ATWOOD BRIAN G

SEC source: 0001213900-26-002951 · ownership.xml · derivative · entry 1

ATWOOD BRIAN G · CIK 0001266567 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,612,099

Underlying: Common Stock · 1,612,099 shares

Expires 2036-01-06

SEC source: 0001213900-25-050113 · ownership.xml · derivative · entry 1

ATWOOD BRIAN G · CIK 0001266567 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 122,549

Underlying: Common Stock · 122,549 shares

Expires 2035-05-29

F1 · derivative.exercise_date: The shares underlying this option shall vest in equal monthly installments through May 30, 2027.

SEC source: 0001213900-25-029111 · ownership.xml · derivative · entry 3

ATWOOD BRIAN G · CIK 0001266567 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 11,660

Underlying: Common Stock · 294,460 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.expiration_date: The Pre-Funded Warrants are exercisable at any time on or after the date of issuance for an exercise price of $0.0001 per share, for shares of common stock of the Issuer.

SEC source: 0001213900-25-029111 · ownership.xml · nonDerivative · entry 1

ATWOOD BRIAN G · CIK 0001266567 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 490,534

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 · ownership.nature: On March 28, 2025, Mr. Atwood exercised Pre-Funded Warrants (the "Pre-Funded Warrants") and directed the issuance of the shares of common stock of CERo Therapeutics Holdings, Inc. (the "Issuer") to the Atwood-Edminster Trust dtd 4-2-2000 (the "Trust"). Mr. Atwood and his wife are the managers of the LLC and the trustees of the Trust. Accordingly, Mr. Atwood may be deemed to have beneficial ownership of the securities held directly by the LLC..

SEC source: 0001213900-25-021183 · ownership.xml · derivative · entry 1

ATWOOD BRIAN G · CIK 0001266567 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 14,936

Underlying: Common Stock · 14,936 shares

Expires 2035-03-03

F1 · shares: Represents the 50% time-based portion of an award of options to purchase 29,871 shares, vesting on the twelve month anniversary of the grant date, with the remaining portion subject to performance conditions.

F1 · derivative.exercise_date: Represents the 50% time-based portion of an award of options to purchase 29,871 shares, vesting on the twelve month anniversary of the grant date, with the remaining portion subject to performance conditions.

SEC source: 0001213900-25-017505 · ownership.xml · derivative · entry 1

ATWOOD BRIAN G · CIK 0001266567 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 508,000

Underlying: Common Stock · 254,000 shares

Expires 2034-09-30

F1 · derivative.exercise_date: On October 1, 2024, the Reporting Person was granted an option to purchase 508,000 shares of Common Stock, which vest in two equal installments subject to the satisfaction of certain performance criteria. On February 24, 2025, the Issuer's Board of Directors confirmed that the performance criteria had been met with regards to the second installment, resulting in the vesting of 254,000 shares.

SEC source: 0001213900-25-011409 · ownership.xml · derivative · entry 4

ATWOOD BRIAN G · CIK 0001266567 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By GVN, LLC

Disclosed balance after: 204,080

Underlying: Common Stock · 204,080 shares

Expires not disclosed

F1 · derivative.exercise_date: On February 7, 2025, pursuant to a Securities Purchase Agreement, dated February 5, 2025, the reporting persons purchased Pre-Funded Warrants, which are exercisable at any time on or after the date of issuance for an exercise price of $0.0001 per share, for shares of common stock of CERo Therapeutics Holdings, Inc. (the "Issuer"), and an equal number of Warrants, which will become exercisable immediately upon the Issuer's receipt of stockholder approval (the "Stockholder Approval Date") for an exercise price of $1.96 per share, for shares of the Issuer's common stock. The aggregate purchase price for each pair of Pre-Funded Warrants and Warrants was $1.9599. The Warrants will expire on the fifth anniversary of the Stockholder Approval Date.

F1 · derivative.expiration_date: On February 7, 2025, pursuant to a Securities Purchase Agreement, dated February 5, 2025, the reporting persons purchased Pre-Funded Warrants, which are exercisable at any time on or after the date of issuance for an exercise price of $0.0001 per share, for shares of common stock of CERo Therapeutics Holdings, Inc. (the "Issuer"), and an equal number of Warrants, which will become exercisable immediately upon the Issuer's receipt of stockholder approval (the "Stockholder Approval Date") for an exercise price of $1.96 per share, for shares of the Issuer's common stock. The aggregate purchase price for each pair of Pre-Funded Warrants and Warrants was $1.9599. The Warrants will expire on the fifth anniversary of the Stockholder Approval Date.

F2 · ownership.nature: GVN, LLC (the "LLC") is a limited liability company of which the sole member is the Atwood-Edminster Trust dtd 4-2-2000 (the "Trust"). Mr. Atwood and his wife are the managers of the LLC and the trustees of the Trust. Accordingly, Mr. Atwood may be deemed to have beneficial ownership of the securities held directly by the LLC.

SEC source: 0001213900-25-011409 · ownership.xml · derivative · entry 3

ATWOOD BRIAN G · CIK 0001266567 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 306,120

Underlying: Common Stock · 306,120 shares

Expires not disclosed

F1 · derivative.exercise_date: On February 7, 2025, pursuant to a Securities Purchase Agreement, dated February 5, 2025, the reporting persons purchased Pre-Funded Warrants, which are exercisable at any time on or after the date of issuance for an exercise price of $0.0001 per share, for shares of common stock of CERo Therapeutics Holdings, Inc. (the "Issuer"), and an equal number of Warrants, which will become exercisable immediately upon the Issuer's receipt of stockholder approval (the "Stockholder Approval Date") for an exercise price of $1.96 per share, for shares of the Issuer's common stock. The aggregate purchase price for each pair of Pre-Funded Warrants and Warrants was $1.9599. The Warrants will expire on the fifth anniversary of the Stockholder Approval Date.

F1 · derivative.expiration_date: On February 7, 2025, pursuant to a Securities Purchase Agreement, dated February 5, 2025, the reporting persons purchased Pre-Funded Warrants, which are exercisable at any time on or after the date of issuance for an exercise price of $0.0001 per share, for shares of common stock of CERo Therapeutics Holdings, Inc. (the "Issuer"), and an equal number of Warrants, which will become exercisable immediately upon the Issuer's receipt of stockholder approval (the "Stockholder Approval Date") for an exercise price of $1.96 per share, for shares of the Issuer's common stock. The aggregate purchase price for each pair of Pre-Funded Warrants and Warrants was $1.9599. The Warrants will expire on the fifth anniversary of the Stockholder Approval Date.

SEC source: 0001213900-25-011409 · ownership.xml · derivative · entry 2

ATWOOD BRIAN G · CIK 0001266567 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By GVN, LLC

Disclosed balance after: 204,080

Underlying: Common Stock · 204,080 shares

Expires not disclosed

F1 · derivative.expiration_date: On February 7, 2025, pursuant to a Securities Purchase Agreement, dated February 5, 2025, the reporting persons purchased Pre-Funded Warrants, which are exercisable at any time on or after the date of issuance for an exercise price of $0.0001 per share, for shares of common stock of CERo Therapeutics Holdings, Inc. (the "Issuer"), and an equal number of Warrants, which will become exercisable immediately upon the Issuer's receipt of stockholder approval (the "Stockholder Approval Date") for an exercise price of $1.96 per share, for shares of the Issuer's common stock. The aggregate purchase price for each pair of Pre-Funded Warrants and Warrants was $1.9599. The Warrants will expire on the fifth anniversary of the Stockholder Approval Date.

F2 · ownership.nature: GVN, LLC (the "LLC") is a limited liability company of which the sole member is the Atwood-Edminster Trust dtd 4-2-2000 (the "Trust"). Mr. Atwood and his wife are the managers of the LLC and the trustees of the Trust. Accordingly, Mr. Atwood may be deemed to have beneficial ownership of the securities held directly by the LLC.

SEC source: 0001213900-25-011409 · ownership.xml · derivative · entry 1

ATWOOD BRIAN G · CIK 0001266567 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 306,120

Underlying: Common Stock · 306,120 shares

Expires not disclosed

F1 · derivative.expiration_date: On February 7, 2025, pursuant to a Securities Purchase Agreement, dated February 5, 2025, the reporting persons purchased Pre-Funded Warrants, which are exercisable at any time on or after the date of issuance for an exercise price of $0.0001 per share, for shares of common stock of CERo Therapeutics Holdings, Inc. (the "Issuer"), and an equal number of Warrants, which will become exercisable immediately upon the Issuer's receipt of stockholder approval (the "Stockholder Approval Date") for an exercise price of $1.96 per share, for shares of the Issuer's common stock. The aggregate purchase price for each pair of Pre-Funded Warrants and Warrants was $1.9599. The Warrants will expire on the fifth anniversary of the Stockholder Approval Date.

SEC source: 0001213900-24-105726 · ownership.xml · derivative · entry 1

ATWOOD BRIAN G · CIK 0001266567 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 254,000

Underlying: Common Stock · 254,000 shares

Expires 2034-09-30

F1 · derivative.exercise_date: On October 1, 2024, the Reporting Person was granted an option to purchase 508,000 shares of Common Stock, which vest in two equal installments subject to the satisfaction of certain performance criteria. On December 2, 2024, the Issuer's Board of Directors confirmed that the performance criteria had been met with regards to one installment, resulting in the vesting of 254,000 shares.

SEC source: 0001213900-24-084829 · ownership.xml · derivative · entry 5

ATWOOD BRIAN G · CIK 0001266567 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,317,956 shares

Expires 2034-03-24

F3 · kind: Represents the forfeiture of employee stock options in connection with the Reporting Person's resignation as Chief Executive Officer of the Issuer.

F3 · derivative.exercise_date: Represents the forfeiture of employee stock options in connection with the Reporting Person's resignation as Chief Executive Officer of the Issuer.

SEC source: 0001213900-24-084829 · ownership.xml · derivative · entry 4

ATWOOD BRIAN G · CIK 0001266567 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 13,857 shares

Expires 2030-12-27

F3 · kind: Represents the forfeiture of employee stock options in connection with the Reporting Person's resignation as Chief Executive Officer of the Issuer.

F3 · derivative.exercise_date: Represents the forfeiture of employee stock options in connection with the Reporting Person's resignation as Chief Executive Officer of the Issuer.

SEC source: 0001213900-24-084829 · ownership.xml · derivative · entry 3

ATWOOD BRIAN G · CIK 0001266567 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · Atwood-Edminster Trust dtd 4-2-2000

Disclosed balance after: 0

Underlying: Common Stock · 19,358,578 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 September 25, 2024, the Reporting Person converted an aggregate of 1,002 shares of Series A Preferred Stock into 19,358,578 shares of Common Stock. Each share of Series A Preferred Stock has a stated value of $1,000 and, at the option of the holder, is convertible into a number of shares of Common Stock determined by dividing (x) the value of the shares of Series A Preferred Stock, plus any additional amounts thereon as of such date of determination, by (y) the conversion price of $1.00. As a result of various adjustments in the terms of the Series A Preferred Stock, each $1,000 of Series A Preferred Stock was converted into 19,320 shares of common stock. The Series A Preferred Stock has no expiration date.

F1 · kind: On September 25, 2024, the Reporting Person converted an aggregate of 1,002 shares of Series A Preferred Stock into 19,358,578 shares of Common Stock. Each share of Series A Preferred Stock has a stated value of $1,000 and, at the option of the holder, is convertible into a number of shares of Common Stock determined by dividing (x) the value of the shares of Series A Preferred Stock, plus any additional amounts thereon as of such date of determination, by (y) the conversion price of $1.00. As a result of various adjustments in the terms of the Series A Preferred Stock, each $1,000 of Series A Preferred Stock was converted into 19,320 shares of common stock. The Series A Preferred Stock has no expiration date.

F1 · derivative.exercise_date: On September 25, 2024, the Reporting Person converted an aggregate of 1,002 shares of Series A Preferred Stock into 19,358,578 shares of Common Stock. Each share of Series A Preferred Stock has a stated value of $1,000 and, at the option of the holder, is convertible into a number of shares of Common Stock determined by dividing (x) the value of the shares of Series A Preferred Stock, plus any additional amounts thereon as of such date of determination, by (y) the conversion price of $1.00. As a result of various adjustments in the terms of the Series A Preferred Stock, each $1,000 of Series A Preferred Stock was converted into 19,320 shares of common stock. The Series A Preferred Stock has no expiration date.

F1 · derivative.expiration_date: On September 25, 2024, the Reporting Person converted an aggregate of 1,002 shares of Series A Preferred Stock into 19,358,578 shares of Common Stock. Each share of Series A Preferred Stock has a stated value of $1,000 and, at the option of the holder, is convertible into a number of shares of Common Stock determined by dividing (x) the value of the shares of Series A Preferred Stock, plus any additional amounts thereon as of such date of determination, by (y) the conversion price of $1.00. As a result of various adjustments in the terms of the Series A Preferred Stock, each $1,000 of Series A Preferred Stock was converted into 19,320 shares of common stock. The Series A Preferred Stock has no expiration date.

F2 · ownership.nature: The reporting person is the trustee of the Atwood-Edminster Trust dtd 4-2-2000 (the "Atwood-Edminster Trust") and has sole voting and disposition power with respect to the shares owned by the Atwood-Edminster Trust.

SEC source: 0001213900-24-084829 · ownership.xml · nonDerivative · entry 1

ATWOOD BRIAN G · CIK 0001266567 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · Atwood-Edminster Trust dtd 4-2-2000

Disclosed balance after: 19,607,313

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 September 25, 2024, the Reporting Person converted an aggregate of 1,002 shares of Series A Preferred Stock into 19,358,578 shares of Common Stock. Each share of Series A Preferred Stock has a stated value of $1,000 and, at the option of the holder, is convertible into a number of shares of Common Stock determined by dividing (x) the value of the shares of Series A Preferred Stock, plus any additional amounts thereon as of such date of determination, by (y) the conversion price of $1.00. As a result of various adjustments in the terms of the Series A Preferred Stock, each $1,000 of Series A Preferred Stock was converted into 19,320 shares of common stock. The Series A Preferred Stock has no expiration date.

F1 · price: On September 25, 2024, the Reporting Person converted an aggregate of 1,002 shares of Series A Preferred Stock into 19,358,578 shares of Common Stock. Each share of Series A Preferred Stock has a stated value of $1,000 and, at the option of the holder, is convertible into a number of shares of Common Stock determined by dividing (x) the value of the shares of Series A Preferred Stock, plus any additional amounts thereon as of such date of determination, by (y) the conversion price of $1.00. As a result of various adjustments in the terms of the Series A Preferred Stock, each $1,000 of Series A Preferred Stock was converted into 19,320 shares of common stock. The Series A Preferred Stock has no expiration date.

F2 · ownership.nature: The reporting person is the trustee of the Atwood-Edminster Trust dtd 4-2-2000 (the "Atwood-Edminster Trust") and has sole voting and disposition power with respect to the shares owned by the Atwood-Edminster Trust.

SEC source: 0001213900-24-026814 · ownership.xml · derivative · entry 1

ATWOOD BRIAN G · CIK 0001266567 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,317,956

Underlying: Common Stock · 1,317,956 shares

Expires 2034-03-24

F1 · derivative.exercise_date: The shares underlying this option shall vest as follows: 732,198 shares are immediately vested and exercisable, and the remainder shall vest in forty-eight (48) monthly installments following the grant date, subject to the Reporting Person's continued service on each such vesting date.

SEC source: 0001213900-24-015024 · ownership.xml · derivative · entry 4

ATWOOD BRIAN G · CIK 0001266567 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Indirect · Atwood-Edminster Trust dtd 4-2-2000

Disclosed balance after: 1,002

Underlying: Common Stock · 100,200 shares

Expires not disclosed

F4 · kind: On February 14, 2024, the Atwood-Edminster Trust acquired 1,002 shares of Series A Convertible Preferred Stock (the "Series A Preferred Stock") in a private placement by the Issuer pursuant to the terms of a Securities Purchase Agreement dated as of February 5, 2024. Each share of Series A Preferred Stock has a stated value of $1,000 and, at the option of the holder, is convertible into a number of shares of Common Stock determined by dividing (x) the value of the shares of Series A Preferred Stock, plus any additional amounts thereon as of such date of determination, by (y) the conversion price, which is currently $10.00, subject to adjustments (the "Conversion Price"). The Series A Preferred Stock has no expiration date.

F4 · derivative.exercise_date: On February 14, 2024, the Atwood-Edminster Trust acquired 1,002 shares of Series A Convertible Preferred Stock (the "Series A Preferred Stock") in a private placement by the Issuer pursuant to the terms of a Securities Purchase Agreement dated as of February 5, 2024. Each share of Series A Preferred Stock has a stated value of $1,000 and, at the option of the holder, is convertible into a number of shares of Common Stock determined by dividing (x) the value of the shares of Series A Preferred Stock, plus any additional amounts thereon as of such date of determination, by (y) the conversion price, which is currently $10.00, subject to adjustments (the "Conversion Price"). The Series A Preferred Stock has no expiration date.

F4 · derivative.expiration_date: On February 14, 2024, the Atwood-Edminster Trust acquired 1,002 shares of Series A Convertible Preferred Stock (the "Series A Preferred Stock") in a private placement by the Issuer pursuant to the terms of a Securities Purchase Agreement dated as of February 5, 2024. Each share of Series A Preferred Stock has a stated value of $1,000 and, at the option of the holder, is convertible into a number of shares of Common Stock determined by dividing (x) the value of the shares of Series A Preferred Stock, plus any additional amounts thereon as of such date of determination, by (y) the conversion price, which is currently $10.00, subject to adjustments (the "Conversion Price"). The Series A Preferred Stock has no expiration date.

F3 · ownership.nature: The reporting person is the trustee of the Atwood-Edminster Trust dtd 4-2-2000 (the "Atwood-Edminster Trust") and has sole voting and disposition power with respect to the shares owned by the Atwood-Edminster Trust.

SEC source: 0001213900-24-015024 · ownership.xml · nonDerivative · entry 3

ATWOOD BRIAN G · CIK 0001266567 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Indirect · Atwood-Edminster Trust dtd 4-2-2000

Disclosed balance after: 248,735

F1 · price: Represents shares of Common Stock distributed in-kind by Phoenix Biotech Sponsor, LLC (the "Sponsor") to its members, pro rata and without consideration.

F3 · ownership.nature: The reporting person is the trustee of the Atwood-Edminster Trust dtd 4-2-2000 (the "Atwood-Edminster Trust") and has sole voting and disposition power with respect to the shares owned by the Atwood-Edminster Trust.

SEC source: 0001213900-24-015024 · ownership.xml · nonDerivative · entry 2

ATWOOD BRIAN G · CIK 0001266567 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Indirect · Atwood-Edminster Trust dtd 4-2-2000

Disclosed balance after: 100,527

F2 · kind: Represents earnout shares, each of which consist of one share of the Issuer's Common Stock, subject to forfeiture if certain vesting conditions are not satisfied. The earnout shares vest as follows: (i) 33,045 shares if the volume weighted average price ("VWAP") of the Common Stock for at least 20 of any 30 consecutive trading days following February 14, 2024 equals or exceeds the lesser of (x) $12.50 or (y) 125% of the then applicable conversion price; (ii) 33,045 shares shall vest if the VWAP for at least 20 of any 30 consecutive trading days following February 14, 2024 equals or exceeds the lesser of (x) $15.00 or (y) 150% of the then applicable conversion price; (iii) 13,218 shares shall vest upon a change of control; and (iv) 28,601 shares shall vest upon the Issuer's submission of an IND application to the FDA. If the vesting conditions are not met prior to February 14, 2028, the earnout shares will be cancelled.

F2 · price: Represents earnout shares, each of which consist of one share of the Issuer's Common Stock, subject to forfeiture if certain vesting conditions are not satisfied. The earnout shares vest as follows: (i) 33,045 shares if the volume weighted average price ("VWAP") of the Common Stock for at least 20 of any 30 consecutive trading days following February 14, 2024 equals or exceeds the lesser of (x) $12.50 or (y) 125% of the then applicable conversion price; (ii) 33,045 shares shall vest if the VWAP for at least 20 of any 30 consecutive trading days following February 14, 2024 equals or exceeds the lesser of (x) $15.00 or (y) 150% of the then applicable conversion price; (iii) 13,218 shares shall vest upon a change of control; and (iv) 28,601 shares shall vest upon the Issuer's submission of an IND application to the FDA. If the vesting conditions are not met prior to February 14, 2028, the earnout shares will be cancelled.

F3 · ownership.nature: The reporting person is the trustee of the Atwood-Edminster Trust dtd 4-2-2000 (the "Atwood-Edminster Trust") and has sole voting and disposition power with respect to the shares owned by the Atwood-Edminster Trust.

SEC source: 0001213900-24-015024 · ownership.xml · nonDerivative · entry 1

ATWOOD BRIAN G · CIK 0001266567 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 125,000

F1 · kind: Represents shares of Common Stock distributed in-kind by Phoenix Biotech Sponsor, LLC (the "Sponsor") to its members, pro rata and without consideration.

F1 · price: Represents shares of Common Stock distributed in-kind by Phoenix Biotech Sponsor, LLC (the "Sponsor") to its members, pro rata and without consideration.

SEC source: 0001213900-24-015874 · ownership.xml · derivative · entry 3

ATWOOD BRIAN G · CIK 0001266567 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Indirect · Atwood-Edminster Trust dtd 4-2-2000

Disclosed balance after: 1,002

Underlying: Common Stock · 100,200 shares

Expires not disclosed

F4 · kind: On February 14, 2024, the Atwood-Edminster Trust acquired 1,002 shares of Series A Convertible Preferred Stock (the "Series A Preferred Stock") in a private placement by the Issuer pursuant to the terms of a Securities Purchase Agreement dated as of February 5, 2024. Each share of Series A Preferred Stock has a stated value of $1,000 and, at the option of the holder, is convertible into a number of shares of Common Stock determined by dividing (x) the value of the shares of Series A Preferred Stock, plus any additional amounts thereon as of such date of determination, by (y) the conversion price, which is currently $10.00, subject to adjustments (the "Conversion Price"). The Series A Preferred Stock has no expiration date.

F4 · derivative.exercise_date: On February 14, 2024, the Atwood-Edminster Trust acquired 1,002 shares of Series A Convertible Preferred Stock (the "Series A Preferred Stock") in a private placement by the Issuer pursuant to the terms of a Securities Purchase Agreement dated as of February 5, 2024. Each share of Series A Preferred Stock has a stated value of $1,000 and, at the option of the holder, is convertible into a number of shares of Common Stock determined by dividing (x) the value of the shares of Series A Preferred Stock, plus any additional amounts thereon as of such date of determination, by (y) the conversion price, which is currently $10.00, subject to adjustments (the "Conversion Price"). The Series A Preferred Stock has no expiration date.

F4 · derivative.expiration_date: On February 14, 2024, the Atwood-Edminster Trust acquired 1,002 shares of Series A Convertible Preferred Stock (the "Series A Preferred Stock") in a private placement by the Issuer pursuant to the terms of a Securities Purchase Agreement dated as of February 5, 2024. Each share of Series A Preferred Stock has a stated value of $1,000 and, at the option of the holder, is convertible into a number of shares of Common Stock determined by dividing (x) the value of the shares of Series A Preferred Stock, plus any additional amounts thereon as of such date of determination, by (y) the conversion price, which is currently $10.00, subject to adjustments (the "Conversion Price"). The Series A Preferred Stock has no expiration date.

F3 · ownership.nature: The reporting person is the trustee of the Atwood-Edminster Trust dtd 4-2-2000 (the "Atwood-Edminster Trust") and has sole voting and disposition power with respect to the shares owned by the Atwood-Edminster Trust.

SEC source: 0001213900-24-015874 · ownership.xml · nonDerivative · entry 2

ATWOOD BRIAN G · CIK 0001266567 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Indirect · Atwood-Edminster Trust dtd 4-2-2000

Disclosed balance after: 248,735

F1 · price: Represents shares of Common Stock issued to the Atwood-Edminster Trust (as defined below) in connection with the Issuer's business combination consummated on February 14, 2024.

F3 · ownership.nature: The reporting person is the trustee of the Atwood-Edminster Trust dtd 4-2-2000 (the "Atwood-Edminster Trust") and has sole voting and disposition power with respect to the shares owned by the Atwood-Edminster Trust.

SEC source: 0001213900-24-015874 · ownership.xml · nonDerivative · entry 1

ATWOOD BRIAN G · CIK 0001266567 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Indirect · Atwood-Edminster Trust dtd 4-2-2000

Disclosed balance after: 100,527

F2 · kind: Represents earnout shares, each of which consist of one share of the Issuer's Common Stock, subject to forfeiture if certain vesting conditions are not satisfied. The earnout shares vest as follows: (i) 33,045 shares if the volume weighted average price ("VWAP") of the Common Stock for at least 20 of any 30 consecutive trading days following February 14, 2024 equals or exceeds the lesser of (x) $12.50 or (y) 125% of the then applicable conversion price; (ii) 33,045 shares shall vest if the VWAP for at least 20 of any 30 consecutive trading days following February 14, 2024 equals or exceeds the lesser of (x) $15.00 or (y) 150% of the then applicable conversion price; (iii) 13,218 shares shall vest upon a change of control; and (iv) 28,601 shares shall vest upon the Issuer's submission of an IND application to the FDA. If the vesting conditions are not met prior to February 14, 2028, the earnout shares will be cancelled.

F2 · price: Represents earnout shares, each of which consist of one share of the Issuer's Common Stock, subject to forfeiture if certain vesting conditions are not satisfied. The earnout shares vest as follows: (i) 33,045 shares if the volume weighted average price ("VWAP") of the Common Stock for at least 20 of any 30 consecutive trading days following February 14, 2024 equals or exceeds the lesser of (x) $12.50 or (y) 125% of the then applicable conversion price; (ii) 33,045 shares shall vest if the VWAP for at least 20 of any 30 consecutive trading days following February 14, 2024 equals or exceeds the lesser of (x) $15.00 or (y) 150% of the then applicable conversion price; (iii) 13,218 shares shall vest upon a change of control; and (iv) 28,601 shares shall vest upon the Issuer's submission of an IND application to the FDA. If the vesting conditions are not met prior to February 14, 2028, the earnout shares will be cancelled.

F3 · ownership.nature: The reporting person is the trustee of the Atwood-Edminster Trust dtd 4-2-2000 (the "Atwood-Edminster Trust") and has sole voting and disposition power with respect to the shares owned by the Atwood-Edminster Trust.

SEC source: 0001213900-24-021525 · ownership.xml · derivative · entry 4

ATWOOD BRIAN G · CIK 0001266567 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Indirect · Atwood-Edminster Trust dtd 4-2-2000

Disclosed balance after: 13,857

Underlying: Common Stock · 13,857 shares

Expires 2030-12-27

F5 · derivative.exercise_date: Represents an option to purchase the Issuer's Common Stock that was converted from the then outstanding CERo Therapeutics, Inc. option immediately prior to the consummation of the Issuer's business combination. The option is fully vested.

F3 · ownership.nature: The reporting person is the trustee of the Atwood-Edminster Trust dtd 4-2-2000 (the "Atwood-Edminster Trust") and has sole voting and disposition power with respect to the shares owned by the Atwood-Edminster Trust.

SEC source: 0001213900-24-021525 · ownership.xml · derivative · entry 3

ATWOOD BRIAN G · CIK 0001266567 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Indirect · Atwood-Edminster Trust dtd 4-2-2000

Disclosed balance after: 1,002

Underlying: Common Stock · 100,200 shares

Expires not disclosed

F4 · kind: On February 14, 2024, the Atwood-Edminster Trust acquired 1,002 shares of Series A Convertible Preferred Stock (the "Series A Preferred Stock") in a private placement by the Issuer pursuant to the terms of a Securities Purchase Agreement dated as of February 5, 2024. Each share of Series A Preferred Stock has a stated value of $1,000 and, at the option of the holder, is convertible into a number of shares of Common Stock determined by dividing (x) the value of the shares of Series A Preferred Stock, plus any additional amounts thereon as of such date of determination, by (y) the conversion price, which is currently $10.00, subject to adjustments (the "Conversion Price"). The Series A Preferred Stock has no expiration date.

F4 · derivative.exercise_date: On February 14, 2024, the Atwood-Edminster Trust acquired 1,002 shares of Series A Convertible Preferred Stock (the "Series A Preferred Stock") in a private placement by the Issuer pursuant to the terms of a Securities Purchase Agreement dated as of February 5, 2024. Each share of Series A Preferred Stock has a stated value of $1,000 and, at the option of the holder, is convertible into a number of shares of Common Stock determined by dividing (x) the value of the shares of Series A Preferred Stock, plus any additional amounts thereon as of such date of determination, by (y) the conversion price, which is currently $10.00, subject to adjustments (the "Conversion Price"). The Series A Preferred Stock has no expiration date.

F4 · derivative.expiration_date: On February 14, 2024, the Atwood-Edminster Trust acquired 1,002 shares of Series A Convertible Preferred Stock (the "Series A Preferred Stock") in a private placement by the Issuer pursuant to the terms of a Securities Purchase Agreement dated as of February 5, 2024. Each share of Series A Preferred Stock has a stated value of $1,000 and, at the option of the holder, is convertible into a number of shares of Common Stock determined by dividing (x) the value of the shares of Series A Preferred Stock, plus any additional amounts thereon as of such date of determination, by (y) the conversion price, which is currently $10.00, subject to adjustments (the "Conversion Price"). The Series A Preferred Stock has no expiration date.

F3 · ownership.nature: The reporting person is the trustee of the Atwood-Edminster Trust dtd 4-2-2000 (the "Atwood-Edminster Trust") and has sole voting and disposition power with respect to the shares owned by the Atwood-Edminster Trust.

SEC source: 0001213900-24-021525 · ownership.xml · nonDerivative · entry 2

ATWOOD BRIAN G · CIK 0001266567 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Indirect · Atwood-Edminster Trust dtd 4-2-2000

Disclosed balance after: 248,735

F1 · price: Represents shares of Common Stock issued to the Atwood-Edminster Trust (as defined below) in connection with the Issuer's business combination consummated on February 14, 2024.

F3 · ownership.nature: The reporting person is the trustee of the Atwood-Edminster Trust dtd 4-2-2000 (the "Atwood-Edminster Trust") and has sole voting and disposition power with respect to the shares owned by the Atwood-Edminster Trust.

SEC source: 0001213900-24-021525 · ownership.xml · nonDerivative · entry 1

ATWOOD BRIAN G · CIK 0001266567 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Indirect · Atwood-Edminster Trust dtd 4-2-2000

Disclosed balance after: 100,527

F2 · kind: Represents earnout shares, each of which consist of one share of the Issuer's Common Stock, subject to forfeiture if certain vesting conditions are not satisfied. The earnout shares vest as follows: (i) 33,045 shares if the volume weighted average price ("VWAP") of the Common Stock for at least 20 of any 30 consecutive trading days following February 14, 2024 equals or exceeds the lesser of (x) $12.50 or (y) 125% of the then applicable conversion price; (ii) 33,045 shares shall vest if the VWAP for at least 20 of any 30 consecutive trading days following February 14, 2024 equals or exceeds the lesser of (x) $15.00 or (y) 150% of the then applicable conversion price; (iii) 13,218 shares shall vest upon a change of control; and (iv) 28,601 shares shall vest upon the Issuer's submission of an IND application to the FDA. If the vesting conditions are not met prior to February 14, 2028, the earnout shares will be cancelled.

F2 · price: Represents earnout shares, each of which consist of one share of the Issuer's Common Stock, subject to forfeiture if certain vesting conditions are not satisfied. The earnout shares vest as follows: (i) 33,045 shares if the volume weighted average price ("VWAP") of the Common Stock for at least 20 of any 30 consecutive trading days following February 14, 2024 equals or exceeds the lesser of (x) $12.50 or (y) 125% of the then applicable conversion price; (ii) 33,045 shares shall vest if the VWAP for at least 20 of any 30 consecutive trading days following February 14, 2024 equals or exceeds the lesser of (x) $15.00 or (y) 150% of the then applicable conversion price; (iii) 13,218 shares shall vest upon a change of control; and (iv) 28,601 shares shall vest upon the Issuer's submission of an IND application to the FDA. If the vesting conditions are not met prior to February 14, 2028, the earnout shares will be cancelled.

F3 · ownership.nature: The reporting person is the trustee of the Atwood-Edminster Trust dtd 4-2-2000 (the "Atwood-Edminster Trust") and has sole voting and disposition power with respect to the shares owned by the Atwood-Edminster Trust.

SEC source: 0001209191-23-037514 · doc4.xml · derivative · entry 1

ATWOOD BRIAN G · CIK 0001266567 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 12,000

Underlying: Class A Common Stock · 12,000 shares

Expires 2023-06-12

F1 · derivative.exercise_date: The option vests upon the earlier of the one-year anniversary of the date of grant or the day prior to the next Annual Meeting of Stockholders occurring after the grant date, subject to the non-employee director's continuous service on each applicable vesting date. All unvested options will vest in full immediately prior to a change in control (as defined in the Company's 2019 Equity Incentive Plan), subject to the non-employee director's continuous service as of immediately prior to the closing of such change in control.

SEC source: 0001209191-22-036431 · doc4.xml · derivative · entry 1

ATWOOD BRIAN G · CIK 0001266567 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,000

Underlying: Class A Common Stock · 12,000 shares

Expires 2032-06-07

F1 · derivative.exercise_date: The option vests upon the earlier of the one-year anniversary of the date of grant or the day prior to the next Annual Meeting of Stockholders occurring after the grant date, subject to the non-employee director's continuous service on each applicable vesting date. All unvested options will vest in full immediately prior to a change in control (as defined in the Company's 2019 Equity Incentive Plan), subject to the non-employee director's continuous service as of immediately prior to the closing of such change in control.

SEC source: 0000899243-21-039931 · doc4.xml · derivative · entry 1

ATWOOD BRIAN G · CIK 0001266567 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Phoenix Biotech Sponsor, LLC

Disclosed balance after: 25,000

Underlying: Class A Common Stock · 25,000 shares

Expires not disclosed

F1 · derivative.exercise_price: 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 on a one-for-one basis, subject to certain adjustments described in the issuer's charter documents and have no expiration date.

F2 · kind: Allocated to the reporting person as a member of Phoenix Biotech Sponsor, LLC, for service on the issuer's board of directors.

F3 · shares: The reporting person disclaims beneficial ownership of these securities, except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for any other purpose.

F2 · price: Allocated to the reporting person as a member of Phoenix Biotech Sponsor, LLC, for service on the issuer's board of directors.

F1 · derivative.exercise_date: 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 on a one-for-one basis, subject to certain adjustments described in the issuer's charter documents and have no expiration date.

F1 · derivative.expiration_date: 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 on a one-for-one basis, subject to certain adjustments described in the issuer's charter documents and have no expiration date.

SEC source: 0000899243-21-023396 · doc4.xml · derivative · entry 1

ATWOOD BRIAN G · CIK 0001266567 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,223

Underlying: Common Stock · 42,223 shares

Expires 2031-06-10

F1 · derivative.exercise_date: The options shall vest on the one-year anniversary of the date of grant.

SEC source: 0001209191-21-039853 · doc4.xml · derivative · entry 1

ATWOOD BRIAN G · CIK 0001266567 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,000

Underlying: Class A Common Stock · 12,000 shares

Expires 2031-06-08

F1 · derivative.exercise_date: The option vests upon the earlier of the one-year anniversary of the date of grant or the day prior to the next Annual Meeting of Stockholders occurring after the grant date, subject to the non-employee director's continuous service on each applicable vesting date. All unvested options will vest in full immediately prior to a change in control (as defined in the Company's 2019 Equity Incentive Plan), subject to the non-employee director's continuous service as of immediately prior to the closing of such change in control.

SEC source: 0000899243-21-002101 · doc4.xml · derivative · entry 1

ATWOOD BRIAN G · CIK 0001266567 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By LWAC D&O LLC

Disclosed balance after: 25,000

Underlying: Class A Common Stock · 25,000 shares

Expires not disclosed

F1 · derivative.exercise_price: 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 on a one-for-one basis, subject to certain adjustments described in the issuer's charter documents and have no expiration date.

F2 · kind: Allocated to the reporting person as a member of LWAC D&O LLC, a member of Locust Walk Sponsor, LLC, for service on the issuer's board of directors.

F3 · shares: The reporting person disclaims beneficial ownership of these securities, except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for any other purpose.

F2 · price: Allocated to the reporting person as a member of LWAC D&O LLC, a member of Locust Walk Sponsor, LLC, for service on the issuer's board of directors.

F1 · derivative.exercise_date: 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 on a one-for-one basis, subject to certain adjustments described in the issuer's charter documents and have no expiration date.

F1 · derivative.expiration_date: 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 on a one-for-one basis, subject to certain adjustments described in the issuer's charter documents and have no expiration date.

SEC source: 0001209191-20-062799 · doc4.xml · derivative · entry 6

ATWOOD BRIAN G · CIK 0001266567 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Atwood-Edminster Trust dtd 4/2/00

Disclosed balance after: 34,166

Underlying: Class A Common Stock · 34,166 shares

Expires 2029-05-22

F4 · derivative.exercise_date: 1/48 of the Option vests in equal monthly installments as measured from 5/23/2019.

F2 · ownership.direct: On December 9, 2020, the reporting person transferred such Non-Qualified Stock Options to Atwood-Edminster Trust dtd 4/2/00. The reporting person is a trustee and continues to report beneficial ownership of these Non-Qualified Stock Options held by the Atwood-Edminster Trust dtd 4/2/00, but disclaims beneficial ownership except to the extent of his and immediate family's pecuniary interest therein.

SEC source: 0001209191-20-062799 · doc4.xml · derivative · entry 5

ATWOOD BRIAN G · CIK 0001266567 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Class A Common Stock · 34,166 shares

Expires 2029-05-22

F4 · derivative.exercise_date: 1/48 of the Option vests in equal monthly installments as measured from 5/23/2019.

F2 · ownership.direct: On December 9, 2020, the reporting person transferred such Non-Qualified Stock Options to Atwood-Edminster Trust dtd 4/2/00. The reporting person is a trustee and continues to report beneficial ownership of these Non-Qualified Stock Options held by the Atwood-Edminster Trust dtd 4/2/00, but disclaims beneficial ownership except to the extent of his and immediate family's pecuniary interest therein.

SEC source: 0001209191-20-062799 · doc4.xml · derivative · entry 4

ATWOOD BRIAN G · CIK 0001266567 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Atwood-Edminster Trust dtd 4/2/00

Disclosed balance after: 12,500

Underlying: Class A Common Stock · 12,500 shares

Expires 2026-07-19

F3 · derivative.exercise_date: The Option is fully vested.

F2 · ownership.direct: On December 9, 2020, the reporting person transferred such Non-Qualified Stock Options to Atwood-Edminster Trust dtd 4/2/00. The reporting person is a trustee and continues to report beneficial ownership of these Non-Qualified Stock Options held by the Atwood-Edminster Trust dtd 4/2/00, but disclaims beneficial ownership except to the extent of his and immediate family's pecuniary interest therein.

SEC source: 0001209191-20-062799 · doc4.xml · derivative · entry 3

ATWOOD BRIAN G · CIK 0001266567 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Class A Common Stock · 12,500 shares

Expires 2026-07-19

F3 · derivative.exercise_date: The Option is fully vested.

F2 · ownership.direct: On December 9, 2020, the reporting person transferred such Non-Qualified Stock Options to Atwood-Edminster Trust dtd 4/2/00. The reporting person is a trustee and continues to report beneficial ownership of these Non-Qualified Stock Options held by the Atwood-Edminster Trust dtd 4/2/00, but disclaims beneficial ownership except to the extent of his and immediate family's pecuniary interest therein.

SEC source: 0001209191-20-062799 · doc4.xml · derivative · entry 2

ATWOOD BRIAN G · CIK 0001266567 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Atwood-Edminster Trust dtd 4/2/00

Disclosed balance after: 12,000

Underlying: Class A Common Stock · 12,000 shares

Expires 2030-06-09

F1 · derivative.exercise_date: The option vests upon the earlier of the one-year anniversary of the date of grant or the day prior to the next Annual Meeting of Stockholders occurring after the grant date, subject to the non-employee director's continuous service on each applicable vesting date. All unvested options will vest in full immediately prior to a change in control (as defined in the Company's 2019 Equity Incentive Plan), subject to the non-employee director's continuous service as of immediately prior to the closing of such change in control.

F2 · ownership.direct: On December 9, 2020, the reporting person transferred such Non-Qualified Stock Options to Atwood-Edminster Trust dtd 4/2/00. The reporting person is a trustee and continues to report beneficial ownership of these Non-Qualified Stock Options held by the Atwood-Edminster Trust dtd 4/2/00, but disclaims beneficial ownership except to the extent of his and immediate family's pecuniary interest therein.

SEC source: 0001209191-20-062799 · doc4.xml · derivative · entry 1

ATWOOD BRIAN G · CIK 0001266567 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Class A Common Stock · 12,000 shares

Expires 2030-06-09

F1 · derivative.exercise_date: The option vests upon the earlier of the one-year anniversary of the date of grant or the day prior to the next Annual Meeting of Stockholders occurring after the grant date, subject to the non-employee director's continuous service on each applicable vesting date. All unvested options will vest in full immediately prior to a change in control (as defined in the Company's 2019 Equity Incentive Plan), subject to the non-employee director's continuous service as of immediately prior to the closing of such change in control.

F2 · ownership.direct: On December 9, 2020, the reporting person transferred such Non-Qualified Stock Options to Atwood-Edminster Trust dtd 4/2/00. The reporting person is a trustee and continues to report beneficial ownership of these Non-Qualified Stock Options held by the Atwood-Edminster Trust dtd 4/2/00, but disclaims beneficial ownership except to the extent of his and immediate family's pecuniary interest therein.

SEC source: 0000899243-20-030747 · doc4.xml · derivative · entry 5

ATWOOD BRIAN G · CIK 0001266567 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 6,896 shares

Expires 2020-12-01

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.

F3 · derivative.exercise_date: The shares subject to this option were fully vested as of the date of exercise.

SEC source: 0000899243-20-030747 · doc4.xml · nonDerivative · entry 1

ATWOOD BRIAN G · CIK 0001266567 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,758

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.

SEC source: 0001209191-20-036668 · doc4.xml · derivative · entry 1

ATWOOD BRIAN G · CIK 0001266567 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,000

Underlying: Class A Common Stock · 12,000 shares

Expires 2030-06-09

F1 · derivative.exercise_date: The option vests upon the earlier of the one-year anniversary of the date of grant or the day prior to the next Annual Meeting of Stockholders occurring after the grant date, subject to the non-employee director's continuous service on each applicable vesting date. All unvested options will vest in full immediately prior to a change in control (as defined in the Company's 2019 Equity Incentive Plan), subject to the non-employee director's continuous service as of immediately prior to the closing of such change in control.

SEC source: 0000899243-20-015506 · doc4.xml · derivative · entry 1

ATWOOD BRIAN G · CIK 0001266567 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,138

Underlying: Common Stock · 40,138 shares

Expires 2030-06-04

F1 · derivative.exercise_date: One-twelfth (1/12) of the shares subject to the option shall vest on each of the first twelve (12) monthly anniversaries of the date of grant.

SEC source: 0000899243-19-022285 · doc4.xml · derivative · entry 5

ATWOOD BRIAN G · CIK 0001266567 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 25,862 shares

Expires 2019-08-26

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.

F3 · derivative.exercise_date: The option was immediately exercisable as to both vested and unvested shares. 25% of the shares subject to the option vested on each of August 26, 2009, August 26, 2010, August 26, 2011 and August 26, 2012.

SEC source: 0000899243-19-022285 · doc4.xml · nonDerivative · entry 1

ATWOOD BRIAN G · CIK 0001266567 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,862

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.

SEC source: 0001209191-19-038781 · doc4.xml · derivative · entry 3

ATWOOD BRIAN G · CIK 0001266567 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Atwood-Edminster Trust

Disclosed balance after: 0

Underlying: Class A Common Stock · 4,287 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: The preferred stock automatically converted into Class A common stock on a 1-to-1 basis immediately upon closing of the initial public offering of the Issuer and has no expiration date.

F1 · derivative.exercise_date: The preferred stock automatically converted into Class A common stock on a 1-to-1 basis immediately upon closing of the initial public offering of the Issuer and has no expiration date.

F1 · derivative.expiration_date: The preferred stock automatically converted into Class A common stock on a 1-to-1 basis immediately upon closing of the initial public offering of the Issuer and has no expiration date.

SEC source: 0001209191-19-038781 · doc4.xml · derivative · entry 2

ATWOOD BRIAN G · CIK 0001266567 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Atwood-Edminster Trust

Disclosed balance after: 0

Underlying: Class A Common Stock · 4,504 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: The preferred stock automatically converted into Class A common stock on a 1-to-1 basis immediately upon closing of the initial public offering of the Issuer and has no expiration date.

F1 · derivative.exercise_date: The preferred stock automatically converted into Class A common stock on a 1-to-1 basis immediately upon closing of the initial public offering of the Issuer and has no expiration date.

F1 · derivative.expiration_date: The preferred stock automatically converted into Class A common stock on a 1-to-1 basis immediately upon closing of the initial public offering of the Issuer and has no expiration date.

SEC source: 0001209191-19-038781 · doc4.xml · nonDerivative · entry 1

ATWOOD BRIAN G · CIK 0001266567 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Atwood-Edminster Trust

Disclosed balance after: 49,654

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 · price: The preferred stock automatically converted into Class A common stock on a 1-to-1 basis immediately upon closing of the initial public offering of the Issuer and has no expiration date.

SEC source: 0000899243-19-016037 · doc4.xml · derivative · entry 1

ATWOOD BRIAN G · CIK 0001266567 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,882

Underlying: Common Stock · 28,882 shares

Expires 2029-06-06

F1 · derivative.exercise_date: One-twelfth (1/12) of the shares subject to the option shall vest on each of the first twelve (12) monthly anniversaries of the date of grant.

SEC source: 0000899243-18-026723 · doc4.xml · derivative · entry 1

ATWOOD BRIAN G · CIK 0001266567 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,770

Underlying: Common Stock · 14,770 shares

Expires 2028-10-11

F1 · derivative.exercise_date: One-twelfth (1/12) of the shares subject to the option shall vest on each of the first twelve (12) monthly anniversaries of the date of grant.