponsor. Mr. Graf has voting and investment discretion with respect to the securities held of record by the Sponsor.

SEC source: 0001104659-21-076032 · tm2118241-2_4seq1.xml · nonDerivative · entry 2

Graf James A · CIK 0001519672 · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,237,175

F2 · shares: Represents 3,182 shares of common stock included in 3,182 units purchased by the Reporting Person.

SEC source: 0001104659-21-076032 · tm2118241-2_4seq1.xml · nonDerivative · entry 1

Graf James A · CIK 0001519672 · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,233,993

F1 · shares: Represents 1,818 shares of common stock included in 1,818 units purchased by the Reporting Person.

SEC source: 0001104659-21-073289 · tm2117803d1_4.xml · nonDerivative · entry 3

Graf James A · CIK 0001519672 · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,254,300

F3 · shares: Represents 80 shares of common stock included in 80 units purchased by the Reporting Person.

SEC source: 0001104659-21-073289 · tm2117803d1_4.xml · nonDerivative · entry 2

Graf James A · CIK 0001519672 · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,254,220

F2 · shares: Represents 320 shares of common stock included in 320 units purchased by the Reporting Person.

SEC source: 0001104659-21-071966 · tm2117557d1_4.xml · nonDerivative · entry 4

Graf James A · CIK 0001519672 · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,253,800

F5 · shares: Represents 222 shares of common stock included in 222 units purchased by the Reporting Person.

SEC source: 0001104659-21-073289 · tm2117803d1_4.xml · nonDerivative · entry 1

Graf James A · CIK 0001519672 · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,253,900

F1 · shares: Represents 100 shares of common stock included in 100 units purchased by the Reporting Person.

SEC source: 0001104659-21-071966 · tm2117557d1_4.xml · nonDerivative · entry 3

Graf James A · CIK 0001519672 · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,253,578

F4 · shares: Represents 28 shares of common stock included in 28 units purchased by the Reporting Person.

SEC source: 0001104659-21-071966 · tm2117557d1_4.xml · nonDerivative · entry 2

Graf James A · CIK 0001519672 · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,253,550

F3 · shares: Represents 1,050 shares of common stock included in 1,050 units purchased by the Reporting Person.

SEC source: 0001104659-20-111275 · tm2032248d2_4.xml · nonDerivative · entry 24

Graf Acquisition LLC · CIK 0001745782 · 10% owner

Graf James A · CIK 0001519672 · 10% owner

OC Opportunities Fund II, L.P. · CIK 0001755679 · 10% owner

Owl Creek Asset Management, L.P. · CIK 0001313756 · 10% owner

OWL CREEK ADVISORS, LLC · CIK 0001531024 · 10% owner

ALTMAN JEFFREY A · CIK 0001269751 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,947,000

F6 · kind: On September 29, 2020, in connection with the Business Combination, Graf Acquisition LLC transferred an aggregate of 150,000 shares of common stock to entities and individuals affiliated with EarlyBirdCapital, Inc. as payment for advisory services rendered by EarlyBirdCapital, Inc. in connection with the Business Combination, as described in the Proxy Statement.

F6 · price: On September 29, 2020, in connection with the Business Combination, Graf Acquisition LLC transferred an aggregate of 150,000 shares of common stock to entities and individuals affiliated with EarlyBirdCapital, Inc. as payment for advisory services rendered by EarlyBirdCapital, Inc. in connection with the Business Combination, as described in the Proxy Statement.

F2 · ownership.direct: The transferred securities were held directly by Graf Acquisition LLC. James A. Graf and OC Opportunities Fund II, L.P. share voting and dispositive power over the securities held by Graf Acquisition LLC. James Graf and OC Opportunities Fund II, L.P disclaim beneficial ownership over any securities owned by Graf Acquisition LLC other than to the extent of any pecuniary interest he or it may have therein, directly or indirectly.

F3 · ownership.direct: Owl Creek Advisors, LLC ("Owl Creek Advisors") serves as the general partner of, and has the power to direct the affairs of, OC Opportunities Fund II, L.P. Owl Creek Asset Management, L.P. (the "Investment Manager") serves as the investment manager to, and has the power to direct the investment activities of, OC Opportunities Fund II, L.P. Jeffrey A. Altman is the managing member of Owl Creek Advisors and the managing member of the general partner of the Investment Manager. Each of the reporting persons disclaims beneficial ownership of the securities to which this Form 4 relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except as to such extent of the reporting person's pecuniary interest in the securities.

SEC source: 0001104659-20-111275 · tm2032248d2_4.xml · nonDerivative · entry 23

Graf Acquisition LLC · CIK 0001745782 · 10% owner

Graf James A · CIK 0001519672 · 10% owner

OC Opportunities Fund II, L.P. · CIK 0001755679 · 10% owner

Owl Creek Asset Management, L.P. · CIK 0001313756 · 10% owner

OWL CREEK ADVISORS, LLC · CIK 0001531024 · 10% owner

ALTMAN JEFFREY A · CIK 0001269751 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,997,000

F6 · kind: On September 29, 2020, in connection with the Business Combination, Graf Acquisition LLC transferred an aggregate of 150,000 shares of common stock to entities and individuals affiliated with EarlyBirdCapital, Inc. as payment for advisory services rendered by EarlyBirdCapital, Inc. in connection with the Business Combination, as described in the Proxy Statement.

F6 · price: On September 29, 2020, in connection with the Business Combination, Graf Acquisition LLC transferred an aggregate of 150,000 shares of common stock to entities and individuals affiliated with EarlyBirdCapital, Inc. as payment for advisory services rendered by EarlyBirdCapital, Inc. in connection with the Business Combination, as described in the Proxy Statement.

F2 · ownership.direct: The transferred securities were held directly by Graf Acquisition LLC. James A. Graf and OC Opportunities Fund II, L.P. share voting and dispositive power over the securities held by Graf Acquisition LLC. James Graf and OC Opportunities Fund II, L.P disclaim beneficial ownership over any securities owned by Graf Acquisition LLC other than to the extent of any pecuniary interest he or it may have therein, directly or indirectly.

F3 · ownership.direct: Owl Creek Advisors, LLC ("Owl Creek Advisors") serves as the general partner of, and has the power to direct the affairs of, OC Opportunities Fund II, L.P. Owl Creek Asset Management, L.P. (the "Investment Manager") serves as the investment manager to, and has the power to direct the investment activities of, OC Opportunities Fund II, L.P. Jeffrey A. Altman is the managing member of Owl Creek Advisors and the managing member of the general partner of the Investment Manager. Each of the reporting persons disclaims beneficial ownership of the securities to which this Form 4 relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except as to such extent of the reporting person's pecuniary interest in the securities.

SEC source: 0001104659-20-111275 · tm2032248d2_4.xml · nonDerivative · entry 22

Graf Acquisition LLC · CIK 0001745782 · 10% owner

Graf James A · CIK 0001519672 · 10% owner

OC Opportunities Fund II, L.P. · CIK 0001755679 · 10% owner

Owl Creek Asset Management, L.P. · CIK 0001313756 · 10% owner

OWL CREEK ADVISORS, LLC · CIK 0001531024 · 10% owner

ALTMAN JEFFREY A · CIK 0001269751 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,998,000

F6 · kind: On September 29, 2020, in connection with the Business Combination, Graf Acquisition LLC transferred an aggregate of 150,000 shares of common stock to entities and individuals affiliated with EarlyBirdCapital, Inc. as payment for advisory services rendered by EarlyBirdCapital, Inc. in connection with the Business Combination, as described in the Proxy Statement.

F6 · price: On September 29, 2020, in connection with the Business Combination, Graf Acquisition LLC transferred an aggregate of 150,000 shares of common stock to entities and individuals affiliated with EarlyBirdCapital, Inc. as payment for advisory services rendered by EarlyBirdCapital, Inc. in connection with the Business Combination, as described in the Proxy Statement.

F2 · ownership.direct: The transferred securities were held directly by Graf Acquisition LLC. James A. Graf and OC Opportunities Fund II, L.P. share voting and dispositive power over the securities held by Graf Acquisition LLC. James Graf and OC Opportunities Fund II, L.P disclaim beneficial ownership over any securities owned by Graf Acquisition LLC other than to the extent of any pecuniary interest he or it may have therein, directly or indirectly.

F3 · ownership.direct: Owl Creek Advisors, LLC ("Owl Creek Advisors") serves as the general partner of, and has the power to direct the affairs of, OC Opportunities Fund II, L.P. Owl Creek Asset Management, L.P. (the "Investment Manager") serves as the investment manager to, and has the power to direct the investment activities of, OC Opportunities Fund II, L.P. Jeffrey A. Altman is the managing member of Owl Creek Advisors and the managing member of the general partner of the Investment Manager. Each of the reporting persons disclaims beneficial ownership of the securities to which this Form 4 relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except as to such extent of the reporting person's pecuniary interest in the securities.

SEC source: 0001104659-20-111275 · tm2032248d2_4.xml · nonDerivative · entry 21

Graf Acquisition LLC · CIK 0001745782 · 10% owner

Graf James A · CIK 0001519672 · 10% owner

OC Opportunities Fund II, L.P. · CIK 0001755679 · 10% owner

Owl Creek Asset Management, L.P. · CIK 0001313756 · 10% owner

OWL CREEK ADVISORS, LLC · CIK 0001531024 · 10% owner

ALTMAN JEFFREY A · CIK 0001269751 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,999,500

F6 · kind: On September 29, 2020, in connection with the Business Combination, Graf Acquisition LLC transferred an aggregate of 150,000 shares of common stock to entities and individuals affiliated with EarlyBirdCapital, Inc. as payment for advisory services rendered by EarlyBirdCapital, Inc. in connection with the Business Combination, as described in the Proxy Statement.

F6 · price: On September 29, 2020, in connection with the Business Combination, Graf Acquisition LLC transferred an aggregate of 150,000 shares of common stock to entities and individuals affiliated with EarlyBirdCapital, Inc. as payment for advisory services rendered by EarlyBirdCapital, Inc. in connection with the Business Combination, as described in the Proxy Statement.

F2 · ownership.direct: The transferred securities were held directly by Graf Acquisition LLC. James A. Graf and OC Opportunities Fund II, L.P. share voting and dispositive power over the securities held by Graf Acquisition LLC. James Graf and OC Opportunities Fund II, L.P disclaim beneficial ownership over any securities owned by Graf Acquisition LLC other than to the extent of any pecuniary interest he or it may have therein, directly or indirectly.

F3 · ownership.direct: Owl Creek Advisors, LLC ("Owl Creek Advisors") serves as the general partner of, and has the power to direct the affairs of, OC Opportunities Fund II, L.P. Owl Creek Asset Management, L.P. (the "Investment Manager") serves as the investment manager to, and has the power to direct the investment activities of, OC Opportunities Fund II, L.P. Jeffrey A. Altman is the managing member of Owl Creek Advisors and the managing member of the general partner of the Investment Manager. Each of the reporting persons disclaims beneficial ownership of the securities to which this Form 4 relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except as to such extent of the reporting person's pecuniary interest in the securities.

SEC source: 0001104659-20-111275 · tm2032248d2_4.xml · nonDerivative · entry 20

Graf Acquisition LLC · CIK 0001745782 · 10% owner

Graf James A · CIK 0001519672 · 10% owner

OC Opportunities Fund II, L.P. · CIK 0001755679 · 10% owner

Owl Creek Asset Management, L.P. · CIK 0001313756 · 10% owner

OWL CREEK ADVISORS, LLC · CIK 0001531024 · 10% owner

ALTMAN JEFFREY A · CIK 0001269751 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,000,500

F6 · kind: On September 29, 2020, in connection with the Business Combination, Graf Acquisition LLC transferred an aggregate of 150,000 shares of common stock to entities and individuals affiliated with EarlyBirdCapital, Inc. as payment for advisory services rendered by EarlyBirdCapital, Inc. in connection with the Business Combination, as described in the Proxy Statement.

F6 · price: On September 29, 2020, in connection with the Business Combination, Graf Acquisition LLC transferred an aggregate of 150,000 shares of common stock to entities and individuals affiliated with EarlyBirdCapital, Inc. as payment for advisory services rendered by EarlyBirdCapital, Inc. in connection with the Business Combination, as described in the Proxy Statement.

F2 · ownership.direct: The transferred securities were held directly by Graf Acquisition LLC. James A. Graf and OC Opportunities Fund II, L.P. share voting and dispositive power over the securities held by Graf Acquisition LLC. James Graf and OC Opportunities Fund II, L.P disclaim beneficial ownership over any securities owned by Graf Acquisition LLC other than to the extent of any pecuniary interest he or it may have therein, directly or indirectly.

F3 · ownership.direct: Owl Creek Advisors, LLC ("Owl Creek Advisors") serves as the general partner of, and has the power to direct the affairs of, OC Opportunities Fund II, L.P. Owl Creek Asset Management, L.P. (the "Investment Manager") serves as the investment manager to, and has the power to direct the investment activities of, OC Opportunities Fund II, L.P. Jeffrey A. Altman is the managing member of Owl Creek Advisors and the managing member of the general partner of the Investment Manager. Each of the reporting persons disclaims beneficial ownership of the securities to which this Form 4 relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except as to such extent of the reporting person's pecuniary interest in the securities.

SEC source: 0001104659-20-111275 · tm2032248d2_4.xml · nonDerivative · entry 19

Graf Acquisition LLC · CIK 0001745782 · 10% owner

Graf James A · CIK 0001519672 · 10% owner

OC Opportunities Fund II, L.P. · CIK 0001755679 · 10% owner

Owl Creek Asset Management, L.P. · CIK 0001313756 · 10% owner

OWL CREEK ADVISORS, LLC · CIK 0001531024 · 10% owner

ALTMAN JEFFREY A · CIK 0001269751 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,001,500

F6 · kind: On September 29, 2020, in connection with the Business Combination, Graf Acquisition LLC transferred an aggregate of 150,000 shares of common stock to entities and individuals affiliated with EarlyBirdCapital, Inc. as payment for advisory services rendered by EarlyBirdCapital, Inc. in connection with the Business Combination, as described in the Proxy Statement.

F6 · price: On September 29, 2020, in connection with the Business Combination, Graf Acquisition LLC transferred an aggregate of 150,000 shares of common stock to entities and individuals affiliated with EarlyBirdCapital, Inc. as payment for advisory services rendered by EarlyBirdCapital, Inc. in connection with the Business Combination, as described in the Proxy Statement.

F2 · ownership.direct: The transferred securities were held directly by Graf Acquisition LLC. James A. Graf and OC Opportunities Fund II, L.P. share voting and dispositive power over the securities held by Graf Acquisition LLC. James Graf and OC Opportunities Fund II, L.P disclaim beneficial ownership over any securities owned by Graf Acquisition LLC other than to the extent of any pecuniary interest he or it may have therein, directly or indirectly.

F3 · ownership.direct: Owl Creek Advisors, LLC ("Owl Creek Advisors") serves as the general partner of, and has the power to direct the affairs of, OC Opportunities Fund II, L.P. Owl Creek Asset Management, L.P. (the "Investment Manager") serves as the investment manager to, and has the power to direct the investment activities of, OC Opportunities Fund II, L.P. Jeffrey A. Altman is the managing member of Owl Creek Advisors and the managing member of the general partner of the Investment Manager. Each of the reporting persons disclaims beneficial ownership of the securities to which this Form 4 relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except as to such extent of the reporting person's pecuniary interest in the securities.

SEC source: 0001104659-20-111275 · tm2032248d2_4.xml · nonDerivative · entry 18

Graf Acquisition LLC · CIK 0001745782 · 10% owner

Graf James A · CIK 0001519672 · 10% owner

OC Opportunities Fund II, L.P. · CIK 0001755679 · 10% owner

Owl Creek Asset Management, L.P. · CIK 0001313756 · 10% owner

OWL CREEK ADVISORS, LLC · CIK 0001531024 · 10% owner

ALTMAN JEFFREY A · CIK 0001269751 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,002,000

F6 · kind: On September 29, 2020, in connection with the Business Combination, Graf Acquisition LLC transferred an aggregate of 150,000 shares of common stock to entities and individuals affiliated with EarlyBirdCapital, Inc. as payment for advisory services rendered by EarlyBirdCapital, Inc. in connection with the Business Combination, as described in the Proxy Statement.

F6 · price: On September 29, 2020, in connection with the Business Combination, Graf Acquisition LLC transferred an aggregate of 150,000 shares of common stock to entities and individuals affiliated with EarlyBirdCapital, Inc. as payment for advisory services rendered by EarlyBirdCapital, Inc. in connection with the Business Combination, as described in the Proxy Statement.

F2 · ownership.direct: The transferred securities were held directly by Graf Acquisition LLC. James A. Graf and OC Opportunities Fund II, L.P. share voting and dispositive power over the securities held by Graf Acquisition LLC. James Graf and OC Opportunities Fund II, L.P disclaim beneficial ownership over any securities owned by Graf Acquisition LLC other than to the extent of any pecuniary interest he or it may have therein, directly or indirectly.

F3 · ownership.direct: Owl Creek Advisors, LLC ("Owl Creek Advisors") serves as the general partner of, and has the power to direct the affairs of, OC Opportunities Fund II, L.P. Owl Creek Asset Management, L.P. (the "Investment Manager") serves as the investment manager to, and has the power to direct the investment activities of, OC Opportunities Fund II, L.P. Jeffrey A. Altman is the managing member of Owl Creek Advisors and the managing member of the general partner of the Investment Manager. Each of the reporting persons disclaims beneficial ownership of the securities to which this Form 4 relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except as to such extent of the reporting person's pecuniary interest in the securities.

SEC source: 0001104659-20-111275 · tm2032248d2_4.xml · nonDerivative · entry 17

Graf Acquisition LLC · CIK 0001745782 · 10% owner

Graf James A · CIK 0001519672 · 10% owner

OC Opportunities Fund II, L.P. · CIK 0001755679 · 10% owner

Owl Creek Asset Management, L.P. · CIK 0001313756 · 10% owner

OWL CREEK ADVISORS, LLC · CIK 0001531024 · 10% owner

ALTMAN JEFFREY A · CIK 0001269751 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,003,000

F6 · kind: On September 29, 2020, in connection with the Business Combination, Graf Acquisition LLC transferred an aggregate of 150,000 shares of common stock to entities and individuals affiliated with EarlyBirdCapital, Inc. as payment for advisory services rendered by EarlyBirdCapital, Inc. in connection with the Business Combination, as described in the Proxy Statement.

F6 · price: On September 29, 2020, in connection with the Business Combination, Graf Acquisition LLC transferred an aggregate of 150,000 shares of common stock to entities and individuals affiliated with EarlyBirdCapital, Inc. as payment for advisory services rendered by EarlyBirdCapital, Inc. in connection with the Business Combination, as described in the Proxy Statement.

F2 · ownership.direct: The transferred securities were held directly by Graf Acquisition LLC. James A. Graf and OC Opportunities Fund II, L.P. share voting and dispositive power over the securities held by Graf Acquisition LLC. James Graf and OC Opportunities Fund II, L.P disclaim beneficial ownership over any securities owned by Graf Acquisition LLC other than to the extent of any pecuniary interest he or it may have therein, directly or indirectly.

F3 · ownership.direct: Owl Creek Advisors, LLC ("Owl Creek Advisors") serves as the general partner of, and has the power to direct the affairs of, OC Opportunities Fund II, L.P. Owl Creek Asset Management, L.P. (the "Investment Manager") serves as the investment manager to, and has the power to direct the investment activities of, OC Opportunities Fund II, L.P. Jeffrey A. Altman is the managing member of Owl Creek Advisors and the managing member of the general partner of the Investment Manager. Each of the reporting persons disclaims beneficial ownership of the securities to which this Form 4 relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except as to such extent of the reporting person's pecuniary interest in the securities.

SEC source: 0001104659-20-111275 · tm2032248d2_4.xml · nonDerivative · entry 16

Graf Acquisition LLC · CIK 0001745782 · 10% owner

Graf James A · CIK 0001519672 · 10% owner

OC Opportunities Fund II, L.P. · CIK 0001755679 · 10% owner

Owl Creek Asset Management, L.P. · CIK 0001313756 · 10% owner

OWL CREEK ADVISORS, LLC · CIK 0001531024 · 10% owner

ALTMAN JEFFREY A · CIK 0001269751 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,004,000

F6 · kind: On September 29, 2020, in connection with the Business Combination, Graf Acquisition LLC transferred an aggregate of 150,000 shares of common stock to entities and individuals affiliated with EarlyBirdCapital, Inc. as payment for advisory services rendered by EarlyBirdCapital, Inc. in connection with the Business Combination, as described in the Proxy Statement.

F6 · price: On September 29, 2020, in connection with the Business Combination, Graf Acquisition LLC transferred an aggregate of 150,000 shares of common stock to entities and individuals affiliated with EarlyBirdCapital, Inc. as payment for advisory services rendered by EarlyBirdCapital, Inc. in connection with the Business Combination, as described in the Proxy Statement.

F2 · ownership.direct: The transferred securities were held directly by Graf Acquisition LLC. James A. Graf and OC Opportunities Fund II, L.P. share voting and dispositive power over the securities held by Graf Acquisition LLC. James Graf and OC Opportunities Fund II, L.P disclaim beneficial ownership over any securities owned by Graf Acquisition LLC other than to the extent of any pecuniary interest he or it may have therein, directly or indirectly.

F3 · ownership.direct: Owl Creek Advisors, LLC ("Owl Creek Advisors") serves as the general partner of, and has the power to direct the affairs of, OC Opportunities Fund II, L.P. Owl Creek Asset Management, L.P. (the "Investment Manager") serves as the investment manager to, and has the power to direct the investment activities of, OC Opportunities Fund II, L.P. Jeffrey A. Altman is the managing member of Owl Creek Advisors and the managing member of the general partner of the Investment Manager. Each of the reporting persons disclaims beneficial ownership of the securities to which this Form 4 relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except as to such extent of the reporting person's pecuniary interest in the securities.

SEC source: 0001104659-20-111275 · tm2032248d2_4.xml · nonDerivative · entry 15

Graf Acquisition LLC · CIK 0001745782 · 10% owner

Graf James A · CIK 0001519672 · 10% owner

OC Opportunities Fund II, L.P. · CIK 0001755679 · 10% owner

Owl Creek Asset Management, L.P. · CIK 0001313756 · 10% owner

OWL CREEK ADVISORS, LLC · CIK 0001531024 · 10% owner

ALTMAN JEFFREY A · CIK 0001269751 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,005,000

F6 · kind: On September 29, 2020, in connection with the Business Combination, Graf Acquisition LLC transferred an aggregate of 150,000 shares of common stock to entities and individuals affiliated with EarlyBirdCapital, Inc. as payment for advisory services rendered by EarlyBirdCapital, Inc. in connection with the Business Combination, as described in the Proxy Statement.

F6 · price: On September 29, 2020, in connection with the Business Combination, Graf Acquisition LLC transferred an aggregate of 150,000 shares of common stock to entities and individuals affiliated with EarlyBirdCapital, Inc. as payment for advisory services rendered by EarlyBirdCapital, Inc. in connection with the Business Combination, as described in the Proxy Statement.

F2 · ownership.direct: The transferred securities were held directly by Graf Acquisition LLC. James A. Graf and OC Opportunities Fund II, L.P. share voting and dispositive power over the securities held by Graf Acquisition LLC. James Graf and OC Opportunities Fund II, L.P disclaim beneficial ownership over any securities owned by Graf Acquisition LLC other than to the extent of any pecuniary interest he or it may have therein, directly or indirectly.

F3 · ownership.direct: Owl Creek Advisors, LLC ("Owl Creek Advisors") serves as the general partner of, and has the power to direct the affairs of, OC Opportunities Fund II, L.P. Owl Creek Asset Management, L.P. (the "Investment Manager") serves as the investment manager to, and has the power to direct the investment activities of, OC Opportunities Fund II, L.P. Jeffrey A. Altman is the managing member of Owl Creek Advisors and the managing member of the general partner of the Investment Manager. Each of the reporting persons disclaims beneficial ownership of the securities to which this Form 4 relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except as to such extent of the reporting person's pecuniary interest in the securities.

SEC source: 0001104659-20-111275 · tm2032248d2_4.xml · nonDerivative · entry 14

Graf Acquisition LLC · CIK 0001745782 · 10% owner

Graf James A · CIK 0001519672 · 10% owner

OC Opportunities Fund II, L.P. · CIK 0001755679 · 10% owner

Owl Creek Asset Management, L.P. · CIK 0001313756 · 10% owner

OWL CREEK ADVISORS, LLC · CIK 0001531024 · 10% owner

ALTMAN JEFFREY A · CIK 0001269751 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,018,000

F6 · kind: On September 29, 2020, in connection with the Business Combination, Graf Acquisition LLC transferred an aggregate of 150,000 shares of common stock to entities and individuals affiliated with EarlyBirdCapital, Inc. as payment for advisory services rendered by EarlyBirdCapital, Inc. in connection with the Business Combination, as described in the Proxy Statement.

F6 · price: On September 29, 2020, in connection with the Business Combination, Graf Acquisition LLC transferred an aggregate of 150,000 shares of common stock to entities and individuals affiliated with EarlyBirdCapital, Inc. as payment for advisory services rendered by EarlyBirdCapital, Inc. in connection with the Business Combination, as described in the Proxy Statement.

F2 · ownership.direct: The transferred securities were held directly by Graf Acquisition LLC. James A. Graf and OC Opportunities Fund II, L.P. share voting and dispositive power over the securities held by Graf Acquisition LLC. James Graf and OC Opportunities Fund II, L.P disclaim beneficial ownership over any securities owned by Graf Acquisition LLC other than to the extent of any pecuniary interest he or it may have therein, directly or indirectly.

F3 · ownership.direct: Owl Creek Advisors, LLC ("Owl Creek Advisors") serves as the general partner of, and has the power to direct the affairs of, OC Opportunities Fund II, L.P. Owl Creek Asset Management, L.P. (the "Investment Manager") serves as the investment manager to, and has the power to direct the investment activities of, OC Opportunities Fund II, L.P. Jeffrey A. Altman is the managing member of Owl Creek Advisors and the managing member of the general partner of the Investment Manager. Each of the reporting persons disclaims beneficial ownership of the securities to which this Form 4 relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except as to such extent of the reporting person's pecuniary interest in the securities.

SEC source: 0001104659-20-111275 · tm2032248d2_4.xml · nonDerivative · entry 13

Graf Acquisition LLC · CIK 0001745782 · 10% owner

Graf James A · CIK 0001519672 · 10% owner

OC Opportunities Fund II, L.P. · CIK 0001755679 · 10% owner

Owl Creek Asset Management, L.P. · CIK 0001313756 · 10% owner

OWL CREEK ADVISORS, LLC · CIK 0001531024 · 10% owner

ALTMAN JEFFREY A · CIK 0001269751 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,019,500

F6 · kind: On September 29, 2020, in connection with the Business Combination, Graf Acquisition LLC transferred an aggregate of 150,000 shares of common stock to entities and individuals affiliated with EarlyBirdCapital, Inc. as payment for advisory services rendered by EarlyBirdCapital, Inc. in connection with the Business Combination, as described in the Proxy Statement.

F6 · price: On September 29, 2020, in connection with the Business Combination, Graf Acquisition LLC transferred an aggregate of 150,000 shares of common stock to entities and individuals affiliated with EarlyBirdCapital, Inc. as payment for advisory services rendered by EarlyBirdCapital, Inc. in connection with the Business Combination, as described in the Proxy Statement.

F2 · ownership.direct: The transferred securities were held directly by Graf Acquisition LLC. James A. Graf and OC Opportunities Fund II, L.P. share voting and dispositive power over the securities held by Graf Acquisition LLC. James Graf and OC Opportunities Fund II, L.P disclaim beneficial ownership over any securities owned by Graf Acquisition LLC other than to the extent of any pecuniary interest he or it may have therein, directly or indirectly.

F3 · ownership.direct: Owl Creek Advisors, LLC ("Owl Creek Advisors") serves as the general partner of, and has the power to direct the affairs of, OC Opportunities Fund II, L.P. Owl Creek Asset Management, L.P. (the "Investment Manager") serves as the investment manager to, and has the power to direct the investment activities of, OC Opportunities Fund II, L.P. Jeffrey A. Altman is the managing member of Owl Creek Advisors and the managing member of the general partner of the Investment Manager. Each of the reporting persons disclaims beneficial ownership of the securities to which this Form 4 relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except as to such extent of the reporting person's pecuniary interest in the securities.

SEC source: 0001104659-20-111275 · tm2032248d2_4.xml · nonDerivative · entry 12

Graf Acquisition LLC · CIK 0001745782 · 10% owner

Graf James A · CIK 0001519672 · 10% owner

OC Opportunities Fund II, L.P. · CIK 0001755679 · 10% owner

Owl Creek Asset Management, L.P. · CIK 0001313756 · 10% owner

OWL CREEK ADVISORS, LLC · CIK 0001531024 · 10% owner

ALTMAN JEFFREY A · CIK 0001269751 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,020,500

F6 · kind: On September 29, 2020, in connection with the Business Combination, Graf Acquisition LLC transferred an aggregate of 150,000 shares of common stock to entities and individuals affiliated with EarlyBirdCapital, Inc. as payment for advisory services rendered by EarlyBirdCapital, Inc. in connection with the Business Combination, as described in the Proxy Statement.

F6 · price: On September 29, 2020, in connection with the Business Combination, Graf Acquisition LLC transferred an aggregate of 150,000 shares of common stock to entities and individuals affiliated with EarlyBirdCapital, Inc. as payment for advisory services rendered by EarlyBirdCapital, Inc. in connection with the Business Combination, as described in the Proxy Statement.

F2 · ownership.direct: The transferred securities were held directly by Graf Acquisition LLC. James A. Graf and OC Opportunities Fund II, L.P. share voting and dispositive power over the securities held by Graf Acquisition LLC. James Graf and OC Opportunities Fund II, L.P disclaim beneficial ownership over any securities owned by Graf Acquisition LLC other than to the extent of any pecuniary interest he or it may have therein, directly or indirectly.

F3 · ownership.direct: Owl Creek Advisors, LLC ("Owl Creek Advisors") serves as the general partner of, and has the power to direct the affairs of, OC Opportunities Fund II, L.P. Owl Creek Asset Management, L.P. (the "Investment Manager") serves as the investment manager to, and has the power to direct the investment activities of, OC Opportunities Fund II, L.P. Jeffrey A. Altman is the managing member of Owl Creek Advisors and the managing member of the general partner of the Investment Manager. Each of the reporting persons disclaims beneficial ownership of the securities to which this Form 4 relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except as to such extent of the reporting person's pecuniary interest in the securities.

SEC source: 0001104659-20-111275 · tm2032248d2_4.xml · nonDerivative · entry 11

Graf Acquisition LLC · CIK 0001745782 · 10% owner

Graf James A · CIK 0001519672 · 10% owner

OC Opportunities Fund II, L.P. · CIK 0001755679 · 10% owner

Owl Creek Asset Management, L.P. · CIK 0001313756 · 10% owner

OWL CREEK ADVISORS, LLC · CIK 0001531024 · 10% owner

ALTMAN JEFFREY A · CIK 0001269751 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,037,500

F6 · kind: On September 29, 2020, in connection with the Business Combination, Graf Acquisition LLC transferred an aggregate of 150,000 shares of common stock to entities and individuals affiliated with EarlyBirdCapital, Inc. as payment for advisory services rendered by EarlyBirdCapital, Inc. in connection with the Business Combination, as described in the Proxy Statement.

F6 · price: On September 29, 2020, in connection with the Business Combination, Graf Acquisition LLC transferred an aggregate of 150,000 shares of common stock to entities and individuals affiliated with EarlyBirdCapital, Inc. as payment for advisory services rendered by EarlyBirdCapital, Inc. in connection with the Business Combination, as described in the Proxy Statement.

F2 · ownership.direct: The transferred securities were held directly by Graf Acquisition LLC. James A. Graf and OC Opportunities Fund II, L.P. share voting and dispositive power over the securities held by Graf Acquisition LLC. James Graf and OC Opportunities Fund II, L.P disclaim beneficial ownership over any securities owned by Graf Acquisition LLC other than to the extent of any pecuniary interest he or it may have therein, directly or indirectly.

F3 · ownership.direct: Owl Creek Advisors, LLC ("Owl Creek Advisors") serves as the general partner of, and has the power to direct the affairs of, OC Opportunities Fund II, L.P. Owl Creek Asset Management, L.P. (the "Investment Manager") serves as the investment manager to, and has the power to direct the investment activities of, OC Opportunities Fund II, L.P. Jeffrey A. Altman is the managing member of Owl Creek Advisors and the managing member of the general partner of the Investment Manager. Each of the reporting persons disclaims beneficial ownership of the securities to which this Form 4 relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except as to such extent of the reporting person's pecuniary interest in the securities.

SEC source: 0001104659-20-111275 · tm2032248d2_4.xml · nonDerivative · entry 10

Graf Acquisition LLC · CIK 0001745782 · 10% owner

Graf James A · CIK 0001519672 · 10% owner

OC Opportunities Fund II, L.P. · CIK 0001755679 · 10% owner

Owl Creek Asset Management, L.P. · CIK 0001313756 · 10% owner

OWL CREEK ADVISORS, LLC · CIK 0001531024 · 10% owner

ALTMAN JEFFREY A · CIK 0001269751 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,039,000

F6 · kind: On September 29, 2020, in connection with the Business Combination, Graf Acquisition LLC transferred an aggregate of 150,000 shares of common stock to entities and individuals affiliated with EarlyBirdCapital, Inc. as payment for advisory services rendered by EarlyBirdCapital, Inc. in connection with the Business Combination, as described in the Proxy Statement.

F6 · price: On September 29, 2020, in connection with the Business Combination, Graf Acquisition LLC transferred an aggregate of 150,000 shares of common stock to entities and individuals affiliated with EarlyBirdCapital, Inc. as payment for advisory services rendered by EarlyBirdCapital, Inc. in connection with the Business Combination, as described in the Proxy Statement.

F2 · ownership.direct: The transferred securities were held directly by Graf Acquisition LLC. James A. Graf and OC Opportunities Fund II, L.P. share voting and dispositive power over the securities held by Graf Acquisition LLC. James Graf and OC Opportunities Fund II, L.P disclaim beneficial ownership over any securities owned by Graf Acquisition LLC other than to the extent of any pecuniary interest he or it may have therein, directly or indirectly.

F3 · ownership.direct: Owl Creek Advisors, LLC ("Owl Creek Advisors") serves as the general partner of, and has the power to direct the affairs of, OC Opportunities Fund II, L.P. Owl Creek Asset Management, L.P. (the "Investment Manager") serves as the investment manager to, and has the power to direct the investment activities of, OC Opportunities Fund II, L.P. Jeffrey A. Altman is the managing member of Owl Creek Advisors and the managing member of the general partner of the Investment Manager. Each of the reporting persons disclaims beneficial ownership of the securities to which this Form 4 relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except as to such extent of the reporting person's pecuniary interest in the securities.

SEC source: 0001104659-20-111275 · tm2032248d2_4.xml · nonDerivative · entry 9

Graf Acquisition LLC · CIK 0001745782 · 10% owner

Graf James A · CIK 0001519672 · 10% owner

OC Opportunities Fund II, L.P. · CIK 0001755679 · 10% owner

Owl Creek Asset Management, L.P. · CIK 0001313756 · 10% owner

OWL CREEK ADVISORS, LLC · CIK 0001531024 · 10% owner

ALTMAN JEFFREY A · CIK 0001269751 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,041,000

F6 · kind: On September 29, 2020, in connection with the Business Combination, Graf Acquisition LLC transferred an aggregate of 150,000 shares of common stock to entities and individuals affiliated with EarlyBirdCapital, Inc. as payment for advisory services rendered by EarlyBirdCapital, Inc. in connection with the Business Combination, as described in the Proxy Statement.

F6 · price: On September 29, 2020, in connection with the Business Combination, Graf Acquisition LLC transferred an aggregate of 150,000 shares of common stock to entities and individuals affiliated with EarlyBirdCapital, Inc. as payment for advisory services rendered by EarlyBirdCapital, Inc. in connection with the Business Combination, as described in the Proxy Statement.

F2 · ownership.direct: The transferred securities were held directly by Graf Acquisition LLC. James A. Graf and OC Opportunities Fund II, L.P. share voting and dispositive power over the securities held by Graf Acquisition LLC. James Graf and OC Opportunities Fund II, L.P disclaim beneficial ownership over any securities owned by Graf Acquisition LLC other than to the extent of any pecuniary interest he or it may have therein, directly or indirectly.

F3 · ownership.direct: Owl Creek Advisors, LLC ("Owl Creek Advisors") serves as the general partner of, and has the power to direct the affairs of, OC Opportunities Fund II, L.P. Owl Creek Asset Management, L.P. (the "Investment Manager") serves as the investment manager to, and has the power to direct the investment activities of, OC Opportunities Fund II, L.P. Jeffrey A. Altman is the managing member of Owl Creek Advisors and the managing member of the general partner of the Investment Manager. Each of the reporting persons disclaims beneficial ownership of the securities to which this Form 4 relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except as to such extent of the reporting person's pecuniary interest in the securities.

SEC source: 0001104659-20-111275 · tm2032248d2_4.xml · nonDerivative · entry 8

Graf Acquisition LLC · CIK 0001745782 · 10% owner

Graf James A · CIK 0001519672 · 10% owner

OC Opportunities Fund II, L.P. · CIK 0001755679 · 10% owner

Owl Creek Asset Management, L.P. · CIK 0001313756 · 10% owner

OWL CREEK ADVISORS, LLC · CIK 0001531024 · 10% owner

ALTMAN JEFFREY A · CIK 0001269751 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,043,000

F6 · kind: On September 29, 2020, in connection with the Business Combination, Graf Acquisition LLC transferred an aggregate of 150,000 shares of common stock to entities and individuals affiliated with EarlyBirdCapital, Inc. as payment for advisory services rendered by EarlyBirdCapital, Inc. in connection with the Business Combination, as described in the Proxy Statement.

F6 · price: On September 29, 2020, in connection with the Business Combination, Graf Acquisition LLC transferred an aggregate of 150,000 shares of common stock to entities and individuals affiliated with EarlyBirdCapital, Inc. as payment for advisory services rendered by EarlyBirdCapital, Inc. in connection with the Business Combination, as described in the Proxy Statement.

F2 · ownership.direct: The transferred securities were held directly by Graf Acquisition LLC. James A. Graf and OC Opportunities Fund II, L.P. share voting and dispositive power over the securities held by Graf Acquisition LLC. James Graf and OC Opportunities Fund II, L.P disclaim beneficial ownership over any securities owned by Graf Acquisition LLC other than to the extent of any pecuniary interest he or it may have therein, directly or indirectly.

F3 · ownership.direct: Owl Creek Advisors, LLC ("Owl Creek Advisors") serves as the general partner of, and has the power to direct the affairs of, OC Opportunities Fund II, L.P. Owl Creek Asset Management, L.P. (the "Investment Manager") serves as the investment manager to, and has the power to direct the investment activities of, OC Opportunities Fund II, L.P. Jeffrey A. Altman is the managing member of Owl Creek Advisors and the managing member of the general partner of the Investment Manager. Each of the reporting persons disclaims beneficial ownership of the securities to which this Form 4 relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except as to such extent of the reporting person's pecuniary interest in the securities.

SEC source: 0001104659-20-111275 · tm2032248d2_4.xml · nonDerivative · entry 7

Graf Acquisition LLC · CIK 0001745782 · 10% owner

Graf James A · CIK 0001519672 · 10% owner

OC Opportunities Fund II, L.P. · CIK 0001755679 · 10% owner

Owl Creek Asset Management, L.P. · CIK 0001313756 · 10% owner

OWL CREEK ADVISORS, LLC · CIK 0001531024 · 10% owner

ALTMAN JEFFREY A · CIK 0001269751 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,057,000

F6 · kind: On September 29, 2020, in connection with the Business Combination, Graf Acquisition LLC transferred an aggregate of 150,000 shares of common stock to entities and individuals affiliated with EarlyBirdCapital, Inc. as payment for advisory services rendered by EarlyBirdCapital, Inc. in connection with the Business Combination, as described in the Proxy Statement.

F6 · price: On September 29, 2020, in connection with the Business Combination, Graf Acquisition LLC transferred an aggregate of 150,000 shares of common stock to entities and individuals affiliated with EarlyBirdCapital, Inc. as payment for advisory services rendered by EarlyBirdCapital, Inc. in connection with the Business Combination, as described in the Proxy Statement.

F2 · ownership.direct: The transferred securities were held directly by Graf Acquisition LLC. James A. Graf and OC Opportunities Fund II, L.P. share voting and dispositive power over the securities held by Graf Acquisition LLC. James Graf and OC Opportunities Fund II, L.P disclaim beneficial ownership over any securities owned by Graf Acquisition LLC other than to the extent of any pecuniary interest he or it may have therein, directly or indirectly.

F3 · ownership.direct: Owl Creek Advisors, LLC ("Owl Creek Advisors") serves as the general partner of, and has the power to direct the affairs of, OC Opportunities Fund II, L.P. Owl Creek Asset Management, L.P. (the "Investment Manager") serves as the investment manager to, and has the power to direct the investment activities of, OC Opportunities Fund II, L.P. Jeffrey A. Altman is the managing member of Owl Creek Advisors and the managing member of the general partner of the Investment Manager. Each of the reporting persons disclaims beneficial ownership of the securities to which this Form 4 relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except as to such extent of the reporting person's pecuniary interest in the securities.

SEC source: 0001104659-20-111275 · tm2032248d2_4.xml · nonDerivative · entry 6

Graf Acquisition LLC · CIK 0001745782 · 10% owner

Graf James A · CIK 0001519672 · 10% owner

OC Opportunities Fund II, L.P. · CIK 0001755679 · 10% owner

Owl Creek Asset Management, L.P. · CIK 0001313756 · 10% owner

OWL CREEK ADVISORS, LLC · CIK 0001531024 · 10% owner

ALTMAN JEFFREY A · CIK 0001269751 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,077,000

F6 · kind: On September 29, 2020, in connection with the Business Combination, Graf Acquisition LLC transferred an aggregate of 150,000 shares of common stock to entities and individuals affiliated with EarlyBirdCapital, Inc. as payment for advisory services rendered by EarlyBirdCapital, Inc. in connection with the Business Combination, as described in the Proxy Statement.

F6 · price: On September 29, 2020, in connection with the Business Combination, Graf Acquisition LLC transferred an aggregate of 150,000 shares of common stock to entities and individuals affiliated with EarlyBirdCapital, Inc. as payment for advisory services rendered by EarlyBirdCapital, Inc. in connection with the Business Combination, as described in the Proxy Statement.

F2 · ownership.direct: The transferred securities were held directly by Graf Acquisition LLC. James A. Graf and OC Opportunities Fund II, L.P. share voting and dispositive power over the securities held by Graf Acquisition LLC. James Graf and OC Opportunities Fund II, L.P disclaim beneficial ownership over any securities owned by Graf Acquisition LLC other than to the extent of any pecuniary interest he or it may have therein, directly or indirectly.

F3 · ownership.direct: Owl Creek Advisors, LLC ("Owl Creek Advisors") serves as the general partner of, and has the power to direct the affairs of, OC Opportunities Fund II, L.P. Owl Creek Asset Management, L.P. (the "Investment Manager") serves as the investment manager to, and has the power to direct the investment activities of, OC Opportunities Fund II, L.P. Jeffrey A. Altman is the managing member of Owl Creek Advisors and the managing member of the general partner of the Investment Manager. Each of the reporting persons disclaims beneficial ownership of the securities to which this Form 4 relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except as to such extent of the reporting person's pecuniary interest in the securities.