Link David Charles

SEC source: 0000950170-24-084296 · ownership.xml · derivative · entry 2

Link David Charles · CIK 0001889464 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 9,305

Underlying: Common Stock · 9,305 shares

Expires 2034-07-15

F2 · security: Represents a one-time grant to the Reporting Person as a member of the Board. Shares underlying the option vest in three equal annual installments on July 15, 2025, 2026, and 2027.

F3 · security: This award was made pursuant to the Issuer's 2021 Omnibus Equity Incentive Plan, as amended.

F2 · derivative.exercise_date: Represents a one-time grant to the Reporting Person as a member of the Board. Shares underlying the option vest in three equal annual installments on July 15, 2025, 2026, and 2027.

SEC source: 0000950170-24-084296 · ownership.xml · derivative · entry 1

Link David Charles · CIK 0001889464 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2034-07-15

F1 · security: Represents the 2024 annual grant to the Reporting Person as a member of the Board of Directors of the Issuer (the "Board"). Shares underlying the option vest in two equal annual installments on July 15, 2025, and 2026.

F3 · security: This award was made pursuant to the Issuer's 2021 Omnibus Equity Incentive Plan, as amended.

F1 · derivative.exercise_date: Represents the 2024 annual grant to the Reporting Person as a member of the Board of Directors of the Issuer (the "Board"). Shares underlying the option vest in two equal annual installments on July 15, 2025, and 2026.

SEC source: 0001209191-22-060440 · doc4.xml · derivative · entry 2

Link David Charles · CIK 0001889464 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,493

Underlying: Common Stock · 41,493 shares

Expires 2027-12-07

F1 · price: On December 6, 2022, the Registrant entered into a securities purchase agreement with Mr. David Link in connection with a private placement conducted by the Registrant, pursuant to which Mr. Link purchased (i) an aggregate of 41,493 shares (the "Shares") of the Registrant's common stock, par value $0.0001 per share and (ii) warrants to purchase up to an aggregate of 41,493 shares of common stock at an exercise price of $1.08, at a combined purchase price of $1.205 per share and accompanying warrant. The warrants are exercisable six months from the date of issuance and expire five years from the date of issuance.

SEC source: 0001209191-22-060440 · doc4.xml · nonDerivative · entry 1

Link David Charles · CIK 0001889464 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 57,313

F1 · date: On December 6, 2022, the Registrant entered into a securities purchase agreement with Mr. David Link in connection with a private placement conducted by the Registrant, pursuant to which Mr. Link purchased (i) an aggregate of 41,493 shares (the "Shares") of the Registrant's common stock, par value $0.0001 per share and (ii) warrants to purchase up to an aggregate of 41,493 shares of common stock at an exercise price of $1.08, at a combined purchase price of $1.205 per share and accompanying warrant. The warrants are exercisable six months from the date of issuance and expire five years from the date of issuance.

F1 · price: On December 6, 2022, the Registrant entered into a securities purchase agreement with Mr. David Link in connection with a private placement conducted by the Registrant, pursuant to which Mr. Link purchased (i) an aggregate of 41,493 shares (the "Shares") of the Registrant's common stock, par value $0.0001 per share and (ii) warrants to purchase up to an aggregate of 41,493 shares of common stock at an exercise price of $1.08, at a combined purchase price of $1.205 per share and accompanying warrant. The warrants are exercisable six months from the date of issuance and expire five years from the date of issuance.

SEC source: 0001493152-22-004626 · ownership.xml · nonDerivative · entry 2

Link David Charles · CIK 0001889464 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,883,943

F1 · kind: Pursuant to reclassification exempt under Rule 16b-7, each share of Series E-1 Preferred Stock was reclassified into and exchanged for shares of Common Stock of the Issuer under the terms of Exchange Agreement and Plan of Reorganization as filed with the SEC.

F1 · price: Pursuant to reclassification exempt under Rule 16b-7, each share of Series E-1 Preferred Stock was reclassified into and exchanged for shares of Common Stock of the Issuer under the terms of Exchange Agreement and Plan of Reorganization as filed with the SEC.

SEC source: 0001493152-22-004626 · ownership.xml · nonDerivative · entry 1

Link David Charles · CIK 0001889464 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · kind: Pursuant to reclassification exempt under Rule 16b-7, each share of Series E-1 Preferred Stock was reclassified into and exchanged for shares of Common Stock of the Issuer under the terms of Exchange Agreement and Plan of Reorganization as filed with the SEC.

F1 · price: Pursuant to reclassification exempt under Rule 16b-7, each share of Series E-1 Preferred Stock was reclassified into and exchanged for shares of Common Stock of the Issuer under the terms of Exchange Agreement and Plan of Reorganization as filed with the SEC.

SEC source: 0001493152-21-026385 · ownership.xml · derivative · entry 7

Link David Charles · CIK 0001889464 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,231

Underlying: Common Stock · 17,231 shares

Expires not disclosed

F5 · derivative.exercise_price: Pursuant to the Business Combination Agreement, each security to purchase shares of Old SAB Biotherapeutics common stock issued and outstanding immediately prior to the effective time of the transactions contemplated by the Business Combination Agreement was automatically converted into a security to purchase a number of shares of the Issuer's common stock based on a conversion rate of $10.10.

F8 · price: In connection with the business combination, the reporting person received additional New SAB Biotherapeutics restricted stock units, or RSUs, where each RSU represents a contingent right to receive one share of common stock (the "Earnout RSUs"). The Earnout RSUs will be released upon the same milestones as the Earnout Shares.

F8 · derivative.exercise_date: In connection with the business combination, the reporting person received additional New SAB Biotherapeutics restricted stock units, or RSUs, where each RSU represents a contingent right to receive one share of common stock (the "Earnout RSUs"). The Earnout RSUs will be released upon the same milestones as the Earnout Shares.

F3 · derivative.expiration_date: Pursuant to the earnout provisions in the Business Combination Agreement, the reporting person is entitled to receive shares of New SAB Biotherapeutics common stock if, from the closing of the transaction until the fifth anniversary thereof, the volume-weighted average price of the common stock equals or exceeds certain thresholds (the "Earnout Shares"). Subject to adjustment as provided in the Business Combination Agreement, the Earnout Shares will be released as follows: [continued in the next footnote.]

SEC source: 0001493152-21-026385 · ownership.xml · derivative · entry 6

Link David Charles · CIK 0001889464 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 69,793

Underlying: Common Stock · 69,793 shares

Expires 2031-01-01

F5 · price: Pursuant to the Business Combination Agreement, each security to purchase shares of Old SAB Biotherapeutics common stock issued and outstanding immediately prior to the effective time of the transactions contemplated by the Business Combination Agreement was automatically converted into a security to purchase a number of shares of the Issuer's common stock based on a conversion rate of $10.10.

F7 · price: The option shall vest and become exercisable over a period of 36 months from the Vesting Start Date, November 1, 2020, with 1/12th vesting every three months following the Vesting Start Date, such that the option will be fully vested 36 months from the Vesting Start Date, subject to the reporting person's continuous service with the Issuer on each such date.

F5 · derivative.exercise_date: Pursuant to the Business Combination Agreement, each security to purchase shares of Old SAB Biotherapeutics common stock issued and outstanding immediately prior to the effective time of the transactions contemplated by the Business Combination Agreement was automatically converted into a security to purchase a number of shares of the Issuer's common stock based on a conversion rate of $10.10.

F7 · derivative.exercise_date: The option shall vest and become exercisable over a period of 36 months from the Vesting Start Date, November 1, 2020, with 1/12th vesting every three months following the Vesting Start Date, such that the option will be fully vested 36 months from the Vesting Start Date, subject to the reporting person's continuous service with the Issuer on each such date.

SEC source: 0001493152-21-026385 · ownership.xml · derivative · entry 5

Link David Charles · CIK 0001889464 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,264

Underlying: Common Stock · 23,264 shares

Expires 2029-05-03

F5 · price: Pursuant to the Business Combination Agreement, each security to purchase shares of Old SAB Biotherapeutics common stock issued and outstanding immediately prior to the effective time of the transactions contemplated by the Business Combination Agreement was automatically converted into a security to purchase a number of shares of the Issuer's common stock based on a conversion rate of $10.10.

F6 · price: The option shall vest and become exercisable over a period of 36 months from the Vesting Start Date, May 3, 2019, with 1/12th vesting every three months following the Vesting Start Date, such that the option will be fully vested 36 months from the Vesting Start Date, subject to the reporting person's continuous service with the Issuer on each such date.

F5 · derivative.exercise_date: Pursuant to the Business Combination Agreement, each security to purchase shares of Old SAB Biotherapeutics common stock issued and outstanding immediately prior to the effective time of the transactions contemplated by the Business Combination Agreement was automatically converted into a security to purchase a number of shares of the Issuer's common stock based on a conversion rate of $10.10.

F6 · derivative.exercise_date: The option shall vest and become exercisable over a period of 36 months from the Vesting Start Date, May 3, 2019, with 1/12th vesting every three months following the Vesting Start Date, such that the option will be fully vested 36 months from the Vesting Start Date, subject to the reporting person's continuous service with the Issuer on each such date.

SEC source: 0001493152-21-026385 · ownership.xml · derivative · entry 4

Link David Charles · CIK 0001889464 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Iron Horse Investments, LLC

Disclosed balance after: 4,887

Underlying: Common Stock · 4,887 shares

Expires not disclosed

F3 · derivative.exercise_price: Pursuant to the earnout provisions in the Business Combination Agreement, the reporting person is entitled to receive shares of New SAB Biotherapeutics common stock if, from the closing of the transaction until the fifth anniversary thereof, the volume-weighted average price of the common stock equals or exceeds certain thresholds (the "Earnout Shares"). Subject to adjustment as provided in the Business Combination Agreement, the Earnout Shares will be released as follows: [continued in the next footnote.]

F4 · derivative.exercise_price: 25% of the Earnout Shares will be released if within the five-year period after the closing (the "Earnout Period"), the volume weighted share price of the New SAB Biotherapeutics common stock equals or exceeds $15.00 during at least 20 trading days within a 30-day trading period; 25% of the Earnout Shares will be released if within the Earnout Period, the volume weighted share price of the New SAB Biotherapeutics common stock equals or exceeds $20.00 during at least 20 trading days within a 30-day trading period; 25% of the Earnout Shares will be released if within the Earnout Period, the volume weighted share price of the New SAB Biotherapeutics common stock equals or exceeds $25.00 during at least 20 trading days within a 30-day trading period; and 25% of the Earnout Shares will be released if within the Earnout Period, the volume weighted share price of the New SAB Biotherapeutics common stock equals or exceeds $30.00 during at least 20 trading days within a 30-day trading period.

F3 · price: Pursuant to the earnout provisions in the Business Combination Agreement, the reporting person is entitled to receive shares of New SAB Biotherapeutics common stock if, from the closing of the transaction until the fifth anniversary thereof, the volume-weighted average price of the common stock equals or exceeds certain thresholds (the "Earnout Shares"). Subject to adjustment as provided in the Business Combination Agreement, the Earnout Shares will be released as follows: [continued in the next footnote.]

F4 · price: 25% of the Earnout Shares will be released if within the five-year period after the closing (the "Earnout Period"), the volume weighted share price of the New SAB Biotherapeutics common stock equals or exceeds $15.00 during at least 20 trading days within a 30-day trading period; 25% of the Earnout Shares will be released if within the Earnout Period, the volume weighted share price of the New SAB Biotherapeutics common stock equals or exceeds $20.00 during at least 20 trading days within a 30-day trading period; 25% of the Earnout Shares will be released if within the Earnout Period, the volume weighted share price of the New SAB Biotherapeutics common stock equals or exceeds $25.00 during at least 20 trading days within a 30-day trading period; and 25% of the Earnout Shares will be released if within the Earnout Period, the volume weighted share price of the New SAB Biotherapeutics common stock equals or exceeds $30.00 during at least 20 trading days within a 30-day trading period.

F3 · derivative.exercise_date: Pursuant to the earnout provisions in the Business Combination Agreement, the reporting person is entitled to receive shares of New SAB Biotherapeutics common stock if, from the closing of the transaction until the fifth anniversary thereof, the volume-weighted average price of the common stock equals or exceeds certain thresholds (the "Earnout Shares"). Subject to adjustment as provided in the Business Combination Agreement, the Earnout Shares will be released as follows: [continued in the next footnote.]

F4 · derivative.exercise_date: 25% of the Earnout Shares will be released if within the five-year period after the closing (the "Earnout Period"), the volume weighted share price of the New SAB Biotherapeutics common stock equals or exceeds $15.00 during at least 20 trading days within a 30-day trading period; 25% of the Earnout Shares will be released if within the Earnout Period, the volume weighted share price of the New SAB Biotherapeutics common stock equals or exceeds $20.00 during at least 20 trading days within a 30-day trading period; 25% of the Earnout Shares will be released if within the Earnout Period, the volume weighted share price of the New SAB Biotherapeutics common stock equals or exceeds $25.00 during at least 20 trading days within a 30-day trading period; and 25% of the Earnout Shares will be released if within the Earnout Period, the volume weighted share price of the New SAB Biotherapeutics common stock equals or exceeds $30.00 during at least 20 trading days within a 30-day trading period.

F3 · derivative.expiration_date: Pursuant to the earnout provisions in the Business Combination Agreement, the reporting person is entitled to receive shares of New SAB Biotherapeutics common stock if, from the closing of the transaction until the fifth anniversary thereof, the volume-weighted average price of the common stock equals or exceeds certain thresholds (the "Earnout Shares"). Subject to adjustment as provided in the Business Combination Agreement, the Earnout Shares will be released as follows: [continued in the next footnote.]

F2 · ownership.direct: The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.

SEC source: 0001493152-21-026385 · ownership.xml · derivative · entry 3

Link David Charles · CIK 0001889464 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,391

Underlying: Common Stock · 6,391 shares

Expires not disclosed

F3 · derivative.exercise_price: Pursuant to the earnout provisions in the Business Combination Agreement, the reporting person is entitled to receive shares of New SAB Biotherapeutics common stock if, from the closing of the transaction until the fifth anniversary thereof, the volume-weighted average price of the common stock equals or exceeds certain thresholds (the "Earnout Shares"). Subject to adjustment as provided in the Business Combination Agreement, the Earnout Shares will be released as follows: [continued in the next footnote.]

F4 · derivative.exercise_price: 25% of the Earnout Shares will be released if within the five-year period after the closing (the "Earnout Period"), the volume weighted share price of the New SAB Biotherapeutics common stock equals or exceeds $15.00 during at least 20 trading days within a 30-day trading period; 25% of the Earnout Shares will be released if within the Earnout Period, the volume weighted share price of the New SAB Biotherapeutics common stock equals or exceeds $20.00 during at least 20 trading days within a 30-day trading period; 25% of the Earnout Shares will be released if within the Earnout Period, the volume weighted share price of the New SAB Biotherapeutics common stock equals or exceeds $25.00 during at least 20 trading days within a 30-day trading period; and 25% of the Earnout Shares will be released if within the Earnout Period, the volume weighted share price of the New SAB Biotherapeutics common stock equals or exceeds $30.00 during at least 20 trading days within a 30-day trading period.

F3 · price: Pursuant to the earnout provisions in the Business Combination Agreement, the reporting person is entitled to receive shares of New SAB Biotherapeutics common stock if, from the closing of the transaction until the fifth anniversary thereof, the volume-weighted average price of the common stock equals or exceeds certain thresholds (the "Earnout Shares"). Subject to adjustment as provided in the Business Combination Agreement, the Earnout Shares will be released as follows: [continued in the next footnote.]

F4 · price: 25% of the Earnout Shares will be released if within the five-year period after the closing (the "Earnout Period"), the volume weighted share price of the New SAB Biotherapeutics common stock equals or exceeds $15.00 during at least 20 trading days within a 30-day trading period; 25% of the Earnout Shares will be released if within the Earnout Period, the volume weighted share price of the New SAB Biotherapeutics common stock equals or exceeds $20.00 during at least 20 trading days within a 30-day trading period; 25% of the Earnout Shares will be released if within the Earnout Period, the volume weighted share price of the New SAB Biotherapeutics common stock equals or exceeds $25.00 during at least 20 trading days within a 30-day trading period; and 25% of the Earnout Shares will be released if within the Earnout Period, the volume weighted share price of the New SAB Biotherapeutics common stock equals or exceeds $30.00 during at least 20 trading days within a 30-day trading period.

F3 · derivative.exercise_date: Pursuant to the earnout provisions in the Business Combination Agreement, the reporting person is entitled to receive shares of New SAB Biotherapeutics common stock if, from the closing of the transaction until the fifth anniversary thereof, the volume-weighted average price of the common stock equals or exceeds certain thresholds (the "Earnout Shares"). Subject to adjustment as provided in the Business Combination Agreement, the Earnout Shares will be released as follows: [continued in the next footnote.]

F4 · derivative.exercise_date: 25% of the Earnout Shares will be released if within the five-year period after the closing (the "Earnout Period"), the volume weighted share price of the New SAB Biotherapeutics common stock equals or exceeds $15.00 during at least 20 trading days within a 30-day trading period; 25% of the Earnout Shares will be released if within the Earnout Period, the volume weighted share price of the New SAB Biotherapeutics common stock equals or exceeds $20.00 during at least 20 trading days within a 30-day trading period; 25% of the Earnout Shares will be released if within the Earnout Period, the volume weighted share price of the New SAB Biotherapeutics common stock equals or exceeds $25.00 during at least 20 trading days within a 30-day trading period; and 25% of the Earnout Shares will be released if within the Earnout Period, the volume weighted share price of the New SAB Biotherapeutics common stock equals or exceeds $30.00 during at least 20 trading days within a 30-day trading period.

F3 · derivative.expiration_date: Pursuant to the earnout provisions in the Business Combination Agreement, the reporting person is entitled to receive shares of New SAB Biotherapeutics common stock if, from the closing of the transaction until the fifth anniversary thereof, the volume-weighted average price of the common stock equals or exceeds certain thresholds (the "Earnout Shares"). Subject to adjustment as provided in the Business Combination Agreement, the Earnout Shares will be released as follows: [continued in the next footnote.]

SEC source: 0001493152-21-026385 · ownership.xml · nonDerivative · entry 2

Link David Charles · CIK 0001889464 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Iron Horse Investments, LLC

Disclosed balance after: 12,097

F1 · price: Pursuant to the Agreement and Plan of Merger, dated June 21, 2021 and as amended August 12, 2021 (the "Business Combination Agreement"), by and among Big Cypress Acquisition Corp. ("BCYP"), Big Cypress Merger Sub Inc., and SAB Biotherapeutics, Inc. ("Old SAB Biotherapeutics"), each share of Old SAB Biotherapeutics issued and outstanding immediately prior to the effective time of the transactions contemplated by the Business Combination Agreement was automatically converted into a number of shares of the Issuer's common stock based on a conversion rate of $10.10. Upon consummation of the business combination, BCYP changed its name to "SAB Biotherapeutics, Inc." ("New SAB Biotherapeutics" or "Issuer").

F2 · ownership.direct: The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.

SEC source: 0001493152-21-026385 · ownership.xml · nonDerivative · entry 1

Link David Charles · CIK 0001889464 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,820

F1 · price: Pursuant to the Agreement and Plan of Merger, dated June 21, 2021 and as amended August 12, 2021 (the "Business Combination Agreement"), by and among Big Cypress Acquisition Corp. ("BCYP"), Big Cypress Merger Sub Inc., and SAB Biotherapeutics, Inc. ("Old SAB Biotherapeutics"), each share of Old SAB Biotherapeutics issued and outstanding immediately prior to the effective time of the transactions contemplated by the Business Combination Agreement was automatically converted into a number of shares of the Issuer's common stock based on a conversion rate of $10.10. Upon consummation of the business combination, BCYP changed its name to "SAB Biotherapeutics, Inc." ("New SAB Biotherapeutics" or "Issuer").

SEC source: 0001493152-22-004626 · ownership.xml · derivative · entry 3

Link David Charles · CIK 0001889464 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,000

Underlying: Common Stock · 55,000 shares

Expires 2031-08-23

F2 · derivative.exercise_date: The option vests semi-annually in two equal installments beginning on 02/24/2022.

SEC source: 0001493152-22-004626 · ownership.xml · derivative · entry 4

Link David Charles · CIK 0001889464 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 850,000 shares

Expires not disclosed

F3 · derivative.exercise_date: Series E-1 Preferred Stock was convertible at any time at the discretion of the holder at a ratio of 1000 shares of Common Stock per Series E-1 Preferred Stock.

F3 · derivative.expiration_date: Series E-1 Preferred Stock was convertible at any time at the discretion of the holder at a ratio of 1000 shares of Common Stock per Series E-1 Preferred Stock.