SEC Filing | Eiger BioPharmaceuticals

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

SOLE VOTING POWER

0

SHARED VOTING POWER

6,788,350

SOLE DISPOSITIVE POWER

0

SHARED DISPOSITIVE POWER

7,048,834

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SC 13D

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

SCHEDULE 13D

Under the Securities Exchange Act of 1934

Eiger BioPharmaceuticals, Inc.

(Name of Issuer)

Common Stock

(Title of Class of Securities)

28249U105

(CUSIP Number)

Columbia Management Investment Advisers

Attn: Matthew Rich

290 Congress Street

Boston, MA 02210

Tel: (617) 385-9572

(Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications)

December 27, 2021

(Date of Event which Requires Filing of this Statement)

If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of 240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box ☒.

Note: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See 240.13d-7(b) for other parties to whom copies are to be sent.

*The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page.

The information required on the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).

SCHEDULE 13D

CUSIP No. 28249U105


1		NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Ameriprise Financial, Inc. IRS No. 13-3180631
2		CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) ☐ (b) ☒* *This filing describes the reporting person’s relationship with other persons, but the reporting person does not affirm the existence of a group.
3		SEC USE ONLY
4		SOURCE OF FUNDS (See Instructions) OO
5		CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(D) OR 2(E) ☐
6		CITIZENSHIP OR PLACE OF ORGANIZATION Delaware

Page 2

SCHEDULE 13D

CUSIP No. 28249U105


1		NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Columbia Management Investment Advisers, LLC IRS No. 41-1533211
2		CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) ☐ (b) ☒* *This filing describes the reporting person’s relationship with other persons, but the reporting person does not affirm the existence of a group.
3		SEC USE ONLY
4		SOURCE OF FUNDS (See Instructions) OO
5		CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(D) OR 2(E) ☐
6		CITIZENSHIP OR PLACE OF ORGANIZATION Minnesota

Page 3

SCHEDULE 13D

CUSIP No. 28249U105


1		NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Seligman Tech Spectrum Offshore Fund
2		CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) ☐ (b) ☒* *This filing describes the reporting person’s relationship with other persons, but the reporting person does not affirm the existence of a group.
3		SEC USE ONLY
4		SOURCE OF FUNDS (See Instructions) WC
5		CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(D) OR 2(E) ☐
6		CITIZENSHIP OR PLACE OF ORGANIZATION Cayman Islands

Page 4

SCHEDULE 13D

CUSIP No. 28249U105


1		NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Columbia Seligman Technology and Information Fund IRS No. 13-3154449
2		CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) ☐ (b) ☒* *This filing describes the reporting person’s relationship with other persons, but the reporting person does not affirm the existence of a group.
3		SEC USE ONLY
4		SOURCE OF FUNDS (See Instructions) WC
5		CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(D) OR 2(E) ☐
6		CITIZENSHIP OR PLACE OF ORGANIZATION Massachusetts

Page 5

Item 1. Security and Issuer

This statement on schedule 13D (this “statement”) relates to the shares of common stock, $0.001 par value share (“common stock”), of Eiger Biopharmaceuticals, Inc., a Delaware corporation (the “Issuer”). The principal executive offices of the Issuer are located at 2155 Park Boulevard, Palo Alto, CA 94306.

Item 2. Identity and Background

(a)

This statement is being filed jointly by the following (each a “Reporting Person” and collectively, the “Reporting Persons”): (1) Ameriprise Financial, Inc., a Delaware corporation (“AFI”), (2) Columbia Management Investment Advisers, LLC, a Minnesota limited liability company (“CMIA”), (3) Seligman Tech Spectrum Offshore Fund, an exempted company incorporated in the Cayman Islands (“Offshore Fund”) and (4) Columbia Seligman Technology and Information Fund, a series of Columbia Funds Series Trust II, a Massachusetts business trust (“Tech Fund” and, with AFI, CMIA, and the Offshore Fund, the “Reporting Persons”). The agreement among the Reporting Persons relating to the joint filing of this statement is attached as Exhibit 99.1 hereto.

(b)

The business address for AFI is 145 Ameriprise Financial Center, Minneapolis, MN 55474. The business address for CMIA and the Tech Fund is 290 Congress St, Boston, MA 02010. The business address for the Offshore Fund is P.O. Box 309, Ugland House, Grand Cayman KY1-1104, Cayman Islands.

The name and principal occupation of each director and executive officer of AFI, CMIA and the Tech Fund are set forth on Schedule A. The name and principal occupation of each director of the Offshore Fund are also set forth on Schedule A. The Offshore Fund does not have any officers. All persons listed on Schedule A are, collectively, the “Control Persons” of the Reporting Persons.

(c)

The principal business of the Offshore Fund is serving as a private investment fund formed for the goal of seeking absolute returns through a combination of investments, predominantly in the technology market. The principal business of Tech Fund is serving as a registered investment company which seeks to provide shareholders with capital gain. The principal business of CMIA is acting as investment adviser to various investment funds and accounts, including the Offshore Fund and the Tech Fund. AFI is a financial services firm that serves as the sole owner and parent company of CMIA.

(d)

None of the Reporting Persons or Control Persons have, during the last five years, been convicted in a criminal proceeding (excluding traffic violations or similar misdemeanors)

(e)

None of the Reporting Persons or Control Persons have, during the last five years, been a party to a civil proceeding of a judicial or administrative body of competent jurisdiction and as a result of such proceeding was or is subject to a judgment, decree or final order enjoining future violations of, or prohibiting or mandating activities subject to, federal or state securities laws or finding any violation with respect to such laws.

(f)

AFI is a Delaware corporation. CMIA is a Minnesota limited liability company. The Offshore Fund is an exempted company incorporated in the Cayman Islands. The Tech Fund is a series of Columbia Funds Series Trust II, a Massachusetts business trust. Each director and executive officer of AFI, CMIA, Offshore Fund and Tech Fund is a United States citizen, except as otherwise listed in Schedule A.

Page 6

Item 3. Source and Amount of Funds or Other Considerations

The shares of common stock purchased by the Offshore Fund and the Tech Fund were purchased with working capital in open market purchases. The aggregate purchase cost of the 1,791,045 shares of common stock beneficially owned by the Offshore Fund and the 2,319,150 shares of common stock beneficially owned by the Tech Fund are approximately $15,222,124.17 and $22,148,236.33 respectively, excluding brokerage commissions.

Item 4. Purpose of Transaction

The Offshore Fund and the Tech Fund each acquired the shares of Common Stock beneficially owned by it for investment purposes. The Offshore Fund and the Tech Fund expect to continually monitor and re-evaluate its investments in the shares of Common Stock, and each retains the right to acquire additional securities of the Issuer, to dispose of such securities of the Issuer at any time, or to formulate other purposes, plans or proposals regarding the Issuer or the securities of the Issuer, to the extent deemed advisable in light of their general investment polices, market conditions or other factors.

Notwithstanding the foregoing, no Reporting Person has any present plan or proposal which would relate to or result in any matters set forth in subparagraphs (a)—(j) of Item 4 of Schedule 13D.

Item 5. Interest in Securities of the Issuer

(a-b)

As of January 19, 2022, Offshore Fund beneficially owned 1,791,045 shares of common stock and Tech Fund beneficially owned 2,319,150 shares of common stock, which constitutes approximately 5.27% and 6.83% respectively of the common stock outstanding.¹

CMIA does not directly own any shares of Common Stock of the Issuer. As the investment adviser of the Offshore Fund, the Tech Fund and various other unregistered and registered investment companies and other managed accounts, CMIA may be deemed to beneficially own 7,046,784 shares of Common Stock held by the Offshore Fund, the Tech Fund and other clients of CMIA, which constitutes approximately 20.74% of the shares of Common Stock outstanding.

As the sole owner and parent company of CMIA and other entities, AFI may be deemed to beneficially own 7,048,834 shares of Common Stock, which constitutes approximately 20.75% of the shares of Common Stock outstanding.

To the knowledge of the Reporting Persons, as of January 19, 2022, no AFI or CMIA clients other than those listed above beneficially owned more than 5% of the shares of Common Stock outstanding.

Except as set forth in this Item 5(a-b), none of the Reporting Persons beneficially owns any shares of Common Stock.

¹	All calculations are based upon 33,975,800 shares of common stock outstanding, as reported by the Issuer’s November 1, 2021 Form 10-Q quarterly report, as filed on November 4, 2021.

Page 7

(c)	Schedule B annexed hereto lists all transactions in the shares of Common Stock during the past 60 days by the Reporting Persons.

(d)	To the knowledge of the Reporting Persons, no persons other than those listed in Item 5(a-b) have the right to receive or the power to direct the receipt of dividends from, or the proceeds from the sale of, the securities of the Issuer reported herein.

(e)	Not Applicable

Item 6. Contracts, Arrangements, Understandings or Relationships with Respect to Securities of the Issuer

The responses set forth in Items 3, 4 and 5 of this Statement are incorporated herein by reference.

Other than as described herein, to the knowledge of the Reporting Persons, there are no contracts, arrangements, understandings or relationships (legal or otherwise), including, but not limited to, transfer or voting of any of the securities, finder’s fees, joint ventures, loan or option arrangements, puts or calls, guarantees of profits, division of profits or losses, or the giving or withholding of proxies, between the Reporting Persons, and any other person, with respect to any securities of the Issuer.

Item 7. Material to Be Filed as Exhibits

Exhibit I Joint Filing Agreement, dated January 21, 2022 by and among AFI, CMIA, the Offshore Fund and the Tech Fund.

Signature

After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.

Dated: January 21, 2022


Ameriprise Financial, Inc.

By:		/s/ Michael G. Clarke
Name: Michael G. Clarke
Title: Vice President, Co-Head of Global Operations


Columbia Management Investment
Advisers, LLC

By:		/s/ Michael G. Clarke
Name: Michael G. Clarke
Title: Vice President, Co-Head of Global Operations

Seligman Tech Spectrum Offshore Fund

By:		/s/ David Litton
Name: David Litton
Title: Director

Columbia Seligman Technology and Information Fund

By:		/s/ Michael G. Clarke
Name: Michael G. Clarke
Title: Chief Financial Officer and Principal Financial Officer

Contact Information
Mark D. Braley
Vice President
Head of Reporting and Data Management \| Global Operations and Investor Services
Telephone: (617) 747-0663

EX-99.I

Exhibit I

Schedule 13D

Joint Filing Agreement

The undersigned persons agree and consent to the joint filing on their behalf of this Schedule 13D dated January 21, 2022 in connection with their beneficial ownership of Eiger BioPharmaceuticals, Inc. Each of Columbia Seligman Technology and Information Fund, Seligman Tech Spectrum Offshore Fund, and Columbia Management Investment Advisers, LLC authorizes Ameriprise Financial, Inc. to execute the Schedule 13D to which this Exhibit is attached and make any necessary amendments thereto.


Ameriprise Financial, Inc.

By:		/s/ Michael G. Clarke
Name: Michael G. Clarke
Title: Vice President, Co-Head of Global Operations

Columbia Management Investment Advisers, LLC

By:		/s/ Michael G. Clarke
Name: Michael G. Clarke
Title: Vice President, Co-Head of Global Operations

Seligman Tech Spectrum Offshore Fund

By:		/s/ David Litton
Name: David Litton
Title: Director

Columbia Seligman Technology and Information Fund

By:		/s/ Michael G. Clarke
Name: Michael G. Clarke
Title: Chief Financial Officer and Principal Financial Officer

Schedule A

DIRECTORS AND EXECUTIVE OFFICERS OF

SELIGMAN TECH SPECTRUM OFFSHORE FUND


NAME AND POSITION	PRINCIPAL OCCUPATION	CITIZENSHIP
Arthur Condron – Director	Managing Director - Hedge Fund Marketing and Investor Relations	United States

John Banks – Director	Corporate Director	Isle of Man

Grant Jackson – Director	Director – Global Funds Management Ltd.	Cayman Islands

David Litton – Director	Managing Director of Devonshire Corporate Services	Isle of Man

DIRECTORS AND EXECUTIVE OFFICERS OF

COLUMBIA SELIGMAN TECHNOLOGY AND INFORMATION FUND


NAME AND POSITION		PRINCIPAL OCCUPATION
George S. Batejan - Trustee		Retired

Kathleen Blatz - Trustee		Retired

Pamela G. Carlton - Trustee		President of Springboard - Partners in Cross Cultural Leadership

Janet Langford Carrig - Trustee		Retired

J. Kevin Connaughton - Trustee		Member of FINRA National Adjudicatory Council

Olive M. Darragh - Trustee		Managing Director of Darragh Inc.

Patricia M. Flynn - Trustee		Trustee Professor of Economics and Management of Bentley University

Brian J. Gallagher - Trustee		Retired

Douglas A. Hacker - Co-Chair and Trustee		Independent business executive

Nancy T. Lukitsh - Trustee		Retired

David M. Moffett - Trustee		Retired

Page 2


Catherine James Paglia - Co-Chair and Trustee		Director of Enterprise Asset Management, Inc

Minor M. Shaw - Trustee		President of Micco LLC

Natalie A. Trunow - Trustee		Chief Executive Officer of Millennial Portfolio Solutions LLC

Sandra Yeager - Trustee		Retired

Daniel J. Beckman – President and Trustee		Vice President – Head of North America Product of Columbia Management Investment Advisers, LLC

Michael G. Clarke - Chief Financial Officer and Principal Financial Officer (Principal Accounting Officer)		Vice President, Head of North American Operations, and Co-Head of Global Operations of Columbia Management Investment Advisers, LLC

Joseph Beranek - Treasurer and Chief Accounting Officer		Vice President – Mutual Fund Accounting and Financial Reporting of Columbia Management Investment Advisers, LLC

Marybeth Pilat - Treasurer and Chief Accounting Officer (Principal Accounting Officer) and Principal Financial Officer		Vice President – Product Pricing and Administration of Columbia Management Investment Advisers, LLC

William F. Truscott—Senior Vice President		Chief Executive Officer, Global Asset Management of Ameriprise Financial, Inc. and Chairman of the Board and President of Columbia Management Investment Advisers, LLC

Christopher O. Petersen - Senior Vice President and Assistant Secretary		Senior Vice President and Assistant General Counsel of Ameriprise Financial, Inc.

Thomas P. McGuire - Senior Vice President and Chief Compliance Officer		Vice President – Asset Management Compliance of Ameriprise Financial, Inc. and Chief Compliance Officer of Columbia Acorn/Wanger Funds

Ryan C. Larrenaga - Senior Vice President, Chief Legal Officer and Secretary		Vice President and Chief Counsel of Ameriprise Financial, Inc., Chief Legal Officer of Columbia Acorn/Wanger Funds and officer of Columbia Funds and affiliated funds

Page 3


Michael E. DeFao - Vice President and Assistant Secretary		Vice President and Chief Counsel of Ameriprise Financial, Inc. and Vice President, Chief Legal Officer and Assistant Secretary of Columbia Management Investment Advisers, LLC

Lyn Kephart-Strong - Vice President		President of Columbia Management Investment Services Corp. and Vice President & Resolution Officer of Ameriprise Trust Company

DIRECTORS AND EXECUTIVE OFFICERS OF

COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC


NAME AND POSITION		PRINCIPAL OCCUPATION
Michael G. Clarke - Vice President, Head of North American Operations and Co-Head of Global Operations		Vice President, Head of North American Operations and Co-Head of Global Operations of Columbia Management Investment Advisers, LLC

Scott E. Couto - Director, Executive Vice President and Head of North America		Director, Executive Vice President and Head of North America of Columbia Management Investment Advisers, LLC

Michael E. DeFao - Vice President, Chief Legal Officer and Assistant Secretary		Head of North American and Asia Pacific Legal and of global institutional asset management and distribution at Columbia Threadneedle Investments

Brian M. Engelking - Director, Vice President and Chief Financial Officer		Global lead financial officer for Columbia Threadneedle Investments at Ameriprise Financial, Inc.

Lee A. Faria - Vice President and Chief Compliance Officer		Vice President and Chief Compliance Officer of Columbia Management Investment Advisers, LLC

Stephen J. Harasimowicz - Senior Vice President and Global Head of Trading		Senior Vice President and Global Head of Trading of Columbia Management Investment Advisers, LLC

William J. Landes, Ph. D. - Head of North America Institutional Sales and Global Head of Investment Solutions		Head of North America Institutional Sales and Global Head of Investment Solutions of Columbia Management Investment Advisers, LLC

Melda Mergen - Managing Director and Global Head of Equities		Managing Director and Global head of equities for Columbia Threadneedle Investments

Page 4


Gene R. Tannuzzo - Managing Director and Global Head of Fixed Income		Managing Director and Global Head of Fixed Income of Columbia Management Investment Advisers, LLC

William F. Truscott - President and Chairman of the Board		Chief Executive Officer—Global Asset Management of Ameriprise Financial, Inc. and Chairman of the Board and Chief Executive Officer of Columbia Management Investment Distributors

DIRECTORS AND EXECUTIVE OFFICERS OF AMERIPRISE FINANCIAL, INC.

NAME AND POSITION		PRINCIPAL OCCUPATION

James M. Cracchiolo - Chairman and Chief Executive Officer		Chairman and Chief Executive Officer of Ameriprise Financial, Inc.

Dianne Neal Blixt - Director		Former Executive Vice President and Chief Financial Officer of Reynolds American Inc.

Amy DiGeso - Director		Former Executive Vice President, Global Human Resources of The Esteé Lauder Companies Inc.

Lon R. Greenberg - Director		Chairman Emeritus and Former Chairman and Chief Executive Officer of UGI Corporation

Robert F. Sharpe, Jr. - Director		Former President of Commercial Foods and Chief Administrative Officer, ConAgra Foods, Inc.

Brian T. Shea - Director		Former Vice Chairman and Chief Executive Officer of Investment Services, BNY Mellon

W. Edward Walter III - Director		Global Chief Executive Officer and Director of Urban Land Institute

Christopher J. Williams - Director		Chairman of Siebert Williams and Shank & Co., LLC

Walter S. Berman - Executive Vice President and Chief Financial Officer		Executive Vice President and Chief Financial Officer of Ameriprise Financial, Inc.

John R. Hutt - Senior Vice President and Controller		Senior Vice President and Controller of Ameriprise Financial, Inc.

Page 5


Colin Moore - Executive Vice President, Global Chief Investment Officer		Executive Vice President, Global Chief Investment Officer of Ameriprise Financial, Inc.

Gerard P. Smyth - Executive Vice President and Chief Information Officer		Executive Vice President and Chief Information Officer of Ameriprise Financial, Inc.

Joseph E. Sweeney - President, Advice & Wealth Management Products and Service Delivery		President, Advice & Wealth Management Products and Service Delivery Ameriprise Financial, Inc.

William F. Truscott - Chief Executive Officer, Global Asset Management		Chief Executive Officer, Global Asset Management of Ameriprise Financial, Inc.

Karen Wilson Thissen - Executive Vice President and General Counsel		Executive Vice President and General Counsel of Ameriprise Financial, Inc.

John R. Woerner - President, Insurance & Annuities and Chief Strategy Officer		President, Insurance & Annuities and Chief Strategy Officer of Ameriprise Financial, Inc.

SCHEDULE B

TRANSACTIONS IN THE SHARES DURING THE PAST 60 DAYS


FOR THE ACCOUNT OF	SHARES OF COMMON PURCHASED/(SOLD)			PRICE PER SHARE (%U.S.)		DATE OF PURCHASE/SALE
Client 7		(1200	)		6.9586		11/22/2021
Client 1		3089			6.1953		12/02/2021
Offshore Fund		24906			6.1953		12/02/2021
Client 1		3411			6.0532		12/03/2021
Offshore Fund		27494			6.0532		12/03/2021
Client 3		(2400	)		5.5441		12/16/2021
Client 4		5922			5.4632		12/22/2021
Client 4		1437			5.465		12/22/2021
Client 4		1741			5.4702		12/22/2021
Client 5		26879			5.4632		12/22/2021
Client 5		6522			5.465		12/22/2021
Client 5		7899			5.4702		12/22/2021
Client 7		6964			5.4632		12/22/2021
Client 7		1690			5.465		12/22/2021
Client 7		2046			5.4702		12/22/2021
Tech Fund		142594			5.4632		12/22/2021
Tech Fund		34603			5.465		12/22/2021
Tech Fund		41903			5.4702		12/22/2021
Client 6		2018			5.4632		12/22/2021
Client 6		489			5.465		12/22/2021
Client 6		593			5.4702		12/22/2021
Client 1		1692			5.4632		12/22/2021
Client 1		411			5.465		12/22/2021
Client 1		497			5.4702		12/22/2021
Client 8		480			5.4265		12/22/2021
Client 2		5012			5.4632		12/22/2021
Client 2		1215			5.465		12/22/2021
Client 2		1473			5.4702		12/22/2021
Offshore Fund		11064			5.4632		12/22/2021
Offshore Fund		2685			5.465		12/22/2021
Offshore Fund		3251			5.4702		12/22/2021
Client 3		8851			5.4632		12/22/2021
Client 3		2148			5.465		12/22/2021
Client 3		2601			5.4702		12/22/2021
Client 4		783			5.49		12/23/2021
Client 4		2920			5.5127		12/23/2021
Client 4		697			5.5146		12/23/2021

Page 2


Client 5	3594	5.49	12/23/2021
Client 5	13407	5.5127	12/23/2021
Client 5	3199	5.5146	12/23/2021
Client 7	925	5.49	12/23/2021
Client 7	3451	5.5127	12/23/2021
Client 7	824	5.5146	12/23/2021
Tech Fund	19020	5.49	12/23/2021
Tech Fund	70950	5.5127	12/23/2021
Tech Fund	16930	5.5146	12/23/2021
Client 6	267	5.49	12/23/2021
Client 6	996	5.5127	12/23/2021
Client 6	237	5.5146	12/23/2021
Client 1	2687	5.49	12/23/2021
Client 1	10022	5.5127	12/23/2021
Client 1	2391	5.5146	12/23/2021
Client 2	6727	5.49	12/23/2021
Client 2	25087	5.5127	12/23/2021
Client 2	5986	5.5146	12/23/2021
Offshore Fund	14822	5.49	12/23/2021
Offshore Fund	55287	5.5127	12/23/2021
Offshore Fund	13191	5.5146	12/23/2021
Client 3	1175	5.49	12/23/2021
Client 3	4380	5.5127	12/23/2021
Client 3	1045	5.5146	12/23/2021
Client 4	4615	5.185	12/27/2021
Client 4	2043	5.2072	12/27/2021
Client 4	1169	5.2694	12/27/2021
Client 5	20884	5.185	12/27/2021
Client 5	9245	5.2072	12/27/2021
Client 5	5294	5.2694	12/27/2021
Client 7	5376	5.185	12/27/2021
Client 7	2380	5.2072	12/27/2021
Client 7	1362	5.2694	12/27/2021
Tech Fund	110656	5.185	12/27/2021
Tech Fund	48984	5.2072	12/27/2021
Tech Fund	28047	5.2694	12/27/2021
Client 6	1618	5.185	12/27/2021
Client 6	716	5.2072	12/27/2021
Client 6	410	5.2694	12/27/2021
Client 3	6851	5.185	12/27/2021
Client 3	3032	5.2072	12/27/2021
Client 3	1736	5.2694	12/27/2021
Client 4	786	5.1901	12/28/2021
Client 4	397	5.2167	12/28/2021
Client 4	382	5.2928	12/28/2021

Page 3



Client 4	308		5.31	12/28/2021
Client 5	3558		5.1901	12/28/2021
Client 5	1796		5.2167	12/28/2021
Client 5	1731		5.2928	12/28/2021
Client 5	1392		5.31	12/28/2021
Client 7	916		5.1901	12/28/2021
Client 7	462		5.2167	12/28/2021
Client 7	446		5.2928	12/28/2021
Client 7	358		5.31	12/28/2021
Tech Fund	18848		5.1901	12/28/2021
Tech Fund	9517		5.2167	12/28/2021
Tech Fund	9171		5.2928	12/28/2021
Tech Fund	7377		5.31	12/28/2021
Client 6	275		5.1901	12/28/2021
Client 6	139		5.2167	12/28/2021
Client 6	134		5.2928	12/28/2021
Client 6	108		5.31	12/28/2021
Client 3	1167		5.1901	12/28/2021
Client 3	589		5.2167	12/28/2021
Client 3	568		5.2928	12/28/2021
Client 3	457		5.31	12/28/2021
Client 1	4805		5.2367	12/31/2021
Client 1	3395		5.2401	12/31/2021
Client 2	13712		5.2367	12/31/2021
Client 2	9688		5.2401	12/31/2021
Offshore Fund	14883		5.2367	12/31/2021
Offshore Fund	10517		5.2401	12/31/2021
Client 3	6200		5.1676	01/05/2022
Client 7	(2100	)	4.3246	01/18/2022