Hochman David P

SEC source: 0001213900-23-037001 · ownership.xml · nonDerivative · entry 1

Hochman David P · CIK 0001292834 · Director · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 165,498

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

F1 · kind: Pursuant to the Agreement and Plan of Merger, dated as of July 4, 2022 (and as subsequently amended) by and among the Issuer and certain other parties named therein (the "Merger Agreement"), the Reporting Person has the contingent right to receive, for no additional consideration, the Reporting Person's Pro Rata Portion (as such term is defined in the Merger Agreement ) of 8,000,000 shares of common stock of the Issuer (the "Earnout Shares") if, at any time from January 26, 2023 until January 26, 2028, the volume-weighted average price of the common stock of the Issuer is greater than or equal to (i) with respect to 4,000,000 Earnout Shares, $15.00 per share over any 20 trading days within any 30-trading day period (the "Initial Milestone Event") and (ii) with respect to 4,000,000 Earnout Shares, $20.00 per share over any 20 trading days within any 30-trading day period.

F2 · kind: The Initial Milestone Event occurred on April 12, 2023 and 29,551 shares of Common Stock, 11,160 shares of Common Stock and 683 shares of Common Stock were issued to David P. Hochman, the DPH 2008 Trust and the NSH 2008 Family Trust, respectively, on April 19, 2023 in accordance with the Merger Agreement.

F1 · price: Pursuant to the Agreement and Plan of Merger, dated as of July 4, 2022 (and as subsequently amended) by and among the Issuer and certain other parties named therein (the "Merger Agreement"), the Reporting Person has the contingent right to receive, for no additional consideration, the Reporting Person's Pro Rata Portion (as such term is defined in the Merger Agreement ) of 8,000,000 shares of common stock of the Issuer (the "Earnout Shares") if, at any time from January 26, 2023 until January 26, 2028, the volume-weighted average price of the common stock of the Issuer is greater than or equal to (i) with respect to 4,000,000 Earnout Shares, $15.00 per share over any 20 trading days within any 30-trading day period (the "Initial Milestone Event") and (ii) with respect to 4,000,000 Earnout Shares, $20.00 per share over any 20 trading days within any 30-trading day period.

F2 · price: The Initial Milestone Event occurred on April 12, 2023 and 29,551 shares of Common Stock, 11,160 shares of Common Stock and 683 shares of Common Stock were issued to David P. Hochman, the DPH 2008 Trust and the NSH 2008 Family Trust, respectively, on April 19, 2023 in accordance with the Merger Agreement.

SEC source: 0001213900-23-006179 · ownership.xml · derivative · entry 12

Hochman David P · CIK 0001292834 · Director · See Remarks

10b5-1 filing: Not disclosed

Ownership: Indirect · By the NSH 2008 Family Trust

Disclosed balance after: 410

Underlying: Common Stock · 410 shares

Expires 2023-05-31

F18 · price: Received in the Business Combination in exchange for warrants to purchase 881 shares of Legacy Orchestra Common Stock for $10.00 per share.

SEC source: 0001213900-23-006179 · ownership.xml · derivative · entry 11

Hochman David P · CIK 0001292834 · Director · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 422

Underlying: Common Stock · 422 shares

Expires 2023-05-31

F17 · price: Received in the Business Combination in exchange for warrants to purchase 907 shares of Legacy Orchestra Common Stock for $10.00 per share.

SEC source: 0001213900-23-006179 · ownership.xml · derivative · entry 10

Hochman David P · CIK 0001292834 · Director · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,743

Underlying: Common Stock · 6,743 shares

Expires 2032-04-11

F16 · price: Received in the Business Combination in exchange for an incentive stock option to acquire 14,500 shares of Legacy Orchestra Common Stock for $1.89 per share.

F15 · derivative.exercise_date: The incentive stock options vest over a three-year period as follows: (i) 33% of the underlying shares vested on the grant date and (ii) 67% of the underlying shares have vested and will vest in equal installments on a quarterly basis on the last day of each quarter, starting with the end of the first quarter after the grant date, subject to the Reporting Person's continuous service through such dates. The grant date is April 12, 2022.

SEC source: 0001213900-23-006179 · ownership.xml · derivative · entry 9

Hochman David P · CIK 0001292834 · Director · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 69,750

Underlying: Common Stock · 69,750 shares

Expires 2028-08-07

F14 · price: Received in the Business Combination in exchange for an incentive stock option to acquire 150,000 shares of Legacy Orchestra Common Stock for $2.00 per share.

SEC source: 0001213900-23-006179 · ownership.xml · derivative · entry 8

Hochman David P · CIK 0001292834 · Director · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 116,250

Underlying: Common Stock · 116,250 shares

Expires 2023-01-19

F13 · price: Received in the Business Combination in exchange for a nonstatutory stock option to acquire 250,000 shares of Legacy Orchestra Common Stock for $4.65 per share.

F12 · derivative.exercise_date: The NSOs vest over a three-year period as follows: (i) 33% of the underlying shares vested on the grant date and (ii) 67% of the underlying shares have vested and will vest in equal installments on a quarterly basis on the last day of each quarter, starting with the end of the first quarter after the grant date, subject to the Reporting Person's continuous service through such dates. The grant date is January 20, 2023.

SEC source: 0001213900-23-006179 · ownership.xml · derivative · entry 7

Hochman David P · CIK 0001292834 · Director · See Remarks

10b5-1 filing: Not disclosed

Ownership: Indirect · By the DPH 2008 Trust

Disclosed balance after: 208,216

Underlying: Common Stock · 208,216 shares

Expires 2032-08-25

F11 · price: Received in the Business Combination in exchange for a nonstatutory stock option to acquire 447,776 shares of Legacy Orchestra Common Stock for $4.65 per share.

F10 · derivative.exercise_date: The NSOs vest over a three-year period as follows: (i) 33% of the underlying shares vested on the grant date and (ii) 67% of the underlying shares have vested and will vest in equal installments on a quarterly basis on the last day of each quarter, starting with the end of the first quarter after the grant date, subject to the Reporting Person's continuous service through such dates. The grant date is August 18, 2022.

SEC source: 0001213900-23-006179 · ownership.xml · derivative · entry 6

Hochman David P · CIK 0001292834 · Director · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 300,181

Underlying: Common Stock · 300,181 shares

Expires 2032-08-25

F9 · price: Received in the Business Combination in exchange for a nonstatutory stock option to acquire 645,551 shares of Legacy Orchestra Common Stock for $4.65 per share.

F8 · derivative.exercise_date: The NSOs vest over a three-year period as follows: (i) 33% of the underlying shares vested on the grant date and (ii) 67% of the underlying shares have vested and will vest in equal installments on a quarterly basis on the last day of each quarter, starting with the end of the first quarter after the grant date, subject to the Reporting Person's continuous service through such dates. The grant date is August 18, 2022.

SEC source: 0001213900-23-006179 · ownership.xml · derivative · entry 5

Hochman David P · CIK 0001292834 · Director · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,000

Underlying: Common Stock · 31,000 shares

Expires 2032-04-11

F7 · price: Received in the Business Combination in exchange for a nonstatutory stock option to acquire 66,667 shares of Legacy Orchestra Common Stock for $1.89 per share.

F6 · derivative.exercise_date: The nonstatutory stock options ("NSOs") vest over a three-year period as follows: (i) 33% of the underlying shares vested on the grant date and (ii) 67% of the underlying shares have vested and will vest in equal installments on a quarterly basis on the last day of each quarter, starting with the end of the first quarter after the grant date, subject to the Reporting Person's continuous service through such dates. The grant date is April 12, 2022.

SEC source: 0001213900-23-006179 · ownership.xml · derivative · entry 4

Hochman David P · CIK 0001292834 · Director · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 194,071

Underlying: Common Stock · 194,071 shares

Expires 2028-08-07

F5 · price: Received in the Business Combination in exchange for a nonstatutory stock option to acquire 417,357 shares of Legacy Orchestra Common Stock for $2.00 per share.

SEC source: 0001213900-23-006179 · ownership.xml · nonDerivative · entry 3

Hochman David P · CIK 0001292834 · Director · See Remarks

10b5-1 filing: Not disclosed

Ownership: Indirect · By the NSH 2008 Family Trust

Disclosed balance after: 3,140

F1 · shares: These securities were issued on the closing date of the merger (the "Business Combination") contemplated by the Agreement and Plan of Merger, dated as of July 4, 2022, as amended by Amendment No. 1 thereto dated as of July 21, 2022 and Amendment No. 2 thereto dated as of November 21, 2022 (as amended, the "Merger Agreement"), by and among Orchestra BioMed Holdings, Inc. (f/k/a Health Sciences Acquisitions Corporation 2) ("HSAC2"), HSAC Olympus Merger Sub, Inc., a Delaware corporation and wholly owned subsidiary of HSAC2, and Orchestra BioMed, Inc., a Delaware corporation ("Legacy Orchestra"), in exchange for Legacy Orchestra securities.

F4 · price: Received in the Business Combination in exchange for 6,753 shares of common stock of Legacy Orchestra Common Stock.

SEC source: 0001213900-23-006179 · ownership.xml · nonDerivative · entry 2

Hochman David P · CIK 0001292834 · Director · See Remarks

10b5-1 filing: Not disclosed

Ownership: Indirect · By the DPH 2008 Trust

Disclosed balance after: 51,342

F1 · shares: These securities were issued on the closing date of the merger (the "Business Combination") contemplated by the Agreement and Plan of Merger, dated as of July 4, 2022, as amended by Amendment No. 1 thereto dated as of July 21, 2022 and Amendment No. 2 thereto dated as of November 21, 2022 (as amended, the "Merger Agreement"), by and among Orchestra BioMed Holdings, Inc. (f/k/a Health Sciences Acquisitions Corporation 2) ("HSAC2"), HSAC Olympus Merger Sub, Inc., a Delaware corporation and wholly owned subsidiary of HSAC2, and Orchestra BioMed, Inc., a Delaware corporation ("Legacy Orchestra"), in exchange for Legacy Orchestra securities.

F3 · price: Received in the Business Combination in exchange for 110,412 shares of common stock of Legacy Orchestra Common Stock.

SEC source: 0001213900-23-006179 · ownership.xml · nonDerivative · entry 1

Hochman David P · CIK 0001292834 · Director · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 135,947

F1 · shares: These securities were issued on the closing date of the merger (the "Business Combination") contemplated by the Agreement and Plan of Merger, dated as of July 4, 2022, as amended by Amendment No. 1 thereto dated as of July 21, 2022 and Amendment No. 2 thereto dated as of November 21, 2022 (as amended, the "Merger Agreement"), by and among Orchestra BioMed Holdings, Inc. (f/k/a Health Sciences Acquisitions Corporation 2) ("HSAC2"), HSAC Olympus Merger Sub, Inc., a Delaware corporation and wholly owned subsidiary of HSAC2, and Orchestra BioMed, Inc., a Delaware corporation ("Legacy Orchestra"), in exchange for Legacy Orchestra securities.

F2 · price: Received in the Business Combination in exchange for 292,360 shares of common stock of Legacy Orchestra ("Legacy Orchestra Common Stock").

SEC source: 0001213900-23-037012 · ownership.xml · derivative · entry 3

Hochman David P · CIK 0001292834 · Director · See Remarks

10b5-1 filing: No plan indicated

Ownership: Indirect · By the NSH 2008 Family Trust

Disclosed balance after: 1,366

Underlying: Common Stock · 1,366 shares

Expires not disclosed

F1 · security: On January 30, 2023, the Reporting Person filed a Form 4 which inadvertently omitted the right to receive Earnout Shares (defined below). In accordance with Instruction 9(a) to Form 4, this amendment is filed solely to add the lines of information to Table II included here; as provided in that instruction, the remainder of the information in the original filing is not restated in this amendment, and no other amendment is made to the original filing.

F2 · derivative.exercise_price: Pursuant to the Agreement and Plan of Merger, dated as of July 4, 2022 (and as subsequently amended) by and among the Issuer and certain other parties named therein (the "Merger Agreement"), the Reporting Person has the contingent right to receive, for no additional consideration, the Reporting Person's Pro Rata Portion (as such term is defined in the Merger Agreement) of 8,000,000 shares of common stock of the Issuer (the "Earnout Shares") if, at any time from January 26, 2023 until January 26, 2028, the volume-weighted average price of the common stock of the Issuer is greater than or equal to (i) with respect to 4,000,000 Earnout Shares, $15.00 per share over any 20 trading days within any 30-trading day period and (ii) with respect to 4,000,000 Earnout Shares, $20.00 per share over any 20 trading days within any 30-trading day period.

F2 · price: Pursuant to the Agreement and Plan of Merger, dated as of July 4, 2022 (and as subsequently amended) by and among the Issuer and certain other parties named therein (the "Merger Agreement"), the Reporting Person has the contingent right to receive, for no additional consideration, the Reporting Person's Pro Rata Portion (as such term is defined in the Merger Agreement) of 8,000,000 shares of common stock of the Issuer (the "Earnout Shares") if, at any time from January 26, 2023 until January 26, 2028, the volume-weighted average price of the common stock of the Issuer is greater than or equal to (i) with respect to 4,000,000 Earnout Shares, $15.00 per share over any 20 trading days within any 30-trading day period and (ii) with respect to 4,000,000 Earnout Shares, $20.00 per share over any 20 trading days within any 30-trading day period.

F2 · derivative.exercise_date: Pursuant to the Agreement and Plan of Merger, dated as of July 4, 2022 (and as subsequently amended) by and among the Issuer and certain other parties named therein (the "Merger Agreement"), the Reporting Person has the contingent right to receive, for no additional consideration, the Reporting Person's Pro Rata Portion (as such term is defined in the Merger Agreement) of 8,000,000 shares of common stock of the Issuer (the "Earnout Shares") if, at any time from January 26, 2023 until January 26, 2028, the volume-weighted average price of the common stock of the Issuer is greater than or equal to (i) with respect to 4,000,000 Earnout Shares, $15.00 per share over any 20 trading days within any 30-trading day period and (ii) with respect to 4,000,000 Earnout Shares, $20.00 per share over any 20 trading days within any 30-trading day period.

F2 · derivative.expiration_date: Pursuant to the Agreement and Plan of Merger, dated as of July 4, 2022 (and as subsequently amended) by and among the Issuer and certain other parties named therein (the "Merger Agreement"), the Reporting Person has the contingent right to receive, for no additional consideration, the Reporting Person's Pro Rata Portion (as such term is defined in the Merger Agreement) of 8,000,000 shares of common stock of the Issuer (the "Earnout Shares") if, at any time from January 26, 2023 until January 26, 2028, the volume-weighted average price of the common stock of the Issuer is greater than or equal to (i) with respect to 4,000,000 Earnout Shares, $15.00 per share over any 20 trading days within any 30-trading day period and (ii) with respect to 4,000,000 Earnout Shares, $20.00 per share over any 20 trading days within any 30-trading day period.

SEC source: 0001213900-23-037012 · ownership.xml · derivative · entry 2

Hochman David P · CIK 0001292834 · Director · See Remarks

10b5-1 filing: No plan indicated

Ownership: Indirect · By the DPH 2008 Trust

Disclosed balance after: 22,320

Underlying: Common Stock · 22,320 shares

Expires not disclosed

F1 · security: On January 30, 2023, the Reporting Person filed a Form 4 which inadvertently omitted the right to receive Earnout Shares (defined below). In accordance with Instruction 9(a) to Form 4, this amendment is filed solely to add the lines of information to Table II included here; as provided in that instruction, the remainder of the information in the original filing is not restated in this amendment, and no other amendment is made to the original filing.

F2 · derivative.exercise_price: Pursuant to the Agreement and Plan of Merger, dated as of July 4, 2022 (and as subsequently amended) by and among the Issuer and certain other parties named therein (the "Merger Agreement"), the Reporting Person has the contingent right to receive, for no additional consideration, the Reporting Person's Pro Rata Portion (as such term is defined in the Merger Agreement) of 8,000,000 shares of common stock of the Issuer (the "Earnout Shares") if, at any time from January 26, 2023 until January 26, 2028, the volume-weighted average price of the common stock of the Issuer is greater than or equal to (i) with respect to 4,000,000 Earnout Shares, $15.00 per share over any 20 trading days within any 30-trading day period and (ii) with respect to 4,000,000 Earnout Shares, $20.00 per share over any 20 trading days within any 30-trading day period.

F2 · price: Pursuant to the Agreement and Plan of Merger, dated as of July 4, 2022 (and as subsequently amended) by and among the Issuer and certain other parties named therein (the "Merger Agreement"), the Reporting Person has the contingent right to receive, for no additional consideration, the Reporting Person's Pro Rata Portion (as such term is defined in the Merger Agreement) of 8,000,000 shares of common stock of the Issuer (the "Earnout Shares") if, at any time from January 26, 2023 until January 26, 2028, the volume-weighted average price of the common stock of the Issuer is greater than or equal to (i) with respect to 4,000,000 Earnout Shares, $15.00 per share over any 20 trading days within any 30-trading day period and (ii) with respect to 4,000,000 Earnout Shares, $20.00 per share over any 20 trading days within any 30-trading day period.

F2 · derivative.exercise_date: Pursuant to the Agreement and Plan of Merger, dated as of July 4, 2022 (and as subsequently amended) by and among the Issuer and certain other parties named therein (the "Merger Agreement"), the Reporting Person has the contingent right to receive, for no additional consideration, the Reporting Person's Pro Rata Portion (as such term is defined in the Merger Agreement) of 8,000,000 shares of common stock of the Issuer (the "Earnout Shares") if, at any time from January 26, 2023 until January 26, 2028, the volume-weighted average price of the common stock of the Issuer is greater than or equal to (i) with respect to 4,000,000 Earnout Shares, $15.00 per share over any 20 trading days within any 30-trading day period and (ii) with respect to 4,000,000 Earnout Shares, $20.00 per share over any 20 trading days within any 30-trading day period.

F2 · derivative.expiration_date: Pursuant to the Agreement and Plan of Merger, dated as of July 4, 2022 (and as subsequently amended) by and among the Issuer and certain other parties named therein (the "Merger Agreement"), the Reporting Person has the contingent right to receive, for no additional consideration, the Reporting Person's Pro Rata Portion (as such term is defined in the Merger Agreement) of 8,000,000 shares of common stock of the Issuer (the "Earnout Shares") if, at any time from January 26, 2023 until January 26, 2028, the volume-weighted average price of the common stock of the Issuer is greater than or equal to (i) with respect to 4,000,000 Earnout Shares, $15.00 per share over any 20 trading days within any 30-trading day period and (ii) with respect to 4,000,000 Earnout Shares, $20.00 per share over any 20 trading days within any 30-trading day period.

SEC source: 0001213900-23-037012 · ownership.xml · derivative · entry 1

Hochman David P · CIK 0001292834 · Director · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 59,102

Underlying: Common Stock · 59,102 shares

Expires not disclosed

F1 · security: On January 30, 2023, the Reporting Person filed a Form 4 which inadvertently omitted the right to receive Earnout Shares (defined below). In accordance with Instruction 9(a) to Form 4, this amendment is filed solely to add the lines of information to Table II included here; as provided in that instruction, the remainder of the information in the original filing is not restated in this amendment, and no other amendment is made to the original filing.

F2 · derivative.exercise_price: Pursuant to the Agreement and Plan of Merger, dated as of July 4, 2022 (and as subsequently amended) by and among the Issuer and certain other parties named therein (the "Merger Agreement"), the Reporting Person has the contingent right to receive, for no additional consideration, the Reporting Person's Pro Rata Portion (as such term is defined in the Merger Agreement) of 8,000,000 shares of common stock of the Issuer (the "Earnout Shares") if, at any time from January 26, 2023 until January 26, 2028, the volume-weighted average price of the common stock of the Issuer is greater than or equal to (i) with respect to 4,000,000 Earnout Shares, $15.00 per share over any 20 trading days within any 30-trading day period and (ii) with respect to 4,000,000 Earnout Shares, $20.00 per share over any 20 trading days within any 30-trading day period.

F2 · price: Pursuant to the Agreement and Plan of Merger, dated as of July 4, 2022 (and as subsequently amended) by and among the Issuer and certain other parties named therein (the "Merger Agreement"), the Reporting Person has the contingent right to receive, for no additional consideration, the Reporting Person's Pro Rata Portion (as such term is defined in the Merger Agreement) of 8,000,000 shares of common stock of the Issuer (the "Earnout Shares") if, at any time from January 26, 2023 until January 26, 2028, the volume-weighted average price of the common stock of the Issuer is greater than or equal to (i) with respect to 4,000,000 Earnout Shares, $15.00 per share over any 20 trading days within any 30-trading day period and (ii) with respect to 4,000,000 Earnout Shares, $20.00 per share over any 20 trading days within any 30-trading day period.

F2 · derivative.exercise_date: Pursuant to the Agreement and Plan of Merger, dated as of July 4, 2022 (and as subsequently amended) by and among the Issuer and certain other parties named therein (the "Merger Agreement"), the Reporting Person has the contingent right to receive, for no additional consideration, the Reporting Person's Pro Rata Portion (as such term is defined in the Merger Agreement) of 8,000,000 shares of common stock of the Issuer (the "Earnout Shares") if, at any time from January 26, 2023 until January 26, 2028, the volume-weighted average price of the common stock of the Issuer is greater than or equal to (i) with respect to 4,000,000 Earnout Shares, $15.00 per share over any 20 trading days within any 30-trading day period and (ii) with respect to 4,000,000 Earnout Shares, $20.00 per share over any 20 trading days within any 30-trading day period.

F2 · derivative.expiration_date: Pursuant to the Agreement and Plan of Merger, dated as of July 4, 2022 (and as subsequently amended) by and among the Issuer and certain other parties named therein (the "Merger Agreement"), the Reporting Person has the contingent right to receive, for no additional consideration, the Reporting Person's Pro Rata Portion (as such term is defined in the Merger Agreement) of 8,000,000 shares of common stock of the Issuer (the "Earnout Shares") if, at any time from January 26, 2023 until January 26, 2028, the volume-weighted average price of the common stock of the Issuer is greater than or equal to (i) with respect to 4,000,000 Earnout Shares, $15.00 per share over any 20 trading days within any 30-trading day period and (ii) with respect to 4,000,000 Earnout Shares, $20.00 per share over any 20 trading days within any 30-trading day period.

SEC source: 0001213900-23-041627 · ownership.xml · derivative · entry 3

Hochman David P · CIK 0001292834 · Director · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 116,250

Underlying: Common Stock · 116,250 shares

Expires 2033-01-19

F1 · security: On January 30, 2023, the Reporting Person filed a Form 4 which inadvertently (i) misstated the expiration dates of three classes of nonstatutory stock options ("NSOs") and (ii) misstated the vesting schedules for such NSOs. In accordance with Instruction 9(b) to Form 4, this amendment is filed solely to (i) correct the incorrect expiration dates in Table II, Column 6 to August 17, 2032, August 17, 2032 and January 19, 2033, respectively, and (ii) correct the incorrect vesting schedules set forth in the footnotes corresponding to such NSOs, which are reproduced in this amendment with the correct vesting schedules; as provided in that instruction, the remainder of the information in the original filing is not restated in this amendment, and no other amendment is made to the original filing.

F7 · price: Received in the Business Combination in exchange for a nonstatutory stock option to acquire 250,000 shares of Legacy Orchestra Common Stock for $4.65 per share.

F6 · derivative.exercise_date: The NSOs vest over a three-year period as follows: (i) 44.4% of the underlying shares vested on the grant date and (ii) 55.6% of the underlying shares will vest in equal installments on a quarterly basis on the last day of each quarter, starting with March 31, 2023, subject to the Reporting Person's continuous service through such dates. The grant date is January 20, 2023.

SEC source: 0001213900-23-041627 · ownership.xml · derivative · entry 2

Hochman David P · CIK 0001292834 · Director · See Remarks

10b5-1 filing: No plan indicated

Ownership: Indirect · By the DPH 2008 Trust

Disclosed balance after: 208,216

Underlying: Common Stock · 208,216 shares

Expires 2032-08-17

F1 · security: On January 30, 2023, the Reporting Person filed a Form 4 which inadvertently (i) misstated the expiration dates of three classes of nonstatutory stock options ("NSOs") and (ii) misstated the vesting schedules for such NSOs. In accordance with Instruction 9(b) to Form 4, this amendment is filed solely to (i) correct the incorrect expiration dates in Table II, Column 6 to August 17, 2032, August 17, 2032 and January 19, 2033, respectively, and (ii) correct the incorrect vesting schedules set forth in the footnotes corresponding to such NSOs, which are reproduced in this amendment with the correct vesting schedules; as provided in that instruction, the remainder of the information in the original filing is not restated in this amendment, and no other amendment is made to the original filing.

F5 · price: Received in the Business Combination in exchange for a nonstatutory stock option to acquire 447,776 shares of Legacy Orchestra Common Stock for $4.65 per share.

F4 · derivative.exercise_date: The NSOs vest over a three-year period as follows: (i) 33% of the underlying shares vested on the grant date and (ii) 67% of the underlying shares have vested and will vest in equal installments on a quarterly basis on the last day of each quarter, starting with September 30, 2022, subject to the Reporting Person's continuous service through such dates. The grant date is August 18, 2022.

SEC source: 0001213900-23-041627 · ownership.xml · derivative · entry 1

Hochman David P · CIK 0001292834 · Director · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 300,181

Underlying: Common Stock · 300,181 shares

Expires 2032-08-17

F1 · security: On January 30, 2023, the Reporting Person filed a Form 4 which inadvertently (i) misstated the expiration dates of three classes of nonstatutory stock options ("NSOs") and (ii) misstated the vesting schedules for such NSOs. In accordance with Instruction 9(b) to Form 4, this amendment is filed solely to (i) correct the incorrect expiration dates in Table II, Column 6 to August 17, 2032, August 17, 2032 and January 19, 2033, respectively, and (ii) correct the incorrect vesting schedules set forth in the footnotes corresponding to such NSOs, which are reproduced in this amendment with the correct vesting schedules; as provided in that instruction, the remainder of the information in the original filing is not restated in this amendment, and no other amendment is made to the original filing.

F3 · price: Received in the Business Combination in exchange for a nonstatutory stock option to acquire 645,551 shares of Legacy Orchestra Common Stock for $4.65 per share.

F2 · derivative.exercise_date: The NSOs vest over a three-year period as follows: (i) 33% of the underlying shares vested on the grant date and (ii) 67% of the underlying shares have vested and will vest in equal installments on a quarterly basis on the last day of each quarter, starting with September 30, 2022, subject to the Reporting Person's continuous service through such dates. The grant date is August 18, 2022.

SEC source: 0001493152-22-004060 · ownership.xml · derivative · entry 1

Hochman David P · CIK 0001292834 · Director · Chairman of the Board

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock, par value $0.0001 per share · 50,000 shares

Expires 2032-02-10

F1 · derivative.exercise_date: The option award was made in accordance with the terms of the Issuer's 2016 Equity Incentive Plan (the "2016 Plan"). The option becomes exercisable as to 100% of the shares on February 10, 2023. The exercise price is based on the closing price for the shares of the Common Stock on the date of grant in accordance with the terms of the 2016 Plan.

SEC source: 0001493152-22-000694 · ownership.xml · nonDerivative · entry 1

Hochman David P · CIK 0001292834 · Director · Chairman of the Board

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 291,669

F1 · shares: On January 5, 2022, Reporting Person was granted 127,083 shares of Common Stock as compensation in lieu of cash for Reporting Persons service as a director for calendar year 2022, pursuant to the Company's non-employee director compensation policy. The grant was made in accordance with the terms of the Issuer's 2016 Equity Incentive Plan (the "2016 Plan").

SEC source: 0001213900-21-010577 · ownership.xml · derivative · entry 6

Hochman David P · CIK 0001292834 · Director · Chairman of the Board

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock, par value $0.0001 per share · 40,000 shares

Expires 2031-02-17

F4 · derivative.exercise_date: The option award was made in accordance with the terms of the 2016 Plan. The option becomes exercisable as to 100% of the shares on February 17, 2022. The exercise price is based on the closing price for the shares of the Common Stock on the date of grant in accordance with the terms of the 2016 Plan.

SEC source: 0001213900-21-010577 · ownership.xml · nonDerivative · entry 2

Hochman David P · CIK 0001292834 · Director · Chairman of the Board

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 164,586

F2 · shares: On February 17, 2021, Reporting Person was granted 32,472 shares of Common Stock as compensation in lieu of cash for Reporting Persons service as a director for calendar year 2021, pursuant to the Company's non-employee director compensation policy. The grant was made in accordance with the terms of the Issuer's 2016 Equity Incentive Plan (the "2016 Plan").

SEC source: 0001213900-21-010577 · ownership.xml · nonDerivative · entry 1

Hochman David P · CIK 0001292834 · Director · Chairman of the Board

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 132,114

F1 · shares: On February 17, 2021, Reporting Person was granted 40,000 Common Stock restricted stock units. The restricted stock units vest as to 100% of the shares on February 17, 2022. Each restricted stock unit represents a contingent right to receive one share of Common Stock. The restricted stock units award was made in accordance with the terms of the Issuer's 2016 Equity Incentive Plan (the "2016 Plan").

SEC source: 0001213900-21-002116 · ownership.xml · nonDerivative · entry 1

Hochman David P · CIK 0001292834 · Director · Chairman of the Board

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 92,114

F1 · shares: On January 12, 2021, Reporting Person was granted 15,741 shares of Common Stock as compensation for Reporting Persons service as a director during the fourth quarter of 2020, pursuant to the Company's non-employee director compensation policy. The grant was made in accordance with the terms of the Issuer's 2016 Equity Incentive Plan (the "2016 Plan").

SEC source: 0001213900-20-041228 · ownership.xml · nonDerivative · entry 1

Hochman David P · CIK 0001292834 · Director · Chairman of the Board

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 76,373

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.9926 to $0.9950, inclusive. Reporting Person undertakes to provide to Motus GI Holdings, Inc., any security holder of Motus GI Holdings, Inc., 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: 0001213900-20-031104 · ownership.xml · nonDerivative · entry 1

Hochman David P · CIK 0001292834 · Director · Chairman of the Board

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 71,373

F1 · shares: On October 12, 2020, Reporting Person was granted 18,466 shares of Common Stock as compensation for Reporting Persons service as a director during the third quarter of 2020, pursuant to the Company's non-employee director compensation policy. The grant was made in accordance with the terms of the Issuer's 2016 Equity Incentive Plan (the "2016 Plan").

SEC source: 0001213900-20-017338 · ownership.xml · nonDerivative · entry 1

Hochman David P · CIK 0001292834 · Director · Chairman of the Board

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,907

F1 · shares: On July 10, 2020, Reporting Person was granted 14,600 shares of Common Stock as compensation for Reporting Persons service as a director during the second quarter of 2020, pursuant to the Company's non-employee director compensation policy. The grant was made in accordance with the terms of the Issuer's 2016 Equity Incentive Plan (the "2016 Plan").

SEC source: 0001209191-20-031663 · doc4.xml · derivative · entry 1

Hochman David P · CIK 0001292834 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,500

Underlying: Common Stock · 40,500 shares

Expires 2030-05-20

F1 · derivative.exercise_date: The option award was made in accordance with the terms of the issuer's 2014 Equity Compensation Plan. The option will vest in equal monthly installments over the course of 12 months beginning on the date of grant.

SEC source: 0001213900-20-002925 · ownership.xml · derivative · entry 6

Hochman David P · CIK 0001292834 · Director · Chairman of the Board

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock, par value $0.0001 per share · 20,000 shares

Expires 2030-02-06

F6 · derivative.exercise_date: The option award was made in accordance with the terms of the 2016 Plan. The option becomes exercisable as to 50% of the shares on February 6, 2021, and the remaining shares will become exercisable on February 6, 2022. The exercise price is based on the closing price for the shares of the Common Stock on the date of grant in accordance with the terms of the 2016 Plan.

SEC source: 0001213900-20-002925 · ownership.xml · nonDerivative · entry 1

Hochman David P · CIK 0001292834 · Director · Chairman of the Board

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,307

F1 · shares: On February 6, 2020, Reporting Person was granted 20,000 Common Stock restricted stock units. The restricted stock units vest as to 50% of the shares on February 6, 2021, and the remaining restricted stock unit shares vest on February 6, 2022. Each restricted stock unit represents a contingent right to receive one share of Common Stock. The restricted stock units award was made in accordance with the terms of the Issuer's 2016 Equity Incentive Plan (the "2016 Plan").

F2 · balance_after: Includes 307 shares received from Orchestra Medical Ventures II, L.P. ("OMV II"), pursuant to OMV II's distribution of all of its securities of Issuer on a pro rata basis to its members, for no consideration, on 12/31/2019. In prior reports, Reporting Person reported indirect beneficial ownership of 109,792 shares of Issuer Common Stock held by OMV II. In prior reports, Reporting Person also reported indirect beneficial ownership of 83,352 shares of Issuer Common Stock held by Orchestra Medical Ventures II Reserve, L.P. ("OMV Reserve"). OMV Reserve distributed all of its securities of Issuer on a pro rata basis to its members, for no consideration, on 12/31/2019 and Reporting Person retained no direct or indirect beneficial ownership of any shares of Issuer Common Stock pursuant to such pro rata distributions.

SEC source: 0001213900-20-002925 · ownership.xml · derivative · entry 10

Hochman David P · CIK 0001292834 · Director · Chairman of the Board

10b5-1 filing: Not disclosed

Ownership: Indirect · By NSH 2008 Family Trust

Disclosed balance after: 2,019

Underlying: Common Stock, par value $0.0001 per share · 2,019 shares

Expires 2023-02-16

F10 · kind: Reporting Person is a co-trustee and beneficiary of the NSH 2008 Family Trust. The securities were acquired from OMV II and OMCP, pursuant to OMV II and OMCP distributions of all of their securities of Issuer on a pro rata basis to their members, for no consideration, on 12/31/2019. In prior reports, Reporting Person reported indirect beneficial ownership of a warrant to purchase 106,980 shares of Issuer Common Stock held by OMV II and a warrant to purchase 115,997 shares of Issuer Common Stock held by OMCP.

SEC source: 0001213900-20-002925 · ownership.xml · derivative · entry 9

Hochman David P · CIK 0001292834 · Director · Chairman of the Board

10b5-1 filing: Not disclosed

Ownership: Indirect · By NSH 2008 Family Trust

Disclosed balance after: 1,766

Underlying: Common Stock, par value $0.0001 per share · 1,766 shares

Expires 2021-12-22

F9 · kind: Reporting Person is a co-trustee and beneficiary of the NSH 2008 Family Trust. The securities were acquired from OMV II and OMCP, pursuant to OMV II and OMCP distributions of all of their securities of Issuer on a pro rata basis to their members, for no consideration, on 12/31/2019. In prior reports, Reporting Person reported indirect beneficial ownership of a warrant to purchase 108,838 shares of Issuer Common Stock held by OMV II and a warrant to purchase 69,139 shares of Issuer Common Stock held by OMCP.

SEC source: 0001213900-20-002925 · ownership.xml · derivative · entry 8

Hochman David P · CIK 0001292834 · Director · Chairman of the Board

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 599

Underlying: Common Stock, par value $0.0001 per share · 299 shares

Expires 2023-02-16

F8 · kind: The securities were acquired from OMV II, pursuant to OMV II's distribution of all of its securities of Issuer on a pro rata basis to its members, for no consideration, on 12/31/2019. In prior reports, Reporting Person reported indirect beneficial ownership of a warrant to purchase 106,980 shares of Issuer Common Stock held by OMV II.

SEC source: 0001213900-20-002925 · ownership.xml · derivative · entry 7

Hochman David P · CIK 0001292834 · Director · Chairman of the Board

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 305

Underlying: Common Stock, par value $0.0001 per share · 305 shares

Expires 2021-12-22

F7 · kind: The securities were acquired from OMV II, pursuant to OMV II's distribution of all of its securities of Issuer on a pro rata basis to its members, for no consideration, on 12/31/2019. In prior reports, Reporting Person reported indirect beneficial ownership of a warrant to purchase 108,838 shares of Issuer Common Stock held by OMV II.

SEC source: 0001213900-19-011860 · ownership.xml · nonDerivative · entry 7

Hochman David P · CIK 0001292834 · Director · Chairman of the Board

10b5-1 filing: Not disclosed

Ownership: Indirect · By DPH 2008 Trust

Disclosed balance after: 110,000

F1 · kind: The securities were purchased pursuant to an underwritten public offering by the Issuer. The offering closed on July 1, 2019.

SEC source: 0001209191-19-039463 · doc4.xml · derivative · entry 1

Hochman David P · CIK 0001292834 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,300

Underlying: Common Stock · 33,300 shares

Expires 2029-05-22

F1 · derivative.exercise_date: The option award was made in accordance with the terms of the issuer's 2014 Equity Compensation Plan. The option will vest in equal monthly installments over the course of 12 months beginning on the date of grant.

SEC source: 0001209191-19-019885 · doc4.xml · nonDerivative · entry 6

Hochman David P · CIK 0001292834 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By DPH 2008 Trust

Disclosed balance after: 7,000

SEC source: 0001615774-19-002638 · s116116_form4.xml · derivative · entry 1

Hochman David P · CIK 0001292834 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock, par value $0.0001 per share · 40,000 shares

Expires 2029-02-13

F1 · derivative.exercise_date: The option award was made in accordance with the terms of the Issuer's 2016 Equity Incentive Plan (the "2016 Plan"). The option becomes exercisable as to 50% of the shares on February 13, 2020, and the remaining shares will become exercisable on February 13, 2021. The exercise price is based on the closing price for the shares of the Common Stock on the date of grant in accordance with the terms of the 2016 Plan.

SEC source: 0001615774-18-014984 · s114872_form4.xml · nonDerivative · entry 7

Hochman David P · CIK 0001292834 · Director · Chairman of the Board

10b5-1 filing: Not disclosed

Ownership: Indirect · By DPH 2008 Trust

Disclosed balance after: 100,000

F1 · kind: The securities were purchased pursuant to an underwritten public offering by the Issuer. The offering closed on December 24, 2018.

SEC source: 0001615774-18-013100 · ownership.xml · nonDerivative · entry 1

Hochman David P · CIK 0001292834 · Director · Chairman of the Board

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,000

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.40 to $3.60, inclusive. Reporting Person undertakes to provide to Motus GI Holdings, Inc., any security holder of Motus GI Holdings, Inc., 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: 0001615774-18-004820 · s110579_form4.xml · nonDerivative · entry 2

Hochman David P · CIK 0001292834 · Director · Chairman of the Board

10b5-1 filing: Not disclosed

Ownership: Indirect · By Orchestra BioMed, Inc.

Disclosed balance after: 2,000,000

F3 · kind: The securities are directly held by OBIO. Reporting Person, Mr. Sherman and Geoffrey W. Smith are the directors of OBIO. OBIO exchanged 2,000,000 shares of Series A Preferred Stock of OBIO in return for (a) 1,000,000 shares of Common Stock of Motus GI Holdings, Inc. from OMV II and (b) 1,000,000 shares of Common Stock of Motus GI Holdings, Inc. from Ascent Biomedical Ventures II, L.P.

F3 · price: The securities are directly held by OBIO. Reporting Person, Mr. Sherman and Geoffrey W. Smith are the directors of OBIO. OBIO exchanged 2,000,000 shares of Series A Preferred Stock of OBIO in return for (a) 1,000,000 shares of Common Stock of Motus GI Holdings, Inc. from OMV II and (b) 1,000,000 shares of Common Stock of Motus GI Holdings, Inc. from Ascent Biomedical Ventures II, L.P.

F4 · ownership.nature: The securities are directly held by OBIO. Reporting Person, Mr. Sherman and Mr. Smith are the directors of OBIO. Reporting Person, Mr. Sherman and Mr. Smith jointly exercise dispositive and voting power over the shares owned by OBIO. Each of Reporting Person, Mr. Sherman and Mr. Smith disclaims, for purposes of Section 16, beneficial ownership of such securities, except to the extent of their indirect pecuniary interest therein, and this report shall not be deemed an admission that either Reporting Person, Mr. Sherman or Mr. Smith are the beneficial owners of such securities for purposes of Section 16 or for any other purposes.

SEC source: 0001615774-18-004820 · s110579_form4.xml · nonDerivative · entry 1

Hochman David P · CIK 0001292834 · Director · Chairman of the Board

10b5-1 filing: Not disclosed

Ownership: Indirect · By Orchestra Medical Ventures II, L.P.

Disclosed balance after: 109,792

F1 · kind: The securities are directly held by Orchestra Medical Ventures II, L.P. ("OMV II"). Orchestra Medical Ventures II GP, LLC ("OMV GP") serves as general partner to OMV II. Reporting Person and Darren Sherman are the managing members of OMV GP. OMV II exchanged 1,000,000 shares of Common Stock of Motus GI Holdings, Inc. in return for 1,000,000 shares of Series A Preferred Stock of Orchestra BioMed, Inc., a Delaware corporation ("OBIO").

F1 · price: The securities are directly held by Orchestra Medical Ventures II, L.P. ("OMV II"). Orchestra Medical Ventures II GP, LLC ("OMV GP") serves as general partner to OMV II. Reporting Person and Darren Sherman are the managing members of OMV GP. OMV II exchanged 1,000,000 shares of Common Stock of Motus GI Holdings, Inc. in return for 1,000,000 shares of Series A Preferred Stock of Orchestra BioMed, Inc., a Delaware corporation ("OBIO").

F2 · ownership.nature: The securities are directly held by OMV II. OMV GP serves as general partner to OMV II. Reporting Person and Mr. Sherman are the managing members of OMV GP. Reporting Person and Mr. Sherman jointly exercise dispositive and voting power over the shares owned by OMV II. Each of Reporting Person, Mr. Sherman and OMV GP disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934 ("Section 16"), beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Reporting Person, Mr. Sherman or OMV GP is the beneficial owner of such securities for purposes of Section 16 or for any other purposes.

SEC source: 0001209191-18-033770 · doc4.xml · derivative · entry 8

Hochman David P · CIK 0001292834 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,000

Underlying: Common Stock · 34,000 shares

Expires 2028-05-24

F3 · security: The option award was made in accordance with the terms of the issuer's 2014 Equity Compensation Plan. The option will vest in equal monthly installments over the course of 12 months beginning on the date of grant.

F3 · derivative.exercise_date: The option award was made in accordance with the terms of the issuer's 2014 Equity Compensation Plan. The option will vest in equal monthly installments over the course of 12 months beginning on the date of grant.

SEC source: 0001209191-18-033770 · doc4.xml · nonDerivative · entry 7

Hochman David P · CIK 0001292834 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By SHA 2008 Trust

Disclosed balance after: 110,000

F1 · kind: The reporting person is a co-trustee of each of the NSH 2008 Family Trust, of which the reporting person is a beneficiary, the DPH 2008 Trust, of which the reporting person is a beneficiary, and the SHA 2008 Trust, of which the reporting person's sister is a beneficiary. On May 24, 2018, the co-trustees of the NSH 2008 Family Trust caused all of the shares of Common Stock of Corbus Pharmaceuticals Holdings, Inc. (the "Company") then held in the name of such trust to be transferred in equal portions to the DPH 2008 Trust and the SHA 2008 Trust, in accordance with the Trust Agreement Establishing NSH 2008 Family Trust, dated May 1, 2008.

F2 · balance_after: On March 15, 2018, the reporting person filed a Form 4 which inadvertently reported that a purchase of 5,000 shares of Common Stock was made for the account of the NSH 2008 Family Trust. In fact, such purchase was made for the account of the DPH 2008 Trust. Accordingly, Column 5 of Table I of this Form 4 reflects that, as of immediately prior to the transactions reported hereby, 220,000 shares were held in the name of the NSH 2008 Family Trust and 10,000 shares were held in the name of the DPH 2008 Trust.

SEC source: 0001209191-18-033770 · doc4.xml · nonDerivative · entry 6

Hochman David P · CIK 0001292834 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By DPH 2008 Trust

Disclosed balance after: 120,000

F1 · kind: The reporting person is a co-trustee of each of the NSH 2008 Family Trust, of which the reporting person is a beneficiary, the DPH 2008 Trust, of which the reporting person is a beneficiary, and the SHA 2008 Trust, of which the reporting person's sister is a beneficiary. On May 24, 2018, the co-trustees of the NSH 2008 Family Trust caused all of the shares of Common Stock of Corbus Pharmaceuticals Holdings, Inc. (the "Company") then held in the name of such trust to be transferred in equal portions to the DPH 2008 Trust and the SHA 2008 Trust, in accordance with the Trust Agreement Establishing NSH 2008 Family Trust, dated May 1, 2008.

F2 · balance_after: On March 15, 2018, the reporting person filed a Form 4 which inadvertently reported that a purchase of 5,000 shares of Common Stock was made for the account of the NSH 2008 Family Trust. In fact, such purchase was made for the account of the DPH 2008 Trust. Accordingly, Column 5 of Table I of this Form 4 reflects that, as of immediately prior to the transactions reported hereby, 220,000 shares were held in the name of the NSH 2008 Family Trust and 10,000 shares were held in the name of the DPH 2008 Trust.

SEC source: 0001209191-18-033770 · doc4.xml · nonDerivative · entry 5

Hochman David P · CIK 0001292834 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By NSH 2008 Family Trust

Disclosed balance after: 0

F1 · kind: The reporting person is a co-trustee of each of the NSH 2008 Family Trust, of which the reporting person is a beneficiary, the DPH 2008 Trust, of which the reporting person is a beneficiary, and the SHA 2008 Trust, of which the reporting person's sister is a beneficiary. On May 24, 2018, the co-trustees of the NSH 2008 Family Trust caused all of the shares of Common Stock of Corbus Pharmaceuticals Holdings, Inc. (the "Company") then held in the name of such trust to be transferred in equal portions to the DPH 2008 Trust and the SHA 2008 Trust, in accordance with the Trust Agreement Establishing NSH 2008 Family Trust, dated May 1, 2008.

F2 · balance_after: On March 15, 2018, the reporting person filed a Form 4 which inadvertently reported that a purchase of 5,000 shares of Common Stock was made for the account of the NSH 2008 Family Trust. In fact, such purchase was made for the account of the DPH 2008 Trust. Accordingly, Column 5 of Table I of this Form 4 reflects that, as of immediately prior to the transactions reported hereby, 220,000 shares were held in the name of the NSH 2008 Family Trust and 10,000 shares were held in the name of the DPH 2008 Trust.

SEC source: 0001615774-18-004110 · s110297_4.xml · nonDerivative · entry 6

Hochman David P · CIK 0001292834 · Director · 10% owner · Chairman of the Board

10b5-1 filing: Not disclosed

Ownership: Indirect · By DPH 2008 Trust

Disclosed balance after: 80,000

SEC source: 0001209191-18-030144 · doc4.xml · nonDerivative · entry 6

Hochman David P · CIK 0001292834 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By DPH 2008 Trust

Disclosed balance after: 5,000

SEC source: 0001209191-18-019763 · doc4.xml · nonDerivative · entry 5

Hochman David P · CIK 0001292834 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By NSH 2008 Family Trust

Disclosed balance after: 225,000