X0206 3 2013-08-21 0 0001311596 Regado Biosciences Inc RGDO 0001435388 Clark B. Jefferson 120 MOUNTAIN VIEW BOULEVARD BASKING RIDGE NJ 07920 1 0 0 0 Common Stock, par value $0.001 per share 19311 I See Footnote 1 Series A Preferred Stock 2004-11-19 Common Stock, par value $0.001 per share 145411 I See Footnote 1 Series B Preferred Stock 2005-07-27 Common Stock, par value $0.001 per share 87325 I See Footnote 1 Series C Preferred Stock 2007-03-15 Common Stock, par value $0.001 per share 133067 I See Footnote 1 Series D Preferred Stock 2009-12-17 Common Stock, par value $0.001 per share 249500 I See Footnote 2 Series D Preferred Stock 2011-05-25 Common Stock, par value $0.001 per share 72473 I See Footnote 2 Series E Preferred Stock 2012-12-18 Common Stock, par value $0.001 per share 43171 I See Footnote 2 Series E Preferred Stock 2013-03-22 Common Stock, par value $0.001 per share 5191 I See Footnote 2 Stock Option (right to buy) 4.51 2020-04-30 Common Stock, par value $0.001 per share 3341 I See Footnote 9 Stock Option (right to buy) 4.51 2020-04-30 Common Stock, par value $0.001 per share 5447 I See Footnote 10 Stock Option (right to buy) 11.69 2018-12-08 Common Stock, par value $0.001 per share 2095 I See Footnote 10 Stock Option (right to buy) 12.53 2018-02-13 Common Stock, par value $0.001 per share 2095 I See Footnote 10 Stock Option (right to buy) 10.86 2017-02-21 Common Stock, par value $0.001 per share 2095 I See Footnote 10 Stock Option (right to buy) 3.34 2015-12-20 Common Stock, par value $0.001 per share 2095 I See Footnote 10 Warrant (right to buy) 0.17 2014-02-20 Common Stock, par value $0.001 per share 4491 I See Footnote 1 The reportable securities are directly held by Aurora Ventures IV, LLC ("Aurora IV"). The Reporting Person is the manager of A.V. Management IV, L.L.C., the managing member of Aurora IV, and may be deemed to share voting and investment power. The Reporting Person disclaims beneficial ownership of these securities, except to the extent of his pecuniary interest therein, and this report is not an admission that he is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. The reportable securities are directly held by Aurora Ventures V, L.P ("Aurora V"). The Reporting Person is the manager of A.V. Management V, L.L.C., the managing member of Aurora V, and may be deemed to share voting and investment power. The Reporting Person disclaims beneficial ownership of these securities, except to the extent of his pecuniary interest therein, and this report is not an admission that he is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. The shares of Series A Preferred Stock have no expiration date and shall automatically convert upon the consummation of the Issuer's initial public offering at a conversion ratio of 1 share of Series A Preferred Stock to 0.05988024 shares of common stock, for no additional consideration. The shares of Series B Preferred Stock have no expiration date and shall automatically convert upon the consummation of the Issuer's initial public offering at a conversion ratio of 1 share of Series B Preferred Stock to 0.05988024 shares of common stock, for no additional consideration. The shares of Series C Preferred Stock have no expiration date and shall automatically convert upon the consummation of the Issuer's initial public offering at a conversion ratio of 1 share of Series C Preferred Stock to 0.05988024 shares of common stock, for no additional consideration. The shares of Series D Preferred Stock have no expiration date and shall automatically convert upon the consummation of the Issuer's initial public offering at a conversion ratio of 1 share of Series D Preferred Stock to 0.05988024 shares of common stock, for no additional consideration. The shares of Series E Preferred Stock have no expiration date and shall automatically convert upon the consummation of the Issuer's initial public offering at a conversion ratio of 1 share of Series E Preferred Stock to 0.05988024 shares of common stock, for no additional consideration. This option is fully vested and exercisable. The Reporting Person holds the reportable securities as nominee for Aurora V. The Reporting Person disclaims beneficial ownership of these securities, except to the extent of his pecuniary interest therein, and this report is not an admission that he is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. The Reporting Person holds the reportable securities as nominee for Aurora IV. The Reporting Person disclaims beneficial ownership of these securities, except to the extent of his pecuniary interest therein, and this report is not an admission that he is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. This warrant is currently exercisable. /s/ B. Jefferson Clark 2013-08-21