McDonald Warren

SEC source: 0001437749-26-011113 · rdgdoc.xml · nonDerivative · entry 1

McDonald Warren · CIK 0001841232 · EVP & Chief Credit Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 14,195

SEC source: 0001437749-26-006727 · rdgdoc.xml · derivative · entry 4

McDonald Warren · CIK 0001841232 · EVP & Chief Credit Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 9,273

Underlying: Common Stock · 3,974 shares

Expires not disclosed

F3 · shares: Reflects the grant of 3,974 time-based restricted stock units granted to the reporting person on March 2, 2026, of which 1,324 shares will vest on March 2, 2027, 1,324 shares will vest on March 2, 2028, and the remaining 1,326 shares will vest on March 2, 2029. Each time-based restricted stock unit is economically equivalent to one share of common stock of the issuer.

F3 · price: Reflects the grant of 3,974 time-based restricted stock units granted to the reporting person on March 2, 2026, of which 1,324 shares will vest on March 2, 2027, 1,324 shares will vest on March 2, 2028, and the remaining 1,326 shares will vest on March 2, 2029. Each time-based restricted stock unit is economically equivalent to one share of common stock of the issuer.

F3 · derivative.exercise_date: Reflects the grant of 3,974 time-based restricted stock units granted to the reporting person on March 2, 2026, of which 1,324 shares will vest on March 2, 2027, 1,324 shares will vest on March 2, 2028, and the remaining 1,326 shares will vest on March 2, 2029. Each time-based restricted stock unit is economically equivalent to one share of common stock of the issuer.

F3 · derivative.expiration_date: Reflects the grant of 3,974 time-based restricted stock units granted to the reporting person on March 2, 2026, of which 1,324 shares will vest on March 2, 2027, 1,324 shares will vest on March 2, 2028, and the remaining 1,326 shares will vest on March 2, 2029. Each time-based restricted stock unit is economically equivalent to one share of common stock of the issuer.

F4 · balance_after: Includes: (a) 2,584 time-based restricted stock units granted on December 12, 2024, which will vest in two substantially equal installments on the second and third anniversary of the issuance date; (b) 2,715 time-based restricted stock units granted to the reporting person on March 1, 2025, which will vest in two substantially equal installments on the second and third anniversary of the issuance date; and (c) 3,974 time-based restricted stock units granted to the reporting person on March 2, 2026, which will vest in three substantially equal installments on the first, second, and third anniversary of the issuance date.

SEC source: 0001437749-26-006727 · rdgdoc.xml · derivative · entry 3

McDonald Warren · CIK 0001841232 · EVP & Chief Credit Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,299

Underlying: Common Stock · 1,337 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.

F2 · derivative.exercise_price: The reporting person received an award of 4,052 time-based restricted stock units on March 1, 2025, vesting in three substantially equal installments on the first, second, and third anniversary of the issuance date.

F2 · price: The reporting person received an award of 4,052 time-based restricted stock units on March 1, 2025, vesting in three substantially equal installments on the first, second, and third anniversary of the issuance date.

F2 · derivative.exercise_date: The reporting person received an award of 4,052 time-based restricted stock units on March 1, 2025, vesting in three substantially equal installments on the first, second, and third anniversary of the issuance date.

F2 · derivative.expiration_date: The reporting person received an award of 4,052 time-based restricted stock units on March 1, 2025, vesting in three substantially equal installments on the first, second, and third anniversary of the issuance date.

SEC source: 0001437749-26-006727 · rdgdoc.xml · nonDerivative · entry 2

McDonald Warren · CIK 0001841232 · EVP & Chief Credit Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 15,353

F1 · balance_after: Includes 2,732 shares of unvested restricted stock granted on February 1, 2024, which will vest on March 31, 2026. Under the terms of the relevant restricted stock grants, the reported shares of unvested restricted stock are subject to forfeiture upon the occurrence of certain events.

SEC source: 0001437749-26-006727 · rdgdoc.xml · nonDerivative · entry 1

McDonald Warren · CIK 0001841232 · EVP & Chief Credit Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 15,918

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.

F2 · price: The reporting person received an award of 4,052 time-based restricted stock units on March 1, 2025, vesting in three substantially equal installments on the first, second, and third anniversary of the issuance date.

F1 · balance_after: Includes 2,732 shares of unvested restricted stock granted on February 1, 2024, which will vest on March 31, 2026. Under the terms of the relevant restricted stock grants, the reported shares of unvested restricted stock are subject to forfeiture upon the occurrence of certain events.

SEC source: 0001437749-25-038053 · rdgdoc.xml · derivative · entry 3

McDonald Warren · CIK 0001841232 · EVP & Chief Credit Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,636

Underlying: Common Stock · 1,272 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.

F2 · derivative.exercise_price: The reporting person received an award of 3,856 time-based restricted stock units on December 12, 2024, vesting in three substantially equal installments on the first, second, and third anniversary of the issuance date.

F2 · price: The reporting person received an award of 3,856 time-based restricted stock units on December 12, 2024, vesting in three substantially equal installments on the first, second, and third anniversary of the issuance date.

F2 · derivative.exercise_date: The reporting person received an award of 3,856 time-based restricted stock units on December 12, 2024, vesting in three substantially equal installments on the first, second, and third anniversary of the issuance date.

F2 · derivative.expiration_date: The reporting person received an award of 3,856 time-based restricted stock units on December 12, 2024, vesting in three substantially equal installments on the first, second, and third anniversary of the issuance date.

F3 · balance_after: Includes: (a) 2,584 time-based restricted stock units granted on December 12, 2024, of which 1,272 shares will vest on December 12, 2026 and the remaining 1,312 shares will vest on December 12, 2027; and (b) 4,052 time-based restricted stock units granted to the reporting person on March 1, 2025, of which 1,337 shares will vest on March 1, 2026, 1,337 shares will vest on March 1, 2027, and the remaining 1,378 shares will vest on March 1, 2028.

SEC source: 0001437749-25-038053 · rdgdoc.xml · nonDerivative · entry 2

McDonald Warren · CIK 0001841232 · EVP & Chief Credit Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 14,581

F1 · balance_after: Includes 2,732 shares of unvested restricted stock granted on February 1, 2024, which will vest on March 31, 2026. Under the terms of the relevant restricted stock grants, the reported shares of unvested restricted stock are subject to forfeiture upon the occurrence of certain events.

SEC source: 0001437749-25-038053 · rdgdoc.xml · nonDerivative · entry 1

McDonald Warren · CIK 0001841232 · EVP & Chief Credit Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 15,120

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.

F2 · price: The reporting person received an award of 3,856 time-based restricted stock units on December 12, 2024, vesting in three substantially equal installments on the first, second, and third anniversary of the issuance date.

F1 · balance_after: Includes 2,732 shares of unvested restricted stock granted on February 1, 2024, which will vest on March 31, 2026. Under the terms of the relevant restricted stock grants, the reported shares of unvested restricted stock are subject to forfeiture upon the occurrence of certain events.

SEC source: 0001437749-25-010771 · rdgdoc.xml · nonDerivative · entry 1

McDonald Warren · CIK 0001841232 · EVP & Chief Credit Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 13,848

F1 · balance_after: Includes 2,732 shares of unvested restricted stock granted on February 1, 2024, which will vest on March 31, 2026. Under the terms of the relevant restricted stock grants, the reported shares of unvested restricted stock are subject to forfeiture upon the occurrence of certain events.

SEC source: 0001437749-25-006214 · rdgdoc.xml · derivative · entry 2

McDonald Warren · CIK 0001841232 · EVP & Chief Credit Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,908

Underlying: Common Stock · 4,052 shares

Expires not disclosed

F3 · shares: Reflects the grant of 4,052 time-based restricted stock units granted to the Reporting Person on March 1, 2025, of which 1,337 shares will vest on March 1, 2026, 1,337 shares will vest on March 1, 2027, and the remaining 1,378 shares will vest on March 1, 2028. Each time-based restricted stock unit is economically equivalent to one share of common stock of the issuer.

F3 · price: Reflects the grant of 4,052 time-based restricted stock units granted to the Reporting Person on March 1, 2025, of which 1,337 shares will vest on March 1, 2026, 1,337 shares will vest on March 1, 2027, and the remaining 1,378 shares will vest on March 1, 2028. Each time-based restricted stock unit is economically equivalent to one share of common stock of the issuer.

F3 · derivative.exercise_date: Reflects the grant of 4,052 time-based restricted stock units granted to the Reporting Person on March 1, 2025, of which 1,337 shares will vest on March 1, 2026, 1,337 shares will vest on March 1, 2027, and the remaining 1,378 shares will vest on March 1, 2028. Each time-based restricted stock unit is economically equivalent to one share of common stock of the issuer.

F3 · derivative.expiration_date: Reflects the grant of 4,052 time-based restricted stock units granted to the Reporting Person on March 1, 2025, of which 1,337 shares will vest on March 1, 2026, 1,337 shares will vest on March 1, 2027, and the remaining 1,378 shares will vest on March 1, 2028. Each time-based restricted stock unit is economically equivalent to one share of common stock of the issuer.

F3 · derivative.underlying_shares: Reflects the grant of 4,052 time-based restricted stock units granted to the Reporting Person on March 1, 2025, of which 1,337 shares will vest on March 1, 2026, 1,337 shares will vest on March 1, 2027, and the remaining 1,378 shares will vest on March 1, 2028. Each time-based restricted stock unit is economically equivalent to one share of common stock of the issuer.

F4 · balance_after: Includes: (a) 3,856 time-based restricted stock units granted on December 12, 2024, of which 1,272 shares will vest on December 12, 2025, 1,272 shares will vest on December 12, 2026, and the remaining 1,312 shares will vest on December 12, 2027; and (b) 4,052 time-based restricted stock units granted to the Reporting Person on March 1, 2025, of which 1,337 shares will vest on March 1, 2026, 1,337 shares will vest on March 1, 2027, and the remaining 1,378 shares will vest on March 1, 2028.

SEC source: 0001437749-24-037598 · rdgdoc.xml · nonDerivative · entry 1

McDonald Warren · CIK 0001841232 · Chief Credit Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,391

F1 · shares: Reflects the grant of time-based restricted stock to the reporting person. The time-based restricted stock will vest in substantially equal installments on the first, second, and third anniversary of the issuance date.

F2 · balance_after: Includes (a) 3,829 shares of unvested restricted stock granted on 2/1/2023, which will vest on 3/31/2025; (b) 5,383 shares of unvested restricted stock granted on 2/1/2024, of which 2,651 shares will vest on 3/31/2025, and the remaining 2,732 shares will vest on 3/31/2026; and (c) 3,856 shares of unvested restricted stock granted on 12/12/2024, of which 1,272 shares will vest on 12/12/2025, 1,272 shares will vest on 12/12/2026, and the remaining 1,312 shares will vest on 12/12/2027. Under the terms of the relevant restricted stock grants, the reported shares of unvested restricted stock are subject to forfeiture upon the occurrence of certain events.

SEC source: 0001437749-25-008433 · rdgdoc.xml · derivative · entry 2

McDonald Warren · CIK 0001841232 · Chief Credit Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,856

Underlying: Common Stock · 3,856 shares

Expires not disclosed

F3 · security: The original Form 4, filed on December 16, 2024, incorrectly reported the grant of the reported securities as an acquisition of shares of restricted stock under Table I. This amendment is being filed to correct the original report by reporting the grant of the reported securities as an acquisition of restricted stock units under Table II.

F4 · shares: Reflects the grant of 3,856 time-based restricted stock units granted to the reporting person under the Business First Bancshares, Inc. 2024 Equity Incentive Plan on December 12, 2024. The time-based restricted stock units will vest in three substantially equal installments on the first, second and third anniversary of the issuance date. Each time-based restricted stock unit is economically equivalent to one share of common stock of the issuer. Under the terms of the relevant restricted stock unit grant, the reported unvested restricted stock units are subject to forfeiture upon the occurrence of certain events.

F4 · derivative.exercise_date: Reflects the grant of 3,856 time-based restricted stock units granted to the reporting person under the Business First Bancshares, Inc. 2024 Equity Incentive Plan on December 12, 2024. The time-based restricted stock units will vest in three substantially equal installments on the first, second and third anniversary of the issuance date. Each time-based restricted stock unit is economically equivalent to one share of common stock of the issuer. Under the terms of the relevant restricted stock unit grant, the reported unvested restricted stock units are subject to forfeiture upon the occurrence of certain events.

F4 · derivative.expiration_date: Reflects the grant of 3,856 time-based restricted stock units granted to the reporting person under the Business First Bancshares, Inc. 2024 Equity Incentive Plan on December 12, 2024. The time-based restricted stock units will vest in three substantially equal installments on the first, second and third anniversary of the issuance date. Each time-based restricted stock unit is economically equivalent to one share of common stock of the issuer. Under the terms of the relevant restricted stock unit grant, the reported unvested restricted stock units are subject to forfeiture upon the occurrence of certain events.

SEC source: 0001437749-24-034543 · rdgdoc.xml · nonDerivative · entry 1

McDonald Warren · CIK 0001841232 · Chief Credit Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 16,535

F1 · price: This transaction was executed in multiple trades at prices ranging from $28.50 to $29.28. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

F2 · balance_after: Includes (a) 3,829 shares of unvested restricted stock granted on 2/1/2023, which will vest on 3/31/2025, and (b) 5,383 shares of unvested restricted stock granted on 2/1/2024, of which 2,651 shares will vest on 3/31/2025, and the remaining 2,732 shares will vest on 3/31/2026. Under the terms of the relevant restricted stock grants, the reported shares of unvested restricted stock are subject to forfeiture upon the occurrence of certain events.

SEC source: 0001437749-24-029159 · rdgdoc.xml · nonDerivative · entry 1

McDonald Warren · CIK 0001841232 · Chief Credit Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 19,095

F1 · balance_after: Includes (a) 3,829 shares of unvested restricted stock granted on 2/1/2023, which will vest on 3/31/2025, and (b) 5,383 shares of unvested restricted stock granted on 2/1/2024, of which 2,651 shares will vest on 3/31/2025, and the remaining 2,732 shares will vest on 3/31/2026. Under the terms of the relevant restricted stock grants, the reported shares of unvested restricted stock are subject to forfeiture upon the occurrence of certain events.

SEC source: 0001437749-24-024660 · rdgdoc.xml · nonDerivative · entry 1

McDonald Warren · CIK 0001841232 · Chief Credit Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,595

F1 · balance_after: Includes (a) 3,829 shares of unvested restricted stock granted on 2/1/2023, which will vest on 3/31/2025, and (b) 5,383 shares of unvested restricted stock granted on 2/1/2024, of which 2,651 shares will vest on 3/31/2025, and the remaining 2,732 shares will vest on 3/31/2026. Under the terms of the relevant restricted stock grants, the reported shares of unvested restricted stock are subject to forfeiture upon the occurrence of certain events.

SEC source: 0001437749-24-010616 · rdgdoc.xml · nonDerivative · entry 1

McDonald Warren · CIK 0001841232 · Chief Credit Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 22,127

F1 · balance_after: Includes (a) 3,829 shares of unvested restricted stock granted on 2/1/2023, which will vest on 3/31/2025, and (b) 5,383 shares of unvested restricted stock granted on 2/1/2024, of which 2,651 shares will vest on 3/31/2025, and the remaining 2,732 shares will vest on 3/31/2026. Under the terms of the relevant restricted stock grants, the reported shares of unvested restricted stock are subject to forfeiture upon the occurrence of certain events.

SEC source: 0001437749-24-007682 · rdgdoc.xml · derivative · entry 4

McDonald Warren · CIK 0001841232 · Chief Credit Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 7,500 shares

Expires 2024-07-31

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.

F2 · derivative.exercise_date: Stock Options (Right to Buy) were structured to comply with Section 409A of the Internal Revenue Code and are exercised automatically upon the earlier of the expiration date, July 31, 2024, a change in control of the issuer, the reporting person's death or disability, or the reporting person's separation from service, and may not be exercised n any other manner.

SEC source: 0001437749-24-007682 · rdgdoc.xml · nonDerivative · entry 3

McDonald Warren · CIK 0001841232 · Chief Credit Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 24,306

F1 · balance_after: Includes (a) 1,354 shares of unvested restricted stock granted on 2/1/2022, which will vest on 3/31/2024, (b) 7,545 shares of unvested restricted stock granted on 2/1/2023, of which 3,716 shares will vest on 3/31/2024 and the remaining 3,829 shares will vest on 3/31/2025, and (c) 8,034 shares of unvested restricted stock granted on 2/1/2024, of which 2,651 shares will vest on 3/31/2024, 2,651 shares will vest on 3/31/2025, and the remaining 2,732 shares will vest on 3/31/2026. Under the terms of the relevant restricted stock grants, the reported shares of unvested restricted stock are subject to forfeiture upon the occurrence of certain events.

SEC source: 0001437749-24-007682 · rdgdoc.xml · nonDerivative · entry 2

McDonald Warren · CIK 0001841232 · Chief Credit Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 31,306

F1 · balance_after: Includes (a) 1,354 shares of unvested restricted stock granted on 2/1/2022, which will vest on 3/31/2024, (b) 7,545 shares of unvested restricted stock granted on 2/1/2023, of which 3,716 shares will vest on 3/31/2024 and the remaining 3,829 shares will vest on 3/31/2025, and (c) 8,034 shares of unvested restricted stock granted on 2/1/2024, of which 2,651 shares will vest on 3/31/2024, 2,651 shares will vest on 3/31/2025, and the remaining 2,732 shares will vest on 3/31/2026. Under the terms of the relevant restricted stock grants, the reported shares of unvested restricted stock are subject to forfeiture upon the occurrence of certain events.

SEC source: 0001437749-24-007682 · rdgdoc.xml · nonDerivative · entry 1

McDonald Warren · CIK 0001841232 · Chief Credit Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 37,017

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 · balance_after: Includes (a) 1,354 shares of unvested restricted stock granted on 2/1/2022, which will vest on 3/31/2024, (b) 7,545 shares of unvested restricted stock granted on 2/1/2023, of which 3,716 shares will vest on 3/31/2024 and the remaining 3,829 shares will vest on 3/31/2025, and (c) 8,034 shares of unvested restricted stock granted on 2/1/2024, of which 2,651 shares will vest on 3/31/2024, 2,651 shares will vest on 3/31/2025, and the remaining 2,732 shares will vest on 3/31/2026. Under the terms of the relevant restricted stock grants, the reported shares of unvested restricted stock are subject to forfeiture upon the occurrence of certain events.

SEC source: 0001437749-24-002984 · rdgdoc.xml · nonDerivative · entry 1

McDonald Warren · CIK 0001841232 · Chief Credit Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 29,517

F1 · balance_after: Includes (a) 1,354 shares of unvested restricted stock granted on 2/1/2022, which will vest on 3/31/2024, (b) 7,545 shares of unvested restricted stock granted on 2/1/2023, of which 3,716 shares will vest on 3/31/2024 and the remaining 3,829 shares will vest on 3/31/2025, and (c) 8,034 shares of unvested restricted stock granted on 2/1/2024, of which 2,651 shares will vest on 3/31/2024, 2,651 shares will vest on 3/31/2025, and the remaining 2,732 shares will vest on 3/31/2026. Under the terms of the relevant restricted stock grants, the reported shares of unvested restricted stock are subject to forfeiture upon the occurrence of certain events.

SEC source: 0001437749-23-009296 · rdgdoc.xml · nonDerivative · entry 1

McDonald Warren · CIK 0001841232 · Chief Credit Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 21,483

F1 · balance_after: Includes (a) 1,354 shares of unvested restricted stock granted on 2/1/2022, which will vest on 3/31/2024, and (b) 7,545 shares of restricted stock granted on 2/1/2023, of which 3,716 shares will vest on 3/31/2024 and the remaining 3,829 shares will vest on 3/31/2025. Under the terms of the relevant restricted stock grants, the reported shares of unvested restricted stock are subject to forfeiture upon the occurrence of certain events.

SEC source: 0001437749-23-002499 · rdgdoc.xml · nonDerivative · entry 1

McDonald Warren · CIK 0001841232 · Chief Credit Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,149

F1 · kind: Reflects the grant of restricted stock to reporting person. The terms of the restricted stock grant are described in footnote 2 below.

F2 · balance_after: Includes (a) 657 shares of unvested restricted stock granted on 2/1/2021, which will vest on 3/31/2023, (b) 2,707 shares of unvested restricted stock granted on 2/1/2022, of which 1,353 shares will vest on 3/31/2023 and the remaining 1,354 shares will vest on 3/31/2024, and (c) 11,261 shares of restricted stock granted on 2/1/2023, of which 3,716 shares will vest on 3/31/2023, 3,716 shares will vest on 3/31/2024, and the remaining 3,829 shares will vest on 3/31/2025. Under the terms of the relevant restricted stock grants, the reported shares of unvested restricted stock are subject to forfeiture upon the occurrence of certain events.

SEC source: 0001437749-22-008235 · rdgdoc.xml · nonDerivative · entry 1

McDonald Warren · CIK 0001841232 · Chief Credit Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,888

F1 · balance_after: Includes (a) 657 shares of unvested restricted stock granted on 2/1/2021, which will vest on 3/31/2023, and (b) 2,707 shares of unvested restricted stock granted on 2/1/2022, of which 1,353 shares will vest on 3/31/2023 and the remaining 1,354 shares will vest on 3/31/2024. Under the terms of the relevant restricted stock grants, the reported shares of unvested restricted stock are subject to forfeiture upon the occurrence of certain events.

SEC source: 0001437749-22-002364 · rdgdoc.xml · nonDerivative · entry 1

McDonald Warren · CIK 0001841232 · Chief Credit Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,630

F1 · kind: Reflects the grant of restricted stock to reporting person. The terms of the restricted stock grant are described in footnote 2 below.

F2 · balance_after: Includes (a) 472 shares of unvested restricted stock granted on 2/1/2020, which will vest on 3/31/2022, (b) 1,294 shares of unvested restricted stock granted on 2/1/2021, 637 shares of which will vest on 3/31/2022 and the remaining 657 shares will vest on 3/31/2023, and (c) 4,060 shares of unvested restricted stock granted on 2/1/2022, of which 1,340 shares will vest on 3/31/2022, 1,340 shares will vest on 3/31/2023, and the remaining 1,380 shares will vest on 3/31/2024. Under the terms of the relevant restricted stock grants, the reported shares of unvested restricted stock are subject to forfeiture upon the occurrence of certain events.

SEC source: 0001437749-21-020231 · rdgdoc.xml · nonDerivative · entry 1

McDonald Warren · CIK 0001841232 · Chief Credit Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,570

F1 · balance_after: Includes (a) 472 shares of unvested restricted stock granted on 2/1/2020, which will vest on 3/31/2022, and (b) 1,294 shares of unvested restricted stock granted on 2/1/2021, 637 shares of which will vest on 3/31/2022 and the remaining 657 shares will vest on 3/31/2023. Under the terms of the relevant restricted stock grants, the reported shares of unvested restricted stock are subject to forfeiture upon the occurrence of certain events.

SEC source: 0001437749-21-005038 · rdgdoc.xml · nonDerivative · entry 1

McDonald Warren · CIK 0001841232 · Chief Credit Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,068

F1 · balance_after: Includes 1,294 shares of unvested restricted stock granted on 2/1/2021, 637 shares of which will vest on each of 3/31/2021 and 3/31/2022 and the remaining 657 shares will vest on 3/31/2023. Under the terms of the relevant restricted stock grants, the reported shares of unvested restricted stock are subject to forfeiture upon the occurrence of certain events.

SEC source: 0001437749-21-005130 · rdgdoc.xml · nonDerivative · entry 1

McDonald Warren · CIK 0001841232 · Chief Credit Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,068

F1 · kind: Reflects the grant of restricted stock to reporting person. The terms of the restricted stock grant are described in footnote 2 below.

F2 · balance_after: Includes (a) 538 shares of unvested restricted stock granted on 3/31/2019 that will vest on 3/31/2021, (b) 931 shares of unvested restricted stock granted on 2/1/2020, 459 of which will vest on 3/31/2021 and 472 of which will vest of 3/31/2022, (c)1,931 shares of unvested restricted stock granted on 2/1/2021, 637 shares of which will vest on each of 3/31/2021 and 3/31/2022 and the remaining 657 shares will vest on 3/31/2023. Under the terms of the relevant restricted stock grants, the reported shares of unvested restricted stock are subject to forfeiture upon the occurrence of certain events.

SEC source: 0001437749-21-001724 · rdgdoc.xml · derivative · entry 3

McDonald Warren · CIK 0001841232 · Chief Credit Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 22,000 shares

Expires 2021-01-15

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.

F2 · derivative.exercise_date: Stock Options (Right to Buy) were structured to comply with Section 409A of the Internal Revenue Code and are exercised automatically upon the earlier of the expiration date, January 15, 2021, a change in control of the issuer, the reporting person's death or disability, or the reporting person's separation from service, and may not be exercised in any other manner.

SEC source: 0001437749-21-005131 · rdgdoc.xml · derivative · entry 3

McDonald Warren · CIK 0001841232 · Chief Credit Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 22,000 shares

Expires 2021-01-15

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.

F2 · derivative.exercise_date: Stock Options (Right to Buy) were structured to comply with Section 409A of the Internal Revenue Code and are exercised automatically upon the earlier of the expiration date, January 15, 2021, a change in control of the issuer, the reporting person's death or disability, or the reporting person's separation from service, and may not be exercised in any other manner.

SEC source: 0001437749-21-005131 · rdgdoc.xml · nonDerivative · entry 2

McDonald Warren · CIK 0001841232 · Chief Credit Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,137

F1 · balance_after: Includes (a) 931 shares of unvested restricted stock granted on 2/1/2020, of which 459 will vest on 3/31/2021 and 472 will vest on 3/31/2022, and (b) 538 shares of unvested restricted stock granted on 3/31/2019, all of which will vest on 3/31/2021. Under the terms of the relevant restricted stock grants, the reported shares of unvested restricted stock are subject to forfeiture upon the occurrence of certain events.

F2 · balance_after: Stock Options (Right to Buy) were structured to comply with Section 409A of the Internal Revenue Code and are exercised automatically upon the earlier of the expiration date, January 15, 2021, a change in control of the issuer, the reporting person's death or disability, or the reporting person's separation from service, and may not be exercised in any other manner.

SEC source: 0001437749-21-005131 · rdgdoc.xml · nonDerivative · entry 1

McDonald Warren · CIK 0001841232 · Chief Credit Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,456

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 · balance_after: Includes (a) 931 shares of unvested restricted stock granted on 2/1/2020, of which 459 will vest on 3/31/2021 and 472 will vest on 3/31/2022, and (b) 538 shares of unvested restricted stock granted on 3/31/2019, all of which will vest on 3/31/2021. Under the terms of the relevant restricted stock grants, the reported shares of unvested restricted stock are subject to forfeiture upon the occurrence of certain events.

F2 · balance_after: Stock Options (Right to Buy) were structured to comply with Section 409A of the Internal Revenue Code and are exercised automatically upon the earlier of the expiration date, January 15, 2021, a change in control of the issuer, the reporting person's death or disability, or the reporting person's separation from service, and may not be exercised in any other manner.

SEC source: 0001437749-21-001908 · rdgdoc.xml · nonDerivative · entry 1

McDonald Warren · CIK 0001841232 · Chief Credit Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,068

F1 · kind: Reflects the grant of restricted stock to reporting person. The terms of the restricted stock grant are described in footnote 2 below.

F2 · balance_after: Includes (a) 538 shares of unvested restricted stock granted on 3/31/2019 that will vest on 3/31/2021, (b) 931 shares of unvested restricted stock granted on 2/1/2020, 459 of which will vest on 3/31/2021 and 472 of which will vest of 3/31/2022, (c)1,931 shares of unvested restricted stock granted on 2/1/2021, 637 shares of which will vest on each of 3/31/2021 and 3/31/2022 and the remaining 657 shares will vest on 3/31/2023. Under the terms of the relevant restricted stock grants, the reported shares of unvested restricted stock are subject to forfeiture upon the occurrence of certain events.

SEC source: 0001437749-21-001724 · rdgdoc.xml · nonDerivative · entry 2

McDonald Warren · CIK 0001841232 · Chief Credit Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,137

F1 · balance_after: Includes (a) 931 shares of unvested restricted stock granted on 2/1/2020, of which 459 will vest on 3/31/2021 and 472 will vest on 3/31/2022, and (b) 538 shares of unvested restricted stock granted on 3/31/2019, all of which will vest on 3/31/2021. Under the terms of the relevant restricted stock grants, the reported shares of unvested restricted stock are subject to forfeiture upon the occurrence of certain events.

F2 · balance_after: Stock Options (Right to Buy) were structured to comply with Section 409A of the Internal Revenue Code and are exercised automatically upon the earlier of the expiration date, January 15, 2021, a change in control of the issuer, the reporting person's death or disability, or the reporting person's separation from service, and may not be exercised in any other manner.

SEC source: 0001437749-21-001724 · rdgdoc.xml · nonDerivative · entry 1

McDonald Warren · CIK 0001841232 · Chief Credit Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,456

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 · balance_after: Includes (a) 931 shares of unvested restricted stock granted on 2/1/2020, of which 459 will vest on 3/31/2021 and 472 will vest on 3/31/2022, and (b) 538 shares of unvested restricted stock granted on 3/31/2019, all of which will vest on 3/31/2021. Under the terms of the relevant restricted stock grants, the reported shares of unvested restricted stock are subject to forfeiture upon the occurrence of certain events.

F2 · balance_after: Stock Options (Right to Buy) were structured to comply with Section 409A of the Internal Revenue Code and are exercised automatically upon the earlier of the expiration date, January 15, 2021, a change in control of the issuer, the reporting person's death or disability, or the reporting person's separation from service, and may not be exercised in any other manner.