O'Connor Daniel J.

SEC source: 0001376847-26-000002 · form4-06032026_090622.xml · derivative · entry 1

O'Connor Daniel J. · CIK 0001376847 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,412

Underlying: Voting Common Shares · 40,412 shares

Expires 2036-06-01

F1 · derivative.exercise_date: Scheduled to vest in four equal quarterly installments.

SEC source: 0001235802-25-000012 · primary_doc.xml · derivative · entry 2

O'Connor Daniel J. · CIK 0001376847 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 64,242

Underlying: Common Stock · 64,242 shares

Expires 2035-02-19

F1 · derivative.exercise_date: Vests in 12 nearly equal quarterly installments over three years.

SEC source: 0000950170-24-028190 · ownership.xml · derivative · entry 5

O'Connor Daniel J. · CIK 0001376847 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 173,785 shares

Expires 2033-07-05

F8 · price: Pursuant to the Merger Agreement, at the Effective Time, each Company Option that was outstanding and unexercised as of immediately prior to the Effective Time, whether vested or unvested, with a per share exercise price ("Per Share Exercise Price") that was less than the Merger Consideration, was cancelled and converted into the right to receive an amount in cash (without interest and less any applicable withholding taxes) equal to the product of (i) the aggregate number of shares of Company Common Stock underlying such Company Option immediately prior to the Effective Time, and (ii) the excess of (A) the Merger Consideration over (B) the Per Share Exercise Price of such Company Option. Each Company Option that had a Per Share Exercise Price that was equal to or exceeded the amount of the Merger Consideration at the Effective Time was cancelled for no consideration.

F9 · derivative.exercise_date: The Company Common Stock subject to the Company Options vest as follows: (i) 1/6 of the Company Common Stock vested on January 5, 2024, and the remainder vests in ten (10) equal quarterly installments following such date.

SEC source: 0000950170-24-028190 · ownership.xml · derivative · entry 4

O'Connor Daniel J. · CIK 0001376847 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 772,857 shares

Expires 2032-10-31

F8 · price: Pursuant to the Merger Agreement, at the Effective Time, each Company Option that was outstanding and unexercised as of immediately prior to the Effective Time, whether vested or unvested, with a per share exercise price ("Per Share Exercise Price") that was less than the Merger Consideration, was cancelled and converted into the right to receive an amount in cash (without interest and less any applicable withholding taxes) equal to the product of (i) the aggregate number of shares of Company Common Stock underlying such Company Option immediately prior to the Effective Time, and (ii) the excess of (A) the Merger Consideration over (B) the Per Share Exercise Price of such Company Option. Each Company Option that had a Per Share Exercise Price that was equal to or exceeded the amount of the Merger Consideration at the Effective Time was cancelled for no consideration.

F7 · derivative.exercise_date: The Company Common Stock subject to the options to purchase shares of Company Common Stock (each, a "Company Option") vest as follows: (i) twenty-five (25) percent of the Company Common Stock vested on November 1, 2023, and (ii) the remainder vests in thirty-six equal monthly installments following such date.

SEC source: 0000950170-24-028190 · ownership.xml · derivative · entry 3

O'Connor Daniel J. · CIK 0001376847 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 750,000 shares

Expires not disclosed

F3 · derivative.exercise_price: Each of these restricted stock units ("RSUs") represents a contingent right to receive one share of the Company Common Stock.

F5 · price: Pursuant to the Merger Agreement, at the Effective Time, each of these RSUs that was outstanding as of immediately prior to the Effective Time was cancelled and the Reporting Person was entitled to receive the Merger Consideration, without interest and less any applicable withholding taxes, in respect of each such RSU.

F6 · derivative.exercise_date: These RSUs vest as follows: (i) one-sixth (1/6) of the RSUs will vest on the six (6)-month anniversary of the grant date of December 11, 2023, and (ii) one-twelfth (1/12) of the RSUs will vest on a quarterly basis thereafter.

F6 · derivative.expiration_date: These RSUs vest as follows: (i) one-sixth (1/6) of the RSUs will vest on the six (6)-month anniversary of the grant date of December 11, 2023, and (ii) one-twelfth (1/12) of the RSUs will vest on a quarterly basis thereafter.

SEC source: 0000950170-24-028190 · ownership.xml · derivative · entry 2

O'Connor Daniel J. · CIK 0001376847 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 294,643 shares

Expires not disclosed

F3 · derivative.exercise_price: Each of these restricted stock units ("RSUs") represents a contingent right to receive one share of the Company Common Stock.

F5 · price: Pursuant to the Merger Agreement, at the Effective Time, each of these RSUs that was outstanding as of immediately prior to the Effective Time was cancelled and the Reporting Person was entitled to receive the Merger Consideration, without interest and less any applicable withholding taxes, in respect of each such RSU.

F4 · derivative.exercise_date: These RSUs vest as follows: (i) one-third (1/3) of the RSUs will vest on the 12-month anniversary of April 26, 2023 (the "Grant Date"), (ii) one-third (1/3) of the RSUs will vest on the 24-month anniversary of the Grant Date, and (iii) one-third (1/3) of the RSUs will vest on the 36-month anniversary of the Grant Date.

F4 · derivative.expiration_date: These RSUs vest as follows: (i) one-third (1/3) of the RSUs will vest on the 12-month anniversary of April 26, 2023 (the "Grant Date"), (ii) one-third (1/3) of the RSUs will vest on the 24-month anniversary of the Grant Date, and (iii) one-third (1/3) of the RSUs will vest on the 36-month anniversary of the Grant Date.

SEC source: 0000950170-24-028190 · ownership.xml · nonDerivative · entry 1

O'Connor Daniel J. · CIK 0001376847 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

F1 · price: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of January 5, 2024, among the Issuer, Johnson & Johnson ("J&J"), and Charm Merger Sub, Inc., a wholly owned subsidiary of J&J ("Merger Sub"), pursuant to which Merger Sub merged with and into the Issuer (the "Merger"), effective as of March 7, 2024 (such date and time of such Merger, the "Effective Time"), with the Issuer surviving the Merger as a wholly owned subsidiary of J&J.

F2 · price: Pursuant to the Merger Agreement, at the Effective Time, each outstanding share of common stock of the Issuer ("Company Common Stock") reported in this Form 4 was converted into the right to receive an amount equal to $28.00 per share in cash (the "Merger Consideration"), without interest and less any applicable withholding taxes.

SEC source: 0001104659-24-002383 · tm242318-1_4seq1.xml · derivative · entry 1

O'Connor Daniel J. · CIK 0001376847 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,666

Underlying: Common Stock · 1,666 shares

Expires 2034-01-04

F1 · derivative.exercise_date: 1/12th of the shares subject to the option shall vest on February 4, 2024, and 1/12th of the shares subject to the option shall vest monthly thereafter.

SEC source: 0000950170-23-069446 · ownership.xml · nonDerivative · entry 1

O'Connor Daniel J. · CIK 0001376847 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,363,332

F1 · security: Represents Restricted Stock Units ("RSUs") payable in common stock of the Issuer granted to the Reporting Person on December 11, 2023 (the "Grant Date"). The RSUs were granted in connection with the completion of the year-end review process and will be issued pursuant to the Company's Amended and Restated 2021 Equity Incentive Plan. The award represents an aggregate of the Reporting Person's year-end and make-whole awards based on market data for similarly situated officers at peer companies.

F2 · shares: The RSUs will vest over thirty-six (36) months as follows: (i) one-sixth (1/6) of the RSUs will vest on the six (6)-month anniversary of the Grant Date, and (ii) one-twelfth (1/12) of the RSUs will vest on a quarterly basis thereafter.

SEC source: 0000950170-23-056943 · ownership.xml · nonDerivative · entry 1

O'Connor Daniel J. · CIK 0001376847 · Director · President and CEO

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 342,845

F1 · security: Reflects an adjustment in connection with the holding company reorganization resulting in Ambrx Biopharma, Inc. ("Ambrx") becoming a Delaware corporation (the "Domestication"). Pursuant to the transactions contemplated by the Domestication, each Ordinary Share of the previous holding company (Ambrx Biopharma Inc., a Cayman Islands company) converted into one-seventh (1/7th) of a share of common stock of Ambrx. Represents Restricted Stock Units ("RSUs") payable in Ambrx common stock granted to the Reporting Person as previously disclosed.

F2 · kind: The sale reported on this Form 4 represents shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting and settlement of the RSUs. The sale is mandated by Ambrx's election to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary transaction by the Reporting Person. The sale is being made pursuant to the Reporting Person's effective 10b5-1 plan.

F3 · price: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $9.70 to $9.99. The Reporting Person undertakes to provide to Ambrx, any security holder of Ambrx or the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

F1 · balance_after: Reflects an adjustment in connection with the holding company reorganization resulting in Ambrx Biopharma, Inc. ("Ambrx") becoming a Delaware corporation (the "Domestication"). Pursuant to the transactions contemplated by the Domestication, each Ordinary Share of the previous holding company (Ambrx Biopharma Inc., a Cayman Islands company) converted into one-seventh (1/7th) of a share of common stock of Ambrx. Represents Restricted Stock Units ("RSUs") payable in Ambrx common stock granted to the Reporting Person as previously disclosed.

SEC source: 0000950170-23-032232 · ownership.xml · derivative · entry 1

O'Connor Daniel J. · CIK 0001376847 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,216,500

Underlying: Ordinary Shares · 1,216,500 shares

Expires 2033-07-05

F1 · derivative.exercise_price: The options will have an exercise price per share equal to the fair market value per ordinary share on the grant date based on the trading price of the Issuer's American Depositary Shares ("ADSs").

F2 · derivative.exercise_date: 1/6 of the Ordinary Shares subject to the option vest on January 5, 2024, and the remainder vests in ten (10) equal quarterly installments following such date.

F3 · derivative.underlying: The Ordinary Shares of the Issuer may be represented by ADSs. Each ADS represents seven Ordinary Shares of the Issuer.

SEC source: 0001209191-23-026093 · doc4.xml · nonDerivative · entry 1

O'Connor Daniel J. · CIK 0001376847 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,750,000

F1 · security: The Ordinary Shares of the Issuer may be represented by American Depositary Shares ("ADSs"). Each ADS represents seven Ordinary Shares of the Issuer.

F2 · shares: Represents grant of Restricted Stock Units (the "RSUs") payable solely in Ordinary Shares of the Issuer that vest as follows: (i) 25% of the RSUs will vest on the six-month anniversary of the grant date of April 26, 2023 (the "Grant Date"), (ii) 25% of the RSUs will vest on the 12-month anniversary of the Grant Date, (iii) 25% of the RSUs will vest on the 24-month anniversary of the Grant Date, and (iv) 25% of the RSUs will vest on the 36-month anniversary of the Grant Date.

SEC source: 0001136261-23-000007 · ownership.xml · derivative · entry 1

O'Connor Daniel J. · CIK 0001376847 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2033-01-05

F1 · derivative.exercise_date: 1/12th of the shares subject to the option shall vest on February 5, 2023, and 1/12th of the shares subject to the option shall vest monthly thereafter.

SEC source: 0001493152-22-035477 · ownership.xml · derivative · entry 4

O'Connor Daniel J. · CIK 0001376847 · Director · 10% owner

Larkspur Health LLC · CIK 0001915818 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 177,204

Underlying: Common Stock · 177,204 shares

Expires 2027-12-12

F1 · kind: The Issuer completed a business combination with Larkspur Health Acquisition Corp., a Delaware corporation ("Larkspur") in accordance with the terms of the Business Combination Agreement, dated July 20, 2022, as amended (the "Business Combination Agreement") by and among ZyVersa Therapeutics, Inc., a Florida corporation ("Old ZyVersa"), the Securityholder Representative (as defined in the Business Combination Agreement) named therein, Larkspur, and Larkspur Merger Sub, Inc., a Delaware corporation and a direct, wholly owned subsidiary of Larkspur ("Merger Sub") pursuant to which Merger Sub merged with and into Old ZyVersa (the "Acquisition Merger"), with Old Zyversa as the surviving company of the Acquisition Merger and, after giving effecting to such Acquisition Merger, Old ZyVersa became a wholly-owned subsidiary of Larkspur and changed its name to the Issuer.

F2 · kind: The securities were previously securities of Larkspur but were converted automatically to securities of the Issuer in connection with the transactions contemplated by the Business Combination Agreement.

F6 · derivative.exercise_date: The warrant is immediately exercisable in full.

F3 · ownership.nature: The securities are held of record by Larkspur Health LLC (the "Sponsor"). Daniel J. O'Connor is the sole manager of Larkspur Health LLC and in such capacity has voting and investment discretion with respect to the common stock held of record by Larkspur Health LLC. By virtue of this relationship, Mr. O'Connor may be deemed to have beneficial ownership of the securities held of record by the Sponsor. Mr. O'Connor disclaims any such beneficial ownership except to the extent of his pecuniary interest.

SEC source: 0001493152-22-035477 · ownership.xml · derivative · entry 3

O'Connor Daniel J. · CIK 0001376847 · Director · 10% owner

Larkspur Health LLC · CIK 0001915818 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,750

Underlying: Common Stock · 1,750 shares

Expires 2027-12-12

F1 · kind: The Issuer completed a business combination with Larkspur Health Acquisition Corp., a Delaware corporation ("Larkspur") in accordance with the terms of the Business Combination Agreement, dated July 20, 2022, as amended (the "Business Combination Agreement") by and among ZyVersa Therapeutics, Inc., a Florida corporation ("Old ZyVersa"), the Securityholder Representative (as defined in the Business Combination Agreement) named therein, Larkspur, and Larkspur Merger Sub, Inc., a Delaware corporation and a direct, wholly owned subsidiary of Larkspur ("Merger Sub") pursuant to which Merger Sub merged with and into Old ZyVersa (the "Acquisition Merger"), with Old Zyversa as the surviving company of the Acquisition Merger and, after giving effecting to such Acquisition Merger, Old ZyVersa became a wholly-owned subsidiary of Larkspur and changed its name to the Issuer.

F2 · kind: The securities were previously securities of Larkspur but were converted automatically to securities of the Issuer in connection with the transactions contemplated by the Business Combination Agreement.

F5 · price: Mr. O'Connor paid $1,000 per share of Series A Convertible Preferred Stock and warrants in an amount equal to 100% of the common shares issuable upon conversion of the Series A Convertible Preferred Stock for an aggregate of $17,500. No half shares of the Series A Convertible Preferred Stock were issued, therefore, the reporting person received 18 shares of such preferred stock instead of 17.5.

F6 · derivative.exercise_date: The warrant is immediately exercisable in full.

SEC source: 0001493152-22-035477 · ownership.xml · derivative · entry 2

O'Connor Daniel J. · CIK 0001376847 · Director · 10% owner

Larkspur Health LLC · CIK 0001915818 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,750

Underlying: Common Stock · 1,750 shares

Expires not disclosed

F1 · kind: The Issuer completed a business combination with Larkspur Health Acquisition Corp., a Delaware corporation ("Larkspur") in accordance with the terms of the Business Combination Agreement, dated July 20, 2022, as amended (the "Business Combination Agreement") by and among ZyVersa Therapeutics, Inc., a Florida corporation ("Old ZyVersa"), the Securityholder Representative (as defined in the Business Combination Agreement) named therein, Larkspur, and Larkspur Merger Sub, Inc., a Delaware corporation and a direct, wholly owned subsidiary of Larkspur ("Merger Sub") pursuant to which Merger Sub merged with and into Old ZyVersa (the "Acquisition Merger"), with Old Zyversa as the surviving company of the Acquisition Merger and, after giving effecting to such Acquisition Merger, Old ZyVersa became a wholly-owned subsidiary of Larkspur and changed its name to the Issuer.

F2 · kind: The securities were previously securities of Larkspur but were converted automatically to securities of the Issuer in connection with the transactions contemplated by the Business Combination Agreement.

F5 · price: Mr. O'Connor paid $1,000 per share of Series A Convertible Preferred Stock and warrants in an amount equal to 100% of the common shares issuable upon conversion of the Series A Convertible Preferred Stock for an aggregate of $17,500. No half shares of the Series A Convertible Preferred Stock were issued, therefore, the reporting person received 18 shares of such preferred stock instead of 17.5.

F4 · derivative.expiration_date: The Series A Convertible Preferred Stock is perpetual and therefore has no expiration date.

SEC source: 0001493152-22-035477 · ownership.xml · nonDerivative · entry 1

O'Connor Daniel J. · CIK 0001376847 · Director · 10% owner

Larkspur Health LLC · CIK 0001915818 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 1,377,598

F1 · kind: The Issuer completed a business combination with Larkspur Health Acquisition Corp., a Delaware corporation ("Larkspur") in accordance with the terms of the Business Combination Agreement, dated July 20, 2022, as amended (the "Business Combination Agreement") by and among ZyVersa Therapeutics, Inc., a Florida corporation ("Old ZyVersa"), the Securityholder Representative (as defined in the Business Combination Agreement) named therein, Larkspur, and Larkspur Merger Sub, Inc., a Delaware corporation and a direct, wholly owned subsidiary of Larkspur ("Merger Sub") pursuant to which Merger Sub merged with and into Old ZyVersa (the "Acquisition Merger"), with Old Zyversa as the surviving company of the Acquisition Merger and, after giving effecting to such Acquisition Merger, Old ZyVersa became a wholly-owned subsidiary of Larkspur and changed its name to the Issuer.

F2 · kind: The securities were previously securities of Larkspur but were converted automatically to securities of the Issuer in connection with the transactions contemplated by the Business Combination Agreement.

F3 · ownership.nature: The securities are held of record by Larkspur Health LLC (the "Sponsor"). Daniel J. O'Connor is the sole manager of Larkspur Health LLC and in such capacity has voting and investment discretion with respect to the common stock held of record by Larkspur Health LLC. By virtue of this relationship, Mr. O'Connor may be deemed to have beneficial ownership of the securities held of record by the Sponsor. Mr. O'Connor disclaims any such beneficial ownership except to the extent of his pecuniary interest.

SEC source: 0001136261-22-000249 · ownership.xml · nonDerivative · entry 1

O'Connor Daniel J. · CIK 0001376847 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,000

F1 · price: The price reported in Column 4 is a weighted average purchase price. These shares were acquired in multiple open market transactions at prices ranging from $0.6054 per share to $0.6127 per share, inclusive. The Reporting Person undertakes to provide to the staff of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, upon request, full information regarding the number of shares acquired at each separate price.

SEC source: 0001213900-22-011644 · ownership.xml · derivative · entry 3

O'Connor Daniel J. · CIK 0001376847 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 201,848

Underlying: Class A common stock · 609 shares

Expires not disclosed

F3 · security: As described in the Issuer's registration statement on Form S-1 (File No. 333-256056) (the "Registration Statement") under the section entitled "Description of Securities - Founder Shares," the shares of Class B Common Stock, par value $0.0001 per share, will automatically be converted into shares of Class A Common Stock, par value $0.0001 per share, at the time of the Issuer's initial business combination, on a one-for-one basis, subject to certain adjustment described therein, and have no expiration date

F3 · derivative.exercise_price: As described in the Issuer's registration statement on Form S-1 (File No. 333-256056) (the "Registration Statement") under the section entitled "Description of Securities - Founder Shares," the shares of Class B Common Stock, par value $0.0001 per share, will automatically be converted into shares of Class A Common Stock, par value $0.0001 per share, at the time of the Issuer's initial business combination, on a one-for-one basis, subject to certain adjustment described therein, and have no expiration date

F3 · kind: As described in the Issuer's registration statement on Form S-1 (File No. 333-256056) (the "Registration Statement") under the section entitled "Description of Securities - Founder Shares," the shares of Class B Common Stock, par value $0.0001 per share, will automatically be converted into shares of Class A Common Stock, par value $0.0001 per share, at the time of the Issuer's initial business combination, on a one-for-one basis, subject to certain adjustment described therein, and have no expiration date

F5 · shares: In connection with the partial exercise of the underwriters' over-allotment option, A.G.P./Alliance Global Partners transferred 3,427 shares to the Sponsor for no consideration.

F3 · derivative.exercise_date: As described in the Issuer's registration statement on Form S-1 (File No. 333-256056) (the "Registration Statement") under the section entitled "Description of Securities - Founder Shares," the shares of Class B Common Stock, par value $0.0001 per share, will automatically be converted into shares of Class A Common Stock, par value $0.0001 per share, at the time of the Issuer's initial business combination, on a one-for-one basis, subject to certain adjustment described therein, and have no expiration date

F3 · derivative.expiration_date: As described in the Issuer's registration statement on Form S-1 (File No. 333-256056) (the "Registration Statement") under the section entitled "Description of Securities - Founder Shares," the shares of Class B Common Stock, par value $0.0001 per share, will automatically be converted into shares of Class A Common Stock, par value $0.0001 per share, at the time of the Issuer's initial business combination, on a one-for-one basis, subject to certain adjustment described therein, and have no expiration date

F2 · ownership.direct: The shares represent those owned by Mr. O'Connor, a member of Larkspur Health LLC based on his pro rata share of ownership of Larkspur Health LLC.

SEC source: 0001213900-22-011644 · ownership.xml · derivative · entry 2

O'Connor Daniel J. · CIK 0001376847 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 201,239

Underlying: Class A common stock · 23,404 shares

Expires not disclosed

F3 · security: As described in the Issuer's registration statement on Form S-1 (File No. 333-256056) (the "Registration Statement") under the section entitled "Description of Securities - Founder Shares," the shares of Class B Common Stock, par value $0.0001 per share, will automatically be converted into shares of Class A Common Stock, par value $0.0001 per share, at the time of the Issuer's initial business combination, on a one-for-one basis, subject to certain adjustment described therein, and have no expiration date

F3 · derivative.exercise_price: As described in the Issuer's registration statement on Form S-1 (File No. 333-256056) (the "Registration Statement") under the section entitled "Description of Securities - Founder Shares," the shares of Class B Common Stock, par value $0.0001 per share, will automatically be converted into shares of Class A Common Stock, par value $0.0001 per share, at the time of the Issuer's initial business combination, on a one-for-one basis, subject to certain adjustment described therein, and have no expiration date

F3 · kind: As described in the Issuer's registration statement on Form S-1 (File No. 333-256056) (the "Registration Statement") under the section entitled "Description of Securities - Founder Shares," the shares of Class B Common Stock, par value $0.0001 per share, will automatically be converted into shares of Class A Common Stock, par value $0.0001 per share, at the time of the Issuer's initial business combination, on a one-for-one basis, subject to certain adjustment described therein, and have no expiration date

F4 · shares: As contemplated in connection with the initial public offering of the Issuer, 22,343 shares of Class B common stock of the Issuer were forfeited for no consideration and cancelled because the underwriters of the Issuer's initial public offering did not exercise their over-allotment option in full, as described in the Issuer's Registration Statement.

F3 · derivative.exercise_date: As described in the Issuer's registration statement on Form S-1 (File No. 333-256056) (the "Registration Statement") under the section entitled "Description of Securities - Founder Shares," the shares of Class B Common Stock, par value $0.0001 per share, will automatically be converted into shares of Class A Common Stock, par value $0.0001 per share, at the time of the Issuer's initial business combination, on a one-for-one basis, subject to certain adjustment described therein, and have no expiration date

F3 · derivative.expiration_date: As described in the Issuer's registration statement on Form S-1 (File No. 333-256056) (the "Registration Statement") under the section entitled "Description of Securities - Founder Shares," the shares of Class B Common Stock, par value $0.0001 per share, will automatically be converted into shares of Class A Common Stock, par value $0.0001 per share, at the time of the Issuer's initial business combination, on a one-for-one basis, subject to certain adjustment described therein, and have no expiration date

F2 · ownership.direct: The shares represent those owned by Mr. O'Connor, a member of Larkspur Health LLC based on his pro rata share of ownership of Larkspur Health LLC.

SEC source: 0001213900-22-011644 · ownership.xml · nonDerivative · entry 1

O'Connor Daniel J. · CIK 0001376847 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 42,005

F1 · security: These shares are underlying units (each unit consisting of one share of Class A common stock and three-fourths of one warrant, each whole warrant exercisable to purchase one share of Class A common stock) acquired in a private placement by the Larkspur Health LLC (the "Sponsor") in connection with the issuer's initial public offering and subsequent partial exercise of the underwriters' over-allotment option. The above refers to the shares of Class A common stock included in the units purchased.

F1 · kind: These shares are underlying units (each unit consisting of one share of Class A common stock and three-fourths of one warrant, each whole warrant exercisable to purchase one share of Class A common stock) acquired in a private placement by the Larkspur Health LLC (the "Sponsor") in connection with the issuer's initial public offering and subsequent partial exercise of the underwriters' over-allotment option. The above refers to the shares of Class A common stock included in the units purchased.

F2 · ownership.nature: The shares represent those owned by Mr. O'Connor, a member of Larkspur Health LLC based on his pro rata share of ownership of Larkspur Health LLC.

SEC source: 0001136261-22-000020 · ownership.xml · derivative · entry 1

O'Connor Daniel J. · CIK 0001376847 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,000

Underlying: Common Stock · 35,000 shares

Expires 2032-01-05

F1 · derivative.exercise_date: 1/12th of the shares subject to the option shall vest on February 5, 2022, and 1/12th of the shares subject to the option shall vest monthly thereafter.

SEC source: 0001493152-21-010454 · ownership.xml · nonDerivative · entry 1

O'Connor Daniel J. · CIK 0001376847 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 96,097

F1 · shares: In connection with the vesting of 6,250 RSUs on April 30, 2021, a total of 3,172 shares were sold in order to satisfy the reporting person's tax withholding obligations. This sale occurred automatically, and the amount sold corresponded to the tax withholding amount. The reporting person had no control with respect to such sale, which was conducted in accordance with the Issuer's corporate policies.

F1 · price: In connection with the vesting of 6,250 RSUs on April 30, 2021, a total of 3,172 shares were sold in order to satisfy the reporting person's tax withholding obligations. This sale occurred automatically, and the amount sold corresponded to the tax withholding amount. The reporting person had no control with respect to such sale, which was conducted in accordance with the Issuer's corporate policies.

SEC source: 0001493152-21-002424 · ownership.xml · nonDerivative · entry 1

O'Connor Daniel J. · CIK 0001376847 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 99,269

F1 · shares: In connection with the vesting of 6,250 RSUs on January 31, 2021, a total of 3,413 shares were sold in order to satisfy the reporting person's tax withholding obligations. This sale occurred automatically, and the amount sold corresponded to the tax withholding amount. The reporting person had no control with respect to such sale, which was conducted in accordance with the Issuer's corporate policies.

F1 · price: In connection with the vesting of 6,250 RSUs on January 31, 2021, a total of 3,413 shares were sold in order to satisfy the reporting person's tax withholding obligations. This sale occurred automatically, and the amount sold corresponded to the tax withholding amount. The reporting person had no control with respect to such sale, which was conducted in accordance with the Issuer's corporate policies.

SEC source: 0001136261-21-000001 · primary_doc.xml · derivative · entry 1

O'Connor Daniel J. · CIK 0001376847 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,000

Underlying: Common Stock · 16,000 shares

Expires 2031-01-06

F1 · derivative.exercise_date: 1/12th of the shares subject to the option shall vest on February 6, 2021, and 1/12th of the shares subject to the option shall vest monthly thereafter.

SEC source: 0001493152-20-020427 · ownership.xml · nonDerivative · entry 1

O'Connor Daniel J. · CIK 0001376847 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 102,682

F1 · shares: In connection with the vesting of 6,250 RSUs on November 02, 2020, a total of 3,280 shares were sold in order to satisfy the reporting person's tax withholding obligations. The reporting person had no discretion with respect to such withholding, which was conducted automatically in accordance with the issuer's corporate policies.

F1 · price: In connection with the vesting of 6,250 RSUs on November 02, 2020, a total of 3,280 shares were sold in order to satisfy the reporting person's tax withholding obligations. The reporting person had no discretion with respect to such withholding, which was conducted automatically in accordance with the issuer's corporate policies.

SEC source: 0001493152-20-016794 · ownership.xml · derivative · entry 1

O'Connor Daniel J. · CIK 0001376847 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 152,000

Underlying: Common Stock · 152,000 shares

Expires 2030-08-24

F1 · derivative.exercise_date: The option vests quarterly over the next three years.

SEC source: 0001493152-20-014643 · ownership.xml · nonDerivative · entry 1

O'Connor Daniel J. · CIK 0001376847 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 105,962

F1 · shares: In connection with the vesting of 6,250 RSUs on July 31, 2020, a total of 3,133 shares were sold in order to satisfy the reporting person's tax withholding obligations. The reporting person had no discretion with respect to such withholding, which was conducted automatically in accordance with the issuer's corporate policies.

F1 · price: In connection with the vesting of 6,250 RSUs on July 31, 2020, a total of 3,133 shares were sold in order to satisfy the reporting person's tax withholding obligations. The reporting person had no discretion with respect to such withholding, which was conducted automatically in accordance with the issuer's corporate policies.

SEC source: 0001493152-20-010500 · ownership.xml · derivative · entry 3

O'Connor Daniel J. · CIK 0001376847 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 304,000

Underlying: Common Stock · 304,000 shares

Expires 2030-04-14

F1 · date: The option grant was approved by the Issuer's Compensation Committee on April 14, 2020, subject to stockholder approval of an amendment to the Issuer's 2011 Incentive Plan to increase the number of authorized shares. The Issuer's stockholders approved the plan amendment on May 29, 2020.

F2 · derivative.exercise_date: The option was 25% vested on April 14, 2020, and the remainder vests quarterly over the next three years.

SEC source: 0001493152-20-010500 · ownership.xml · nonDerivative · entry 2

O'Connor Daniel J. · CIK 0001376847 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 109,095

SEC source: 0001493152-20-010500 · ownership.xml · nonDerivative · entry 1

O'Connor Daniel J. · CIK 0001376847 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 153,566

SEC source: 0001493152-20-007676 · ownership.xml · nonDerivative · entry 1

O'Connor Daniel J. · CIK 0001376847 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,986

F1 · shares: In connection with the vesting of 6,250 RSUs on April 30, 2020, a total of 3,075 shares were sold in order to satisfy the reporting person's tax withholding obligations. The reporting person had no discretion with respect to such withholding, which was conducted automatically in accordance with the issuer's corporate policies.

F1 · price: In connection with the vesting of 6,250 RSUs on April 30, 2020, a total of 3,075 shares were sold in order to satisfy the reporting person's tax withholding obligations. The reporting person had no discretion with respect to such withholding, which was conducted automatically in accordance with the issuer's corporate policies.

SEC source: 0001493152-20-001537 · ownership.xml · nonDerivative · entry 1

O'Connor Daniel J. · CIK 0001376847 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 66,061

F1 · shares: In connection with the vesting of 6,250 RSUs on January 31, 2020, a total of 2,654 shares were sold in order to satisfy the reporting person's tax withholding obligations. The reporting person had no discretion with respect to such withholding, which was conducted automatically in accordance with the issuer's corporate policies.

F1 · price: In connection with the vesting of 6,250 RSUs on January 31, 2020, a total of 2,654 shares were sold in order to satisfy the reporting person's tax withholding obligations. The reporting person had no discretion with respect to such withholding, which was conducted automatically in accordance with the issuer's corporate policies.

SEC source: 0001136261-20-000010 · primary_doc.xml · derivative · entry 1

O'Connor Daniel J. · CIK 0001376847 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,000

Underlying: Common Stock · 16,000 shares

Expires 2030-01-06

F1 · derivative.exercise_date: 1/12th of the shares subject to the option shall vest on February 6, 2020, and 1/12th of the shares subject to the option shall vest monthly thereafter.

SEC source: 0001493152-19-016362 · ownership.xml · nonDerivative · entry 1

O'Connor Daniel J. · CIK 0001376847 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 68,715

F1 · shares: In connection with the vesting of 6,250 RSUs on October 31, 2019, a total of 2,128 shares were sold in order to satisfy the reporting person's tax withholding obligations. The reporting person had no discretion with respect to such withholding, which was conducted automatically in accordance with the issuer's corporate policies.

F1 · price: In connection with the vesting of 6,250 RSUs on October 31, 2019, a total of 2,128 shares were sold in order to satisfy the reporting person's tax withholding obligations. The reporting person had no discretion with respect to such withholding, which was conducted automatically in accordance with the issuer's corporate policies.

SEC source: 0001493152-19-011572 · ownership.xml · nonDerivative · entry 1

O'Connor Daniel J. · CIK 0001376847 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,843

F1 · shares: In connection with the vesting of 6,250 RSUs on July 31, 2019, a total of 2,156 shares were sold in order to satisfy the reporting person's tax withholding obligations. The reporting person had no discretion with respect to such withholding, which was conducted automatically in accordance with the issuer's corporate policies.

F1 · price: In connection with the vesting of 6,250 RSUs on July 31, 2019, a total of 2,156 shares were sold in order to satisfy the reporting person's tax withholding obligations. The reporting person had no discretion with respect to such withholding, which was conducted automatically in accordance with the issuer's corporate policies.

SEC source: 0001493152-19-006293 · ownership.xml · nonDerivative · entry 1

O'Connor Daniel J. · CIK 0001376847 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 729,992

F1 · shares: In connection with the vesting of 62,500 RSUs on April 30, 2019, a total of 21,357 shares were sold in order to satisfy the reporting person's tax withholding obligations. The reporting person had no discretion with respect to such withholding, which was conducted automatically in accordance with the issuer's corporate policies.

F1 · price: In connection with the vesting of 62,500 RSUs on April 30, 2019, a total of 21,357 shares were sold in order to satisfy the reporting person's tax withholding obligations. The reporting person had no discretion with respect to such withholding, which was conducted automatically in accordance with the issuer's corporate policies.

SEC source: 0001136261-19-000108 · primary_doc.xml · derivative · entry 2

O'Connor Daniel J. · CIK 0001376847 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,000

Underlying: Common Stock · 16,000 shares

Expires 2029-03-20

F2 · derivative.exercise_date: 1/12th of the shares subject to the option shall vest on April 20, 2019, and 1/12th of the shares subject to the option shall vest monthly thereafter.

SEC source: 0001136261-19-000108 · primary_doc.xml · derivative · entry 1

O'Connor Daniel J. · CIK 0001376847 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,000

Underlying: Common Stock · 24,000 shares

Expires 2029-03-20

F1 · derivative.exercise_date: 1/3rd of the shares subject to the option shall vest on March 20, 2020, and 1/36th of the shares subject to the option shall vest monthly thereafter.

SEC source: 0001493152-19-001271 · ownership.xml · nonDerivative · entry 1

O'Connor Daniel J. · CIK 0001376847 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 751,349

F1 · shares: In connection with the vesting of 62,500 RSUs on January 31, 2019, a total of 25,318 shares were sold in order to satisfy the reporting person's tax withholding obligations. The reporting person had no discretion with respect to such withholding, which was conducted automatically in accordance with the issuer's corporate policies.

F1 · price: In connection with the vesting of 62,500 RSUs on January 31, 2019, a total of 25,318 shares were sold in order to satisfy the reporting person's tax withholding obligations. The reporting person had no discretion with respect to such withholding, which was conducted automatically in accordance with the issuer's corporate policies.

SEC source: 0001493152-18-018024 · ownership.xml · nonDerivative · entry 1

O'Connor Daniel J. · CIK 0001376847 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 776,667

F1 · shares: This is a long-term equity incentive award of restricted stock which will vest quarterly over the next three years. The first vesting will occur on 1/31/2019, and the award will be fully vested on 10/31/2021, pursuant to the OncoSec Medical Incorporated 2011 Stock Incentive Plan.

F1 · price: This is a long-term equity incentive award of restricted stock which will vest quarterly over the next three years. The first vesting will occur on 1/31/2019, and the award will be fully vested on 10/31/2021, pursuant to the OncoSec Medical Incorporated 2011 Stock Incentive Plan.

SEC source: 0001493152-18-015311 · ownership.xml · nonDerivative · entry 1

O'Connor Daniel J. · CIK 0001376847 · Director · CEO & President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,667

F1 · shares: Mr. O'Connor purchased 10,000 shares in the open market at a price of $0.91 per share.

F1 · price: Mr. O'Connor purchased 10,000 shares in the open market at a price of $0.91 per share.

SEC source: 0001493152-18-006355 · form4.xml · derivative · entry 1

O'Connor Daniel J. · CIK 0001376847 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,850,000

Underlying: Common Stock · 250,000 shares

Expires 2028-05-03

F1 · derivative.exercise_price: OncoSec's (ONCS) stock closing price was $1.47 on May 3, 2018.

F2 · derivative.exercise_date: 25% vested on the Grant Date of May 3, 2018, and the remaining 75% are vesting in 36 equal monthly increments, which began on the first monthly anniversary of the Grant Date, pursuant to the OncoSec Medical Incorporated 2011 Stock Incentive Plan.

SEC source: 0001493152-18-001498 · form4.xml · nonDerivative · entry 1

O'Connor Daniel J. · CIK 0001376847 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,667

F1 · kind: The shares purchased were pursuant to a Confidentially Marketed Public Offering (CMPO)

SEC source: 0001493152-18-000671 · form4.xml · derivative · entry 2

O'Connor Daniel J. · CIK 0001376847 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 500,000

Underlying: Common Stock · 500,000 shares

Expires 2027-11-07

F1 · derivative.exercise_price: OncoSec's (ONCS) stock closing price was $1.25 on November 7, 2017.

F2 · date: The above listed Stock Options were approved by OncoSec's stockholders at OncoSec's Annual Stockholders Meeting held on January 12, 2018.

F3 · shares: The shares subject to the stock option were approved by the Company's Board of Directors on November 7, 2017 ("Grant Date"), contingent upon approval by the Company's stockholders at the Company's Annual Stockholders Meeting on January 12, 2018.

F5 · derivative.underlying_shares: The stock option were approved by the Company's Board of Directors on November 7, 2017 ("Grant Date"), subject to stockholder approval and the Company's stockholders approved the grant at the Company's Annual Stockholders Meeting on January 12, 2018. Subject to the terms of the Company's 2011 Stock Incentive Plan and related award agreement, two hundred fifty thousand (250,000) of the options shall be fully vested on the date that the Company achieves one hundred percent (100%) enrollment in the first cohort of the Pisces Study (the "Enrollment Date") and the remaining two hundred fifty thousand (250,000) PISCES Options shall vest on the first anniversary of the Enrollment Date, pursuant to the OncoSec Medical Incorporated 2011 Stock Incentive Plan.

SEC source: 0001493152-18-000671 · form4.xml · derivative · entry 1

O'Connor Daniel J. · CIK 0001376847 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,000,000

Underlying: Common Stock · 2,000,000 shares

Expires 2027-11-07

F1 · derivative.exercise_price: OncoSec's (ONCS) stock closing price was $1.25 on November 7, 2017.

F2 · date: The above listed Stock Options were approved by OncoSec's stockholders at OncoSec's Annual Stockholders Meeting held on January 12, 2018.

F3 · shares: The shares subject to the stock option were approved by the Company's Board of Directors on November 7, 2017 ("Grant Date"), contingent upon approval by the Company's stockholders at the Company's Annual Stockholders Meeting on January 12, 2018.

F4 · derivative.underlying_shares: One million (1,000,000) Options vested upon the Company's stockholders' approval of the Option at the Company's Annual Stockholders Meeting held on January 12, 2018 and one twenty-fourth (1/24th) of the remaining one million (1,000,000) Options shall vest on each monthly anniversary of the date of the Grant Date.

SEC source: 0001493152-17-010416 · form4.xml · derivative · entry 1

O'Connor Daniel · CIK 0001376847 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2027-09-07

SEC source: 0001493152-17-007453 · form4.xml · nonDerivative · entry 1

O'Connor Daniel · CIK 0001376847 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 618,352

F1 · shares: The reporting person voluntarily purchases restricted stock directly from the Company at market price on the last trading day of the month pursuant to an arrangement that was approved by the Compensation Committee of the Company's Board of Directors in a manner that satisfied Exchange Act Rule 16b-3(d). The Company utilizes the net withholding method for each monthly purchase. The reporting person purchased a gross amount of 996 shares of which 254 shares were forfeited to pay withholding taxes associated with the stock issuance.

SEC source: 0001493152-17-006928 · form4.xml · nonDerivative · entry 1

O'Connor Daniel · CIK 0001376847 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 617,610

F1 · shares: As part of his long-term incentive compensation, the reporting person was previously granted a performance based restricted stock award by the Compensation Committee. The specific terms of performance, which were required to be achieved prior to earning the award, have now been met. These performance terms were (i) the FDA acceptance of the ADXS-NEO IND, and (ii) the opening of a certain pre-defined number of clinical sites for the AIM2CERV study prior to November 1, 2017. The award vests one-third in November 2017, one-third in November 2018, and will be fully vested in November 2019.

SEC source: 0001493152-17-006084 · form4.xml · nonDerivative · entry 1

O'Connor Daniel · CIK 0001376847 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 440,508

F1 · shares: The reporting person voluntarily purchases restricted stock directly from the Company at market price on the last trading day of the month pursuant to an arrangement that was approved by the Compensation Committee of the Company's Board of Directors in a manner that satisfied Exchange Act Rule 16b-3(d). The Company utilizes the net withholding method for each monthly purchase. The reporting person purchased a gross amount of 534 shares of which 113 shares were forfeited to pay withholding taxes associated with the stock issuance.