person · Reporting owner

Kehler Dean C

Disclosed activity across 5 companies

Tapewire entity: 45946
SEC CIK: 0001322745

Reported relationships

Latest disclosed role at each company.

Company	Last reported as	Report date	Published
BCP Investment CorpBCIC · Entity 6796	Director	May 18, 2026	May 19, 2026
Celularity IncCELU · Entity 7145	Director	December 19, 2024	January 06, 2025
ELK CREEK RESOURCES CORP.GXIIU · Entity 115354	Director · Co-CEO and Co-Chairman · 10% owner	March 17, 2021	March 18, 2021
NIOCORP DEVELOPMENTS LTDNB · Entity 5368	Director	December 15, 2025	December 15, 2025

Disclosed balances

About these balances

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

BCP Investment Corp

Report date May 18, 2026 · Filed May 19, 2026

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	5,649	Reported balance After 2026-05-18 transaction · row 1 1 source row Row 1 · 2026-05-18 · Sale · Disposed 15,000 · Balance 5,649 F1: These shares were sold in multiple transactions at prices ranging from $7.60 to $7.69, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.

Filing footnotes · ownership attribution and instrument terms

F1: These shares were sold in multiple transactions at prices ranging from $7.60 to $7.69, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.

Celularity Inc

Report date December 19, 2024 · Filed January 06, 2025

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Class A Common StockSEC Table I · non-derivative	Direct	303,482	Reported balance After 2024-12-19 transaction · row 1 Account or security details depend on footnotes; rows are not merged. 1 source row Row 1 · 2024-12-19 · Grant · Acquired 67,416 · Balance 303,482 F1: These shares represent restricted stock units ("RSUs") granted under the Celularity Inc. 2021 Equity Incentive Plan (the "2021 Plan"), with each RSU representing a right to receive one share of the Issuer's Class A common stock. The RSUs shall vest and become exercisable on the earlier of the one-year anniversary of the date of grant, December 19, 2024, and the next annual stockholder meeting, subject to the Reporting Person's continuous service with the Issuer through such date. F2: Includes 67,416 RSUs granted under the 2021 Plan, with each RSU representing a right to receive one share of the Issuer's Class A common stock. The RSUs shall vest and become exercisable on the earlier of the one-year anniversary of the date of grant, December 19, 2024, and the next annual stockholder meeting, subject to the Reporting Person's continuous service with the Issuer through such date.
Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.23 · Expires 2034-12-19	Direct	362,524	Reported balance After 2024-12-19 transaction · row 2 Instrument identity requires review; Table II rows are not merged. 1 source row Row 2 · 2024-12-19 · Grant · Acquired 84,746 · Balance 362,524 F3: This option was granted under the 2021 Plan and shall vest and become exercisable on the earlier of the one-year anniversary of the date of grant, December 19, 2024, and the next annual stockholder meeting, subject to the Reporting Person's continuous service with the Issuer through such date.

Filing footnotes · ownership attribution and instrument terms

F1: These shares represent restricted stock units ("RSUs") granted under the Celularity Inc. 2021 Equity Incentive Plan (the "2021 Plan"), with each RSU representing a right to receive one share of the Issuer's Class A common stock. The RSUs shall vest and become exercisable on the earlier of the one-year anniversary of the date of grant, December 19, 2024, and the next annual stockholder meeting, subject to the Reporting Person's continuous service with the Issuer through such date.

F2: Includes 67,416 RSUs granted under the 2021 Plan, with each RSU representing a right to receive one share of the Issuer's Class A common stock. The RSUs shall vest and become exercisable on the earlier of the one-year anniversary of the date of grant, December 19, 2024, and the next annual stockholder meeting, subject to the Reporting Person's continuous service with the Issuer through such date.

F3: This option was granted under the 2021 Plan and shall vest and become exercisable on the earlier of the one-year anniversary of the date of grant, December 19, 2024, and the next annual stockholder meeting, subject to the Reporting Person's continuous service with the Issuer through such date.

ELK CREEK RESOURCES CORP.

Report date March 17, 2021 · Filed March 18, 2021

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Class B Common StockSEC Table II · derivative / convertible security	IndirectSee Footnote	Not disclosed	Reported balance Holding disclosure · report date 2021-03-17 · row 1 Instrument identity requires review; Table II rows are not merged. 1 source row Row 1 · Balance Not disclosed F1: As described in the issuer's registration statement on Form S-1 (File No. 333-253390) under the heading "Description of Securities--Founder Shares", the shares of Class B common stock will automatically convert into shares of Class A common stock at the time of the issuer's initial business combination, or at any time prior thereto at the option of the holder, on a one-for-one basis, subject to certain adjustments described therein and have no expiration date. F2: These shares represent Class B common stock held by GX Sponsor II LLC (the "Sponsor") acquired pursuant to a subscription agreement by and between the Sponsor and the issuer. The Class B common stock owned by the Sponsor includes up to 1,125,000 shares that are subject to forfeiture in the event the underwriters of the issuer's initial public offering do not exercise in full their over-allotment option as described in the issuer's registration statement. F3: Mr. Kehler, Co-Chief Executive Officer and Chairman of the issuer, is a managing member of the Sponsor and has voting and investment discretion with respect to the securities held by the Sponsor. As such, Mr. Kehler may be deemed to share beneficial ownership of the shares of Class B common stock held directly by the Sponsor. Mr. Kehler disclaims any beneficial ownership of the reported shares other than to the extent of any pecuniary interest he may have therein, directly or indirectly.

Filing footnotes · ownership attribution and instrument terms

F1: As described in the issuer's registration statement on Form S-1 (File No. 333-253390) under the heading "Description of Securities--Founder Shares", the shares of Class B common stock will automatically convert into shares of Class A common stock at the time of the issuer's initial business combination, or at any time prior thereto at the option of the holder, on a one-for-one basis, subject to certain adjustments described therein and have no expiration date.

F2: These shares represent Class B common stock held by GX Sponsor II LLC (the "Sponsor") acquired pursuant to a subscription agreement by and between the Sponsor and the issuer. The Class B common stock owned by the Sponsor includes up to 1,125,000 shares that are subject to forfeiture in the event the underwriters of the issuer's initial public offering do not exercise in full their over-allotment option as described in the issuer's registration statement.

F3: Mr. Kehler, Co-Chief Executive Officer and Chairman of the issuer, is a managing member of the Sponsor and has voting and investment discretion with respect to the securities held by the Sponsor. As such, Mr. Kehler may be deemed to share beneficial ownership of the shares of Class B common stock held directly by the Sponsor. Mr. Kehler disclaims any beneficial ownership of the reported shares other than to the extent of any pecuniary interest he may have therein, directly or indirectly.

NIOCORP DEVELOPMENTS LTD

Report date December 15, 2025 · Filed December 15, 2025

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common SharesSEC Table I · non-derivative	Direct	212,583	Reported balance After 2025-12-15 transaction · row 1 1 source row Row 1 · 2025-12-15 · Other · Acquired 78,003 · Balance 212,583
Common Share Purchase Warrant (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $3.54 · Expires 2025-12-22	Direct	0	Reported balance After 2025-12-15 transaction · row 2 Instrument identity requires review; Table II rows are not merged. 1 source row Row 2 · 2025-12-15 · Other · Disposed 78,003 · Balance 0

Past disclosures · reporting ended (1)

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

El Pollo Loco Holdings, Inc.

Report date March 28, 2023 · Filed March 28, 2023

Jointly reported with Trimaran Capital, L.L.C., Bloom Jay R, Trimaran Pollo Partners, L.L.C.

Section 16 reporting ended · disclosed 2023-03-28. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectSee footnote	95,602	Reported balance After 2023-03-28 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2023-03-28 · Other · Disposed 11,116,638 · Balance 95,602 F1: Trimaran Pollo Partners, L.L.C. distributed these shares to all of its members on a ratable basis, for no consideration. F2: Represents shares held directly by Trimaran Pollo Partners, L.L.C. Trimaran Capital, L.L.C. is the managing member of Trimaran Pollo Partners, L.L.C. Mr. Bloom and Mr. Kehler are the managing members of Trimaran Capital, L.L.C. Each of Trimaran Capital, L.L.C., Mr. Bloom and Mr. Kehler may be deemed a beneficial owner of shares of the issuer's common stock held by Trimaran Pollo Partners, L.L.C., but disclaims beneficial ownership thereof, except to the extent of its or respective pecuniary interest therein.
Common StockSEC Table I · non-derivative	IndirectSee footnote	5,182,564	Reported balance After 2023-03-28 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 2 · 2023-03-28 · Other · Acquired 5,182,564 · Balance 5,182,564 F3: Represents shares received by Trimaran Fund II, L.L.C., Trimaran Parallel Fund II, L.P., and Trimaran Capital, L.L.C in a ratable distribution by Trimaran Pollo Partners, L.L.C. for no consideration. F4: Represents shares held directly by Trimaran Capital, L.L.C., Trimaran Fund II, L.L.C. and Trimaran Parallel Fund II, L.P. Trimaran Investments II, L.L.C. is the special member of Trimaran Fund II, L.L.C. and the special limited partner of Trimaran Parallel Fund II, L.P. Mr. Bloom and Mr. Kehler are the managing members of Trimaran Capital, L.L.C. and Trimaran Investments II, L.L.C. Each of Mr. Bloom and Mr. Kehler may be deemed a beneficial owner of shares of the issuer's common stock held by Trimaran Capital, L.L.C., Trimaran Fund II, L.L.C. and Trimaran Parallel Fund II, L.P., but disclaims beneficial ownership thereof, except to the extent of his respective pecuniary interest therein.
Common StockSEC Table I · non-derivative	IndirectSee footnote	382,412	Reported balance After 2023-03-28 transaction · row 3 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 3 · 2023-03-28 · Other · Disposed 4,800,152 · Balance 382,412 F5: Trimaran Fund II, L.L.C., Trimaran Parallel Fund II, L.P., and Trimaran Capital L.L.C distributed these shares to all of their members and limited partners, as applicable, on a ratable basis, for no consideration. Includes 11,433 shares distributed to Trimaran Investments II, L.L.C., 69,620 shares distributed to Mr. Kehler and 69,620 shares distributed to Mr. Bloom. F4: Represents shares held directly by Trimaran Capital, L.L.C., Trimaran Fund II, L.L.C. and Trimaran Parallel Fund II, L.P. Trimaran Investments II, L.L.C. is the special member of Trimaran Fund II, L.L.C. and the special limited partner of Trimaran Parallel Fund II, L.P. Mr. Bloom and Mr. Kehler are the managing members of Trimaran Capital, L.L.C. and Trimaran Investments II, L.L.C. Each of Mr. Bloom and Mr. Kehler may be deemed a beneficial owner of shares of the issuer's common stock held by Trimaran Capital, L.L.C., Trimaran Fund II, L.L.C. and Trimaran Parallel Fund II, L.P., but disclaims beneficial ownership thereof, except to the extent of his respective pecuniary interest therein.

Filing footnotes · ownership attribution and instrument terms

F1: Trimaran Pollo Partners, L.L.C. distributed these shares to all of its members on a ratable basis, for no consideration.

F2: Represents shares held directly by Trimaran Pollo Partners, L.L.C. Trimaran Capital, L.L.C. is the managing member of Trimaran Pollo Partners, L.L.C. Mr. Bloom and Mr. Kehler are the managing members of Trimaran Capital, L.L.C. Each of Trimaran Capital, L.L.C., Mr. Bloom and Mr. Kehler may be deemed a beneficial owner of shares of the issuer's common stock held by Trimaran Pollo Partners, L.L.C., but disclaims beneficial ownership thereof, except to the extent of its or respective pecuniary interest therein.

F3: Represents shares received by Trimaran Fund II, L.L.C., Trimaran Parallel Fund II, L.P., and Trimaran Capital, L.L.C in a ratable distribution by Trimaran Pollo Partners, L.L.C. for no consideration.

F4: Represents shares held directly by Trimaran Capital, L.L.C., Trimaran Fund II, L.L.C. and Trimaran Parallel Fund II, L.P. Trimaran Investments II, L.L.C. is the special member of Trimaran Fund II, L.L.C. and the special limited partner of Trimaran Parallel Fund II, L.P. Mr. Bloom and Mr. Kehler are the managing members of Trimaran Capital, L.L.C. and Trimaran Investments II, L.L.C. Each of Mr. Bloom and Mr. Kehler may be deemed a beneficial owner of shares of the issuer's common stock held by Trimaran Capital, L.L.C., Trimaran Fund II, L.L.C. and Trimaran Parallel Fund II, L.P., but disclaims beneficial ownership thereof, except to the extent of his respective pecuniary interest therein.

F5: Trimaran Fund II, L.L.C., Trimaran Parallel Fund II, L.P., and Trimaran Capital L.L.C distributed these shares to all of their members and limited partners, as applicable, on a ratable basis, for no consideration. Includes 11,433 shares distributed to Trimaran Investments II, L.L.C., 69,620 shares distributed to Mr. Kehler and 69,620 shares distributed to Mr. Bloom.

Transaction history

JSON API

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

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

Transaction date	Company	Activity / security	Shares / units	Reported price	Reported value	Details
May 18, 2026 Filed May 19, 2026 14:12 UTC	BCP Investment Corp BCIC · Entity 6796	SaleCommon Stock	15,000	$7.64	$114,667.50	Disclosure SEC source: 0001193125-26-229871 · ownership.xml · nonDerivative · entry 1 Kehler Dean C · CIK 0001322745 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 5,649 F1 · price: These shares were sold in multiple transactions at prices ranging from $7.60 to $7.69, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. Read SEC document
March 23, 2026 Filed Mar 24, 2026 18:47 UTC	BCP Investment Corp BCIC · Entity 6796	SaleCommon Stock	37,100	$7.38	$273,694.12	Disclosure SEC source: 0001193125-26-121542 · ownership.xml · nonDerivative · entry 1 Kehler Dean C · CIK 0001322745 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 20,649 F1 · price: These shares were sold in multiple transactions at prices ranging from $7.36 to $7.42, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. Read SEC document
March 19, 2026 Filed Mar 20, 2026 00:06 UTC	BCP Investment Corp BCIC · Entity 6796	SaleCommon Stock	27,378	$7.60	$208,171.36	Disclosure SEC source: 0001193125-26-116441 · ownership.xml · nonDerivative · entry 3 Kehler Dean C · CIK 0001322745 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 57,749 F3 · price: These shares were sold in multiple transactions at prices ranging from $7.51 to $7.80, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. Read SEC document
March 18, 2026 Filed Mar 20, 2026 00:06 UTC	BCP Investment Corp BCIC · Entity 6796	SaleCommon Stock	3,089	$8.02	$24,781.81	Disclosure SEC source: 0001193125-26-116441 · ownership.xml · nonDerivative · entry 2 Kehler Dean C · CIK 0001322745 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · By Individual Retirement Account Disclosed balance after: 85,127 F2 · price: These shares were sold in multiple transactions at prices ranging from $8.00 to $8.05, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. Read SEC document
March 18, 2026 Filed Mar 20, 2026 00:06 UTC	BCP Investment Corp BCIC · Entity 6796	SaleCommon Stock	23,000	$7.97	$183,381.30	Disclosure SEC source: 0001193125-26-116441 · ownership.xml · nonDerivative · entry 1 Kehler Dean C · CIK 0001322745 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 85,127 F1 · price: These shares were sold in multiple transactions at prices ranging from $7.92 to $8.00, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. Read SEC document
March 12, 2026 Filed Mar 13, 2026 20:02 UTC	BCP Investment Corp BCIC · Entity 6796	SaleCommon Stock	500	$8.80	$4,400.00	Disclosure SEC source: 0001193125-26-106093 · ownership.xml · nonDerivative · entry 4 Kehler Dean C · CIK 0001322745 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · By Individal Retirement Account Disclosed balance after: 111,216 Read SEC document
March 12, 2026 Filed Mar 13, 2026 20:02 UTC	BCP Investment Corp BCIC · Entity 6796	SaleCommon Stock	16,200	$8.84	$143,162.64	Disclosure SEC source: 0001193125-26-106093 · ownership.xml · nonDerivative · entry 3 Kehler Dean C · CIK 0001322745 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 111,216 F3 · price: These shares were sold in multiple transactions at prices ranging from $8.77 to $8.86, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. Read SEC document
March 11, 2026 Filed Mar 13, 2026 20:02 UTC	BCP Investment Corp BCIC · Entity 6796	SaleCommon Stock	854	$9.02	$7,704.87	Disclosure SEC source: 0001193125-26-106093 · ownership.xml · nonDerivative · entry 2 Kehler Dean C · CIK 0001322745 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · By Individual Retirement Account Disclosed balance after: 127,916 F2 · price: These shares were sold in multiple transactions at prices ranging from $9.00 to $9.07, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. Read SEC document
March 11, 2026 Filed Mar 13, 2026 20:02 UTC	BCP Investment Corp BCIC · Entity 6796	SaleCommon Stock	9,000	$9.04	$81,352.80	Disclosure SEC source: 0001193125-26-106093 · ownership.xml · nonDerivative · entry 1 Kehler Dean C · CIK 0001322745 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 127,916 F1 · price: These shares were sold in multiple transactions at prices ranging from $9.01 to $9.10, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. Read SEC document
December 29, 2025 Filed Dec 30, 2025 21:49 UTC	BCP Investment Corp BCIC · Entity 6796	SaleCommon Stock	28,673	$11.86	$339,927.02	Disclosure SEC source: 0001193125-25-337208 · ownership.xml · nonDerivative · entry 2 Kehler Dean C · CIK 0001322745 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · By Individual Retirement Account Disclosed balance after: 137,770 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $11.7714 to $11.98, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. F2 · price: Due to an operational error concerning the tendering of shares, the shares should have been tendered at a price of $13.63, which is the tender offer price. Read SEC document
December 29, 2025 Filed Dec 30, 2025 21:49 UTC	BCP Investment Corp BCIC · Entity 6796	SaleCommon Stock	957	$11.90	$11,388.30	Disclosure SEC source: 0001193125-25-337208 · ownership.xml · nonDerivative · entry 1 Kehler Dean C · CIK 0001322745 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 137,770 Read SEC document
December 15, 2025 Filed Dec 15, 2025 21:19 UTC	NIOCORP DEVELOPMENTS LTD NB · Entity 5368	OtherCommon Share Purchase Warrant (right to buy) · Derivative	78,003	$0.00 Strike: $3.54	$0.00	Disclosure SEC source: 0001539497-25-003295 · ownership.xml · derivative · entry 2 Kehler Dean C · CIK 0001322745 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Shares · 78,003 shares Expires 2025-12-22 Read SEC document
December 15, 2025 Filed Dec 15, 2025 21:19 UTC	NIOCORP DEVELOPMENTS LTD NB · Entity 5368	OtherCommon Shares	78,003	$3.54	$276,130.62	Disclosure SEC source: 0001539497-25-003295 · ownership.xml · nonDerivative · entry 1 Kehler Dean C · CIK 0001322745 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 212,583 Read SEC document
August 18, 2025 Filed Aug 20, 2025 20:44 UTC	NIOCORP DEVELOPMENTS LTD NB · Entity 5368	GrantDirector Stock Option (Right to Buy) · Derivative	50,000	$0.00 Strike: $4.35	$0.00	Disclosure SEC source: 0001539497-25-002201 · ownership.xml · derivative · entry 1 Kehler Dean C · CIK 0001322745 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 50,000 Underlying: Common Shares · 50,000 shares Expires 2030-08-19 F1 · derivative.exercise_date: 34% of the options vested on the grant date and the remainder will vest in equal installments on each anniversary of the grant date until August 18, 2027. Read SEC document
December 23, 2024 Filed Dec 23, 2024 21:32 UTC	NIOCORP DEVELOPMENTS LTD NB · Entity 5368	GrantDirector Stock Option (Right to Buy) · Derivative	50,000	$0.00 Strike: $1.40	$0.00	Disclosure SEC source: 0001539497-24-002711 · ownership.xml · derivative · entry 1 Kehler Dean C · CIK 0001322745 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 50,000 Underlying: Common Shares · 50,000 shares Expires 2029-12-21 Read SEC document
December 19, 2024 Filed Jan 6, 2025 21:54 UTC	Celularity Inc CELU · Entity 7145	GrantStock Option (Right to Buy) · Derivative	84,746	$0.00 Strike: $2.23	$0.00	Disclosure SEC source: 0001493152-25-001036 · ownership.xml · derivative · entry 2 Kehler Dean C · CIK 0001322745 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 362,524 Underlying: Class A Common Stock · 84,746 shares Expires 2034-12-19 F3 · derivative.exercise_date: This option was granted under the 2021 Plan and shall vest and become exercisable on the earlier of the one-year anniversary of the date of grant, December 19, 2024, and the next annual stockholder meeting, subject to the Reporting Person's continuous service with the Issuer through such date. Read SEC document
December 19, 2024 Filed Jan 6, 2025 21:54 UTC	Celularity Inc CELU · Entity 7145	GrantClass A Common Stock	67,416	$0.00	$0.00	Disclosure SEC source: 0001493152-25-001036 · ownership.xml · nonDerivative · entry 1 Kehler Dean C · CIK 0001322745 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 303,482 F1 · shares: These shares represent restricted stock units ("RSUs") granted under the Celularity Inc. 2021 Equity Incentive Plan (the "2021 Plan"), with each RSU representing a right to receive one share of the Issuer's Class A common stock. The RSUs shall vest and become exercisable on the earlier of the one-year anniversary of the date of grant, December 19, 2024, and the next annual stockholder meeting, subject to the Reporting Person's continuous service with the Issuer through such date. F2 · balance_after: Includes 67,416 RSUs granted under the 2021 Plan, with each RSU representing a right to receive one share of the Issuer's Class A common stock. The RSUs shall vest and become exercisable on the earlier of the one-year anniversary of the date of grant, December 19, 2024, and the next annual stockholder meeting, subject to the Reporting Person's continuous service with the Issuer through such date. Read SEC document
November 13, 2024 Filed Nov 13, 2024 21:30 UTC	NIOCORP DEVELOPMENTS LTD NB · Entity 5368	PurchaseCommon Shares Purchase Warrant (right to buy) · Derivative	28,288	Not disclosed Strike: $2.07	Not disclosed	Disclosure SEC source: 0001539497-24-002413 · ownership.xml · derivative · entry 3 Kehler Dean C · CIK 0001322745 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 28,288 Underlying: Common Shares · 28,288 shares Expires 2029-11-13 F2 · price: On November 13, 2023, the reporting person purchased 56,577 units (each, a "Unit") from NioCorp Developments Ltd. (the "Issuer") in a private placement. Each Unit consists of one common share, without par value (a "Common Share"), of the Issuer, one warrant to purchase one Common Share (a "Series A Warrant") and one-half of one warrant to purchase one Common Share (together with the Series A Warrants, the "Warrants"). The price per Unit was $1.7675, which amount includes $0.125 per Warrant underlying each Unit. F3 · derivative.exercise_date: Exercisable beginning six months and one day from the issue date on May 14, 2025. Read SEC document
November 13, 2024 Filed Nov 13, 2024 21:30 UTC	NIOCORP DEVELOPMENTS LTD NB · Entity 5368	PurchaseCommon Shares Purchase Warrant (right to buy) · Derivative	56,577	Not disclosed Strike: $1.75	Not disclosed	Disclosure SEC source: 0001539497-24-002413 · ownership.xml · derivative · entry 2 Kehler Dean C · CIK 0001322745 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 56,577 Underlying: Common Shares · 56,577 shares Expires 2026-11-13 F2 · price: On November 13, 2023, the reporting person purchased 56,577 units (each, a "Unit") from NioCorp Developments Ltd. (the "Issuer") in a private placement. Each Unit consists of one common share, without par value (a "Common Share"), of the Issuer, one warrant to purchase one Common Share (a "Series A Warrant") and one-half of one warrant to purchase one Common Share (together with the Series A Warrants, the "Warrants"). The price per Unit was $1.7675, which amount includes $0.125 per Warrant underlying each Unit. F1 · derivative.exercise_date: Exercisable immediately on the issue date. Read SEC document
November 13, 2024 Filed Nov 13, 2024 21:30 UTC	NIOCORP DEVELOPMENTS LTD NB · Entity 5368	PurchaseCommon Shares	56,577	Not disclosed	Not disclosed	Disclosure SEC source: 0001539497-24-002413 · ownership.xml · nonDerivative · entry 1 Kehler Dean C · CIK 0001322745 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 134,580 F1 · price: Exercisable immediately on the issue date. Read SEC document
February 15, 2024 Filed Feb 15, 2024 22:01 UTC	NIOCORP DEVELOPMENTS LTD NB · Entity 5368	GrantDirector Stock Option (Right to Buy) · Derivative	50,000	$0.00 Strike: $2.99	$0.00	Disclosure SEC source: 0001539497-24-000514 · ownership.xml · derivative · entry 1 Kehler Dean C · CIK 0001322745 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 50,000 Underlying: Common Shares · 50,000 shares Expires 2029-02-15 Read SEC document
December 22, 2023 Filed Dec 22, 2023 21:00 UTC	NIOCORP DEVELOPMENTS LTD NB · Entity 5368	PurchaseCommon Share Purchase Warrant (right to buy) · Derivative	78,003	Not disclosed Strike: $3.54	Not disclosed	Disclosure SEC source: 0001539497-23-002244 · ownership.xml · derivative · entry 2 Kehler Dean C · CIK 0001322745 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 78,003 Underlying: Common Shares · 78,003 shares Expires 2025-12-22 F1 · price: On December 22, 2023, the reporting person purchased 78,003 units (each, a "Unit") from NioCorp Developments Ltd. (the "Issuer") in a private placement. Each Unit consists of one common share, without par value (a "Common Share"), of the Issuer and one warrant (a "Warrant") to purchase one Common Share. The price per Unit was $3.205, which amount includes $0.125 per Warrant underlying each Unit. Read SEC document
December 22, 2023 Filed Dec 22, 2023 21:00 UTC	NIOCORP DEVELOPMENTS LTD NB · Entity 5368	PurchaseCommon Shares	78,003	Not disclosed	Not disclosed	Disclosure SEC source: 0001539497-23-002244 · ownership.xml · nonDerivative · entry 1 Kehler Dean C · CIK 0001322745 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 78,003 F1 · price: On December 22, 2023, the reporting person purchased 78,003 units (each, a "Unit") from NioCorp Developments Ltd. (the "Issuer") in a private placement. Each Unit consists of one common share, without par value (a "Common Share"), of the Issuer and one warrant (a "Warrant") to purchase one Common Share. The price per Unit was $3.205, which amount includes $0.125 per Warrant underlying each Unit. Read SEC document
June 14, 2023 Filed Jun 17, 2023 01:03 UTC	Celularity Inc CELU · Entity 7145	GrantStock Option (Right to Buy) · Derivative	277,778	$0.00 Strike: $0.75	$0.00	Disclosure SEC source: 0000899243-23-015881 · doc4.xml · derivative · entry 2 Kehler Dean C · CIK 0001322745 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 277,778 Underlying: Class A Common Stock · 277,778 shares Expires 2033-06-14 F3 · derivative.exercise_date: This option was granted under the 2021 Plan and shall vest and become exercisable on the earlier of the one-year anniversary of the date of grant, June 14, 2023, and the next annual stockholder meeting, subject to the Reporting Person's continuous service with the Issuer through such date. Read SEC document
June 14, 2023 Filed Jun 17, 2023 01:03 UTC	Celularity Inc CELU · Entity 7145	GrantClass A Common Stock	199,921	$0.00	$0.00	Disclosure SEC source: 0000899243-23-015881 · doc4.xml · nonDerivative · entry 1 Kehler Dean C · CIK 0001322745 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 236,066 F1 · shares: These shares represent restricted stock units ("RSUs") granted under the Celularity Inc. 2021 Equity Incentive Plan (the "2021 Plan"), with each RSU representing a right to receive one share of the Issuer's Class A common stock. The RSUs shall vest and become exercisable on the earlier of the one-year anniversary of the date of grant, June 14, 2023, and the next annual stockholder meeting, subject to the Reporting Person's continuous service with the Issuer through such date. F2 · balance_after: Includes 199,921 RSUs granted under the 2021 Plan, with each RSU representing a right to receive one share of the Issuer's Class A common stock. The RSUs shall vest and become exercisable on the earlier of the one-year anniversary of the date of grant, June 14, 2023, and the next annual stockholder meeting, subject to the Reporting Person's continuous service with the Issuer through such date. Read SEC document
March 28, 2023 Filed Mar 28, 2023 16:50 UTC	El Pollo Loco Holdings, Inc. LOCO · Entity 5532	OtherCommon Stock	4,800,152	$0.00	$0.00	Disclosure SEC source: 0001209191-23-021419 · doc4.xml · nonDerivative · entry 3 Kehler Dean C · CIK 0001322745 · 10% owner Trimaran Capital, L.L.C. · CIK 0001322395 · 10% owner Bloom Jay R · CIK 0001322747 · 10% owner Trimaran Pollo Partners, L.L.C. · CIK 0001376508 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See footnote Disclosed balance after: 382,412 F5 · kind: Trimaran Fund II, L.L.C., Trimaran Parallel Fund II, L.P., and Trimaran Capital L.L.C distributed these shares to all of their members and limited partners, as applicable, on a ratable basis, for no consideration. Includes 11,433 shares distributed to Trimaran Investments II, L.L.C., 69,620 shares distributed to Mr. Kehler and 69,620 shares distributed to Mr. Bloom. F4 · ownership.nature: Represents shares held directly by Trimaran Capital, L.L.C., Trimaran Fund II, L.L.C. and Trimaran Parallel Fund II, L.P. Trimaran Investments II, L.L.C. is the special member of Trimaran Fund II, L.L.C. and the special limited partner of Trimaran Parallel Fund II, L.P. Mr. Bloom and Mr. Kehler are the managing members of Trimaran Capital, L.L.C. and Trimaran Investments II, L.L.C. Each of Mr. Bloom and Mr. Kehler may be deemed a beneficial owner of shares of the issuer's common stock held by Trimaran Capital, L.L.C., Trimaran Fund II, L.L.C. and Trimaran Parallel Fund II, L.P., but disclaims beneficial ownership thereof, except to the extent of his respective pecuniary interest therein. Read SEC document
March 28, 2023 Filed Mar 28, 2023 16:50 UTC	El Pollo Loco Holdings, Inc. LOCO · Entity 5532	OtherCommon Stock	5,182,564	$0.00	$0.00	Disclosure SEC source: 0001209191-23-021419 · doc4.xml · nonDerivative · entry 2 Kehler Dean C · CIK 0001322745 · 10% owner Trimaran Capital, L.L.C. · CIK 0001322395 · 10% owner Bloom Jay R · CIK 0001322747 · 10% owner Trimaran Pollo Partners, L.L.C. · CIK 0001376508 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See footnote Disclosed balance after: 5,182,564 F3 · kind: Represents shares received by Trimaran Fund II, L.L.C., Trimaran Parallel Fund II, L.P., and Trimaran Capital, L.L.C in a ratable distribution by Trimaran Pollo Partners, L.L.C. for no consideration. F4 · ownership.nature: Represents shares held directly by Trimaran Capital, L.L.C., Trimaran Fund II, L.L.C. and Trimaran Parallel Fund II, L.P. Trimaran Investments II, L.L.C. is the special member of Trimaran Fund II, L.L.C. and the special limited partner of Trimaran Parallel Fund II, L.P. Mr. Bloom and Mr. Kehler are the managing members of Trimaran Capital, L.L.C. and Trimaran Investments II, L.L.C. Each of Mr. Bloom and Mr. Kehler may be deemed a beneficial owner of shares of the issuer's common stock held by Trimaran Capital, L.L.C., Trimaran Fund II, L.L.C. and Trimaran Parallel Fund II, L.P., but disclaims beneficial ownership thereof, except to the extent of his respective pecuniary interest therein. Read SEC document
March 28, 2023 Filed Mar 28, 2023 16:50 UTC	El Pollo Loco Holdings, Inc. LOCO · Entity 5532	OtherCommon Stock	11,116,638	$0.00	$0.00	Disclosure SEC source: 0001209191-23-021419 · doc4.xml · nonDerivative · entry 1 Kehler Dean C · CIK 0001322745 · 10% owner Trimaran Capital, L.L.C. · CIK 0001322395 · 10% owner Bloom Jay R · CIK 0001322747 · 10% owner Trimaran Pollo Partners, L.L.C. · CIK 0001376508 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See footnote Disclosed balance after: 95,602 F1 · kind: Trimaran Pollo Partners, L.L.C. distributed these shares to all of its members on a ratable basis, for no consideration. F2 · ownership.nature: Represents shares held directly by Trimaran Pollo Partners, L.L.C. Trimaran Capital, L.L.C. is the managing member of Trimaran Pollo Partners, L.L.C. Mr. Bloom and Mr. Kehler are the managing members of Trimaran Capital, L.L.C. Each of Trimaran Capital, L.L.C., Mr. Bloom and Mr. Kehler may be deemed a beneficial owner of shares of the issuer's common stock held by Trimaran Pollo Partners, L.L.C., but disclaims beneficial ownership thereof, except to the extent of its or respective pecuniary interest therein. Read SEC document
March 17, 2023 Filed Mar 21, 2023 22:49 UTC	NIOCORP DEVELOPMENTS LTD NB · Entity 5368	GrantWarrants · Derivative	1,657,057	Not disclosed Strike: $10.28	Not disclosed	Disclosure SEC source: 0001539497-23-000474 · ownership.xml · derivative · entry 3 Kehler Dean C · CIK 0001322745 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,657,057 Underlying: Common Shares · 1,853,073 shares Expires not disclosed F7 · derivative.exercise_price: Each warrant is exercisable for 1.118292212 common shares of the Issuer, such that an aggregate of 1,657,057 warrants are exercisable for an aggregate of 1,853,073 common shares, with an aggregate exercise price of $19,056,155.50 (or approximately $10.284 per share). F2 · kind: On March 17, 2023, the Issuer consummated the business combination ("Business Combination") contemplated by the Business Combination Agreement, dated as of September 25, 2022, as amended (the "Business Combination Agreement"), entered into by and among GX Acquisiton Corp. II, the Issuer, and Big Red Merger Sub Ltd, a wholly owned subsidiary of the Issuer. After the closing of the Business Combination, GX Acquisiton Corp. II changed its name to "Elk Creek Resources Corp." GX Sponsor II LLC ("Sponsor") acquired Issuer securities and derivatives thereof in the Business Combination on behalf of its members, which were then immediately distributed to Sponsor's members, including the reporting person, on a pro rata basis for no consideration. The reporting person is a managing member of Sponsor with shared voting and investment discretion with respect to securities held of record by Sponsor, and therefore, previously indirectly beneficially owned these securities through Sponsor. F7 · shares: Each warrant is exercisable for 1.118292212 common shares of the Issuer, such that an aggregate of 1,657,057 warrants are exercisable for an aggregate of 1,853,073 common shares, with an aggregate exercise price of $19,056,155.50 (or approximately $10.284 per share). F2 · price: On March 17, 2023, the Issuer consummated the business combination ("Business Combination") contemplated by the Business Combination Agreement, dated as of September 25, 2022, as amended (the "Business Combination Agreement"), entered into by and among GX Acquisiton Corp. II, the Issuer, and Big Red Merger Sub Ltd, a wholly owned subsidiary of the Issuer. After the closing of the Business Combination, GX Acquisiton Corp. II changed its name to "Elk Creek Resources Corp." GX Sponsor II LLC ("Sponsor") acquired Issuer securities and derivatives thereof in the Business Combination on behalf of its members, which were then immediately distributed to Sponsor's members, including the reporting person, on a pro rata basis for no consideration. The reporting person is a managing member of Sponsor with shared voting and investment discretion with respect to securities held of record by Sponsor, and therefore, previously indirectly beneficially owned these securities through Sponsor. F6 · derivative.exercise_date: The warrants may be exercised commencing 30 days after the consummation of the Business Combination and expire five years after the consummation of the Business Combination or earlier upon redemption. F6 · derivative.expiration_date: The warrants may be exercised commencing 30 days after the consummation of the Business Combination and expire five years after the consummation of the Business Combination or earlier upon redemption. F7 · derivative.underlying_shares: Each warrant is exercisable for 1.118292212 common shares of the Issuer, such that an aggregate of 1,657,057 warrants are exercisable for an aggregate of 1,853,073 common shares, with an aggregate exercise price of $19,056,155.50 (or approximately $10.284 per share). F7 · balance_after: Each warrant is exercisable for 1.118292212 common shares of the Issuer, such that an aggregate of 1,657,057 warrants are exercisable for an aggregate of 1,853,073 common shares, with an aggregate exercise price of $19,056,155.50 (or approximately $10.284 per share). Read SEC document
March 17, 2023 Filed Mar 21, 2023 22:49 UTC	NIOCORP DEVELOPMENTS LTD NB · Entity 5368	GrantClass B Common Stock of Elk Creek Resources Corp. · Derivative	555,038	Not disclosed	Not disclosed	Disclosure SEC source: 0001539497-23-000474 · ownership.xml · derivative · entry 2 Kehler Dean C · CIK 0001322745 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · By trust Disclosed balance after: 555,038 Underlying: Common Shares · 555,038 shares Expires not disclosed F1 · derivative.exercise_price: These shares of Class B common stock of Elk Creek Resources Corp. (f/k/a GX Acquisiton Corp. II) ("Elk Class B Shares"), an indirect subsidiary of the Issuer, are exchangeable for the Issuer's common shares on a one-for-one basis. These shares have no expiration date. F2 · kind: On March 17, 2023, the Issuer consummated the business combination ("Business Combination") contemplated by the Business Combination Agreement, dated as of September 25, 2022, as amended (the "Business Combination Agreement"), entered into by and among GX Acquisiton Corp. II, the Issuer, and Big Red Merger Sub Ltd, a wholly owned subsidiary of the Issuer. After the closing of the Business Combination, GX Acquisiton Corp. II changed its name to "Elk Creek Resources Corp." GX Sponsor II LLC ("Sponsor") acquired Issuer securities and derivatives thereof in the Business Combination on behalf of its members, which were then immediately distributed to Sponsor's members, including the reporting person, on a pro rata basis for no consideration. The reporting person is a managing member of Sponsor with shared voting and investment discretion with respect to securities held of record by Sponsor, and therefore, previously indirectly beneficially owned these securities through Sponsor. F5 · shares: Includes 236,568 unvested Elk Class B Shares. F2 · price: On March 17, 2023, the Issuer consummated the business combination ("Business Combination") contemplated by the Business Combination Agreement, dated as of September 25, 2022, as amended (the "Business Combination Agreement"), entered into by and among GX Acquisiton Corp. II, the Issuer, and Big Red Merger Sub Ltd, a wholly owned subsidiary of the Issuer. After the closing of the Business Combination, GX Acquisiton Corp. II changed its name to "Elk Creek Resources Corp." GX Sponsor II LLC ("Sponsor") acquired Issuer securities and derivatives thereof in the Business Combination on behalf of its members, which were then immediately distributed to Sponsor's members, including the reporting person, on a pro rata basis for no consideration. The reporting person is a managing member of Sponsor with shared voting and investment discretion with respect to securities held of record by Sponsor, and therefore, previously indirectly beneficially owned these securities through Sponsor. F4 · derivative.exercise_date: Unvested Elk Class B Shars will vest if, from the closing of the Business Combination until the tenth anniversary thereof, the volume-weighted average price ("VWAP") of the Issuer's common shares exceeds certain thresholds as follows: (a) one-half will vest if the VWAP of the Issuer's common shares exceeds $12.50 for any 20 trading days within any 30 trading day period, and (b) the remaining half will vest if the VWAP of the Issuer's common shares exceeds $15.00 for any 20 trading days within any 30 trading day period. F4 · derivative.expiration_date: Unvested Elk Class B Shars will vest if, from the closing of the Business Combination until the tenth anniversary thereof, the volume-weighted average price ("VWAP") of the Issuer's common shares exceeds certain thresholds as follows: (a) one-half will vest if the VWAP of the Issuer's common shares exceeds $12.50 for any 20 trading days within any 30 trading day period, and (b) the remaining half will vest if the VWAP of the Issuer's common shares exceeds $15.00 for any 20 trading days within any 30 trading day period. Read SEC document
March 17, 2023 Filed Mar 21, 2023 22:49 UTC	NIOCORP DEVELOPMENTS LTD NB · Entity 5368	GrantClass B Common Stock of Elk Creek Resources Corp. · Derivative	1,956,880	Not disclosed	Not disclosed	Disclosure SEC source: 0001539497-23-000474 · ownership.xml · derivative · entry 1 Kehler Dean C · CIK 0001322745 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,956,880 Underlying: Common Shares · 1,956,880 shares Expires not disclosed F1 · derivative.exercise_price: These shares of Class B common stock of Elk Creek Resources Corp. (f/k/a GX Acquisiton Corp. II) ("Elk Class B Shares"), an indirect subsidiary of the Issuer, are exchangeable for the Issuer's common shares on a one-for-one basis. These shares have no expiration date. F2 · kind: On March 17, 2023, the Issuer consummated the business combination ("Business Combination") contemplated by the Business Combination Agreement, dated as of September 25, 2022, as amended (the "Business Combination Agreement"), entered into by and among GX Acquisiton Corp. II, the Issuer, and Big Red Merger Sub Ltd, a wholly owned subsidiary of the Issuer. After the closing of the Business Combination, GX Acquisiton Corp. II changed its name to "Elk Creek Resources Corp." GX Sponsor II LLC ("Sponsor") acquired Issuer securities and derivatives thereof in the Business Combination on behalf of its members, which were then immediately distributed to Sponsor's members, including the reporting person, on a pro rata basis for no consideration. The reporting person is a managing member of Sponsor with shared voting and investment discretion with respect to securities held of record by Sponsor, and therefore, previously indirectly beneficially owned these securities through Sponsor. F3 · shares: Includes 834,060 unvested Elk Class B Shares. F2 · price: On March 17, 2023, the Issuer consummated the business combination ("Business Combination") contemplated by the Business Combination Agreement, dated as of September 25, 2022, as amended (the "Business Combination Agreement"), entered into by and among GX Acquisiton Corp. II, the Issuer, and Big Red Merger Sub Ltd, a wholly owned subsidiary of the Issuer. After the closing of the Business Combination, GX Acquisiton Corp. II changed its name to "Elk Creek Resources Corp." GX Sponsor II LLC ("Sponsor") acquired Issuer securities and derivatives thereof in the Business Combination on behalf of its members, which were then immediately distributed to Sponsor's members, including the reporting person, on a pro rata basis for no consideration. The reporting person is a managing member of Sponsor with shared voting and investment discretion with respect to securities held of record by Sponsor, and therefore, previously indirectly beneficially owned these securities through Sponsor. F4 · derivative.exercise_date: Unvested Elk Class B Shars will vest if, from the closing of the Business Combination until the tenth anniversary thereof, the volume-weighted average price ("VWAP") of the Issuer's common shares exceeds certain thresholds as follows: (a) one-half will vest if the VWAP of the Issuer's common shares exceeds $12.50 for any 20 trading days within any 30 trading day period, and (b) the remaining half will vest if the VWAP of the Issuer's common shares exceeds $15.00 for any 20 trading days within any 30 trading day period. F4 · derivative.expiration_date: Unvested Elk Class B Shars will vest if, from the closing of the Business Combination until the tenth anniversary thereof, the volume-weighted average price ("VWAP") of the Issuer's common shares exceeds certain thresholds as follows: (a) one-half will vest if the VWAP of the Issuer's common shares exceeds $12.50 for any 20 trading days within any 30 trading day period, and (b) the remaining half will vest if the VWAP of the Issuer's common shares exceeds $15.00 for any 20 trading days within any 30 trading day period. Read SEC document
August 31, 2022 Filed Sep 2, 2022 16:31 UTC	El Pollo Loco Holdings, Inc. LOCO · Entity 5532	OtherCommon Stock	5,534,303	$0.00	$0.00	Disclosure SEC source: 0001209191-22-048513 · doc4.xml · nonDerivative · entry 1 Trimaran Pollo Partners, L.L.C. · CIK 0001376508 · 10% owner Trimaran Capital, L.L.C. · CIK 0001322395 · 10% owner Bloom Jay R · CIK 0001322747 · 10% owner Kehler Dean C · CIK 0001322745 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,212,241 F1 · kind: Trimaran Pollo Partners, L.L.C. distributed these shares to certain of its members on a ratable basis, for no consideration. F2 · ownership.direct: Trimaran Capital, L.L.C., is the managing member of Trimaran Pollo Partners, L.L.C. F3 · ownership.direct: Mr. Bloom and Mr. Kehler are the managing members of Trimaran Capital, L.L.C. Additionally, Mr. Kehler is a director of the issuer. Each of Trimaran Capital, L.L.C., Mr. Bloom, and Mr. Kehler may be deemed a beneficial owner of shares of the issuer's common stock held by Trimaran Pollo Partners, L.L.C., but disclaims beneficial ownership thereof, except to the extent of its or his respective pecuniary interest therein. Read SEC document
July 13, 2022 Filed Jul 16, 2022 01:08 UTC	Celularity Inc CELU · Entity 7145	GrantStock Option (Right to Buy) · Derivative	54,152	$0.00 Strike: $4.15	$0.00	Disclosure SEC source: 0000899243-22-026198 · doc4.xml · derivative · entry 2 Kehler Dean C · CIK 0001322745 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 54,152 Underlying: Class A Common Stock · 54,152 shares Expires 2032-07-13 F2 · derivative.exercise_date: This option is granted under the Issuer's 2021 Plan and shall vest and become exercisable on the earlier of the one-year anniversary of the date of grant, July 13, 2022, and the next annual stockholder meeting, subject to the Reporting Person's continuous service with the Issuer through such date. Read SEC document
July 13, 2022 Filed Jul 16, 2022 01:08 UTC	Celularity Inc CELU · Entity 7145	GrantClass A Common Stock	36,145	$0.00	$0.00	Disclosure SEC source: 0000899243-22-026198 · doc4.xml · nonDerivative · entry 1 Kehler Dean C · CIK 0001322745 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,145 F1 · shares: These shares represent restricted stock units ("RSUs") granted under the Celularity Inc. 2021 Equity Incentive Plan (the "2021 Plan"), with each RSU representing a right to receive one share of the Issuer's Class A common stock. The RSUs is shall vest and become exercisable on the earlier of the one-year anniversary of the date of grant, July 13, 2022, and the next annual stockholder meeting, subject to the Reporting Person's continuous service with the Issuer through such date. Read SEC document
May 10, 2022 Filed May 12, 2022 20:29 UTC	El Pollo Loco Holdings, Inc. LOCO · Entity 5532	GrantCommon Stock	5,693	$0.00	$0.00	Disclosure SEC source: 0001415889-22-004909 · form4-05122022_010557.xml · nonDerivative · entry 1 Kehler Dean C · CIK 0001322745 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,448 F1 · shares: Consists of restricted shares granted under the Equity Incentive Plan, vesting in three equal installments in each of the first three anniversaries of the date of grant. Read SEC document
September 09, 2021 Filed Sep 13, 2021 22:01 UTC	Celularity Inc CELU · Entity 7145	GrantStock Option (Right to Buy) · Derivative	56,053	$0.00 Strike: $6.72	$0.00	Disclosure SEC source: 0001213900-21-047740 · ownership.xml · derivative · entry 1 Kehler Dean C · CIK 0001322745 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 56,053 Underlying: Class A Common Stock · 56,053 shares Expires 2031-09-09 F1 · derivative.exercise_date: This option shall vest and become exercisable on the earlier of the one-year anniversary of the date of grant, September 9, 2021, and the next annual stockholder meeting, subject to the Reporting Person's continuous service with the Issuer through each such date. Read SEC document
July 16, 2021 Filed Jul 21, 2021 01:33 UTC	Celularity Inc CELU · Entity 7145	OtherWarrants · Derivative	554,635	$1.00 Strike: $11.50	$554,635.00	Disclosure SEC source: 0001209191-21-047525 · doc4.xml · derivative · entry 9 Kehler Dean C · CIK 0001322745 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 554,635 Underlying: Class A Common Stock · 554,635 shares Expires not disclosed F12 · kind: Reflects warrants of the Issuer, which were acquired from the Issuer upon completion of the Business Combination as the repayment of $554,635 in promissory notes in connection with certain working capital loans. F8 · derivative.exercise_date: The warrants will become exercisable 30 days after the completion of the Business Combination. F9 · derivative.expiration_date: The warrants will expire on the fifth anniversary of the completion of the Business Combination. Read SEC document
July 16, 2021 Filed Jul 21, 2021 01:33 UTC	Celularity Inc CELU · Entity 7145	OtherWarrants · Derivative	7,000,000	Not disclosed Strike: $11.50	Not disclosed	Disclosure SEC source: 0001209191-21-047525 · doc4.xml · derivative · entry 7 Kehler Dean C · CIK 0001322745 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · GX Sponsor LLC Disclosed balance after: 0 Underlying: Class A Common Stock · 7,000,000 shares Expires not disclosed F10 · kind: Represents a pro rata distribution of Private Warrants to direct and indirect members of Sponsor. F10 · price: Represents a pro rata distribution of Private Warrants to direct and indirect members of Sponsor. F8 · derivative.exercise_date: The warrants will become exercisable 30 days after the completion of the Business Combination. F9 · derivative.expiration_date: The warrants will expire on the fifth anniversary of the completion of the Business Combination. F3 · ownership.nature: Sponsor is the record holder of these securities. Cooper Road, LLC (an entity controlled by Jay R. Bloom) and Dean C. Kehler are the managing members of Sponsor, and as such Messrs. Bloom and Kehler have voting and investment discretion with respect to the securities held of record by Sponsor and may be deemed to have shared beneficial ownership of the securities held directly by Sponsor. Each such entity or person disclaims any beneficial ownership of the reported securities other than to the extent of any pecuniary interest they may have therein, directly or indirectly. Read SEC document
July 16, 2021 Filed Jul 21, 2021 01:33 UTC	Celularity Inc CELU · Entity 7145	GrantWarrants · Derivative	7,000,000	$1.00 Strike: $11.50	$7,000,000.00	Disclosure SEC source: 0001209191-21-047525 · doc4.xml · derivative · entry 6 Kehler Dean C · CIK 0001322745 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · GX Sponsor LLC Disclosed balance after: 7,000,000 Underlying: Class A Common Stock · 7,000,000 shares Expires not disclosed F7 · kind: Reflects warrants of the Issuer ("Private Warrants"), which were acquired from the Issuer at a price of $1.00 per warrant in a private placement that closed simultaneously with the closing of the Issuer's initial public offering. These Private Warrants were later exchanged for warrants having the same terms, except that they are non-transferable other than to permitted transferees. Pursuant to the terms of the issuance, such warrants were not eligible to become exercisable unless the Issuer consummated its initial business combination, which occurred on July 16, 2021. F8 · derivative.exercise_date: The warrants will become exercisable 30 days after the completion of the Business Combination. F9 · derivative.expiration_date: The warrants will expire on the fifth anniversary of the completion of the Business Combination. F3 · ownership.nature: Sponsor is the record holder of these securities. Cooper Road, LLC (an entity controlled by Jay R. Bloom) and Dean C. Kehler are the managing members of Sponsor, and as such Messrs. Bloom and Kehler have voting and investment discretion with respect to the securities held of record by Sponsor and may be deemed to have shared beneficial ownership of the securities held directly by Sponsor. Each such entity or person disclaims any beneficial ownership of the reported securities other than to the extent of any pecuniary interest they may have therein, directly or indirectly. Read SEC document
July 16, 2021 Filed Jul 21, 2021 01:33 UTC	Celularity Inc CELU · Entity 7145	ConversionClass B Common Stock · Derivative	7,187,500	$0.00	$0.00	Disclosure SEC source: 0001209191-21-047525 · doc4.xml · derivative · entry 5 Kehler Dean C · CIK 0001322745 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · GX Sponsor LLC Disclosed balance after: 0 Underlying: Class A Common Stock · 7,187,500 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: On July 16, 2021, in connection with the consummation of the business combination (the "Business Combination") among GX Acquisition Corp. ("GX"), Alpha First Merger Sub Corp., Celularity LLC and Celularity Inc., pursuant to that certain Merger Agreement and Plan of Merger and Reorganization, dated January 8, 2021, each share of Class B common stock of GX held by GX Sponsor LLC ("Sponsor") automatically converted into one share of Class A common stock ("Common Stock") of Celularity Inc., formerly known as GX Acquisition Corp. (the "Issuer"). F1 · kind: On July 16, 2021, in connection with the consummation of the business combination (the "Business Combination") among GX Acquisition Corp. ("GX"), Alpha First Merger Sub Corp., Celularity LLC and Celularity Inc., pursuant to that certain Merger Agreement and Plan of Merger and Reorganization, dated January 8, 2021, each share of Class B common stock of GX held by GX Sponsor LLC ("Sponsor") automatically converted into one share of Class A common stock ("Common Stock") of Celularity Inc., formerly known as GX Acquisition Corp. (the "Issuer"). F1 · derivative.exercise_date: On July 16, 2021, in connection with the consummation of the business combination (the "Business Combination") among GX Acquisition Corp. ("GX"), Alpha First Merger Sub Corp., Celularity LLC and Celularity Inc., pursuant to that certain Merger Agreement and Plan of Merger and Reorganization, dated January 8, 2021, each share of Class B common stock of GX held by GX Sponsor LLC ("Sponsor") automatically converted into one share of Class A common stock ("Common Stock") of Celularity Inc., formerly known as GX Acquisition Corp. (the "Issuer"). F1 · derivative.expiration_date: On July 16, 2021, in connection with the consummation of the business combination (the "Business Combination") among GX Acquisition Corp. ("GX"), Alpha First Merger Sub Corp., Celularity LLC and Celularity Inc., pursuant to that certain Merger Agreement and Plan of Merger and Reorganization, dated January 8, 2021, each share of Class B common stock of GX held by GX Sponsor LLC ("Sponsor") automatically converted into one share of Class A common stock ("Common Stock") of Celularity Inc., formerly known as GX Acquisition Corp. (the "Issuer"). F3 · ownership.nature: Sponsor is the record holder of these securities. Cooper Road, LLC (an entity controlled by Jay R. Bloom) and Dean C. Kehler are the managing members of Sponsor, and as such Messrs. Bloom and Kehler have voting and investment discretion with respect to the securities held of record by Sponsor and may be deemed to have shared beneficial ownership of the securities held directly by Sponsor. Each such entity or person disclaims any beneficial ownership of the reported securities other than to the extent of any pecuniary interest they may have therein, directly or indirectly. Read SEC document
July 16, 2021 Filed Jul 21, 2021 01:33 UTC	Celularity Inc CELU · Entity 7145	OtherClass A Common Stock	7,087,500	$0.00	$0.00	Disclosure SEC source: 0001209191-21-047525 · doc4.xml · nonDerivative · entry 2 Kehler Dean C · CIK 0001322745 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · GX Sponsor LLC Disclosed balance after: 100,000 F4 · kind: Represents a pro rata distribution of Common Stock to direct and indirect members of Sponsor. F4 · price: Represents a pro rata distribution of Common Stock to direct and indirect members of Sponsor. F4 · balance_after: Represents a pro rata distribution of Common Stock to direct and indirect members of Sponsor. F3 · ownership.nature: Sponsor is the record holder of these securities. Cooper Road, LLC (an entity controlled by Jay R. Bloom) and Dean C. Kehler are the managing members of Sponsor, and as such Messrs. Bloom and Kehler have voting and investment discretion with respect to the securities held of record by Sponsor and may be deemed to have shared beneficial ownership of the securities held directly by Sponsor. Each such entity or person disclaims any beneficial ownership of the reported securities other than to the extent of any pecuniary interest they may have therein, directly or indirectly. Read SEC document
July 16, 2021 Filed Jul 21, 2021 01:33 UTC	Celularity Inc CELU · Entity 7145	ConversionClass A Common Stock	7,187,500	$0.00	$0.00	Disclosure SEC source: 0001209191-21-047525 · doc4.xml · nonDerivative · entry 1 Kehler Dean C · CIK 0001322745 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · GX Sponsor LLC Disclosed balance after: 7,187,500 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: On July 16, 2021, in connection with the consummation of the business combination (the "Business Combination") among GX Acquisition Corp. ("GX"), Alpha First Merger Sub Corp., Celularity LLC and Celularity Inc., pursuant to that certain Merger Agreement and Plan of Merger and Reorganization, dated January 8, 2021, each share of Class B common stock of GX held by GX Sponsor LLC ("Sponsor") automatically converted into one share of Class A common stock ("Common Stock") of Celularity Inc., formerly known as GX Acquisition Corp. (the "Issuer"). F1 · price: On July 16, 2021, in connection with the consummation of the business combination (the "Business Combination") among GX Acquisition Corp. ("GX"), Alpha First Merger Sub Corp., Celularity LLC and Celularity Inc., pursuant to that certain Merger Agreement and Plan of Merger and Reorganization, dated January 8, 2021, each share of Class B common stock of GX held by GX Sponsor LLC ("Sponsor") automatically converted into one share of Class A common stock ("Common Stock") of Celularity Inc., formerly known as GX Acquisition Corp. (the "Issuer"). F2 · balance_after: 25% of the shares are subject to vesting. Such shares shall vest on the first day that the volume weighted average price of the Common Stock on Nasdaq is at or above $12.00 for 20 trading days over a 30 consecutive trading day period immediately preceding such day. Shares that do not vest by July 15, 2031 will be forfeited. Vesting is subject to acceleration upon certain change of control events at the Issuer. F3 · ownership.nature: Sponsor is the record holder of these securities. Cooper Road, LLC (an entity controlled by Jay R. Bloom) and Dean C. Kehler are the managing members of Sponsor, and as such Messrs. Bloom and Kehler have voting and investment discretion with respect to the securities held of record by Sponsor and may be deemed to have shared beneficial ownership of the securities held directly by Sponsor. Each such entity or person disclaims any beneficial ownership of the reported securities other than to the extent of any pecuniary interest they may have therein, directly or indirectly. Read SEC document
May 12, 2021 Filed May 14, 2021 22:00 UTC	El Pollo Loco Holdings, Inc. LOCO · Entity 5532	GrantCommon Stock	3,419	$0.00	$0.00	Disclosure SEC source: 0001415889-21-002482 · form4-05142021_030520.xml · nonDerivative · entry 1 Kehler Dean C · CIK 0001322745 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,755 F1 · shares: Consists of restricted shares granted under the 2018 Omnibus Equity Incentive Plan, vesting in three equal installments on each of the first three anniversaries of the date of grant Read SEC document
May 06, 2020 Filed May 7, 2020 00:58 UTC	El Pollo Loco Holdings, Inc. LOCO · Entity 5532	GrantCommon Stock	4,818	$0.00	$0.00	Disclosure SEC source: 0001322745-20-000003 · wf-form4_158881309833819.xml · nonDerivative · entry 1 Kehler Dean C · CIK 0001322745 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,336 F1 · shares: Consists of restricted shares granted under the 2018 Omnibus Equity Incentive Plan, vesting in three equal installments on each of the first three anniversaries of the date of grant. Read SEC document
May 08, 2019 Filed May 10, 2019 22:38 UTC	El Pollo Loco Holdings, Inc. LOCO · Entity 5532	GrantCommon Stock	5,232	$0.00	$0.00	Disclosure SEC source: 0001628280-19-006603 · wf-form4_155752791376729.xml · nonDerivative · entry 1 Kehler Dean C · CIK 0001322745 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,518 F1 · shares: Consists of restricted shares granted under the 2018 Omnibus Equity Incentive Plan, vesting in three equal installments on each of the first three anniversaries of the date of grant. Read SEC document
August 08, 2018 Filed Aug 10, 2018 20:12 UTC	El Pollo Loco Holdings, Inc. LOCO · Entity 5532	GrantCommon Stock	5,286	$0.00	$0.00	Disclosure SEC source: 0001209191-18-046209 · doc4.xml · nonDerivative · entry 1 Kehler Dean C · CIK 0001322745 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,286 F1 · shares: Consists of Restricted Shares granted under the 2018 Omnibus Equity Incentive Plan, vesting in three equal installments on each of the first three anniversaries of the date of grant. Read SEC document
May 03, 2018 Filed May 3, 2018 21:17 UTC	BCP Investment Corp KCAP · Entity 6796	GrantCommon Stock	1,000	$0.00	$0.00	Disclosure SEC source: 0001144204-18-025141 · tv493014_4.xml · nonDerivative · entry 1 Kehler Dean C · CIK 0001322745 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,674,000 F1 · shares: Shares of restricted stock granted to the reporting person pursuant to the Company's 2017 Non-Employee Director Plan. Of these shares, 50% vested immediately on the grant date, and the remaining 50% will vest on the earlier of (i) the first anniversary of the grant date or (ii) the date immediately preceding the 2019 annual meeting of the Company's shareholders (or meeting in lieu of the Company's annual meeting of shareholders), and in certain other circumstances. Read SEC document
May 04, 2017 Filed May 4, 2017 20:22 UTC	BCP Investment Corp KCAP · Entity 6796	GrantCommon Stock	1,000	$0.00	$0.00	Disclosure SEC source: 0001144204-17-024547 · v466165_4.xml · nonDerivative · entry 1 Kehler Dean C · CIK 0001322745 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,673,000 F1 · shares: Shares of restricted stock granted to the reporting person pursuant to the Company's 2017 Non-Employee Director Plan. Of these shares, 50% vested immediately on the grant date, and the remaining 50% will vest on the earlier of (i) the first anniversary of the grant date or (ii) the date immediately preceding the 2018 annual meeting of the Company's shareholders (or meeting in lieu of the Company's annual meeting of shareholders), and in certain other circumstances. Read SEC document

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