David James Wu - Oct 20, 2020 Form 4/A - Amendment Insider Report for Eargo, Inc. (EAR)

Role: Director
Signature: /s/ David James Wu
Stock symbol: EAR
Transactions as of: Oct 20, 2020
Transactions value $: $1,999,998
Form type: 4/A - Amendment
Date filed: 8/12/2022, 03:38 PM
Date Of Original Report: Oct 22, 2020
Next filing: Aug 15, 2022

Transactions Table

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Ownership	Footnotes
transaction	EAR	Common Stock	Conversion of derivative security		+1.44M	+48022.47%		1.44M	Oct 20, 2020	See Footnote	F1, F2, F3, F4, F5, F6, F7
transaction	EAR	Common Stock	Purchase	$2M	+111K	+7.71%	$18.00^*	1.55M	Oct 20, 2020	See Footnote	F8

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Underlying Class	Amount	Exercise Price	Ownership	Footnotes
transaction	EAR	Series A Preferred Stock	Conversion of derivative security	$0	-135K	-100%	$0.00^*	0	Oct 20, 2020	Common Stock	265K		See Footnote	F1, F9
transaction	EAR	Series B-1 Preferred Stock	Conversion of derivative security	$0	-183K	-100%	$0.00^*	0	Oct 20, 2020	Common Stock	622K		See Footnote	F2, F10
transaction	EAR	Series C Preferred Stock	Conversion of derivative security	$0	-55.4K	-100%	$0.00^*	0	Oct 20, 2020	Common Stock	62K		See Footnote	F3, F11
transaction	EAR	Series C-1 Preferred Stock	Conversion of derivative security	$0	-445K	-100%	$0.00^*	0	Oct 20, 2020	Common Stock	462K		See Footnote	F4, F12
transaction	EAR	Series D Preferred Stock	Conversion of derivative security	$0	-18.7K	-100%	$0.00^*	0	Oct 20, 2020	Common Stock	23.3K		See Footnote	F5, F13
transaction	EAR	Series E Preferred Stock	Conversion of derivative security	$0	-4.16K	-100%	$0.00^*	0	Oct 20, 2020	Common Stock	4.16K		See Footnote	F6, F14

* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id	Content
F1	The Series A Preferred Stock automatically converted into shares of Common Stock on a 1:1.959283637 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date.
F2	The Series B-1 Preferred Stock automatically converted into shares of Common Stock on a 1:3.400930233 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date.
F3	The Series C Preferred Stock automatically converted into shares of Common Stock on a 1:1.118772093 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date.
F4	The Series C-1 Preferred Stock automatically converted into shares of Common Stock on a 1:1.037033844 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date.
F5	The Series D Preferred Stock automatically converted into shares of Common Stock on a 1:1.246748888 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date.
F6	The Series E Preferred Stock automatically converted into shares of Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date.
F7	Consists of 9,068 shares held by Maveron Equity Partners IV, L.P. ("MEP IV"), 989,347 shares held by Maveron Equity Partners V, L.P. ("MEP V"), 294 shares held by Maveron IV Entrepreneurs' Fund, L.P. ("Entrepreneurs Fund IV"), 122,787 shares held by Maveron V Entrepreneurs' Fund, L.P. ("Entrepreneurs Fund V"), 758 shares held by MEP Associates IV, L.P. ("Associates Fund IV") and 319,014 shares held by MEP Associates V, L.P. ("Associates Fund V"). The Reporting Person is a partner at Maveron LLC, which is affiliated with MEP IV, MEP V, Entrepreneurs Fund IV, Entrepreneurs Fund V, Associates Fund IV and Associates Fund V, and disclaims beneficial ownership of all applicable shares except to the extent of his actual pecuniary interest in such shares.
F8	Consists of 9,068 shares held by MEP IV, 1,059,614 shares held MEP V, 294 shares held by Entrepreneurs Fund IV, 131,398 shares held by Entrepreneurs Fund V, 758 shares held by Associates Fund IV and 352,247 shares held by Associates Fund V. The Reporting Person is a partner at Maveron LLC, which is affiliated with MEP IV, MEP V, Entrepreneurs Fund IV, Entrepreneurs Fund V, Associates Fund IV and Associates Fund V, and disclaims beneficial ownership of all applicable shares except to the extent of his actual pecuniary interest in such shares.
F9	Consists of 4,628 shares held by MEP IV, 89,154 shares held by MEP V, 150 shares held by Entrepreneurs Fund IV, 11,068 shares held by Entrepreneurs Fund V, 387 shares held by Associates Fund IV, and 29,987 shares held by Associates Fund V. The Reporting Person is a partner at Maveron LLC, which is affiliated with MEP IV, MEP V, Entrepreneurs Fund IV and Associates Fund IV, and disclaims beneficial ownership of all applicable shares except to the extent of his actual pecuniary interest in such shares.
F10	Consists of 125,233 shares held by MEP V, 15,546 shares held by Entrepreneurs Fund V, and 42,122 shares held by Associates Fund V. The Reporting Person is a partner at Maveron LLC, which is affiliated with MEP V, Entrepreneurs Fund V and Associates Fund V, and disclaims beneficial ownership of all applicable shares except to the extent of his actual pecuniary interest in such shares.
F11	Consists of 45,286 shares held by MEP V, 5,598 shares held by Entrepreneurs Fund V, and 4,544 shares held by Associates Fund V. The Reporting Person is a partner at Maveron LLC, which is affiliated with MEP V, Entrepreneurs Fund V and Associates Fund V, and disclaims beneficial ownership of all applicable shares except to the extent of his actual pecuniary interest in such shares.
F12	Consists of 304,723 shares held by MEP V, 37,829 shares held by Entrepreneurs Fund V, and 102,494 shares held by Associates Fund V. The Reporting Person is a partner at Maveron LLC, which is affiliated with MEP V, Entrepreneurs Fund V and Associates Fund V, and disclaims beneficial ownership of all applicable shares except to the extent of his actual pecuniary interest in such shares.
F13	Consists of 13,635 shares held by MEP V, 1,692 shares held by Entrepreneurs Fund V, and 3,364 shares held by Associates Fund V. The Reporting Person is a partner at Maveron LLC, which is affiliated with MEP V, Entrepreneurs Fund V and Associates Fund V, and disclaims beneficial ownership of all applicable shares except to the extent of his actual pecuniary interest in such shares.
F14	Consists of 3,038 shares held by MEP V, 377 shares held by Entrepreneurs Fund V, and 749 shares held by Associates Fund V. The Reporting Person is a partner at Maveron LLC, which is affiliated with MEP V, Entrepreneurs Fund V and Associates Fund V, and disclaims beneficial ownership of all applicable shares except to the extent of his actual pecuniary interest in such shares.