VENKATARAMAN BALAJI

SEC source: 0000921895-24-002133 · form412927011_09162024.xml · derivative · entry 5

Morgan Adam · CIK 0001964335 · Director · 10% owner

Velan Capital Investment Management LP · CIK 0001848809 · 10% owner

Velan Capital Master Fund LP · CIK 0001964356 · 10% owner

Velan Capital SPV I LLC · CIK 0001977931 · 10% owner

Velan Capital Holdings LLC · CIK 0001964353 · 10% owner

Velan Capital Management LLC · CIK 0001964355 · 10% owner

VENKATARAMAN BALAJI · CIK 0001114916 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · By Velan Capital Master Fund LP

Disclosed balance after: 0

Underlying: Common Stock · 800,000 shares

Expires 2030-03-24

F6 · security: Pursuant to the terms of the Merger Agreement, at the Effective Time, each Warrant that was outstanding as of immediately prior to the Effective Time was converted into the right to receive, upon exercise of such Warrant, the same Merger Consideration as such holder would have been entitled to receive if such holder had been, immediately prior to the Effective Time, the holder of the number of shares then issuable upon exercise in full of such Warrant without regard to any limitations on exercise contained therein.

F7 · derivative.exercise_price: The Warrants had an exercise price of $2.10 (subject to adjustment as provided therein) and would have expired upon the earlier of March 24, 2030 and a change of control of the Issuer.

F6 · price: Pursuant to the terms of the Merger Agreement, at the Effective Time, each Warrant that was outstanding as of immediately prior to the Effective Time was converted into the right to receive, upon exercise of such Warrant, the same Merger Consideration as such holder would have been entitled to receive if such holder had been, immediately prior to the Effective Time, the holder of the number of shares then issuable upon exercise in full of such Warrant without regard to any limitations on exercise contained therein.

F7 · derivative.expiration_date: The Warrants had an exercise price of $2.10 (subject to adjustment as provided therein) and would have expired upon the earlier of March 24, 2030 and a change of control of the Issuer.

F3 · ownership.nature: Securities owned directly by Velan Master. As the general partner of Velan Master, Velan GP may be deemed to beneficially own the securities owned directly by Velan Master. As the investment manager of Velan Master, Velan Capital may be deemed to beneficially own the securities owned directly by Velan Master. As the general partner of Velan Capital, Velan IM GP may be deemed to beneficially own the securities owned directly by Velan Master. Messrs. Morgan and Venkataraman, as managing members of each of Velan GP and Velan IM GP, may be deemed to beneficially own the securities owned directly by Velan Master.

SEC source: 0000921895-24-002133 · form412927011_09162024.xml · derivative · entry 4

Morgan Adam · CIK 0001964335 · Director · 10% owner

Velan Capital Investment Management LP · CIK 0001848809 · 10% owner

Velan Capital Master Fund LP · CIK 0001964356 · 10% owner

Velan Capital SPV I LLC · CIK 0001977931 · 10% owner

Velan Capital Holdings LLC · CIK 0001964353 · 10% owner

Velan Capital Management LLC · CIK 0001964355 · 10% owner

VENKATARAMAN BALAJI · CIK 0001114916 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 50,000 shares

Expires 2033-10-01

F5 · security: In accordance with the terms of the Merger Agreement, at the Effective Time, each stock option granted by the Issuer to purchase shares (each, an "Option") that was outstanding and unvested immediately prior to the Effective Time vested in full, and each Option that was outstanding and unexercised which had a per share exercise price that was less than the Closing Cash Consideration was converted into the right to receive the sum of an amount in cash (without interest and subject to deduction for any required withholding as contemplated in the Merger Agreement) equal to: (a) the excess, if any, of the Closing Cash Consideration over the exercise price per share of such Option; multiplied by the number of shares underlying such Option and (b) one CVR.

F5 · price: In accordance with the terms of the Merger Agreement, at the Effective Time, each stock option granted by the Issuer to purchase shares (each, an "Option") that was outstanding and unvested immediately prior to the Effective Time vested in full, and each Option that was outstanding and unexercised which had a per share exercise price that was less than the Closing Cash Consideration was converted into the right to receive the sum of an amount in cash (without interest and subject to deduction for any required withholding as contemplated in the Merger Agreement) equal to: (a) the excess, if any, of the Closing Cash Consideration over the exercise price per share of such Option; multiplied by the number of shares underlying such Option and (b) one CVR.

F5 · derivative.exercise_date: In accordance with the terms of the Merger Agreement, at the Effective Time, each stock option granted by the Issuer to purchase shares (each, an "Option") that was outstanding and unvested immediately prior to the Effective Time vested in full, and each Option that was outstanding and unexercised which had a per share exercise price that was less than the Closing Cash Consideration was converted into the right to receive the sum of an amount in cash (without interest and subject to deduction for any required withholding as contemplated in the Merger Agreement) equal to: (a) the excess, if any, of the Closing Cash Consideration over the exercise price per share of such Option; multiplied by the number of shares underlying such Option and (b) one CVR.

SEC source: 0000921895-24-002133 · form412927011_09162024.xml · derivative · entry 3

Morgan Adam · CIK 0001964335 · Director · 10% owner

Velan Capital Investment Management LP · CIK 0001848809 · 10% owner

Velan Capital Master Fund LP · CIK 0001964356 · 10% owner

Velan Capital SPV I LLC · CIK 0001977931 · 10% owner

Velan Capital Holdings LLC · CIK 0001964353 · 10% owner

Velan Capital Management LLC · CIK 0001964355 · 10% owner

VENKATARAMAN BALAJI · CIK 0001114916 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,825 shares

Expires 2033-03-23

F5 · security: In accordance with the terms of the Merger Agreement, at the Effective Time, each stock option granted by the Issuer to purchase shares (each, an "Option") that was outstanding and unvested immediately prior to the Effective Time vested in full, and each Option that was outstanding and unexercised which had a per share exercise price that was less than the Closing Cash Consideration was converted into the right to receive the sum of an amount in cash (without interest and subject to deduction for any required withholding as contemplated in the Merger Agreement) equal to: (a) the excess, if any, of the Closing Cash Consideration over the exercise price per share of such Option; multiplied by the number of shares underlying such Option and (b) one CVR.

F5 · price: In accordance with the terms of the Merger Agreement, at the Effective Time, each stock option granted by the Issuer to purchase shares (each, an "Option") that was outstanding and unvested immediately prior to the Effective Time vested in full, and each Option that was outstanding and unexercised which had a per share exercise price that was less than the Closing Cash Consideration was converted into the right to receive the sum of an amount in cash (without interest and subject to deduction for any required withholding as contemplated in the Merger Agreement) equal to: (a) the excess, if any, of the Closing Cash Consideration over the exercise price per share of such Option; multiplied by the number of shares underlying such Option and (b) one CVR.

F5 · derivative.exercise_date: In accordance with the terms of the Merger Agreement, at the Effective Time, each stock option granted by the Issuer to purchase shares (each, an "Option") that was outstanding and unvested immediately prior to the Effective Time vested in full, and each Option that was outstanding and unexercised which had a per share exercise price that was less than the Closing Cash Consideration was converted into the right to receive the sum of an amount in cash (without interest and subject to deduction for any required withholding as contemplated in the Merger Agreement) equal to: (a) the excess, if any, of the Closing Cash Consideration over the exercise price per share of such Option; multiplied by the number of shares underlying such Option and (b) one CVR.

SEC source: 0000921895-24-002133 · form412927011_09162024.xml · nonDerivative · entry 2

Morgan Adam · CIK 0001964335 · Director · 10% owner

Velan Capital Investment Management LP · CIK 0001848809 · 10% owner

Velan Capital Master Fund LP · CIK 0001964356 · 10% owner

Velan Capital SPV I LLC · CIK 0001977931 · 10% owner

Velan Capital Holdings LLC · CIK 0001964353 · 10% owner

Velan Capital Management LLC · CIK 0001964355 · 10% owner

VENKATARAMAN BALAJI · CIK 0001114916 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · By Velan Capital SPV I LLC

Disclosed balance after: 0

F1 · security: This Form 4 is filed jointly by Velan Capital Master Fund LP ("Velan Master"), Velan Capital SPV I LLC ("Velan SPV"), Velan Capital Holdings LLC ("Velan GP"), Velan Capital Investment Management LP ("Velan Capital"), Velan Capital Management LLC ("Velan IM GP"), Adam Morgan and Balaji Venkataraman (collectively, the "Reporting Persons"). Each Reporting Person was deemed to be a member of a Section 13(d) group that was previously deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of common stock, par value $0.01 per share (the "Common Stock"). Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein.

F2 · shares: Pursuant to the Agreement and Plan of Merger, dated as of June 21, 2024 (the "Merger Agreement"), by and among the Issuer, ANI Pharmaceuticals, Inc., a Delaware corporation ("Parent") and ANIP Merger Sub INC., a Delaware corporation and a wholly owned indirect subsidiary of Parent, as of the effective time of the merger (the "Effective Time"), each share of Common Stock was converted into the right to receive (i) $5.50 in cash, without interest (such amount, the "Closing Cash Consideration") and (ii) one contingent value right ("CVR") representing the right to receive contingent cash payments subject to the achievement of certain milestones and the terms and conditions set forth in a contingent value rights agreement entered into between Parent and a rights agent (the consideration contemplated by (i) and (ii), together, the "Merger Consideration").

F2 · price: Pursuant to the Agreement and Plan of Merger, dated as of June 21, 2024 (the "Merger Agreement"), by and among the Issuer, ANI Pharmaceuticals, Inc., a Delaware corporation ("Parent") and ANIP Merger Sub INC., a Delaware corporation and a wholly owned indirect subsidiary of Parent, as of the effective time of the merger (the "Effective Time"), each share of Common Stock was converted into the right to receive (i) $5.50 in cash, without interest (such amount, the "Closing Cash Consideration") and (ii) one contingent value right ("CVR") representing the right to receive contingent cash payments subject to the achievement of certain milestones and the terms and conditions set forth in a contingent value rights agreement entered into between Parent and a rights agent (the consideration contemplated by (i) and (ii), together, the "Merger Consideration").

F4 · ownership.nature: Securities owned directly by Velan SPV. As the managing member of Velan SPV, Velan GP may be deemed to beneficially own the securities owned directly by Velan SPV. As the investment manager of Velan SPV, Velan Capital may be deemed to beneficially own the securities owned directly by Velan SPV. As the general partner of Velan Capital, Velan IM GP may be deemed to beneficially own the securities owned directly by Velan SPV. Messrs. Morgan and Venkataraman, as managing members of each of Velan GP and Velan IM GP, may be deemed to beneficially own the securities owned directly by Velan SPV.

SEC source: 0000921895-24-002133 · form412927011_09162024.xml · nonDerivative · entry 1

Morgan Adam · CIK 0001964335 · Director · 10% owner

Velan Capital Investment Management LP · CIK 0001848809 · 10% owner

Velan Capital Master Fund LP · CIK 0001964356 · 10% owner

Velan Capital SPV I LLC · CIK 0001977931 · 10% owner

Velan Capital Holdings LLC · CIK 0001964353 · 10% owner

Velan Capital Management LLC · CIK 0001964355 · 10% owner

VENKATARAMAN BALAJI · CIK 0001114916 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · By Velan Capital Master Fund LP

Disclosed balance after: 0

F1 · security: This Form 4 is filed jointly by Velan Capital Master Fund LP ("Velan Master"), Velan Capital SPV I LLC ("Velan SPV"), Velan Capital Holdings LLC ("Velan GP"), Velan Capital Investment Management LP ("Velan Capital"), Velan Capital Management LLC ("Velan IM GP"), Adam Morgan and Balaji Venkataraman (collectively, the "Reporting Persons"). Each Reporting Person was deemed to be a member of a Section 13(d) group that was previously deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of common stock, par value $0.01 per share (the "Common Stock"). Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein.

F2 · shares: Pursuant to the Agreement and Plan of Merger, dated as of June 21, 2024 (the "Merger Agreement"), by and among the Issuer, ANI Pharmaceuticals, Inc., a Delaware corporation ("Parent") and ANIP Merger Sub INC., a Delaware corporation and a wholly owned indirect subsidiary of Parent, as of the effective time of the merger (the "Effective Time"), each share of Common Stock was converted into the right to receive (i) $5.50 in cash, without interest (such amount, the "Closing Cash Consideration") and (ii) one contingent value right ("CVR") representing the right to receive contingent cash payments subject to the achievement of certain milestones and the terms and conditions set forth in a contingent value rights agreement entered into between Parent and a rights agent (the consideration contemplated by (i) and (ii), together, the "Merger Consideration").

F2 · price: Pursuant to the Agreement and Plan of Merger, dated as of June 21, 2024 (the "Merger Agreement"), by and among the Issuer, ANI Pharmaceuticals, Inc., a Delaware corporation ("Parent") and ANIP Merger Sub INC., a Delaware corporation and a wholly owned indirect subsidiary of Parent, as of the effective time of the merger (the "Effective Time"), each share of Common Stock was converted into the right to receive (i) $5.50 in cash, without interest (such amount, the "Closing Cash Consideration") and (ii) one contingent value right ("CVR") representing the right to receive contingent cash payments subject to the achievement of certain milestones and the terms and conditions set forth in a contingent value rights agreement entered into between Parent and a rights agent (the consideration contemplated by (i) and (ii), together, the "Merger Consideration").

F3 · ownership.nature: Securities owned directly by Velan Master. As the general partner of Velan Master, Velan GP may be deemed to beneficially own the securities owned directly by Velan Master. As the investment manager of Velan Master, Velan Capital may be deemed to beneficially own the securities owned directly by Velan Master. As the general partner of Velan Capital, Velan IM GP may be deemed to beneficially own the securities owned directly by Velan Master. Messrs. Morgan and Venkataraman, as managing members of each of Velan GP and Velan IM GP, may be deemed to beneficially own the securities owned directly by Velan Master.

SEC source: 0000921895-24-000337 · form412927020_02092024.xml · nonDerivative · entry 1

Velan Capital Investment Management LP · CIK 0001848809 · 10% owner

Velan Capital Master Fund LP · CIK 0001964356 · See Footnote 1

Avego Healthcare Capital, L.P. · CIK 0001822834 · See Footnote 1

Velan Capital Holdings LLC · CIK 0001964353 · See Footnote 1

Avego Healthcare Capital Holdings, LLC · CIK 0001964446 · See Footnote 1

Avego Management LLC · CIK 0001886177 · See Footnote 1

Velan Capital Management LLC · CIK 0001964355 · 10% owner

VENKATARAMAN BALAJI · CIK 0001114916 · 10% owner

Morgan Adam · CIK 0001964335 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · By Velan Capital Master Fund LP

Disclosed balance after: 1,188,500

F1 · security: This Form 4 is filed jointly by Velan Capital Master Fund LP ("Velan Master"), Avego Healthcare Capital, L.P. ("Avego Fund"), Velan Capital Holdings LLC ("Velan GP"), Avego Healthcare Capital Holdings, LLC ("Avego GP"), Avego Management, LLC ("Avego Management"), Velan Capital Investment Management LP ("Velan Capital"), Velan Capital Management LLC ("Velan IM GP"), Balaji Venkataraman and Adam Morgan (collectively, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that no longer collectively beneficially owns more than 10% of the Issuer's outstanding shares. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein.

F4 · balance_after: Reflects a 1-for-10 reverse stock split of the Issuer's common stock, effected on January 4, 2024.

F2 · ownership.nature: Securities owned directly by Velan Master. As the general partner of Velan Master, Velan GP may be deemed to beneficially own the securities owned directly by Velan Master. As the investment manager of Velan Master, Velan Capital may be deemed to beneficially own the securities owned directly by Velan Master. As the general partner of Velan Capital, Velan IM GP may be deemed to beneficially own the securities owned directly by Velan Master. As the managing members of Velan GP and Velan IM GP, Messrs. Venkataraman and Morgan may be deemed to beneficially own the securities owned directly by Velan Master.

SEC source: 0000921895-23-002311 · form412927011_10042023.xml · derivative · entry 3

Morgan Adam · CIK 0001964335 · Director · 10% owner

Velan Capital Investment Management LP · CIK 0001848809 · 10% owner

Velan Capital Master Fund LP · CIK 0001964356 · 10% owner

Velan Capital SPV I LLC · CIK 0001977931 · 10% owner

Velan Capital Holdings LLC · CIK 0001964353 · 10% owner

Velan Capital Management LLC · CIK 0001964355 · 10% owner

VENKATARAMAN BALAJI · CIK 0001114916 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2033-10-01

F4 · derivative.exercise_date: The option shares shall vest in equal monthly installments of Mr. Morgan's continuous service with the Issuer beginning on August 1, 2023 and vest in full at the earlier of August 1, 2024 or the date of the Issuer's 2024 annual meeting of stockholders, with the final installment adjusted as necessary to avoid any fractional shares in any installment.

SEC source: 0000921895-23-002012 · form412927011_08172023.xml · derivative · entry 6

Morgan Adam · CIK 0001964335 · Director · 10% owner

Velan Capital Investment Management LP · CIK 0001848809 · 10% owner

Velan Capital Master Fund LP · CIK 0001964356 · 10% owner

Velan Capital SPV I LLC · CIK 0001977931 · 10% owner

Velan Capital Holdings LLC · CIK 0001964353 · 10% owner

Velan Capital Management LLC · CIK 0001964355 · 10% owner

VENKATARAMAN BALAJI · CIK 0001114916 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · By Velan Capital Master Fund LP

Disclosed balance after: 0

Underlying: Common Stock · 2,924,762 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.

F6 · security: Velan Master purchased 6,000 shares of Series B Preferred Stock in the Tranche 1 Closing (as defined below) pursuant to the terms of the SPA and the Certificate of Designation. The conversion price of the Series B Preferred Stock issued on March 24, 2023 (the "Tranche 1 Closing") was $2.10 at the time of the Mandatory Conversion.

F6 · derivative.exercise_price: Velan Master purchased 6,000 shares of Series B Preferred Stock in the Tranche 1 Closing (as defined below) pursuant to the terms of the SPA and the Certificate of Designation. The conversion price of the Series B Preferred Stock issued on March 24, 2023 (the "Tranche 1 Closing") was $2.10 at the time of the Mandatory Conversion.

F6 · shares: Velan Master purchased 6,000 shares of Series B Preferred Stock in the Tranche 1 Closing (as defined below) pursuant to the terms of the SPA and the Certificate of Designation. The conversion price of the Series B Preferred Stock issued on March 24, 2023 (the "Tranche 1 Closing") was $2.10 at the time of the Mandatory Conversion.

F6 · price: Velan Master purchased 6,000 shares of Series B Preferred Stock in the Tranche 1 Closing (as defined below) pursuant to the terms of the SPA and the Certificate of Designation. The conversion price of the Series B Preferred Stock issued on March 24, 2023 (the "Tranche 1 Closing") was $2.10 at the time of the Mandatory Conversion.

F5 · derivative.exercise_date: Pursuant to the terms of the SPA, prior to the conclusion of the Company Stockholders Meeting (as defined in the SPA), the Series B Preferred was not convertible into shares of the Issuer's Common Stock or any other security of the Issuer. Once stockholder approval of the transaction was obtained at the Company Stockholders Meeting, the Issuer designated August 15, 2023 as the day on which all of the outstanding shares of Series B Preferred Stock would automatically convert into shares of Common Stock at the applicable conversion price (the "Mandatory Conversion"), plus accrued and unpaid dividends, subject to the terms and conditions set forth in the Certificate of Amendment to the Certificate of Designation of the Series B Preferred Stock of the Issuer that was filed with the Secretary of State of the State of Delaware on August 1, 2023.

F5 · derivative.expiration_date: Pursuant to the terms of the SPA, prior to the conclusion of the Company Stockholders Meeting (as defined in the SPA), the Series B Preferred was not convertible into shares of the Issuer's Common Stock or any other security of the Issuer. Once stockholder approval of the transaction was obtained at the Company Stockholders Meeting, the Issuer designated August 15, 2023 as the day on which all of the outstanding shares of Series B Preferred Stock would automatically convert into shares of Common Stock at the applicable conversion price (the "Mandatory Conversion"), plus accrued and unpaid dividends, subject to the terms and conditions set forth in the Certificate of Amendment to the Certificate of Designation of the Series B Preferred Stock of the Issuer that was filed with the Secretary of State of the State of Delaware on August 1, 2023.

F6 · derivative.expiration_date: Velan Master purchased 6,000 shares of Series B Preferred Stock in the Tranche 1 Closing (as defined below) pursuant to the terms of the SPA and the Certificate of Designation. The conversion price of the Series B Preferred Stock issued on March 24, 2023 (the "Tranche 1 Closing") was $2.10 at the time of the Mandatory Conversion.

F5 · derivative.underlying_shares: Pursuant to the terms of the SPA, prior to the conclusion of the Company Stockholders Meeting (as defined in the SPA), the Series B Preferred was not convertible into shares of the Issuer's Common Stock or any other security of the Issuer. Once stockholder approval of the transaction was obtained at the Company Stockholders Meeting, the Issuer designated August 15, 2023 as the day on which all of the outstanding shares of Series B Preferred Stock would automatically convert into shares of Common Stock at the applicable conversion price (the "Mandatory Conversion"), plus accrued and unpaid dividends, subject to the terms and conditions set forth in the Certificate of Amendment to the Certificate of Designation of the Series B Preferred Stock of the Issuer that was filed with the Secretary of State of the State of Delaware on August 1, 2023.

F2 · ownership.nature: Securities owned directly by Velan Master. As the general partner of Velan Master, Velan GP may be deemed to beneficially own the securities owned directly by Velan Master. As the investment manager of Velan Master, Velan Capital may be deemed to beneficially own the securities owned directly by Velan Master. As the general partner of Velan Capital, Velan IM GP may be deemed to beneficially own the securities owned directly by Velan Master. Messrs. Morgan and Venkataraman, as managing members of each of Velan GP and Velan IM GP, may be deemed to beneficially own the securities owned directly by Velan Master.

SEC source: 0000921895-23-002012 · form412927011_08172023.xml · derivative · entry 5

Morgan Adam · CIK 0001964335 · Director · 10% owner

Velan Capital Investment Management LP · CIK 0001848809 · 10% owner

Velan Capital Master Fund LP · CIK 0001964356 · 10% owner

Velan Capital SPV I LLC · CIK 0001977931 · 10% owner

Velan Capital Holdings LLC · CIK 0001964353 · 10% owner

Velan Capital Management LLC · CIK 0001964355 · 10% owner

VENKATARAMAN BALAJI · CIK 0001114916 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · By Velan Capital SPV I LLC

Disclosed balance after: 0

Underlying: Common Stock · 4,178,725 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.

F4 · security: Velan Master purchased 8,117 shares of Series B Convertible Preferred Stock of the Issuer (the "Series B Preferred Stock") and Velan SPV purchased 7,000 shares of the Series B Preferred Stock in the Tranche 2 Closing (as defined below) pursuant to the terms of the Securities Purchase Agreement, dated as of March 24, 2023 (as amended, the "SPA") and the Certificate of Designation of the Series B Preferred Stock (as amended, the "Certificate of Designation"). The conversion price of the Series B Preferred Stock issued on May 17, 2023 (the "Tranche 2 Closing") was $1.70 at the time of the Mandatory Conversion (as defined below).

F4 · derivative.exercise_price: Velan Master purchased 8,117 shares of Series B Convertible Preferred Stock of the Issuer (the "Series B Preferred Stock") and Velan SPV purchased 7,000 shares of the Series B Preferred Stock in the Tranche 2 Closing (as defined below) pursuant to the terms of the Securities Purchase Agreement, dated as of March 24, 2023 (as amended, the "SPA") and the Certificate of Designation of the Series B Preferred Stock (as amended, the "Certificate of Designation"). The conversion price of the Series B Preferred Stock issued on May 17, 2023 (the "Tranche 2 Closing") was $1.70 at the time of the Mandatory Conversion (as defined below).

F4 · shares: Velan Master purchased 8,117 shares of Series B Convertible Preferred Stock of the Issuer (the "Series B Preferred Stock") and Velan SPV purchased 7,000 shares of the Series B Preferred Stock in the Tranche 2 Closing (as defined below) pursuant to the terms of the Securities Purchase Agreement, dated as of March 24, 2023 (as amended, the "SPA") and the Certificate of Designation of the Series B Preferred Stock (as amended, the "Certificate of Designation"). The conversion price of the Series B Preferred Stock issued on May 17, 2023 (the "Tranche 2 Closing") was $1.70 at the time of the Mandatory Conversion (as defined below).

F4 · price: Velan Master purchased 8,117 shares of Series B Convertible Preferred Stock of the Issuer (the "Series B Preferred Stock") and Velan SPV purchased 7,000 shares of the Series B Preferred Stock in the Tranche 2 Closing (as defined below) pursuant to the terms of the Securities Purchase Agreement, dated as of March 24, 2023 (as amended, the "SPA") and the Certificate of Designation of the Series B Preferred Stock (as amended, the "Certificate of Designation"). The conversion price of the Series B Preferred Stock issued on May 17, 2023 (the "Tranche 2 Closing") was $1.70 at the time of the Mandatory Conversion (as defined below).

F5 · derivative.exercise_date: Pursuant to the terms of the SPA, prior to the conclusion of the Company Stockholders Meeting (as defined in the SPA), the Series B Preferred was not convertible into shares of the Issuer's Common Stock or any other security of the Issuer. Once stockholder approval of the transaction was obtained at the Company Stockholders Meeting, the Issuer designated August 15, 2023 as the day on which all of the outstanding shares of Series B Preferred Stock would automatically convert into shares of Common Stock at the applicable conversion price (the "Mandatory Conversion"), plus accrued and unpaid dividends, subject to the terms and conditions set forth in the Certificate of Amendment to the Certificate of Designation of the Series B Preferred Stock of the Issuer that was filed with the Secretary of State of the State of Delaware on August 1, 2023.

F4 · derivative.expiration_date: Velan Master purchased 8,117 shares of Series B Convertible Preferred Stock of the Issuer (the "Series B Preferred Stock") and Velan SPV purchased 7,000 shares of the Series B Preferred Stock in the Tranche 2 Closing (as defined below) pursuant to the terms of the Securities Purchase Agreement, dated as of March 24, 2023 (as amended, the "SPA") and the Certificate of Designation of the Series B Preferred Stock (as amended, the "Certificate of Designation"). The conversion price of the Series B Preferred Stock issued on May 17, 2023 (the "Tranche 2 Closing") was $1.70 at the time of the Mandatory Conversion (as defined below).

F5 · derivative.expiration_date: Pursuant to the terms of the SPA, prior to the conclusion of the Company Stockholders Meeting (as defined in the SPA), the Series B Preferred was not convertible into shares of the Issuer's Common Stock or any other security of the Issuer. Once stockholder approval of the transaction was obtained at the Company Stockholders Meeting, the Issuer designated August 15, 2023 as the day on which all of the outstanding shares of Series B Preferred Stock would automatically convert into shares of Common Stock at the applicable conversion price (the "Mandatory Conversion"), plus accrued and unpaid dividends, subject to the terms and conditions set forth in the Certificate of Amendment to the Certificate of Designation of the Series B Preferred Stock of the Issuer that was filed with the Secretary of State of the State of Delaware on August 1, 2023.

F5 · derivative.underlying_shares: Pursuant to the terms of the SPA, prior to the conclusion of the Company Stockholders Meeting (as defined in the SPA), the Series B Preferred was not convertible into shares of the Issuer's Common Stock or any other security of the Issuer. Once stockholder approval of the transaction was obtained at the Company Stockholders Meeting, the Issuer designated August 15, 2023 as the day on which all of the outstanding shares of Series B Preferred Stock would automatically convert into shares of Common Stock at the applicable conversion price (the "Mandatory Conversion"), plus accrued and unpaid dividends, subject to the terms and conditions set forth in the Certificate of Amendment to the Certificate of Designation of the Series B Preferred Stock of the Issuer that was filed with the Secretary of State of the State of Delaware on August 1, 2023.

F3 · ownership.nature: Securities owned directly by Velan SPV. As the managing member of Velan SPV, Velan GP may be deemed to beneficially own the securities owned directly by Velan SPV. As the investment manager of Velan SPV, Velan Capital may be deemed to beneficially own the securities owned directly by Velan SPV. As the general partner of Velan Capital, Velan IM GP may be deemed to beneficially own the securities owned directly by Velan SPV. Messrs. Morgan and Venkataraman, as managing members of each of Velan GP and Velan IM GP, may be deemed to beneficially own the securities owned directly by Velan SPV.

SEC source: 0000921895-23-002012 · form412927011_08172023.xml · derivative · entry 4

Morgan Adam · CIK 0001964335 · Director · 10% owner

Velan Capital Investment Management LP · CIK 0001848809 · 10% owner

Velan Capital Master Fund LP · CIK 0001964356 · 10% owner

Velan Capital SPV I LLC · CIK 0001977931 · 10% owner

Velan Capital Holdings LLC · CIK 0001964353 · 10% owner

Velan Capital Management LLC · CIK 0001964355 · 10% owner

VENKATARAMAN BALAJI · CIK 0001114916 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · By Velan Capital Master Fund LP

Disclosed balance after: 0

Underlying: Common Stock · 4,845,392 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.

F4 · security: Velan Master purchased 8,117 shares of Series B Convertible Preferred Stock of the Issuer (the "Series B Preferred Stock") and Velan SPV purchased 7,000 shares of the Series B Preferred Stock in the Tranche 2 Closing (as defined below) pursuant to the terms of the Securities Purchase Agreement, dated as of March 24, 2023 (as amended, the "SPA") and the Certificate of Designation of the Series B Preferred Stock (as amended, the "Certificate of Designation"). The conversion price of the Series B Preferred Stock issued on May 17, 2023 (the "Tranche 2 Closing") was $1.70 at the time of the Mandatory Conversion (as defined below).

F4 · derivative.exercise_price: Velan Master purchased 8,117 shares of Series B Convertible Preferred Stock of the Issuer (the "Series B Preferred Stock") and Velan SPV purchased 7,000 shares of the Series B Preferred Stock in the Tranche 2 Closing (as defined below) pursuant to the terms of the Securities Purchase Agreement, dated as of March 24, 2023 (as amended, the "SPA") and the Certificate of Designation of the Series B Preferred Stock (as amended, the "Certificate of Designation"). The conversion price of the Series B Preferred Stock issued on May 17, 2023 (the "Tranche 2 Closing") was $1.70 at the time of the Mandatory Conversion (as defined below).

F4 · shares: Velan Master purchased 8,117 shares of Series B Convertible Preferred Stock of the Issuer (the "Series B Preferred Stock") and Velan SPV purchased 7,000 shares of the Series B Preferred Stock in the Tranche 2 Closing (as defined below) pursuant to the terms of the Securities Purchase Agreement, dated as of March 24, 2023 (as amended, the "SPA") and the Certificate of Designation of the Series B Preferred Stock (as amended, the "Certificate of Designation"). The conversion price of the Series B Preferred Stock issued on May 17, 2023 (the "Tranche 2 Closing") was $1.70 at the time of the Mandatory Conversion (as defined below).

F4 · price: Velan Master purchased 8,117 shares of Series B Convertible Preferred Stock of the Issuer (the "Series B Preferred Stock") and Velan SPV purchased 7,000 shares of the Series B Preferred Stock in the Tranche 2 Closing (as defined below) pursuant to the terms of the Securities Purchase Agreement, dated as of March 24, 2023 (as amended, the "SPA") and the Certificate of Designation of the Series B Preferred Stock (as amended, the "Certificate of Designation"). The conversion price of the Series B Preferred Stock issued on May 17, 2023 (the "Tranche 2 Closing") was $1.70 at the time of the Mandatory Conversion (as defined below).

F5 · derivative.exercise_date: Pursuant to the terms of the SPA, prior to the conclusion of the Company Stockholders Meeting (as defined in the SPA), the Series B Preferred was not convertible into shares of the Issuer's Common Stock or any other security of the Issuer. Once stockholder approval of the transaction was obtained at the Company Stockholders Meeting, the Issuer designated August 15, 2023 as the day on which all of the outstanding shares of Series B Preferred Stock would automatically convert into shares of Common Stock at the applicable conversion price (the "Mandatory Conversion"), plus accrued and unpaid dividends, subject to the terms and conditions set forth in the Certificate of Amendment to the Certificate of Designation of the Series B Preferred Stock of the Issuer that was filed with the Secretary of State of the State of Delaware on August 1, 2023.

F4 · derivative.expiration_date: Velan Master purchased 8,117 shares of Series B Convertible Preferred Stock of the Issuer (the "Series B Preferred Stock") and Velan SPV purchased 7,000 shares of the Series B Preferred Stock in the Tranche 2 Closing (as defined below) pursuant to the terms of the Securities Purchase Agreement, dated as of March 24, 2023 (as amended, the "SPA") and the Certificate of Designation of the Series B Preferred Stock (as amended, the "Certificate of Designation"). The conversion price of the Series B Preferred Stock issued on May 17, 2023 (the "Tranche 2 Closing") was $1.70 at the time of the Mandatory Conversion (as defined below).

F5 · derivative.expiration_date: Pursuant to the terms of the SPA, prior to the conclusion of the Company Stockholders Meeting (as defined in the SPA), the Series B Preferred was not convertible into shares of the Issuer's Common Stock or any other security of the Issuer. Once stockholder approval of the transaction was obtained at the Company Stockholders Meeting, the Issuer designated August 15, 2023 as the day on which all of the outstanding shares of Series B Preferred Stock would automatically convert into shares of Common Stock at the applicable conversion price (the "Mandatory Conversion"), plus accrued and unpaid dividends, subject to the terms and conditions set forth in the Certificate of Amendment to the Certificate of Designation of the Series B Preferred Stock of the Issuer that was filed with the Secretary of State of the State of Delaware on August 1, 2023.

F5 · derivative.underlying_shares: Pursuant to the terms of the SPA, prior to the conclusion of the Company Stockholders Meeting (as defined in the SPA), the Series B Preferred was not convertible into shares of the Issuer's Common Stock or any other security of the Issuer. Once stockholder approval of the transaction was obtained at the Company Stockholders Meeting, the Issuer designated August 15, 2023 as the day on which all of the outstanding shares of Series B Preferred Stock would automatically convert into shares of Common Stock at the applicable conversion price (the "Mandatory Conversion"), plus accrued and unpaid dividends, subject to the terms and conditions set forth in the Certificate of Amendment to the Certificate of Designation of the Series B Preferred Stock of the Issuer that was filed with the Secretary of State of the State of Delaware on August 1, 2023.

F2 · ownership.nature: Securities owned directly by Velan Master. As the general partner of Velan Master, Velan GP may be deemed to beneficially own the securities owned directly by Velan Master. As the investment manager of Velan Master, Velan Capital may be deemed to beneficially own the securities owned directly by Velan Master. As the general partner of Velan Capital, Velan IM GP may be deemed to beneficially own the securities owned directly by Velan Master. Messrs. Morgan and Venkataraman, as managing members of each of Velan GP and Velan IM GP, may be deemed to beneficially own the securities owned directly by Velan Master.

SEC source: 0000921895-23-002012 · form412927011_08172023.xml · nonDerivative · entry 3

Morgan Adam · CIK 0001964335 · Director · 10% owner

Velan Capital Investment Management LP · CIK 0001848809 · 10% owner

Velan Capital Master Fund LP · CIK 0001964356 · 10% owner

Velan Capital SPV I LLC · CIK 0001977931 · 10% owner

Velan Capital Holdings LLC · CIK 0001964353 · 10% owner

Velan Capital Management LLC · CIK 0001964355 · 10% owner

VENKATARAMAN BALAJI · CIK 0001114916 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · By Velan Capital SPV I LLC

Disclosed balance after: 4,178,725

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 · security: This Form 4 is filed jointly by Velan Capital Master Fund LP ("Velan Master"), Velan Capital SPV I LLC ("Velan SPV"), Velan Capital Holdings LLC ("Velan GP"), Velan Capital Investment Management LP ("Velan Capital"), Velan Capital Management LLC ("Velan IM GP"), Adam Morgan and Balaji Venkataraman (collectively, the "Reporting Persons"). Each Reporting Person may be deemed to be a member of a Section 13(d) group that may be deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of common stock, par value $0.01 per share (the "Common Stock"). Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein.

F3 · ownership.nature: Securities owned directly by Velan SPV. As the managing member of Velan SPV, Velan GP may be deemed to beneficially own the securities owned directly by Velan SPV. As the investment manager of Velan SPV, Velan Capital may be deemed to beneficially own the securities owned directly by Velan SPV. As the general partner of Velan Capital, Velan IM GP may be deemed to beneficially own the securities owned directly by Velan SPV. Messrs. Morgan and Venkataraman, as managing members of each of Velan GP and Velan IM GP, may be deemed to beneficially own the securities owned directly by Velan SPV.

SEC source: 0000921895-23-002012 · form412927011_08172023.xml · nonDerivative · entry 2

Morgan Adam · CIK 0001964335 · Director · 10% owner

Velan Capital Investment Management LP · CIK 0001848809 · 10% owner

Velan Capital Master Fund LP · CIK 0001964356 · 10% owner

Velan Capital SPV I LLC · CIK 0001977931 · 10% owner

Velan Capital Holdings LLC · CIK 0001964353 · 10% owner

Velan Capital Management LLC · CIK 0001964355 · 10% owner

VENKATARAMAN BALAJI · CIK 0001114916 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · By Velan Capital Master Fund LP

Disclosed balance after: 9,429,808

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 · security: This Form 4 is filed jointly by Velan Capital Master Fund LP ("Velan Master"), Velan Capital SPV I LLC ("Velan SPV"), Velan Capital Holdings LLC ("Velan GP"), Velan Capital Investment Management LP ("Velan Capital"), Velan Capital Management LLC ("Velan IM GP"), Adam Morgan and Balaji Venkataraman (collectively, the "Reporting Persons"). Each Reporting Person may be deemed to be a member of a Section 13(d) group that may be deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of common stock, par value $0.01 per share (the "Common Stock"). Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein.

F2 · ownership.nature: Securities owned directly by Velan Master. As the general partner of Velan Master, Velan GP may be deemed to beneficially own the securities owned directly by Velan Master. As the investment manager of Velan Master, Velan Capital may be deemed to beneficially own the securities owned directly by Velan Master. As the general partner of Velan Capital, Velan IM GP may be deemed to beneficially own the securities owned directly by Velan Master. Messrs. Morgan and Venkataraman, as managing members of each of Velan GP and Velan IM GP, may be deemed to beneficially own the securities owned directly by Velan Master.

SEC source: 0000921895-23-002012 · form412927011_08172023.xml · nonDerivative · entry 1

Morgan Adam · CIK 0001964335 · Director · 10% owner

Velan Capital Investment Management LP · CIK 0001848809 · 10% owner

Velan Capital Master Fund LP · CIK 0001964356 · 10% owner

Velan Capital SPV I LLC · CIK 0001977931 · 10% owner

Velan Capital Holdings LLC · CIK 0001964353 · 10% owner

Velan Capital Management LLC · CIK 0001964355 · 10% owner

VENKATARAMAN BALAJI · CIK 0001114916 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · By Velan Capital Master Fund LP

Disclosed balance after: 6,505,046

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 · security: This Form 4 is filed jointly by Velan Capital Master Fund LP ("Velan Master"), Velan Capital SPV I LLC ("Velan SPV"), Velan Capital Holdings LLC ("Velan GP"), Velan Capital Investment Management LP ("Velan Capital"), Velan Capital Management LLC ("Velan IM GP"), Adam Morgan and Balaji Venkataraman (collectively, the "Reporting Persons"). Each Reporting Person may be deemed to be a member of a Section 13(d) group that may be deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of common stock, par value $0.01 per share (the "Common Stock"). Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein.

F2 · ownership.nature: Securities owned directly by Velan Master. As the general partner of Velan Master, Velan GP may be deemed to beneficially own the securities owned directly by Velan Master. As the investment manager of Velan Master, Velan Capital may be deemed to beneficially own the securities owned directly by Velan Master. As the general partner of Velan Capital, Velan IM GP may be deemed to beneficially own the securities owned directly by Velan Master. Messrs. Morgan and Venkataraman, as managing members of each of Velan GP and Velan IM GP, may be deemed to beneficially own the securities owned directly by Velan Master.

SEC source: 0001213900-21-050329 · ownership.xml · derivative · entry 3

VENKATARAMAN BALAJI · CIK 0001114916 · FORMER DIRECTOR AND OFFICER

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Class A Common Stock · 2,300,000 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: As described in the Issuer's registration statement on Form S-1 (File No. 333-234324) under the heading "Description of Securities--Founder Shares", the shares of Class B Common Stock will automatically convert into shares of Class A Common Stock at the time of the Issuer's initial business combination on a one-for-one basis, subject to certain adjustment described therein and have no expiration date.

F2 · derivative.exercise_price: On September 24, 2021, Amplitude Healthcare Acquisition Corporation ("AMHC" and the former name of the Issuer) consummated its business combination with Jasper Therapeutics, Inc. (the former name of Jasper Tx Corp.). In connection with the business combination, each share of Class B Common Stock converted to one share of Voting Common Stock. The reporting person resigned as a director and as an officer of the Issuer upon consummation of the business combination.

F2 · kind: On September 24, 2021, Amplitude Healthcare Acquisition Corporation ("AMHC" and the former name of the Issuer) consummated its business combination with Jasper Therapeutics, Inc. (the former name of Jasper Tx Corp.). In connection with the business combination, each share of Class B Common Stock converted to one share of Voting Common Stock. The reporting person resigned as a director and as an officer of the Issuer upon consummation of the business combination.

F2 · price: On September 24, 2021, Amplitude Healthcare Acquisition Corporation ("AMHC" and the former name of the Issuer) consummated its business combination with Jasper Therapeutics, Inc. (the former name of Jasper Tx Corp.). In connection with the business combination, each share of Class B Common Stock converted to one share of Voting Common Stock. The reporting person resigned as a director and as an officer of the Issuer upon consummation of the business combination.

F1 · derivative.exercise_date: As described in the Issuer's registration statement on Form S-1 (File No. 333-234324) under the heading "Description of Securities--Founder Shares", the shares of Class B Common Stock will automatically convert into shares of Class A Common Stock at the time of the Issuer's initial business combination on a one-for-one basis, subject to certain adjustment described therein and have no expiration date.

F1 · derivative.expiration_date: As described in the Issuer's registration statement on Form S-1 (File No. 333-234324) under the heading "Description of Securities--Founder Shares", the shares of Class B Common Stock will automatically convert into shares of Class A Common Stock at the time of the Issuer's initial business combination on a one-for-one basis, subject to certain adjustment described therein and have no expiration date.

F4 · ownership.nature: Amplitude Healthcare Holdings LLC, is the record holder of the shares reported herein. Mr. Venkataraman may be deemed to share beneficial ownership of shares held by Amplitude Healthcare Holdings LLC. Mr. Venkataraman disclaims beneficial ownership of the shares held by Amplitude Healthcare Holdings LLC except to the extent of his pecuniary interest therein.

SEC source: 0001213900-21-050329 · ownership.xml · derivative · entry 2

VENKATARAMAN BALAJI · CIK 0001114916 · FORMER DIRECTOR AND OFFICER

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Class A Common Stock · 200,000 shares

Expires not disclosed

F3 · derivative.exercise_price: Pursuant to an agreement by and between the Issuer and Amplitude Healthcare Holdings LLC, concurrent with the consummation of the business combination, these shares of Class B Common Stock were forfeited to the Issuer as of immediately prior to the Merger.

F1 · derivative.exercise_date: As described in the Issuer's registration statement on Form S-1 (File No. 333-234324) under the heading "Description of Securities--Founder Shares", the shares of Class B Common Stock will automatically convert into shares of Class A Common Stock at the time of the Issuer's initial business combination on a one-for-one basis, subject to certain adjustment described therein and have no expiration date.

F1 · derivative.expiration_date: As described in the Issuer's registration statement on Form S-1 (File No. 333-234324) under the heading "Description of Securities--Founder Shares", the shares of Class B Common Stock will automatically convert into shares of Class A Common Stock at the time of the Issuer's initial business combination on a one-for-one basis, subject to certain adjustment described therein and have no expiration date.

F4 · ownership.nature: Amplitude Healthcare Holdings LLC, is the record holder of the shares reported herein. Mr. Venkataraman may be deemed to share beneficial ownership of shares held by Amplitude Healthcare Holdings LLC. Mr. Venkataraman disclaims beneficial ownership of the shares held by Amplitude Healthcare Holdings LLC except to the extent of his pecuniary interest therein.

SEC source: 0001213900-21-050329 · ownership.xml · nonDerivative · entry 1

VENKATARAMAN BALAJI · CIK 0001114916 · FORMER DIRECTOR AND OFFICER

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 2,300,000

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 · kind: On September 24, 2021, Amplitude Healthcare Acquisition Corporation ("AMHC" and the former name of the Issuer) consummated its business combination with Jasper Therapeutics, Inc. (the former name of Jasper Tx Corp.). In connection with the business combination, each share of Class B Common Stock converted to one share of Voting Common Stock. The reporting person resigned as a director and as an officer of the Issuer upon consummation of the business combination.

F1 · price: As described in the Issuer's registration statement on Form S-1 (File No. 333-234324) under the heading "Description of Securities--Founder Shares", the shares of Class B Common Stock will automatically convert into shares of Class A Common Stock at the time of the Issuer's initial business combination on a one-for-one basis, subject to certain adjustment described therein and have no expiration date.

F2 · price: On September 24, 2021, Amplitude Healthcare Acquisition Corporation ("AMHC" and the former name of the Issuer) consummated its business combination with Jasper Therapeutics, Inc. (the former name of Jasper Tx Corp.). In connection with the business combination, each share of Class B Common Stock converted to one share of Voting Common Stock. The reporting person resigned as a director and as an officer of the Issuer upon consummation of the business combination.

F4 · ownership.nature: Amplitude Healthcare Holdings LLC, is the record holder of the shares reported herein. Mr. Venkataraman may be deemed to share beneficial ownership of shares held by Amplitude Healthcare Holdings LLC. Mr. Venkataraman disclaims beneficial ownership of the shares held by Amplitude Healthcare Holdings LLC except to the extent of his pecuniary interest therein.

SEC source: 0001213900-20-000421 · ownership.xml · derivative · entry 1

VENKATARAMAN BALAJI · CIK 0001114916 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 2,500,000

Underlying: Class A Common Stock · 375,000 shares

Expires not disclosed

F1 · derivative.exercise_price: As described in the issuer's registration statement on Form S-1 (File No. 333-234324) under the heading "Description of Securities--Founder Shares", the shares of Class B common stock will automatically convert into shares of Class A common stock at the time of the issuer's initial business combination on a one-for-one basis, subject to certain adjustment described therein and have no expiration date.

F2 · kind: As contemplated in connection with the initial public offering of the issuer, 375,000 shares of Class B common stock were returned by Amplitude Healthcare Holdings LLC (the "Sponsor") to the issuer for no consideration and cancelled because the underwriters' over-allotment option was not exercised at all.

F1 · derivative.exercise_date: As described in the issuer's registration statement on Form S-1 (File No. 333-234324) under the heading "Description of Securities--Founder Shares", the shares of Class B common stock will automatically convert into shares of Class A common stock at the time of the issuer's initial business combination on a one-for-one basis, subject to certain adjustment described therein and have no expiration date.

F1 · derivative.expiration_date: As described in the issuer's registration statement on Form S-1 (File No. 333-234324) under the heading "Description of Securities--Founder Shares", the shares of Class B common stock will automatically convert into shares of Class A common stock at the time of the issuer's initial business combination on a one-for-one basis, subject to certain adjustment described therein and have no expiration date.

F3 · ownership.nature: These shares represent the Class B common stock of the Sponsor acquired pursuant to a subscription agreement by and between the Sponsor and the issuer. Mr. Venkataraman, the Chief Executive Officer and a director of the issuer, is the manager of Avego Healthcare Capital, LLC, which is a managing member of the Sponsor and shares the voting and dispositive power of the securities held by the Sponsor. Accordingly, each of Mr. Venkataraman and Avego Healthcare Capital, LLC may be deemed to share beneficial ownership of such shares. Each of Mr. Venkataraman and Avego Healthcare Capital, LLC disclaims any beneficial ownership of the reported shares other than to the extent of any pecuniary interest they may have therein, directly or indirectly.

SEC source: 0000921895-19-002393 · form412274002_09112019.xml · nonDerivative · entry 1

Velan Capital, L.P. · CIK 0001785731 · 10% owner · See Explanation of Responses

Altiva Management Inc. · CIK 0001772491 · 10% owner · See Explanation of Responses

VENKATARAMAN BALAJI · CIK 0001114916 · 10% owner · See Explanation of Responses

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,011,733

F1 · security: This Form 4 is filed jointly by Velan Capital, L.P. ("Velan Capital"), Altiva Management Inc. ("Altiva"), and Balaji Venkataraman (collectively, the "Reporting Persons"). The Reporting Persons may be deemed to be members of a Section 13(d) group that collectively beneficially owns more than 10% of the Issuer's outstanding shares of Common Stock. The Reporting Persons disclaim beneficial ownership of the securities of the Issuer owned directly by other members of the Section 13(d) group and this report shall not be deemed an admission that the Reporting Persons are the beneficial owners of such securities for purposes of Section 16 or for any other purpose. Further, the Reporting Persons expressly disclaim beneficial ownership of the securities reported herein except to the extent of its or his pecuniary interest therein.

F2 · ownership.direct: Securities owned directly by Velan Capital. Each of Altiva, as the general partner of Velan Capital, and Mr. Venkataraman, as the sole shareholder of Altiva, may be deemed to beneficially own the securities owned directly by Velan Capital.

SEC source: 0000921895-19-002367 · form412274002_09052019.xml · nonDerivative · entry 2

Velan Capital, L.P. · CIK 0001785731 · 10% owner · See Explanation of Responses

Altiva Management Inc. · CIK 0001772491 · 10% owner · See Explanation of Responses

VENKATARAMAN BALAJI · CIK 0001114916 · 10% owner · See Explanation of Responses

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,939,710

F1 · security: This Form 4 is filed jointly by Velan Capital, L.P. ("Velan Capital"), Altiva Management Inc. ("Altiva"), and Balaji Venkataraman (collectively, the "Reporting Persons"). The Reporting Persons may be deemed to be members of a Section 13(d) group that collectively beneficially owns more than 10% of the Issuer's outstanding shares of Common Stock. The Reporting Persons disclaim beneficial ownership of the securities of the Issuer owned directly by other members of the Section 1(d) group and this report shall not be deemed an admission that the Reporting Persons are the beneficial owners of such securities for purposes of Section 16 or for any other purpose. Further, the Reporting Persons expressly disclaim beneficial ownership of the securities reported herein except to the extent of its or his pecuniary interest therein.

F2 · ownership.direct: Securities owned directly by Velan Capital. Each of Altiva, as the general partner of Velan Capital, and Mr. Venkataraman, as the sole shareholder of Altiva, may be deemed to beneficially own the securities owned directly by Velan Capital.

SEC source: 0000921895-19-002367 · form412274002_09052019.xml · nonDerivative · entry 1

Velan Capital, L.P. · CIK 0001785731 · 10% owner · See Explanation of Responses

Altiva Management Inc. · CIK 0001772491 · 10% owner · See Explanation of Responses

VENKATARAMAN BALAJI · CIK 0001114916 · 10% owner · See Explanation of Responses

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,696,096

F1 · security: This Form 4 is filed jointly by Velan Capital, L.P. ("Velan Capital"), Altiva Management Inc. ("Altiva"), and Balaji Venkataraman (collectively, the "Reporting Persons"). The Reporting Persons may be deemed to be members of a Section 13(d) group that collectively beneficially owns more than 10% of the Issuer's outstanding shares of Common Stock. The Reporting Persons disclaim beneficial ownership of the securities of the Issuer owned directly by other members of the Section 1(d) group and this report shall not be deemed an admission that the Reporting Persons are the beneficial owners of such securities for purposes of Section 16 or for any other purpose. Further, the Reporting Persons expressly disclaim beneficial ownership of the securities reported herein except to the extent of its or his pecuniary interest therein.

F2 · ownership.direct: Securities owned directly by Velan Capital. Each of Altiva, as the general partner of Velan Capital, and Mr. Venkataraman, as the sole shareholder of Altiva, may be deemed to beneficially own the securities owned directly by Velan Capital.

SEC source: 0000921895-19-002346 · form412274vel_08272019.xml · nonDerivative · entry 2

Velan Capital, L.P. · CIK 0001785731 · 10% owner · See Explanation of Responses

Altiva Management Inc. · CIK 0001772491 · 10% owner · See Explanation of Responses

VENKATARAMAN BALAJI · CIK 0001114916 · 10% owner · See Explanation of Responses

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,418,672

F1 · security: This Form 4 is filed jointly by Velan Capital, L.P. ("Velan Capital"), Altiva Management Inc. ("Altiva"), and Balaji Venkataraman (collectively, the "Reporting Persons"). The Reporting Persons may be deemed to be members of a Section 13(d) group that collectively beneficially owns more than 10% of the Issuer's outstanding shares of Common Stock. The Reporting Persons disclaim beneficial ownership of the securities of the Issuer owned directly by other members of the Section 1(d) group and this report shall not be deemed an admission that the Reporting Persons are the beneficial owners of such securities for purposes of Section 16 or for any other purpose. Further, the Reporting Persons expressly disclaim beneficial ownership of the securities reported herein except to the extent of its or his pecuniary interest therein.

F2 · ownership.direct: Securities owned directly by Velan Capital. Each of Altiva, as the general partner of Velan Capital, and Mr. Venkataraman, as the sole shareholder of Altiva, may be deemed to beneficially own the securities owned directly by Velan Capital.

SEC source: 0000921895-19-002346 · form412274vel_08272019.xml · nonDerivative · entry 1

Velan Capital, L.P. · CIK 0001785731 · 10% owner · See Explanation of Responses

Altiva Management Inc. · CIK 0001772491 · 10% owner · See Explanation of Responses

VENKATARAMAN BALAJI · CIK 0001114916 · 10% owner · See Explanation of Responses

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,345,442

F1 · security: This Form 4 is filed jointly by Velan Capital, L.P. ("Velan Capital"), Altiva Management Inc. ("Altiva"), and Balaji Venkataraman (collectively, the "Reporting Persons"). The Reporting Persons may be deemed to be members of a Section 13(d) group that collectively beneficially owns more than 10% of the Issuer's outstanding shares of Common Stock. The Reporting Persons disclaim beneficial ownership of the securities of the Issuer owned directly by other members of the Section 1(d) group and this report shall not be deemed an admission that the Reporting Persons are the beneficial owners of such securities for purposes of Section 16 or for any other purpose. Further, the Reporting Persons expressly disclaim beneficial ownership of the securities reported herein except to the extent of its or his pecuniary interest therein.

F2 · ownership.direct: Securities owned directly by Velan Capital. Each of Altiva, as the general partner of Velan Capital, and Mr. Venkataraman, as the sole shareholder of Altiva, may be deemed to beneficially own the securities owned directly by Velan Capital.