| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | AVR | Common Stock | Award | +20,334 | 20,334 | 16 Dec 2024 | Direct | F1 |
| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Underlying Class | Amount | Exercise Price | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | AVR | Stock Option | Award | $0 | +14,358 | $0.000000 | 14,358 | 16 Dec 2024 | Common Stock | 14,358 | $23.56 | Direct | F2, F3, F4 | |
| transaction | AVR | Stock Option | Award | $0 | +31,890 | $0.000000 | 31,890 | 16 Dec 2024 | Common Stock | 31,890 | $3.76 | Direct | F2, F3, F5 | |
| transaction | AVR | Stock Option | Award | $0 | +233,000 | $0.000000 | 233,000 | 16 Dec 2024 | Common Stock | 233,000 | $7.13 | Direct | F2, F3, F6 | |
| transaction | AVR | Stock Option | Award | $0 | +41,222 | $0.000000 | 41,222 | 16 Dec 2024 | Common Stock | 41,222 | $6.04 | Direct | F2, F3, F7 | |
| transaction | AVR | Stock Option | Award | $0 | +258,778 | $0.000000 | 258,778 | 16 Dec 2024 | Common Stock | 258,778 | $8.25 | Direct | F2, F3, F8 | |
| transaction | AVR | Stock Option | Award | $0 | +700,000 | $0.000000 | 700,000 | 16 Dec 2024 | Common Stock | 700,000 | $15.28 | Direct | F2, F3, F9 | |
| transaction | AVR | Stock Option | Award | $0 | +300,000 | $0.000000 | 300,000 | 16 Dec 2024 | Common Stock | 300,000 | $14.64 | Direct | F2, F3, F10 | |
| transaction | AVR | Option | Award | $0 | +4,167 | $0.000000 | 4,167 | 16 Dec 2024 | Common Stock | 4,167 | $18.46 | Direct | F2, F3, F11, F12 |
| Id | Content |
|---|---|
| F1 | Received in exchange for an equivalent number of ordinary shares of Anteris Technologies Ltd ("ATL") in connection with a series of reorganization transactions pursuant to which the Issuer received all of the issued and outstanding shares of ATL pursuant to a scheme of arrangement (the "Scheme") under Australian law between ATL and its shareholders under Part 5.1 of the Australian Corporations Act 2001 (Cth) (the "Corporations Act"). On December 16, 2024, the effective date of the Scheme and the closing of the Issuer's U.S. initial public offering (the "Effective Date"), the closing price of the Issuer's common stock was $5.50 per share. |
| F2 | Options are issued in AUD. Exercise prices have been translated into USD using the December 15, 2024 exchange rate, which was approximately A$1.00 to $0.64. |
| F3 | Legacy awards originally issued by ATL that were assumed by the Issuer pursuant to a scheme of arrangement between ATL and its optionholders under Part 5.1 of the Corporations Act, effective on the Effective Date. |
| F4 | The option vested in three equal annual installments beginning on December 31, 2018. |
| F5 | The option vested in three equal annual installments beginning on December 31, 2019. |
| F6 | The option vested in two equal installments on February 8, 2022 and June 24, 2022. |
| F7 | The option vests in three equal annual installments beginning on December 31, 2022, subject to the Reporting Person's continued service. |
| F8 | The option vests in three equal annual installments beginning on December 31, 2022, subject to the Reporting Person's continued service. |
| F9 | The option vests in three equal annual installments beginning on September 15, 2024, subject to the Reporting Person's continued service. |
| F10 | The option vests in three equal annual installments beginning on June 19, 2025, subject to the Reporting Person's continued service. |
| F11 | The non-incentive plan option is vested and may be exercised until May 31, 2025. |
| F12 | The options were issued on May 31, 2023 as free-attaching options relating to a share placement which occurred on February 15, 2023. |