The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $95.02 to $95.78. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $96.01 to $96.50. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.


/s/ Christopher L Sugg, by Power of Attorney


Owns an additional 6,596 indirect shares.


Common Stock

Common Stock

Of this amount, 11,677.519 shares were withheld to pay applicable taxes and the remainder was withheld to pay the exercise price for the stock options.

Of this amount, 17,183.160 shares were withheld to pay applicable taxes and the remainder was withheld to pay the exercise price for the stock options.

The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $126.50 to $126.60, inclusive. The reporting person undertakes to provide full information as requested regarding the number of shares sold at each separate price.

Includes restricted stock units ("RSUs") acquired through deemed dividend reinvestment. RSUs acquired through deemed dividend reinvestment vest on the dates when the RSUs with respect to which they are deemed dividends vest.

These options vested in three equal annual installments on February 8, 2020, 2021 and 2022.

These options vested in three equal annual installments on February 4, 2021, 2022 and 2023.


Owns an additional 110 indirect shares.


Owns an additional 20,870 indirect shares.


Owns an additional 15,798.1859 indirect shares.


/s/ Malaina W. Snyder, Power of Attorney


The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions ranging from $23.97 to $24.07, inclusive. The Reporting Person undertakes to provide to the Issuer, any securityholder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth above.


The amount of securities beneficially owned have been adjusted to reflect the latest 401K plan statement.


Represents weighted average price.

Mr. Shaw has investment power over 500,000 shares as Trustee for the benefit of a family member. Mr. Shaw has voting control over the remainder of the shares pursuant to a voting agreement.

The Rule 10b5-1 Plan's date of adoption was August 22, 2024.


Common Stock

Common Stock

Each time-based restricted stock unit ("RSU") is converted into one share of Nexstar's common stock at the vesting date. Each performance-based restricted stock unit ("PSU") represents a contingent right to receive one share of Nexstar's common stock, subject to the achievement of pre-established company performance metric.

5,000 RSUs were awarded on August 13, 2021, of which, 1,250 RSUs vested each anniversary of the awards through August 13, 2025.

5,000 PSUs were awarded on August 13, 2021, of which, 1,250 PSUs vested at each anniversary of the award on August 13, 2022, August 13, 2023, and August 13, 2024 due to achievement of pre-established company performance metric. For the 1,250 PSUs that vested on August 13, 2025, the Compensation Committee of Nexstar's Board of Directors performed an assessment and determined that the conditions were satisfied.

The RSUs/PSUs have no expiration. However, any and all unvested portion of RSUs/PSUs shall be forfeited and cancelled should the awardee's employment terminate for any reason other than a company change of control.

/s/ Mark Hoyla, Attorney-in-Fact for Lee Ann Gliha


The shares were sold pursuant to a sales plan adopted by the Reporting Person on February 4, 2025 and intended to comply with Rule 10b5-1 under the Securities Exchange Act of 1934.


Includes shares issued pursuant to the dividend reinvestment plan.


The shares are held by the Reporting Person's spouse.

/s/ Rajbir S. Denhoy, Chief Financial Officer, by power of attorney


As trustee of SSH trust for adult daughter

The price reported in Column 4 of is a weighted average price. The shares were sold in multiple transactions at prices ranging from $67.385 to $68.10 inclusive. The reporting person undertakes to provide Prosperity Bancshares, any security holder of Prosperity Bancshares or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (1), (2) and (3) to this Form 4.

The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $67.395 to $68.215 inclusive.

The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $67.35 to $68.19 inclusive.

/s/ Charlotte M. Rasche, as Attorney in Fact


On December 18, 2024, Horizon Kinetics Asset Management LLC (HKAM) filed an amendment to its Schedule 13D, in which it noted beneficial ownership of 3,578,173 shares and Murray Stahl's direct interest in 7,848 shares and his indirect interest in approximately 156,083 shares. The extent of HKAM's pecuniary interest in the shares beneficially owned is disclosed herein. Mr. Stahl does not exercise investment discretion with respect to the securities of the Issuer.


Common Stock

Common Stock

Common Stock

The reported price in Column 4 is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $10.00 to $10.13 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the issuer, or the staff of the Securities Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

Options vest 20% per year, beginning 10/03/2017

Options vest 20% per year, beginning 07/22/2020

Options vest 20% per year, beginning 07/21/2021

/s/ Robert J. Ben attorney-in-fact for Kathleen McNally


UMH Properties, Inc.

UMH Properties, Inc.

UMH Properties, Inc.

These shares are being sold because Mitchell Partners, for which Mitchell Portfolio Management is the fund manager, must liquidate some of its holdings to return capital to its limited partners.


Common Stock

Shares held directly through an IRA.

/s/Cheryl Parks, Power of Attorney for Robert A.


Jane R. Grimm, Attorney-in-fact, for Andrew B. Nace, Executive Vice President


The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $91.66 to $91.85. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $92.22 to $92.99. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $93.10 to $93.99. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $94.00 to $94.98. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $95.00 to $95.99. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $96.00 to $96.62. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.


BLACKROCK CALIFORNIA MUNICIPAL INCOME TRUST


Common Stock, par value $0.0001 per share

The option consists of three tranches that vest in equal annual installments. This is an exercise of the first two tranches, which vested on December 12, 2023 and December 12, 2024.


Common Stock


This figure does not include 102,462 shares held directly by Mr. Stahl.

For each indirect account, Mr. Stahl disclaims beneficial ownership except to the extent of his pecuniary interest, if any.


Common Stock

Reflects weighted average price. Range of prices were between $42.14 to $43.65. The reporting person will provide upon request by the Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price.

Reflects weighted average price. Range of prices were between $42.12 to $43.62. The reporting person will provide upon request by the Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price.

Stock option vests 33 1/3% per year beginning on the first anniversary of the grant date. The first exercisable date was February 19, 2021.


Common Stock

Reflects weighted average price. Range of prices were between $43.470 to $43.835. The reporting person will provide upon request by the Commission staff, the issuer, or a security holder of the issuer,
full information regarding the number of shares sold at each separate price.


Common stock

Stock options granted under the 2014 Equity Incentive Plan vest in 25% increments on 12/31/20, 12/31/21, 12/31/22 and 12/31/23.


This Form 4A is being filed to remedy the Form 4 filed on May 13, 2025, which incorrectly reflected a direct sale of 2779 shares. Such sale was a sale by the Trust.


/s/ Dean A. Scarborough, by Laura Lynn Church, Attorney-in-Fact


Granted under the Aflac Incorporated Long-Term Incentive Plan (as Amended and Restated February 14, 2017).

By: Brooke R. Phillips For: Bradley E. Dyslin


Class A Common Stock

Class A Common Stock

Class A Common Stock

Shares distributed pursuant to vesting of Restricted Stock Units granted on August 12, 2024.

Shares withheld to satisfy the tax liability in connection with the transaction described in footnote 1 above.

Restricted Stock Units granted August 12, 2024 pursuant to the Albany International Corp. 2023 Plan.  Each Restricted Stock Unit entitles the holder to receive one share of Class A Common Stock at the time of vesting.

6905 Restricted Stock Units vest on August 12, 2025; 6905 Restricted Stock Units vest on August 12, 2026; and 6904 Restricted Stock Units vest on August 12, 2027.

Restricted Stock Units granted February 21, 2025 pursuant to the Albany International Corp. 2023 Plan.  Each Restricted Stock Unit entitles the holder to receive one share of Class A Common Stock at the time of vesting.

1289 Restricted Stock Units vest on March 1, 2026; 1289 Restricted Stock Units vest on March 1, 2027; and 1289 Restricted Stock Units vest on March 1, 2028.

1151 Restricted Stock Units vest on March 1, 2025; 1151 Restricted Stock Units vest on March 1, 2026; and 1150 Restricted Stock Units vest on March 1, 2027.

Cynthia A. SantaBarbara, Attorney-in-Fact


/s/ Eric J. Sorenson, Jr., POA for Lewis C. Addison


Common Stock

This form reflects increases in beneficial ownership resulting from exempt acquisitions pursuant to Rule 16b-3(c).

Stock Awards granted pursuant to the NorthEast Community Bancorp, Inc. 2022 Equity Incentive Plan vest in five approximately equal annual installments commencing on November 17, 2023. Stock Awards granted pursuant to the NorthEast Community Bancorp, Inc. 2022 Equity Incentive Plan vest in five approximately equal annual installments commencing on November 17, 2023.

Stock Options granted pursuant to the NorthEast Community Bancorp, Inc. 2022 Equity Incentive Plan vest in five approximately equal annual installments commencing on November 17, 2023.


Silvercape Investments Ltd

LIMITED, FOURTH FLOOR, ONE CAPITAL PLACE


/s/ Rafael Sotomayor by Timothy Shelhamer under Power of Attorney


The reported price in Column 4 is a weighted average price.  These shares were purchased in multiple transactions at prices ranging from $72.02 to $72.19.  The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities & Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in the footnote.


Common Stock, par value $0.001 per share ("Common Stock")

The shares of Common Stock were acquired by General Atlantic Partners (Bermuda) T, L.P., a Bermuda limited partnership ("GA AL Holding "), pursuant to an open market purchase of 250,000 shares on August 11, 2025 at a net price per share of $20.647.

The shares of Common Stock were acquired by GA AL Holding, pursuant to an open market purchase of 400,000 shares on August 11, 2025 at a net price per share of $20.7268.

The shares of Common Stock were acquired by GA AL Holding, pursuant to an open market purchase of 516,771 shares on August 12, 2025 at a net price per share of $21.4575.

The shares of Common Stock were acquired by GA AL Holding, pursuant to an open market purchase of 100,000 shares on August 13, 2025 at a net price per share of $22.3098.

The shares of Common Stock were acquired by GA AL Holding, pursuant to an open market purchase of 129,391 shares on August 13, 2025 at a net price per share of $22.5388.

Consists of (a) 9,645,318 shares held by General Atlantic (AL), L.P ("GA AL"), (b) 2,346,162 shares held by GA AL Holding and (c) 34,731 shares and 7,225 restricted stock units held by Raphael Osnoss, who is an employee of General Atlantic Service Company, L.P. ("GASC"), solely for the benefit of GASC. The following investment funds share beneficial ownership of the common shares held of record by GA AL and GA AL Holding: General Atlantic Partners (Bermuda) EU, L.P. ("GAP Bermuda EU"), General Atlantic Partners (Lux) SCSp ("GAP Lux"), GAP Coinvestments III, LLC ("GAPCO III"), GAP Coinvestments IV, LLC ("GAPCO IV"), GAP Coinvestments V, LLC ("GAPCO V") and GAP Coinvestments CDA, L.P. ("GAPCO CDA"). The following investment funds also share beneficial ownership of the common shares held of record by GA AL: General Atlantic Partners 100, L.P. ("GAP 100"). (Cont'd in FN7)

(Cont'd from FN6) The following investment funds also share beneficial ownership of the common shares held of record by GA AL Holding: General Atlantic Partners (Bermuda) IV, L.P. ("GAP Bermuda IV"). GAP 100, GAP Bermuda EU, GAP Lux are collectively referred to as the "GA Funds." GAPCO III, GAPCO IV, GAPCO V and GAPCO CDA are collectively referred to as the "Sponsor Coinvestment Funds." The general partner of GA AL is General Atlantic (SPV) GP, LLC ("GA SPV"). The general partner of GAP Lux is General Atlantic GenPar (Lux) SCSp ("GA GenPar Lux"), and the general partner of GA GenPar Lux is General Atlantic (Lux) S.a r.l. ("GA Lux"). The general partner of GA AL Holding is General Atlantic (SPV) (Bermuda) GP, LLC ("GA SPV Bermuda"). The general partner of GAP Bermuda EU, the general partner of GAP Bermuda IV, the sole member of GA SPV Bermuda and the sole shareholder of GA Lux is General Atlantic GenPar (Bermuda), L.P. ("GenPar Bermuda"). (Cont'd in FN8)

(Cont'd from FN7) General Atlantic, L.P. ("GA LP"), which is controlled by the Partnership Committee of GASC MGP, LLC (the "GA Partnership Committee"), is the managing member of GAPCO III, GAPCO IV, and GAPCO V, the general partner of GAPCO CDA, and is the sole member of GA SPV. GAP (Bermuda) LP. ("GAP Bermuda"), which is also controlled by the Partnership Committee, is the general partner of GenPar Bermuda. The general partner of GAP 100 is GA GenPar, and the general partner of GA GenPar is GA LP. There are six members of the GA Partnership Committee. Each of the members of the GA Partnership Committee disclaims ownership of the shares except to the extent that he has a pecuniary interest therein.

GA LP, GA SPV, GA AL, GA GenPar, GA GenPar Lux, GA Lux, GenPar Bermuda, GAP (Bermuda), the GA Funds, GA AL Holding and the Sponsor Coinvestment Funds may be deemed to be members of a "group" for the purposes of the Securities Exchange Act of 1934. Each reporting person disclaims beneficial ownership of any securities deemed to be owned by the group that are not directly owned by the reporting person. This report shall not be deemed an admission that the reporting persons are a member of a group or the beneficial owner of any securities not directly owned by the reporting person. Each of the reporting persons is a director-by-deputization solely for purposes of Section 16 of the Exchange Act. // Form 2 of 2


GA LP, GA SPV, GA AL, GA GenPar, GA GenPar Lux, GA Lux, GenPar Bermuda, GAP (Bermuda), the GA Funds, GA AL Holding and the Sponsor Coinvestment Funds may be deemed to be members of a "group" for the purposes of the Securities Exchange Act of 1934. Each reporting person disclaims beneficial ownership of any securities deemed to be owned by the group that are not directly owned by the reporting person. This report shall not be deemed an admission that the reporting persons are a member of a group or the beneficial owner of any securities not directly owned by the reporting person. Each of the reporting persons is a director-by-deputization solely for purposes of Section 16 of the Exchange Act. // Form 1 of 2


Reflects an open market purchase of 1,380 of the Issuer's CHESS Depositary Interests ("CDIs") on August 13, 2025 (Australia)/August 12, 2025 (U.S.). CDIs are units of beneficial ownership in shares of common stock of the Company that are publicly traded on the Australian Securities Exchange (the "ASX") and held by CHESS Depositary Nominees Pty. Limited, a subsidiary of ASX Limited, the company that operates the ASX. Each CDI represents one fully paid share of common stock.

Price converted from Australian Dollars into U.S. Dollars based on an exchange rate of $1 AUD to $0.6548 USD.

Represents shares of common stock held by Linyanti Holdings Pty Limited ATF McLennan Superannuation Fund, a retirement fund of which Mr. McLennan is the beneficiary.

Represents shares of common stock held by Londolozi Pty Limited ATF Londolozi Family Trust, of which Mr. McLennan serves as trustee.

/s/ James Sottile, attorney-in-fact for Hamish McLennan


Represents the grant on August 12, 2025, of time-based restricted shares that will vest on the three-year anniversary of the date of grant.


Common Stock

Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of Ondas Holdings Inc. (the "Company") common stock, par value $0.0001 per share.

These RSUs were granted in connection with the issuer's Compensation Committee's approval of the Amended and Restated Non-Employee Director Compensation Policy, attached as Exhibit 10.4 of the issuer's Quarterly Report on Form 10-Q for the quarter ended June 30, 2025.

1,561 RSUs vest during the third quarter of 2025, 2,817 RSUs vest during the fourth quarter of 2025, 2,816 RSUs vesting during the first quarter of 2026 and 2,817 RSUs vest in each of the second, third and fourth quarters of 2026


Common Stock


Reflects a grant of restricted stock made to the reporting person on August 12, 2025 that will vest on the one-year anniversary of the date of grant. The restricted stock also has a two-year holding period following the vesting period.


Common Stock

Option represents a revised share amount and exercise price based on a 1-for-20 reverse stock split from October 25, 2024. The option was cancelled by mutual agreement of the reporting person and the Company. The reporting person received three months severance as consideration for the cancellation.

/s/ Trent Smith, Attorney-in-Fact for Brad Hauser


Common Stock

Option represents a revised share amount and exercise price based on a 1-for-20 reverse stock split from October 25, 2024. The option was cancelled by mutual agreement of the reporting person and the Company. The reporting person received no consideration for the cancellation.

/s/ Trent Smith, Attorney-in-Fact for Christopher Capelli


PPBI Common Stock

Includes 28,831 shares of restricted stock subject to a vesting schedule set forth in the restricted stock grant and subject to forfeiture upon the occurrence of certain events specified in the restricted stock grant.

The options vests in three equal annual installments beginning 3/9/2017.


Common Stock

Amount represents a revised share amount based on a 1-for-20 reverse stock split from October 25,2024.

/s/ Trent Smith, Attorney-in-Fact for Walter Klemp


Common Stock

One-third of the grant will vest on August 15, 2026, and the remaining two-thirds will vest in eight equal quarterly installments on each subsequent November 15, February 15, May 15, and August 15, such that the grant will be fully vested on August 15, 2028, subject to continued service with the Issuer through each vesting date.


The purchase price of C$0.78 was converted using the Bank of Canada exchange rate for August 11, 2025 of C$1.3785 = US$1.00.

The Form 4 previously filed on June 10, 2025 inadvertently reported the incorrect total and the total stated here reflects the corrected amount.


Common Stock

Common Stock

/s/ Trent Smith, Attorney-in-Fact for Lori Bisson


Shares automatically sold to cover tax withholding obligation from settlement of vested restricted stock units.

The price reported above reflects the weighted average price of the shares sold. The sale price ranged from $10.045 to $11.00 per share. Upon request from the SEC staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price within the range set forth in this Form 4.

On May 30, 2025, the Issuer effected a 1-for-20 reverse stock split of its common stock. All share and amounts reported herein reflect the reverse stock split.

The price reported above reflects the weighted average price of the shares sold. The sale price ranged from $10.120 to $10.415 per share. Upon request from the SEC staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price within the range set forth in this Form 4.


Includes 390 shares acquired on May 18, 2025 under the Issuer's 2021 Employee Stock Purchase Plan.


Common Stock

Common Stock

Option represents a revised share amount and exercise price based on a 1-for-20 reverse stock split from October 25, 2024. The option was cancelled by mutual agreement of the reporting person and the Company. The reporting person received an additional three months severance as consideration for the cancellation.

Amount represents a revised share amount based on a 1-for-20 reverse stock split from October 25, 2024.


The price reported above reflects the weighted average price of the shares sold. The sale price ranged from $10.045 to $11.00 per share. Upon request from the SEC staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price within the range set forth in this Fonn 4.

Shares held by The Charles & Lisa Newton Living Trust. The Reporting Person is co-trustee and co-grantor of The Charles & Lisa Newton Living Trust.


Class A Common Stock

Class A Common Stock

Class A Common Stock

Class A Common Stock

Shares of Class V common stock, par value $0.0001 per share ("Class V Common Stock"), of OppFi Inc. (the "Issuer") represent voting, non-economic interests in the Issuer. Except as provided in the Issuer's certificate of incorporation, as amended, or as required by applicable law, holders of Class V Common Stock will be entitled to one vote per share of Class V Common Stock on all matters to be voted on by the Issuer's stockholders generally. The shares of Class V Common Stock will be cancelled by the Issuer if the reporting person exercises (or causes LTHS Capital Group LP or LTHS Revocable Trust to exercise) Exchange Rights (as defined below in footnote 9).

Reflects the cancellation of shares of Class V Common Stock in connection with the exercise of the Exchange Rights with respect to an equivalent number of Class A common units ("Common Units") of Opportunity Financial, LLC ("Opportunity Financial").

The shares of Class V Common Stock are held by OppFi Shares, LLC ("OFS"), which has sole voting power over the shares of Class V Common Stock reported in Table I hereof. The reporting person has the indirect right to cause OFS to dispose of the shares of Class V Common Stock reported in Table I hereof to the Issuer pursuant to the reporting person's (or LTHS Capital Group LP's or LTHS Revocable Trust's) Exchange Rights.

Reflects shares of Class A Common Stock, par value $0.0001 per share ("Class A Common Stock"), of the Issuer received in connection with the exercise of the Exchange Rights.

The reporting person is the manager of the general partner of LTHS Capital Group LP and may be deemed to beneficially own the securities held by LTHS Capital Group LP. The reporting person disclaims beneficial ownership of such securities, except to the extent of his pecuniary interest therein.

The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 10, 2024.

The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions with prices ranging from $10.56 to $11.30 for a weighted average sale price of $11.0814. The reporting person undertakes to provide the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions with prices ranging from $10.65 to $11.01 for a weighted average sale price of $10.7966. The reporting person undertakes to provide the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

Common Units generally represent economic, non-voting interests in Opportunity Financial. The Issuer is the sole manager of Opportunity Financial and controls Opportunity Financial, except as provided by the Third Amended and Restated Limited Liability Company Agreement of Opportunity Financial (the "LLC Agreement") or applicable law. Pursuant to the LLC Agreement, each Common Unit can be exchanged by the holder from time to time for either one share of Class A common stock of the Issuer or, at the election of the Issuer in its capacity as the sole manager of Opportunity Financial, the cash equivalent of the market value of one share of Class A Common Stock (the "Exchange Rights").

/s/ Marv Gurevich, Esq., as attorney-in-fact for Theodore G. Schwartz


Shares of Class V common stock, par value $0.0001 per share ("Class V Common Stock"), of the issuer represent voting, non-economic interests in the issuer. Except as provided in the issuer's certificate of incorporation, as amended, or as required by applicable law, holders of Class V Common Stock will be entitled to one vote per share of Class V Common Stock on all matters to be voted on by the issuer's stockholders generally.

Reflects the surrender and cancellation of shares of Class V Common Stock to the issuer in connection with the exchange of Class A common units of Opportunity Financial, LLC ("Opportunity Financial") by members thereof, other than the reporting person, for shares of Class A common stock, par value $0.0001 per share, of the issuer pursuant to the exchange provisions of the Third Amended and Restated Limited Liability Company Agreement of Opportunity Financial.

The shares of Class V Common Stock are held by OppFi Shares, LLC ("OFS"), which has sole voting power over the shares of Class V Common Stock reported in Table I hereof. OFS is wholly owned by TGS Revocable Trust, whose sole trustee is the reporting person. By virtue of these relationships, the reporting person may be deemed to have voting power over the shares of Class V Common Stock held by OFS. The reporting person disclaims beneficial ownership of the shares of Class V Common Stock held by OFS, except to the extent of his pecuniary interest therein.

/s/ Marv Gurevich, Esq., as attorney-in-fact for Todd G. Schwartz


Class A Common Stock

Class A Common Stock

Class A Common Stock

Class A Common Stock

Class A Common Stock

Class A Common Stock

Class A Common Stock

Class A Common Stock

Class A Common Stock

Class A Common Stock

Represents the automatic conversion of Class B Common Stock into Class A Common Stock.

This transaction is pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 12, 2025.

Represents the automatic conversion of Class B Common Stock into Class A Common Stock in connection with a bona-fide gift of shares by the Reporting Person

The shares are held by LAHWRAN-3 LLC, of which the Reporting Person is a member and a manager.

The shares are held by the Gibson Family Trust, of which the Reporting Person serves as Trustee.

Each share of Class B Common Stock is convertible into one share of Class A Common Stock at the option of the holder and has no expiration date.

The shares are held by LAHWRAN-4 LLC, of which the Reporting Person is a member and a manager.

The option vests as to one forty-eighth (1/48th) of the shares subject to the option on March 1, 2025, and one forty-eighth (1/48th) of the shares subject to the option will vest each month thereafter.

The option vests as to one forty-eighth (1/48th) of the original 666,898 shares subject to the option on March 1, 2024, and one forty-eighth (1/48th) of the shares subject to the option will vest each month thereafter.

The option vests as to one forty-eighth (1/48th) of the shares subject to the option on March 1, 2023, and one forty-eighth (1/48th) of the shares subject to the option will vest each month thereafter.

The option, originally for 416,350 shares, vested as to one forty-eighth (1/48th) of the shares subject to the option on March 1, 2022, and one forty-eighth (1/48th) of the shares subject to the option will vest each month thereafter.

The option, originally for 1,500,000 shares, vested as to one forty-eighth (1/48th) of the shares subject to the option on January 31, 2021, and one forty-eighth (1/48th) of the shares subject to the option shall vest each month thereafter.


The sales reported were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 10, 2024, as modified on May 2, 2025.

The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $7.365 to $7.465 per share, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $7.125 to $7.255 per share, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

Shares held by an irrevocable trust over which the reporting person acts as trustee and has voting power, but has no financial interest. The beneficiaries of the irrevocable trust are not immediate family members of the reporting person.


The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.41 to $10.61. The Reporting Person undertakes to provide EverCommerce Inc. (the "Company"), any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.53 to $10.83. The Reporting Person undertakes to provide the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

All sale transactions reported herein were made pursuant to a Rule 10b5-1 trading plan dated June 14, 2024.


Class A Common Stock

Class A Common Stock

Class A Common Stock

Class A Common Stock

The Reporting Person is a trustee of this trust. The Reporting Person disclaims beneficial ownership of the securities held by this trust except to the extent of his respective pecuniary interest therein.

These options are fully vested and exercisable.

The Restricted Stock Units ("RSUs") convert to Class A Common Stock on a one-for-one basis.

These RSUs will vest on December 21, 2025.

The shares of Class B Common Stock are convertible into shares of Class A Common Stock at the option of the Reporting Person and will be automatically converted upon (i) a transfer by the Reporting Person (other than a permitted transfer) or (ii) the first trading day after the seventh anniversary date of the Closing Date (December 21, 2023).

The Class B restricted stock awards (the "RSAs") were granted to the Reporting Person on May 30, 2025, and will vest over five years as follows: (i) 10% of the RSAs will vest on the first anniversary of the grant date (May 30, 2026) and (ii) the remaining 90% will vest in equal quarterly installments over the remaining 48 months.


Class A Common Stock

Class A Common Stock

Class A Common Stock

Class A Common Stock

The shares of Class B Common Stock are convertible into shares of Class A Common Stock at the option of the Reporting Person, and will be automatically converted upon (i) a transfer by the Reporting Person (other than a permitted transfer) or (ii) the first trading day after the seventh anniversary date of the Closing Date (December 21, 2023).


Class A Common Stock

Class A Common Stock

Class A Common Stock

Class A Common Stock


By Chan Zuckerberg Initiative Foundation

Class A Common Stock

Class A Common Stock

By Mark Zuckerberg, Trustee Of The Mark Zuckerberg Trust Dated July 7, 2006

Class A Common Stock

Class A Common Stock

Class A Common Stock

Class A Common Stock

Class A Common Stock

Class A Common Stock

Shares held of record by CZI Holdings, LLC ("CZI"). Mark Zuckerberg, Trustee of the Mark Zuckerberg Trust dated July 7, 2006 ("2006 Trust"), is the sole member of CZI. The reporting person is the sole trustee of the 2006 Trust and, therefore, is deemed to have sole voting and investment power over the securities held by CZI.

The sales reported were effected by CZI pursuant to the Rule 10b5-1 trading plan adopted by the reporting person on February 1, 2025.

The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $779.87 to $780.50 per share. The holder undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $780.90 to $781.58 per share. The holder undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $782.00 to $782.93 per share. The holder undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $783.20 to $784.17 per share. The holder undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $784.40 to $785.35 per share. The holder undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $785.79 to $786.15 per share. The holder undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $787.22 to $787.97 per share. The holder undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $788.45 to $789.43 per share. The holder undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $789.98 to $790.30 per share. The holder undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $790.98 to $791.84 per share. The holder undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $792.00 to $792.70 per share. The holder undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote

Shares held of record by the Chan Zuckerberg Initiative Foundation ("CZI Foundation"). The reporting person is deemed to have voting and investment power over the shares held by CZI Foundation, but has no pecuniary interest in these shares.

The Class B Common Stock is convertible into the issuer's Class A Common Stock on a 1-for-1 basis (a) at the holder's option or (b) upon certain transfers of such shares and has no expiration date.

Shares held of record by Mark Zuckerberg, Trustee of the 2006 Trust.

Shares held of record by Chan Zuckerberg Holdings, LLC ("CZ Holdings"), which is beneficially owned by the reporting person. The reporting person is deemed to have sole voting and investment power over the securities held by CZ Holdings.

Shares held of record by CZI Holdings I, LLC ("CZI I"), which is beneficially owned by the reporting person. The reporting person is deemed to have sole voting and investment power over the securities held by CZI I.

Shares held of record by Chan Zuckerberg Holdings II, LLC ("CZ Holdings II"), which is beneficially owned by the reporting person. The reporting person is deemed to have sole voting and investment power over the securities held by CZ Holdings II.

Shares held of record by Chan Zuckerberg Holdings III, LLC ("CZ Holdings III"), which is beneficially owned by the reporting person. The reporting person is deemed to have sole voting and investment power over the securities held by CZ Holdings III.

Shares held of record by CZ Management, LLC ("CZ Management"), which is beneficially owned by the reporting person. The reporting person is deemed to have sole voting and investment power over the securities held by CZ Management.

Shares held of record by Chan Zuckerberg Holdings IV, LLC ("CZ Holdings IV"), which is beneficially owned by the reporting person. The reporting person is deemed to have sole voting and investment power over the securities held by CZ Holdings IV.

/s/ Erin Guldiken, attorney-in-fact for Mark Zuckerberg


Class A Common Stock

Class A Common Stock

Class A Common Stock

Class A Common Stock

Class A Common Stock

Class A Common Stock

Class A Common Stock

Class A Common Stock

Shares held of record by CZI Holdings, LLC ("CZI"). Mark Zuckerberg, Trustee of the Mark Zuckerberg Trust dated July 7, 2006 ("2006 Trust"), is the sole member of CZI. The reporting person is the sole trustee of the 2006 Trust and, therefore, is deemed to have sole voting and investment power over the securities held by CZI.

The sales reported were effected by CZI pursuant to the Rule 10b5-1 trading plan adopted by the reporting person on February 1, 2025.

The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $774.50 to $775.295 per share. The holder undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $776.235 to $777.23 per share. The holder undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $777.85 to $778.67 per share. The holder undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $778.90 to $779.68 per share. The holder undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $779.90 to $780.23 per share. The holder undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $781.07 to $782.06 per share. The holder undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $782.18 to $782.98 per share. The holder undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $783.22 to $784.00 per share. The holder undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $784.35 to $785.30 per share. The holder undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $785.46 to $786.40 per share. The holder undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $786.50 to $787.46 per share. The holder undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $787.57 to $788.41 per share. The holder undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $788.61 to $789.60 per share. The holder undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $789.63 to $790.61 per share. The holder undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $790.68 to $791.53 per share. The holder undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $792.00 to $792.94 per share. The holder undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $793.19 to $793.40 per share. The holder undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

Shares held of record by the Chan Zuckerberg Initiative Foundation ("CZI Foundation"). The reporting person is deemed to have voting and investment power over the shares held by CZI Foundation, but has no pecuniary interest in these shares.

The Class B Common Stock is convertible into the issuer's Class A Common Stock on a 1-for-1 basis (a) at the holder's option or (b) upon certain transfers of such shares and has no expiration date.

Shares held of record by Mark Zuckerberg, Trustee of the 2006 Trust.

Shares held of record by Chan Zuckerberg Holdings, LLC ("CZ Holdings"), which is beneficially owned by the reporting person. The reporting person is deemed to have sole voting and investment power over the securities held by CZ Holdings.

Shares held of record by CZI Holdings I, LLC ("CZI I"), which is beneficially owned by the reporting person. The reporting person is deemed to have sole voting and investment power over the securities held by CZI I.

Shares held of record by Chan Zuckerberg Holdings II, LLC ("CZ Holdings II"), which is beneficially owned by the reporting person. The reporting person is deemed to have sole voting and investment power over the securities held by CZ Holdings II.

Shares held of record by Chan Zuckerberg Holdings III, LLC ("CZ Holdings III"), which is beneficially owned by the reporting person. The reporting person is deemed to have sole voting and investment power over the securities held by CZ Holdings III.

Shares held of record by CZ Management, LLC ("CZ Management"), which is beneficially owned by the reporting person. The reporting person is deemed to have sole voting and investment power over the securities held by CZ Management.

Shares held of record by Chan Zuckerberg Holdings IV, LLC ("CZ Holdings IV"), which is beneficially owned by the reporting person. The reporting person is deemed to have sole voting and investment power over the securities held by CZ Holdings IV.


Class A Common Stock

Class A Common Stock

Class A Common Stock

Class A Common Stock

Class A Common Stock

Class A Common Stock

Class A Common Stock

Class A Common Stock

Shares held of record by CZI Holdings, LLC ("CZI"). Mark Zuckerberg, Trustee of the Mark Zuckerberg Trust dated July 7, 2006 ("2006 Trust"), is the sole member of CZI. The reporting person is the sole trustee of the 2006 Trust and, therefore, is deemed to have sole voting and investment power over the securities held by CZI.

The sales reported were effected by CZI pursuant to the Rule 10b5-1 trading plan adopted by the reporting person on February 1, 2025.

The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $765.04 to $766.03 per share. The holder undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $766.24 to $767.225 per share. The holder undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $767.28 to $768.27 per share. The holder undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $768.28 to $769.26 per share. The holder undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $769.35 to $770.31 per share. The holder undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $770.38 to $771.37 per share. The holder undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $771.38 to $772.325 per share. The holder undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $772.41 to $773.14 per share. The holder undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

Shares held of record by the Chan Zuckerberg Initiative Foundation ("CZI Foundation"). The reporting person is deemed to have voting and investment power over the shares held by CZI Foundation, but has no pecuniary interest in these shares.

The Class B Common Stock is convertible into the issuer's Class A Common Stock on a 1-for-1 basis (a) at the holder's option or (b) upon certain transfers of such shares and has no expiration date.

Shares held of record by Mark Zuckerberg, Trustee of the 2006 Trust.

Shares held of record by Chan Zuckerberg Holdings, LLC ("CZ Holdings"), which is beneficially owned by the reporting person. The reporting person is deemed to have sole voting and investment power over the securities held by CZ Holdings.

Shares held of record by CZI Holdings I, LLC ("CZI I"), which is beneficially owned by the reporting person. The reporting person is deemed to have sole voting and investment power over the securities held by CZI I.

Shares held of record by Chan Zuckerberg Holdings II, LLC ("CZ Holdings II"), which is beneficially owned by the reporting person. The reporting person is deemed to have sole voting and investment power over the securities held by CZ Holdings II.

Shares held of record by Chan Zuckerberg Holdings III, LLC ("CZ Holdings III"), which is beneficially owned by the reporting person. The reporting person is deemed to have sole voting and investment power over the securities held by CZ Holdings III.

Shares held of record by CZ Management, LLC ("CZ Management"), which is beneficially owned by the reporting person. The reporting person is deemed to have sole voting and investment power over the securities held by CZ Management.

Shares held of record by Chan Zuckerberg Holdings IV, LLC ("CZ Holdings IV"), which is beneficially owned by the reporting person. The reporting person is deemed to have sole voting and investment power over the securities held by CZ Holdings IV.


Ms. Briggs may be deemed to have voting power and dispositive power over the shares held by The Teresa Briggs Trust.


The price reported is a weighted average price of the shares sold. These shares were sold in multiple transactions at prices ranging from $2.0600 to $2.1800, inclusive. The Reporting Person hereby undertakes to provide upon request by the Securities and Exchange Commission staff, the issuer, or a shareholder of the issuer, full information regarding the number of shares sold at each separate price.

The securities are held directly by the Reporting Person. The Reporting Person is controlled by Timothy Babich, Jacob Doft, Lance Hirt and Andrew Rechtschaffen. Accordingly, Messrs. Babich, Doft, Hirt and Rechtschaffen share voting and dispositive power over these securities held by the Reporting Person and may be deemed to beneficially own such shares. Each of Messrs. Babich, Doft, Hirt and Rechtschaffen disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein.

The price reported is a weighted average price of the shares sold. These shares were sold in multiple transactions at prices ranging from $2.1000 to $2.2000, inclusive. The Reporting Person hereby undertakes to provide upon request by the Securities and Exchange Commission staff, the issuer, or a shareholder of the issuer, full information regarding the number of shares sold at each separate price.

The price reported is a weighted average price of the shares sold. These shares were sold in multiple transactions at prices ranging from $3.2600 to $3.4700, inclusive. The Reporting Person hereby undertakes to provide upon request by the Securities and Exchange Commission staff, the issuer, or a shareholder of the issuer, full information regarding the number of shares sold at each separate price.


Class A Common Stock

Class A Common Stock

Class A Common Stock

Class A Common Stock

Class A Common Stock

Class A Common Stock

Class A Common Stock

These share sales were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 14, 2025.

The price reported in Column 4 is an average execution price rounded to the nearest hundredth. These shares were sold in multiple transactions at prices ranging from $25.00 to $25.28 inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price.

The Class B Common Stock is convertible at any time at the option of the holder into the Issuer's Class A Common Stock on a one-to-one basis. The Class B Common Stock will automatically convert into shares of the Issuer's Class A Common Stock on a one-to-one basis upon the earlier of (i) transfer of Class B Common Stock to a person or entity that is not in the transferor's permitted ownership group, (ii) October 1, 2031, (iii) with respect to any Class B Common Stock held by any person or entity in Neil Blumenthal's permitted ownership group, (A) such time as Neil Blumenthal is removed or resigns from the board of directors, or otherwise ceases to serve as a director, (B) such time as Neil Blumenthal ceases to be either an employee, officer or consultant of the Company or any of its subsidiaries, or (C) the date that is 12 months after the death or disability of Neil Blumenthal,

and (iv) with respect to any Class B common stock held by any person or entity in Dave Gilboa's permitted ownership group, (A) such time as Dave Gilboa is removed or resigns from the board of directors, or otherwise ceases to serve as a director, (B) such time as Dave Gilboa ceases to be either an employee, officer or consultant of the Company or any of its subsidiaries, or (C) the date that is 12 months after the death or disability of Dave Gilboa.


Common Stock, par value $0.001 per share

The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $147.36 to $147.88 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

Includes 16,571 shares of common stock and 1,593 restricted stock units. Each restricted stock unit represents the right to receive, upon vesting, one share of common stock. These restricted stock units will vest on March 12, 2026, assuming continued service through such vest date.

/s/ Brandon F. Lombardi, Attorney-in-Fact for Joseph Fortunato


Granted under the Issuers 2025 Omnibus Incentive Plan and vests 100% on the day before the 2026 Annual Meeting of Stockholders of the Issuer.


By Bruce Lucas Irrevocable Grantor Retained Annuity Trust of 2014

Common Stock

Common Stock

The restricted stock unit represents a contingent right to receive one share of the issuer's common stock.

The securities reported herein are held by IIM Holdings II, LLC, which is an entity controlled by the reporting person. 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.

Represent shares of common stock beneficially owned by the reporting person's spouse. The reporting person disclaims beneficial ownership of these securities except to the extent of her 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.

Represent shares of common stock beneficially owned by the reporting person's spouse through Securus Risk Management LLC. 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.

Represent shares of common stock beneficially owned by the reporting person's spouse through Emma Cloonen Irrevocable Trust. 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.

Represent shares of common stock beneficially owned by the reporting person's spouse through Ava Cloonen Irrevocable Trust. 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.

These restricted stock units vest in 24 equal monthly installments commencing on January 1, 2025 and ending on December 31, 2026, subject to the reporting person's continued employment or service through each applicable vesting date.

/s/ Jesse Schalk, Attorney-in-Fact for Bruce Lucas


Shares withheld by the Company for the payment of tax liability incident to the vesting of restricted stock units.


/s/ Stan Finkelstein, Attorney-in-fact for Rebeca Obregon-Jimenez


Ordinary Shares

Dr. Kolchinsky was granted this restricted share unit award (RSU) pursuant to the 2025 Non-Employee Director Compensation Policy. The RSU vests as to 100% of the shares on the earlier of the Issuer's 2026 annual general meeting or August 11, 2026.

Dr. Kolchinsky is a Managing Partner of the Adviser who serves on the Issuer's board of directors. Under Dr. Kolchinsky's arrangement with the Adviser, Dr. Kolchinsky holds the RSUs and options for the benefit of the Fund. Dr. Kolchinsky is obligated to turn over to the Adviser any net cash or shares received upon settlement of the RSUs, or exercise of the options, as applicable, which will offset advisory fees owed by the Fund to the Adviser.

RA Capital Management, L.P. (the "Adviser") is the investment manager for RA Capital Healthcare Fund, L.P. (the "Fund"). The general partner of the Adviser is RA Capital Management GP, LLC (the "Adviser GP"), of which Dr. Peter Kolchinsky and Mr. Rajeev Shah are the managing members. Each of the Adviser, the Adviser GP, the Fund, Dr. Kolchinsky and Mr. Shah disclaims beneficial ownership of any of the reported securities, except to the extent of its or his respective pecuniary interest therein.

Held directly by the Fund.

Dr. Kolchinsky was granted this option pursuant to the 2025 Non-Employee Director Compensation Policy. The option vests as to 100% of the shares on the earlier of the Issuer's 2026 annual general meeting or August 11, 2026.

Dr. Peter Kolchinsky, a Managing Partner of the Adviser, serves on the Issuer's board of directors.


Common Stock

The securities reported herein are held by GRM Family Limited Partnership, which is an entity controlled by the reporting person. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.

These restricted stock units vest in 12 equal monthly installments commencing on January 1, 2025 and ending on December 31, 2025, subject to the reporting person's continued employment or service through each applicable vesting date.

/s/ Jesse Schalk, Attorney-in-Fact for Robert Gries Jr.


Represents shares withheld for tax purposes upon vesting of equity awards.


POSTE GEORGE

750 W. JOHN CARPENTER FREEWAY, SUITE 800

Common Stock

The stock option is fully vested and exercisable.

/s/ J. Russel Denton, Attorney-in-Fact for George Poste


/s/ J. Russel Denton, Attorney-in-Fact for David Baxley Spetzler


The Common Stock reported herein includes (i) 101,261,532 shares of Common Stock held of record by Caris Halbert, L.P, (ii) 8,528,805 shares of Common Stock held of record by ADAPT I Ltd., (iii) 8,414,427 shares of Common Stock held of record by Carisome I, L.P., (iv) 645,149 shares of Common Stock held of record by Caris Investment II Ltd, and (v) 2,175,089 shares of Common Stock held of record by Caris Investment III Ltd. Caris Investment Management, LLC is the general partner of each of Caris Halbert, L.P., Caris Investment II Ltd., and Caris Investment III Ltd. Two family trusts are separately the general partner of ADAPT I Ltd. and the managing general partner of Carisome I, L.P., respectively.

David D. Halbert is the managing member of Caris Investment Management, LLC and the trustee of each of the two family trusts, and in such capacities, has voting and investment power with respect to the shares held of record by each of the foregoing entities. Mr. Halbert disclaims beneficial ownership except to the extent of his pecuniary interest therein.

Founder, Chairman, and Chief Executive Officer

/s/ J. Russel Denton, Attorney-in-Fact for David D Halbert


Common Stock

Common Stock

The restricted stock unit represents a contingent right to receive one share of the issuer's common stock.

The securities reported herein are held by Securus Risk Management LLC, which is an entity controlled by the reporting person. The reporting person disclaims beneficial ownership of these securities except to the extent of her 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.

Represent shares of common stock beneficially owned by the reporting person's spouse. The reporting person disclaims beneficial ownership of these securities except to the extent of her 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.

Represent shares of common stock beneficially owned by the reporting person's spouse through Bruce Lucas Irrevocable Grantor Retained Annuity Trust of 2014. The reporting person disclaims beneficial ownership of these securities except to the extent of her 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.

Represent shares of common stock beneficially owned by the reporting person's spouse through IIM Holdings II, LLC. The reporting person disclaims beneficial ownership of these securities except to the extent of her 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.

These restricted stock units vest in 24 equal monthly installments commencing on January 1, 2025 and ending on December 31, 2026, subject to the reporting person's continued employment or service through each applicable vesting date.

/s/ Jesse Schalk, Attorney-in-Fact for Shannon Lucas


Represents a weighted average sales price per share. These shares were sold in multiple transactions at prices ranging from $12.94 to $13.93. The Reporting Person has provided to the Issuer, and undertakes to provide to the staff of the Securities and Exchange Commission or any security holder of the Issuer, upon request, full information regarding the number of shares sold at each separate price within the range.

Represents a weighted average sales price per share. These shares were sold in multiple transactions at prices ranging from $13.94 to $13.99. The Reporting Person has provided to the Issuer, and undertakes to provide to the staff of the Securities and Exchange Commission or any security holder of the Issuer, upon request, full information regarding the number of shares sold at each separate price within the range.


Ordinary Shares

The reporting person was granted this restricted share unit award (RSU) pursuant to the 2025 Non-Employee Director Compensation Policy. The RSU vests as to 100% of the shares on the earlier of the Company's 2026 annual general meeting or August 11, 2026.

The reporting person was granted this option pursuant to the 2025 Non-Employee Director Compensation Policy. The option vests as to 100% of the shares on the earlier of the Company's 2026 annual general meeting or August 11, 2026.


Ordinary Shares

The reporting person was granted this restricted share unit award (RSU) pursuant to the 2025 Non-Employee Director Compensation Policy. The RSU vests as to 50% on each of (i) the earlier of the Company's 2026 annual general meeting or August 11, 2026; and (ii) the earlier of the Company's 2027 annual general meeting or August 11, 2027.

The reporting person was granted this option pursuant to the 2025 Non-Employee Director Compensation Policy. The option vests as to 12.5% on a quarterly basis beginning August 11, 2025, through the two-year period following the grant date.


TAKANASHI KEN

C/O SHIN NIPPON BIOMEDICAL LABORATORIES,

Ordinary Shares


Ordinary Shares


Ordinary Shares

The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 24, 2024.

The price reflected is the weighted-average sale price for shares sold. The shares were sold in multiple transactions and the range of sale prices for the transactions reported was $8.45 to $9.03 per share. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price.

The reporting person was granted this option pursuant to the 2025 Non-Employee Director Compensation Policy. The option vests as to 100% of the shares on the earlier of the Company's 2026 annual general meeting or August 11, 2026


CLASS A COMMON STOCK

This stock option previously vested in accordance with the terms of the applicable vesting schedule.

The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $58.16 to $58.93, inclusive. The reporting person undertakes to provide to Red Rock Resorts, Inc., any security holder of Red Rock Resorts, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this Footnote 2.


This statement is jointly filed by Bank of America Corporation and Merrill Lynch, Pierce, Fenner & Smith Incorporated ("Merrill Lynch") (collectively, the "Reporting Persons"). Bank of America Corporation holds an indirect interest in the securities listed in this Report by virtue of its 100% ownership of its subsidiary Merrill Lynch. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Securities Exchange Act of 1934 (the "Exchange Act"), or for any other purpose.

Each Reporting Person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) of the Exchange Act or any other purpose, (i) acting (or has agreed or is agreeing to act together with any other person) as a partnership, limited partnership, syndicate or other group for the purpose of acquiring, holding or disposing of securities of the Issuer or otherwise with respect to the Issuer or any securities of the Issuer or (ii) a member of any group with respect to the Issuer or any securities of the Issuer.

Without conceding its status as a greater than 10% beneficial owner or that the reported transactions are subject to disclosure under Section 16(a) of the Exchange Act or shortswing profit recovery under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that the Reporting Persons were greater than 10% beneficial owners and the transactions were subject to Section 16(b) will be remitted to the Issuer.


The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $13.0100 to $13.0300, inclusive.

The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in footnote (1) to this Form 4.


These shares were purchased in multiple transactions at prices ranging from $1.29 to $1.44, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.


These shares were purchased in multiple transactions at prices ranging from $1.30 to $1.40, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.


The sales were effected pursuant to the Reporting Person's Rule 10b5-1 trading plan.

Any changes between direct and indirect holdings through the Thomas and Catharine Wilder Family Trust dated March 31, 2006 are in transactions exempt from Section 16 pursuant to Rule 16a-13 under the Securities Exchange Act of 1934 as mere changes in form of beneficial ownership.

A portion of these shares is subject to vesting.

Shares are held by the Thomas and Catharine Wilder Family Trust dated March 31, 2006.

/s/ Johanna Roberts, as attorney-in-fact for Thomas C. Wilder


This transaction was executed in multiple trades at prices ranging from $236.83 to $237.40. The price reported above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide to the SEC staff, the Issuer or a security holder of the Issuer, upon request, full information regarding the number of shares and prices at which the transaction was effected.

This transaction was executed in multiple trades at prices ranging from $237.90 to $238.82. The price reported above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide to the SEC staff, the Issuer or a security holder of the Issuer, upon request, full information regarding the number of shares and prices at which the transaction was effected.

This transaction was executed in multiple trades at prices ranging from $238.83 to $239.79. The price reported above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide to the SEC staff, the Issuer or a security holder of the Issuer, upon request, full information regarding the number of shares and prices at which the transaction was effected.

This transaction was executed in multiple trades at prices ranging from $239.85 to $240.78. The price reported above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide to the SEC staff, the Issuer or a security holder of the Issuer, upon request, full information regarding the number of shares and prices at which the transaction was effected.


The reported transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 20, 2025.

Represents weighted average sales price. The shares were sold at prices ranging from $180.320 to $181.310. The Reporting Person will provide upon request, to the Securities and Exchange Commission (the "SEC"), the Issuer or security holder of the Issuer, full information regarding the number of shares sold at each separate price.

Represents weighted average sales price. The shares were sold at prices ranging from $181.320 to $182.310. The Reporting Person will provide upon request, to the SEC, the Issuer or security holder of the Issuer, full information regarding the number of shares sold at each separate price.

Represents weighted average sales price. The shares were sold at prices ranging from $182.320 to $183.315. The Reporting Person will provide upon request, to the SEC, the Issuer or security holder of the Issuer, full information regarding the number of shares sold at each separate price.

Represents weighted average sales price. The shares were sold at prices ranging from $183.320 to $183.800. The Reporting Person will provide upon request, to the SEC, the Issuer or security holder of the Issuer, full information regarding the number of shares sold at each separate price.

Represents weighted average sales price. The shares were sold at prices ranging from $179.500 to $180.490. The Reporting Person will provide upon request, to the SEC, the Issuer or security holder of the Issuer, full information regarding the number of shares sold at each separate price.

Represents weighted average sales price. The shares were sold at prices ranging from $180.500 to $181.490. The Reporting Person will provide upon request, to the SEC, the Issuer or security holder of the Issuer, full information regarding the number of shares sold at each separate price.

Represents weighted average sales price. The shares were sold at prices ranging from $181.500 to $182.490. The Reporting Person will provide upon request, to the SEC, the Issuer or security holder of the Issuer, full information regarding the number of shares sold at each separate price.

Represents weighted average sales price. The shares were sold at prices ranging from $182.500 to $183.330. The Reporting Person will provide upon request, to the SEC, the Issuer or security holder of the Issuer, full information regarding the number of shares sold at each separate price.

Represents weighted average sales price. The shares were sold at prices ranging from $179.420 to $180.410. The Reporting Person will provide upon request, to the SEC, the Issuer or security holder of the Issuer, full information regarding the number of shares sold at each separate price.

Represents weighted average sales price. The shares were sold at prices ranging from $180.420 to $181.410. The Reporting Person will provide upon request, to the SEC, the Issuer or security holder of the Issuer, full information regarding the number of shares sold at each separate price.

Represents weighted average sales price. The shares were sold at prices ranging from $181.420 to $182.400. The Reporting Person will provide upon request, to the SEC, the Issuer or security holder of the Issuer, full information regarding the number of shares sold at each separate price.

Represents weighted average sales price. The shares were sold at prices ranging from $182.460 to $183.450. The Reporting Person will provide upon request, to the SEC, the Issuer or security holder of the Issuer, full information regarding the number of shares sold at each separate price.

Represents weighted average sales price. The shares were sold at prices ranging from $183.460 to $183.905. The Reporting Person will provide upon request, to the SEC, the Issuer or security holder of the Issuer, full information regarding the number of shares sold at each separate price.

The shares are held by Jen-Hsun Huang and Lori Huang, as co-trustees of the Jen-Hsun & Lori Huang Living Trust, u/a/d May 1, 1995 (the "Trust").

The shares are held by J. and L. Huang Investments, L.P., of which the Trust is the general partner.

The shares are held by The Huang 2012 Irrevocable Trust, of which the Reporting Person is a trustee.

The shares are held by The Huang Irrevocable Remainder Trust u/a/d February 19, 2016, of which the Reporting Person is a trustee.

The shares are held by The Lori Lynn Huang 2016 Annuity Trust II Agreement.

The shares are held by The Jen-Hsun Huang 2016 Annuity Trust II Agreement.

The shares are held by TARG S LLC, of which the Trust is the sole member.

The shares are held by TARG M LLC, of which the Trust is the sole member.

/s/ Rebecca Peters, Attorney-in-Fact for Jen-Hsun Huang


This statement is jointly filed by Bank of America Corporation and Merrill Lynch, Pierce, Fenner & Smith Incorporated ("Merrill Lynch") (collectively, the "Reporting Persons"). Bank of America Corporation holds an indirect interest in the securities listed in this Report by virtue of its 100% ownership of its subsidiary Merrill Lynch. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Securities Exchange Act of 1934 (the "Exchange Act"), or for any other purpose.

Each Reporting Person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section13(d) of the Exchange Act or any other purpose, (i) acting (or has agreed or is agreeing to act together with any other person) as a partnership, limited partnership, syndicate or other group for the purpose of acquiring, holding or disposing of securities of the Issuer or otherwise with respect to the Issuer or any securities of the Issuer or (ii) a member of any group with respect to the Issuer or any securities of the Issuer.

Without conceding its status as a greater than 10% beneficial owner or that the reported transactions are subject to disclosure under Section 16(a) of the Exchange Act or short-swing profit recovery under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that the Reporting Persons were greater than 10% beneficial owners and the transactions were subject to Section 16(b) has been or will be remitted to the Issuer.


Shares issued under the Capital Southwest 2021 Non-Employee Director Restricted Stock Award Plan


Common Stock

Common Stock

The option vests in three equal annual installments, beginning August 11, 2026.

Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock, or the cash value thereof as set forth in the award agreement, in the discretion of the Issuer's Compensation, Nominating & Corporate Governance Committee.

The restricted stock units will vest in three equal installments on each of December 29, 2025, June 29, 2026 and December 29, 2026.


Common Stock


Common Stock

Common Stock


This "Exit" Form 4 is voluntarily filed to report that the Reporting Person is no longer serving in the role as the Company's director, effective as of July 27, 2025, and therefore is no longer subject to Section 16 reporting.


Common Stock

Common Stock

The restricted stock units will vest in three approximately equal installments on each of December 29, 2025, June 29, 2026 and December 29, 2026.


Common Stock

The options vest in three equal annual installments, beginning on August 11, 2026.


Srivastava Sajal

C/O TRIPLEPOINT VENTURE GROWTH BDC CORP.

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 or any of the reported shares for purposes of Section 16 or for any other purpose.

Includes shares of common stock received pursuant to TPVG's dividend reinvestment plan.


Powelson Robert F

C/O CAPSTONE GREEN ENERGY HOLDINGS, INC.

Represents shares of voting common stock underlying restricted stock units that fully vest one year from the date of grant, subject to continued service with the Issuer.

Includes 12,658 shares of voting common stock underlying restricted stock units that fully vest on February 12, 2026.


Represents the number of shares of Class A Common Stock which were donated to a charity by the Reporting Person on August 11, 2025.

Includes 426,312 restricted units granted under an equity incentive plan of Ares Management Corporation. Each restricted unit represents the right to receive one share of Class A Common Stock upon vesting.  The restricted units vest in installments in accordance with the applicable restricted unit award agreement.

/s/ Anton Feingold, by power of attorney


Represents the number of shares of Class A Common Stock previously held by Ares Owners Holdings L.P. ("AOH") on behalf of the reporting person or a vehicle controlled by him, which were gifted on August 12, 2025 to a charitable foundation of which the reporting person is a trustee.

The reporting person or a vehicle controlled by him is a limited partner in AOH, the direct holder of the shares of Class A Common Stock. The shares of Class A Common Stock indirectly held by the reporting person or the vehicle are the number of shares of Class A Common Stock that he or the vehicle has a right to receive as a limited partner in AOH.


Granted under the Issuer's 2017 Omnibus Incentive Plan and vests 100% on the day before the 2026 Annual Meeting of Stockholders of the Issuer.