NeuroPace Inc — Director's Dealing 2021

Apr 26, 2021

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: NeuroPace Inc (NPCE)
CIK: 0001528287
Period of Report: 2021-04-26

Reporting Person: Garfield Greg Shaw (Director)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2021-04-26	Common Stock	C	18891	$0.00	Acquired	18891	Indirect
2021-04-26	Common Stock	C	5595493	$0.00	Acquired	5614384	Indirect

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2021-04-26	Series A' Preferred Stock	$0.00	C	859	Disposed		Common Stock (859)	Indirect
2021-04-26	Series B' Preferred Stock	$0.00	C	18032	Disposed		Common Stock (18032)	Indirect
2021-04-26	Series A' Preferred Stock	$0.00	C	323591	Disposed		Common Stock (324450)	Indirect
2021-04-26	Series B' Preferred Stock	$0.00	C	5271902	Disposed		Common Stock (5271902)	Indirect

Footnotes

F1: Shares are held by the Greg and Dori Garfield Living Revocable Trust.

F2: KCK Ltd. has sole voting and investment power with respect to the shares. The board of directors of KCK Ltd., consisting of Antoine Sacy, Kamal Kassar, and Nael Karim Kassar, has delegated its authority to vote or invest the shares to Nael Karim Kassar. As such, Nael Karim Kassar may also be deemed to have sole voting and investment with respect to the shares. Mr. Kassar and Greg Garfield, who serves as Senior Managing Director with KCK-US, Inc., an affiliate of KCK Ltd., are also members of our board of directors.

F3: Each share of Preferred Stock automatically converted on a 1-for-1 basis into Common Stock upon the closing of the Issuer's initial public offering, for no additional consideration. The Preferred Stock has no expiration date.