SHAFFER CHRISTY L

SEC source: 0001415889-24-017820 · form4-06212024_040605.xml · derivative · entry 1

SHAFFER CHRISTY L · CIK 0001145929 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 45,000

Underlying: Common Stock · 45,000 shares

Expires 2034-06-19

F1 · derivative.exercise_date: The shares underlying this option vest in full on the earlier of the Issuer's next annual meeting of stockholders or June 20, 2025, subject to the Reporting Person's continuous service as of such vesting date.

SEC source: 0001209191-23-039417 · doc4.xml · derivative · entry 1

SHAFFER CHRISTY L · CIK 0001145929 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires 2033-06-21

F1 · derivative.exercise_date: The shares underlying this option vest in full on the earlier of the Issuer's next annual meeting of stockholders or June 22, 2024, subject to the Reporting Person's continuous service as of such vesting date.

SEC source: 0001209191-23-021306 · doc4.xml · derivative · entry 2

SHAFFER CHRISTY L · CIK 0001145929 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,429 shares

Expires not disclosed

F1 · derivative.exercise_price: Reflects a 14-to-1 reverse stock split effective March 17, 2023. Under the terms of the Agreement and Plan of Merger and Reorganization, dated as of November 21, 2022, as amended (the "Merger Agreement"), by and among CalciMedica, Inc. ("Private CalciMedica"), the Issuer and Camaro Merger Sub, Inc., a wholly-owned subsidiary of the Issuer ("Merger Sub"), on March 20, 2023, Merger Sub merged with and into Private CalciMedica (the "Merger"), with Private CalciMedica surviving the Merger as a wholly-owned subsidiary of the Issuer. Upon the closing of the Merger, each share of CalciMedica common capital stock was converted into the right to receive 0.0288 of a share of the Issuer's common stock. Subsequent to the Merger, the name of the Issuer was changed from Graybug Vision, Inc. to CalciMedica, Inc. In connection with the Merger, the vesting of Christy Shaffer's options and restricted stock units ("RSUs") were fully accelerated and the RSUs were settled on March 23, 2023.

F1 · price: Reflects a 14-to-1 reverse stock split effective March 17, 2023. Under the terms of the Agreement and Plan of Merger and Reorganization, dated as of November 21, 2022, as amended (the "Merger Agreement"), by and among CalciMedica, Inc. ("Private CalciMedica"), the Issuer and Camaro Merger Sub, Inc., a wholly-owned subsidiary of the Issuer ("Merger Sub"), on March 20, 2023, Merger Sub merged with and into Private CalciMedica (the "Merger"), with Private CalciMedica surviving the Merger as a wholly-owned subsidiary of the Issuer. Upon the closing of the Merger, each share of CalciMedica common capital stock was converted into the right to receive 0.0288 of a share of the Issuer's common stock. Subsequent to the Merger, the name of the Issuer was changed from Graybug Vision, Inc. to CalciMedica, Inc. In connection with the Merger, the vesting of Christy Shaffer's options and restricted stock units ("RSUs") were fully accelerated and the RSUs were settled on March 23, 2023.

F1 · derivative.exercise_date: Reflects a 14-to-1 reverse stock split effective March 17, 2023. Under the terms of the Agreement and Plan of Merger and Reorganization, dated as of November 21, 2022, as amended (the "Merger Agreement"), by and among CalciMedica, Inc. ("Private CalciMedica"), the Issuer and Camaro Merger Sub, Inc., a wholly-owned subsidiary of the Issuer ("Merger Sub"), on March 20, 2023, Merger Sub merged with and into Private CalciMedica (the "Merger"), with Private CalciMedica surviving the Merger as a wholly-owned subsidiary of the Issuer. Upon the closing of the Merger, each share of CalciMedica common capital stock was converted into the right to receive 0.0288 of a share of the Issuer's common stock. Subsequent to the Merger, the name of the Issuer was changed from Graybug Vision, Inc. to CalciMedica, Inc. In connection with the Merger, the vesting of Christy Shaffer's options and restricted stock units ("RSUs") were fully accelerated and the RSUs were settled on March 23, 2023.

F1 · derivative.expiration_date: Reflects a 14-to-1 reverse stock split effective March 17, 2023. Under the terms of the Agreement and Plan of Merger and Reorganization, dated as of November 21, 2022, as amended (the "Merger Agreement"), by and among CalciMedica, Inc. ("Private CalciMedica"), the Issuer and Camaro Merger Sub, Inc., a wholly-owned subsidiary of the Issuer ("Merger Sub"), on March 20, 2023, Merger Sub merged with and into Private CalciMedica (the "Merger"), with Private CalciMedica surviving the Merger as a wholly-owned subsidiary of the Issuer. Upon the closing of the Merger, each share of CalciMedica common capital stock was converted into the right to receive 0.0288 of a share of the Issuer's common stock. Subsequent to the Merger, the name of the Issuer was changed from Graybug Vision, Inc. to CalciMedica, Inc. In connection with the Merger, the vesting of Christy Shaffer's options and restricted stock units ("RSUs") were fully accelerated and the RSUs were settled on March 23, 2023.

SEC source: 0001209191-23-021306 · doc4.xml · nonDerivative · entry 1

SHAFFER CHRISTY L · CIK 0001145929 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,429

F1 · price: Reflects a 14-to-1 reverse stock split effective March 17, 2023. Under the terms of the Agreement and Plan of Merger and Reorganization, dated as of November 21, 2022, as amended (the "Merger Agreement"), by and among CalciMedica, Inc. ("Private CalciMedica"), the Issuer and Camaro Merger Sub, Inc., a wholly-owned subsidiary of the Issuer ("Merger Sub"), on March 20, 2023, Merger Sub merged with and into Private CalciMedica (the "Merger"), with Private CalciMedica surviving the Merger as a wholly-owned subsidiary of the Issuer. Upon the closing of the Merger, each share of CalciMedica common capital stock was converted into the right to receive 0.0288 of a share of the Issuer's common stock. Subsequent to the Merger, the name of the Issuer was changed from Graybug Vision, Inc. to CalciMedica, Inc. In connection with the Merger, the vesting of Christy Shaffer's options and restricted stock units ("RSUs") were fully accelerated and the RSUs were settled on March 23, 2023.

SEC source: 0001209191-22-039240 · doc4.xml · derivative · entry 1

SHAFFER CHRISTY L · CIK 0001145929 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires 2032-06-21

F1 · derivative.exercise_date: The shares underlying this option vest in full on the earlier of the Issuer's next annual meeting of stockholders or June 22, 2023.

SEC source: 0001209191-22-034262 · doc4.xml · derivative · entry 2

SHAFFER CHRISTY L · CIK 0001145929 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires not disclosed

F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the issuer's Common Stock, subject to the reporting person's continued status as a service provider to the issuer.

F1 · derivative.exercise_date: The award vests in full on the earlier of: (i) the one year anniversary of the grant date or (ii) the date of the issuer's 2023 Annual Meeting of its stockholders, subject to the reporting person's continuous service to the issuer on such date.

F3 · derivative.expiration_date: These restricted stock units do not expire; they either vest or are cancelled prior to the vesting date.

SEC source: 0001209191-22-034262 · doc4.xml · derivative · entry 1

SHAFFER CHRISTY L · CIK 0001145929 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2032-06-01

F1 · derivative.exercise_date: The award vests in full on the earlier of: (i) the one year anniversary of the grant date or (ii) the date of the issuer's 2023 Annual Meeting of its stockholders, subject to the reporting person's continuous service to the issuer on such date.

SEC source: 0001209191-21-039949 · doc4.xml · derivative · entry 1

SHAFFER CHRISTY L · CIK 0001145929 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2031-06-09

F1 · derivative.exercise_date: The shares underlying this option vest in full on the earlier of the Issuer's next annual meeting of stockholders or June 10, 2022.

SEC source: 0001209191-21-038379 · doc4.xml · derivative · entry 1

SHAFFER CHRISTY L · CIK 0001145929 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,500

Underlying: Common Stock · 12,500 shares

Expires 2031-06-01

F1 · derivative.exercise_date: The option award will fully vest upon the earlier of 1) the Issuer's next annual stockholder meeting, or 2) June 2, 2022, subject to the Reporting Person's provision of service to the Issuer on each vesting date.

SEC source: 0001209191-20-052343 · doc4.xml · derivative · entry 5

SHAFFER CHRISTY L · CIK 0001145929 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 0

Underlying: Common Stock · 151,146 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: Each share of the Issuer's Series A-2 Preferred Stock, Series B Preferred Stock and Series C Preferred Stock automatically converted into 1 share of the Issuer's Common Stock immediately prior to the closing of the Issuer's initial public offering for no additional consideration and has no expiration date.

F1 · price: Each share of the Issuer's Series A-2 Preferred Stock, Series B Preferred Stock and Series C Preferred Stock automatically converted into 1 share of the Issuer's Common Stock immediately prior to the closing of the Issuer's initial public offering for no additional consideration and has no expiration date.

F1 · derivative.exercise_date: Each share of the Issuer's Series A-2 Preferred Stock, Series B Preferred Stock and Series C Preferred Stock automatically converted into 1 share of the Issuer's Common Stock immediately prior to the closing of the Issuer's initial public offering for no additional consideration and has no expiration date.

F1 · derivative.expiration_date: Each share of the Issuer's Series A-2 Preferred Stock, Series B Preferred Stock and Series C Preferred Stock automatically converted into 1 share of the Issuer's Common Stock immediately prior to the closing of the Issuer's initial public offering for no additional consideration and has no expiration date.

F2 · ownership.nature: These securities are held of record by Hatteras Venture Partners IV SBIC, L.P. ("HVP IV SBIC"). Hatteras Venture Advisors IV SBIC, L.L.C. ("HVA IV SBIC") is the general partner of HVP IV SBIC. The managing members of HVA IV SBIC include: Robert Ingram, Douglas Reed, Clay Thorp, John Crumpler and Kenneth Lee. These managing members share voting and dispositive power over the securities directly held by HVP IV SBIC. The Reporting Person is a partner of Hatteras Venture Partners and disclaims beneficial ownership of the securities held by HVP IV SBIC except to the extent of her pecuniary interest therein, if any.

SEC source: 0001209191-20-052343 · doc4.xml · derivative · entry 4

SHAFFER CHRISTY L · CIK 0001145929 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 0

Underlying: Common Stock · 1,242,120 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: Each share of the Issuer's Series A-2 Preferred Stock, Series B Preferred Stock and Series C Preferred Stock automatically converted into 1 share of the Issuer's Common Stock immediately prior to the closing of the Issuer's initial public offering for no additional consideration and has no expiration date.

F1 · price: Each share of the Issuer's Series A-2 Preferred Stock, Series B Preferred Stock and Series C Preferred Stock automatically converted into 1 share of the Issuer's Common Stock immediately prior to the closing of the Issuer's initial public offering for no additional consideration and has no expiration date.

F1 · derivative.exercise_date: Each share of the Issuer's Series A-2 Preferred Stock, Series B Preferred Stock and Series C Preferred Stock automatically converted into 1 share of the Issuer's Common Stock immediately prior to the closing of the Issuer's initial public offering for no additional consideration and has no expiration date.

F1 · derivative.expiration_date: Each share of the Issuer's Series A-2 Preferred Stock, Series B Preferred Stock and Series C Preferred Stock automatically converted into 1 share of the Issuer's Common Stock immediately prior to the closing of the Issuer's initial public offering for no additional consideration and has no expiration date.

F2 · ownership.nature: These securities are held of record by Hatteras Venture Partners IV SBIC, L.P. ("HVP IV SBIC"). Hatteras Venture Advisors IV SBIC, L.L.C. ("HVA IV SBIC") is the general partner of HVP IV SBIC. The managing members of HVA IV SBIC include: Robert Ingram, Douglas Reed, Clay Thorp, John Crumpler and Kenneth Lee. These managing members share voting and dispositive power over the securities directly held by HVP IV SBIC. The Reporting Person is a partner of Hatteras Venture Partners and disclaims beneficial ownership of the securities held by HVP IV SBIC except to the extent of her pecuniary interest therein, if any.

SEC source: 0001209191-20-052343 · doc4.xml · derivative · entry 3

SHAFFER CHRISTY L · CIK 0001145929 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 0

Underlying: Common Stock · 193,224 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: Each share of the Issuer's Series A-2 Preferred Stock, Series B Preferred Stock and Series C Preferred Stock automatically converted into 1 share of the Issuer's Common Stock immediately prior to the closing of the Issuer's initial public offering for no additional consideration and has no expiration date.

F1 · price: Each share of the Issuer's Series A-2 Preferred Stock, Series B Preferred Stock and Series C Preferred Stock automatically converted into 1 share of the Issuer's Common Stock immediately prior to the closing of the Issuer's initial public offering for no additional consideration and has no expiration date.

F1 · derivative.exercise_date: Each share of the Issuer's Series A-2 Preferred Stock, Series B Preferred Stock and Series C Preferred Stock automatically converted into 1 share of the Issuer's Common Stock immediately prior to the closing of the Issuer's initial public offering for no additional consideration and has no expiration date.

F1 · derivative.expiration_date: Each share of the Issuer's Series A-2 Preferred Stock, Series B Preferred Stock and Series C Preferred Stock automatically converted into 1 share of the Issuer's Common Stock immediately prior to the closing of the Issuer's initial public offering for no additional consideration and has no expiration date.

F2 · ownership.nature: These securities are held of record by Hatteras Venture Partners IV SBIC, L.P. ("HVP IV SBIC"). Hatteras Venture Advisors IV SBIC, L.L.C. ("HVA IV SBIC") is the general partner of HVP IV SBIC. The managing members of HVA IV SBIC include: Robert Ingram, Douglas Reed, Clay Thorp, John Crumpler and Kenneth Lee. These managing members share voting and dispositive power over the securities directly held by HVP IV SBIC. The Reporting Person is a partner of Hatteras Venture Partners and disclaims beneficial ownership of the securities held by HVP IV SBIC except to the extent of her pecuniary interest therein, if any.

SEC source: 0001209191-20-052343 · doc4.xml · nonDerivative · entry 2

SHAFFER CHRISTY L · CIK 0001145929 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 1,605,240

F2 · ownership.nature: These securities are held of record by Hatteras Venture Partners IV SBIC, L.P. ("HVP IV SBIC"). Hatteras Venture Advisors IV SBIC, L.L.C. ("HVA IV SBIC") is the general partner of HVP IV SBIC. The managing members of HVA IV SBIC include: Robert Ingram, Douglas Reed, Clay Thorp, John Crumpler and Kenneth Lee. These managing members share voting and dispositive power over the securities directly held by HVP IV SBIC. The Reporting Person is a partner of Hatteras Venture Partners and disclaims beneficial ownership of the securities held by HVP IV SBIC except to the extent of her pecuniary interest therein, if any.

SEC source: 0001209191-20-052343 · doc4.xml · nonDerivative · entry 1

SHAFFER CHRISTY L · CIK 0001145929 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 1,586,490

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Each share of the Issuer's Series A-2 Preferred Stock, Series B Preferred Stock and Series C Preferred Stock automatically converted into 1 share of the Issuer's Common Stock immediately prior to the closing of the Issuer's initial public offering for no additional consideration and has no expiration date.

F2 · ownership.nature: These securities are held of record by Hatteras Venture Partners IV SBIC, L.P. ("HVP IV SBIC"). Hatteras Venture Advisors IV SBIC, L.L.C. ("HVA IV SBIC") is the general partner of HVP IV SBIC. The managing members of HVA IV SBIC include: Robert Ingram, Douglas Reed, Clay Thorp, John Crumpler and Kenneth Lee. These managing members share voting and dispositive power over the securities directly held by HVP IV SBIC. The Reporting Person is a partner of Hatteras Venture Partners and disclaims beneficial ownership of the securities held by HVP IV SBIC except to the extent of her pecuniary interest therein, if any.

SEC source: 0001209191-20-037952 · doc4.xml · derivative · entry 1

SHAFFER CHRISTY L · CIK 0001145929 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2030-06-17

F1 · derivative.exercise_date: The shares underlying this option vest in full on the earlier of the Issuer's next annual meeting of stockholders or June 18, 2021.

SEC source: 0001209191-19-038778 · doc4.xml · derivative · entry 1

SHAFFER CHRISTY L · CIK 0001145929 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2029-06-19

F1 · derivative.exercise_date: The shares underlying this option vest in full on the earlier of the Issuer's next annual meeting of stockholders or June 20, 2020.

SEC source: 0001209191-18-038986 · doc4.xml · derivative · entry 1

SHAFFER CHRISTY L · CIK 0001145929 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,250

Underlying: Common Stock · 11,250 shares

Expires 2028-06-19

F1 · derivative.exercise_date: The shares underlying this option vest in full on the earlier of the Issuer's next annual meeting of stockholders or June 20, 2019.

SEC source: 0001209191-17-063617 · doc4.xml · nonDerivative · entry 2

SHAFFER CHRISTY L · CIK 0001145929 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Hatteras Venture Advisors V, LLC

Disclosed balance after: 995

F3 · price: In-kind distribution from L2 Ventures, LLC to its members, including Hatteras Venture Advisors V, LLC, without consideration.

F4 · ownership.nature: The Reporting Person is one of the general partners of Hatteras Venture Advisors V, LLC, which is the record holder of the securities, and the Reporting Person may be deemed to share voting and dispositive power over the securities held by Hatteras Venture Advisors V, LLC. The Reporting Person disclaims beneficial ownership of these securities, except to the extent of her pecuniary interest therein.

SEC source: 0001209191-17-063617 · doc4.xml · nonDerivative · entry 1

SHAFFER CHRISTY L · CIK 0001145929 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By L2 Ventures, LLC

Disclosed balance after: 0

F1 · price: In-kind distribution from L2 Ventures, LLC to its members, without consideration.

F2 · ownership.nature: The Reporting Person is one of the general partners of Hatteras Venture Advisors V, LLC, which is the general partner of L2 Ventures, LLC ("L2 Ventures"). L2 Ventures is the record holder of the securities, and the Reporting Person may be deemed to share voting and dispositive power over the securities held by L2 Ventures. The Reporting Person disclaims beneficial ownership of these securities, except to the extent of her pecuniary interest therein.

SEC source: 0001209191-17-049107 · doc4.xml · nonDerivative · entry 1

SHAFFER CHRISTY L · CIK 0001145929 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,400

SEC source: 0001209191-17-045115 · doc4.xml · derivative · entry 1

SHAFFER CHRISTY L · CIK 0001145929 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2027-07-11

F1 · derivative.exercise_date: The stock option will vest in thirty-six monthly installments at the end of each successive month following July 11, 2017, subject to the Reporting Person's continued service as a director.

SEC source: 0001209191-17-043392 · doc4.xml · derivative · entry 1

SHAFFER CHRISTY L · CIK 0001145929 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,632

Underlying: Common Stock · 2,632 shares

Expires 2027-06-29

F1 · derivative.exercise_date: The shares underlying this option vest in full on the earlier of the Issuer's next annual meeting of stockholders or June 30, 2018.

SEC source: 0001209191-17-041668 · doc4.xml · derivative · entry 1

SHAFFER CHRISTY L · CIK 0001145929 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,618

Underlying: Common Stock · 8,618 shares

Expires 2027-06-21

F1 · derivative.exercise_date: The shares underlying this option vest in full on the earlier of the Issuer's next annual meeting of stockholders or June 22, 2018.

SEC source: 0001209191-17-034602 · doc4.xml · nonDerivative · entry 1

SHAFFER CHRISTY L · CIK 0001145929 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,300

SEC source: 0001209191-17-035155 · doc4.xml · derivative · entry 3

SHAFFER CHRISTY L · CIK 0001145929 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 42,070 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: The Preferred Stock automatically converted into Common Stock upon the closing of the Issuer's initial public offering pursuant to the Issuer's Fifth Restated Certificate of Incorporation, as amended, based on the conversion rate in effect at the time of conversion. The Series B Preferred Stock and Series C Preferred Stock converted to Common Stock on a 1-for-3 basis.

F1 · price: The Preferred Stock automatically converted into Common Stock upon the closing of the Issuer's initial public offering pursuant to the Issuer's Fifth Restated Certificate of Incorporation, as amended, based on the conversion rate in effect at the time of conversion. The Series B Preferred Stock and Series C Preferred Stock converted to Common Stock on a 1-for-3 basis.

F3 · derivative.exercise_date: The Series B Preferred Stock and Series C Preferred Stock automatically converted into shares of Common Stock upon consummation of the Issuer's initial public offering and had no expiration date.

F3 · derivative.expiration_date: The Series B Preferred Stock and Series C Preferred Stock automatically converted into shares of Common Stock upon consummation of the Issuer's initial public offering and had no expiration date.

F2 · ownership.nature: The Reporting Person is one of the general partners of Hatteras Venture Advisors V, LLC, which is the general partner of L2 Ventures, LLC. L2 Ventures, LLC is the record holder of the securities, and the Reporting Person may be deemed to share voting and dispositive power over the securities held by L2 Ventures, LLC. The Reporting Person disclaims beneficial ownership of these securities, except to the extent of his pecuniary interest therein.

SEC source: 0001209191-17-035155 · doc4.xml · derivative · entry 2

SHAFFER CHRISTY L · CIK 0001145929 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 57,443 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: The Preferred Stock automatically converted into Common Stock upon the closing of the Issuer's initial public offering pursuant to the Issuer's Fifth Restated Certificate of Incorporation, as amended, based on the conversion rate in effect at the time of conversion. The Series B Preferred Stock and Series C Preferred Stock converted to Common Stock on a 1-for-3 basis.

F1 · price: The Preferred Stock automatically converted into Common Stock upon the closing of the Issuer's initial public offering pursuant to the Issuer's Fifth Restated Certificate of Incorporation, as amended, based on the conversion rate in effect at the time of conversion. The Series B Preferred Stock and Series C Preferred Stock converted to Common Stock on a 1-for-3 basis.

F3 · derivative.exercise_date: The Series B Preferred Stock and Series C Preferred Stock automatically converted into shares of Common Stock upon consummation of the Issuer's initial public offering and had no expiration date.

F3 · derivative.expiration_date: The Series B Preferred Stock and Series C Preferred Stock automatically converted into shares of Common Stock upon consummation of the Issuer's initial public offering and had no expiration date.

F2 · ownership.nature: The Reporting Person is one of the general partners of Hatteras Venture Advisors V, LLC, which is the general partner of L2 Ventures, LLC. L2 Ventures, LLC is the record holder of the securities, and the Reporting Person may be deemed to share voting and dispositive power over the securities held by L2 Ventures, LLC. The Reporting Person disclaims beneficial ownership of these securities, except to the extent of his pecuniary interest therein.

SEC source: 0001209191-17-035155 · doc4.xml · nonDerivative · entry 1

SHAFFER CHRISTY L · CIK 0001145929 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By L2 Ventures, LLC

Disclosed balance after: 99,513

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: The Preferred Stock automatically converted into Common Stock upon the closing of the Issuer's initial public offering pursuant to the Issuer's Fifth Restated Certificate of Incorporation, as amended, based on the conversion rate in effect at the time of conversion. The Series B Preferred Stock and Series C Preferred Stock converted to Common Stock on a 1-for-3 basis.

F2 · ownership.nature: The Reporting Person is one of the general partners of Hatteras Venture Advisors V, LLC, which is the general partner of L2 Ventures, LLC. L2 Ventures, LLC is the record holder of the securities, and the Reporting Person may be deemed to share voting and dispositive power over the securities held by L2 Ventures, LLC. The Reporting Person disclaims beneficial ownership of these securities, except to the extent of his pecuniary interest therein.

SEC source: 0001209191-17-022349 · doc4.xml · nonDerivative · entry 1

SHAFFER CHRISTY L · CIK 0001145929 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,200