X0206 3 2014-11-10 0 0001484565 Capnia, Inc. CAPN 0001614821 Anish Bhatnagar 3 TWIN DOLPHIN DRIVE, SUITE 160 REDWOOD CITY CA 94065 1 1 0 0 President and CEO No securities beneficially owned 0 D Employee Stock Option 10.56 2016-06-08 Common Stock 5208 D Employee Stock Option 10.56 2017-03-14 Common Stock 4166 D Employee Stock Option 10.56 2017-09-25 Common Stock 1041 D Employee Stock Option 3.48 2018-06-27 Common Stock 11666 D Employee Stock Option 3.48 2018-10-15 Common Stock 8333 D Employee Stock Option 1.20 2020-06-03 Common Stock 58419 D The option was granted on June 8, 2006 and the shares subject to the option under the 1999 Incentive Stock Plan will vest and be exercisable according to the following schedule: one-forty-eighth (1/48th) of the total number of shares shall vest upon completion of one month continuous service beginning on April 1, 2006 and 1/48th of such shares shall vest each month of continuous service thereafter. The option was granted on March 14, 2007 and the shares subject to the option under the 1999 Incentive Stock Plan will vest and be exercisable according to the following schedule: twenty-five percent (25%) of the total number of shares shall vest upon completion of one year continuous service, after March 11, 2008 1/48th of such shares shall vest each month of continuous service thereafter. The option was granted on September 25, 2007 and the shares subject to the option under the 1999 Incentive Stock Plan will vest and be exercisable according to the following schedule: one-forty-eighth (1/48th) of the total number of shares shall vest upon completion of one month continuous service beginning on September 7, 2007 and 1/48th of such shares shall vest each month of continuous service thereafter. The option was granted on June 27, 2008 and the shares subject to the option under the 1999 Incentive Stock Plan will vest and be exercisable according to the following schedule: one-forty-eighth (1/48th) of the total number of shares shall vest upon completion of one month continuous service beginning on July 15, 2007 and 1/48th of such shares shall vest each month of continuous service thereafter. The option was granted on October 15, 2008 and the shares subject to the option under the 1999 Incentive Stock Plan will vest and be exercisable according to the following schedule: one-forty-eighth (1/48th) of the total number of shares shall vest upon completion of one month continuous service beginning on October 15, 2008 and 1/48th of such shares shall vest each month of continuous service thereafter. The option was granted on June 3, 2010 and the shares subject to the option under the 2010 Equity Incentive Plan will vest and be exercisable according to the following schedule: one-forty-eighth (1/48th) of the total number of shares shall vest upon completion of one month continuous service beginning on June 1, 2010 and 1/48th of such shares shall vest each month of continuous service thereafter. /s/ Antoun Nabhan, Attorney-in-Fact 2014-11-12