AIFF

SEC source: 0001213900-26-104670 · ownership.xml · derivative · entry 1

Vnook Stella · CIK 0002037643 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 149,962

Underlying: Common Stock · 84,033 shares

Expires not disclosed

F1 · derivative.exercise_price: On September 25, 2026, the Reporting Person was granted 84,033 deferred stock units ("DSUs") under the Issuer's 2024 Long-Term Incentive Plan, which vest quarterly over a twelve (12)-month period. Each DSU represents a contingent right to receive one share of the Issuer's common stock.

F1 · derivative.exercise_date: On September 25, 2026, the Reporting Person was granted 84,033 deferred stock units ("DSUs") under the Issuer's 2024 Long-Term Incentive Plan, which vest quarterly over a twelve (12)-month period. Each DSU represents a contingent right to receive one share of the Issuer's common stock.

F1 · derivative.expiration_date: On September 25, 2026, the Reporting Person was granted 84,033 deferred stock units ("DSUs") under the Issuer's 2024 Long-Term Incentive Plan, which vest quarterly over a twelve (12)-month period. Each DSU represents a contingent right to receive one share of the Issuer's common stock.

SEC source: 0001213900-26-104669 · ownership.xml · derivative · entry 1

POSNER BRIAN M · CIK 0001287711 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 149,962

Underlying: Common Stock · 84,033 shares

Expires not disclosed

F1 · derivative.exercise_price: On September 25, 2026, the Reporting Person was granted 84,033 deferred stock units ("DSUs") under the Issuer's 2024 Long-Term Incentive Plan, which vest quarterly over a twelve (12)-month period. Each DSU represents a contingent right to receive one share of the Issuer's common stock.

F1 · derivative.exercise_date: On September 25, 2026, the Reporting Person was granted 84,033 deferred stock units ("DSUs") under the Issuer's 2024 Long-Term Incentive Plan, which vest quarterly over a twelve (12)-month period. Each DSU represents a contingent right to receive one share of the Issuer's common stock.

F1 · derivative.expiration_date: On September 25, 2026, the Reporting Person was granted 84,033 deferred stock units ("DSUs") under the Issuer's 2024 Long-Term Incentive Plan, which vest quarterly over a twelve (12)-month period. Each DSU represents a contingent right to receive one share of the Issuer's common stock.

SEC source: 0001213900-26-104665 · ownership.xml · derivative · entry 1

Menawat Arun Swarup · CIK 0001685893 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 216,609

Underlying: Common Stock · 126,050 shares

Expires not disclosed

F1 · derivative.exercise_price: On September 25, 2026, the Reporting Person was granted 126,050 deferred stock units ("DSUs") under the Issuer's 2024 Long-Term Incentive Plan, which vest quarterly over a twelve (12)-month period. Each DSU represents a contingent right to receive one share of the Issuer's common stock.

F1 · derivative.exercise_date: On September 25, 2026, the Reporting Person was granted 126,050 deferred stock units ("DSUs") under the Issuer's 2024 Long-Term Incentive Plan, which vest quarterly over a twelve (12)-month period. Each DSU represents a contingent right to receive one share of the Issuer's common stock.

F1 · derivative.expiration_date: On September 25, 2026, the Reporting Person was granted 126,050 deferred stock units ("DSUs") under the Issuer's 2024 Long-Term Incentive Plan, which vest quarterly over a twelve (12)-month period. Each DSU represents a contingent right to receive one share of the Issuer's common stock.

SEC source: 0001213900-26-026990 · ownership.xml · nonDerivative · entry 1

DeCaprio David · CIK 0002037798 · Director · President and COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 77,866

F1 · kind: On April 18, 2025, the Reporting Person was granted restricted stock units under the Issuer's 2024 Long-Term Incentive Plan for 263,952 shares of Common Stock. On March 10, 2026, the Compensation Committee of the board of directors of the Issuer determined that the performance conditions had been met for the vesting of 44,872 of these shares.

SEC source: 0001213900-26-026988 · ownership.xml · nonDerivative · entry 1

Lipschitz Gregory · CIK 0002044426 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 530,184

F1 · kind: On April 18, 2025, the Reporting Person was granted restricted stock units under the Issuer's 2024 Long-Term Incentive Plan for 395,927 shares of Common Stock. On March 10, 2026, the Compensation Committee of the board of directors of the Issuer determined that the performance conditions had been met for the vesting of 65,988 of these shares.

F2 · balance_after: 464,196 out of the 530,184 shares of Common Stock are held by Bower Four Capital Corporation, of which the Reporting Person is the sole stockholder. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein. The Reporting Person directly owns the remaining 65,988 shares of Common Stock.

SEC source: 0001213900-25-104097 · ownership.xml · derivative · entry 1

Menawat Arun Swarup · CIK 0001685893 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 90,559

Underlying: Common Stock · 73,892 shares

Expires not disclosed

F1 · derivative.exercise_price: On October 28, 2025, the Reporting Person was granted 73,892 deferred stock units ("DSUs") under the Issuer's 2024 Long-Term Incentive Plan, which vest quarterly over a twelve (12)-month period. Each DSU represents a contingent right to receive one share of the Issuer's common stock.

F1 · derivative.exercise_date: On October 28, 2025, the Reporting Person was granted 73,892 deferred stock units ("DSUs") under the Issuer's 2024 Long-Term Incentive Plan, which vest quarterly over a twelve (12)-month period. Each DSU represents a contingent right to receive one share of the Issuer's common stock.

F1 · derivative.expiration_date: On October 28, 2025, the Reporting Person was granted 73,892 deferred stock units ("DSUs") under the Issuer's 2024 Long-Term Incentive Plan, which vest quarterly over a twelve (12)-month period. Each DSU represents a contingent right to receive one share of the Issuer's common stock.

SEC source: 0001213900-25-104095 · ownership.xml · derivative · entry 1

POSNER BRIAN M · CIK 0001287711 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 65,929

Underlying: Common Stock · 49,262 shares

Expires not disclosed

F1 · derivative.exercise_price: On October 28, 2025, the Reporting Person was granted 49,262 deferred stock units ("DSUs") under the Issuer's 2024 Long-Term Incentive Plan, which vest quarterly over a twelve (12)-month period. Each DSU represents a contingent right to receive one share of the Issuer's common stock.

F1 · derivative.exercise_date: On October 28, 2025, the Reporting Person was granted 49,262 deferred stock units ("DSUs") under the Issuer's 2024 Long-Term Incentive Plan, which vest quarterly over a twelve (12)-month period. Each DSU represents a contingent right to receive one share of the Issuer's common stock.

F1 · derivative.expiration_date: On October 28, 2025, the Reporting Person was granted 49,262 deferred stock units ("DSUs") under the Issuer's 2024 Long-Term Incentive Plan, which vest quarterly over a twelve (12)-month period. Each DSU represents a contingent right to receive one share of the Issuer's common stock.

SEC source: 0001213900-25-104094 · ownership.xml · derivative · entry 1

Vnook Stella · CIK 0002037643 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 65,929

Underlying: Common Stock · 49,262 shares

Expires not disclosed

F1 · derivative.exercise_price: On October 28, 2025, the Reporting Person was granted 49,262 deferred stock units ("DSUs") under the Issuer's 2024 Long-Term Incentive Plan, which vest quarterly over a twelve (12)-month period. Each DSU represents a contingent right to receive one share of the Issuer's common stock.

F1 · derivative.exercise_date: On October 28, 2025, the Reporting Person was granted 49,262 deferred stock units ("DSUs") under the Issuer's 2024 Long-Term Incentive Plan, which vest quarterly over a twelve (12)-month period. Each DSU represents a contingent right to receive one share of the Issuer's common stock.

F1 · derivative.expiration_date: On October 28, 2025, the Reporting Person was granted 49,262 deferred stock units ("DSUs") under the Issuer's 2024 Long-Term Incentive Plan, which vest quarterly over a twelve (12)-month period. Each DSU represents a contingent right to receive one share of the Issuer's common stock.

SEC source: 0001193125-25-247150 · ownership.xml · nonDerivative · entry 3

Windsor Private Capital LP · CIK 0002034160 · 10% owner

WPC Management Services Inc. · CIK 0002034112 · 10% owner

WPC GP I Inc. · CIK 0002034166 · 10% owner

Kupinsky Jordan · CIK 0001544321 · 10% owner

HJRK Holdings Inc. · CIK 0002034082 · 10% owner

HJR Kupinsky 2013 Family Trust · CIK 0002034429 · 10% owner

Marcello Rocco · CIK 0002034039 · 10% owner

Cundari John · CIK 0002034031 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 1,236,773

F1 · security: This Form 4 is filed jointly by Windsor Private Capital LP ("Windsor"), WPC Management Services Inc. ("WPC Management Services"), WPC GP I Inc. ("WPC"), Jordan Kupinsky ("Mr. Kupinsky"), HJRK Holdings Inc. ("HJRK"), HJR Kupinsky 2013 Family Trust ("HJRK Trust"), Rocco Marcello ("Mr. Marcello") and John Cundari ("Mr. Cundari", and collectively, the "Reporting Persons"). The Reporting Persons are members of a "group" that beneficially owns more than 10% of the shares of common stock of Firefly Neurosciences, Inc. (the "Issuer").

F2 · kind: These transactions occurred pursuant to broker-dealer sales conducted in accordance with Rule 144 under the Securities Act of 1933, as amended. Following these transactions, the Reporting Persons are no longer beneficial owners of more than 10% of the Issuer's securities and as such, this filing represents an exit filing for the Reporting Persons.

F3 · ownership.nature: The reported securities are held directly by Windsor. Mr. Marcello is Founder, Chairman and Chief Executive Officer of Windsor. Mr. Cundari is President of Windsor. Mr. Kupinsky is Managing Partner of Windsor. WPC is the general partner of Windsor and WPC Management Services is the sole shareholder of WPC. Mr. Marcello, Mr. Cundari and Mr. Kupinsky are the directors of WPC and WPC Management Services. WPC Management Services, WPC, Mr. Kupinsky, Mr. Marcello and Mr. Cundari may be deemed to beneficially own the reported securities. WPC Management Services, WPC, Mr. Kupinsky, Mr. Marcello and Mr. Cundari disclaim beneficial ownership of the securities held directly by Windsor except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that any of WPC Management Services, WPC, Mr. Kupinsky, Mr. Marcello or Mr. Cundari is a beneficial owner of such securities for purposes of Section 16 or any other purpose.

SEC source: 0001193125-25-247150 · ownership.xml · nonDerivative · entry 2

Windsor Private Capital LP · CIK 0002034160 · 10% owner

WPC Management Services Inc. · CIK 0002034112 · 10% owner

WPC GP I Inc. · CIK 0002034166 · 10% owner

Kupinsky Jordan · CIK 0001544321 · 10% owner

HJRK Holdings Inc. · CIK 0002034082 · 10% owner

HJR Kupinsky 2013 Family Trust · CIK 0002034429 · 10% owner

Marcello Rocco · CIK 0002034039 · 10% owner

Cundari John · CIK 0002034031 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 1,314,804

F1 · security: This Form 4 is filed jointly by Windsor Private Capital LP ("Windsor"), WPC Management Services Inc. ("WPC Management Services"), WPC GP I Inc. ("WPC"), Jordan Kupinsky ("Mr. Kupinsky"), HJRK Holdings Inc. ("HJRK"), HJR Kupinsky 2013 Family Trust ("HJRK Trust"), Rocco Marcello ("Mr. Marcello") and John Cundari ("Mr. Cundari", and collectively, the "Reporting Persons"). The Reporting Persons are members of a "group" that beneficially owns more than 10% of the shares of common stock of Firefly Neurosciences, Inc. (the "Issuer").

F2 · kind: These transactions occurred pursuant to broker-dealer sales conducted in accordance with Rule 144 under the Securities Act of 1933, as amended. Following these transactions, the Reporting Persons are no longer beneficial owners of more than 10% of the Issuer's securities and as such, this filing represents an exit filing for the Reporting Persons.

F3 · ownership.nature: The reported securities are held directly by Windsor. Mr. Marcello is Founder, Chairman and Chief Executive Officer of Windsor. Mr. Cundari is President of Windsor. Mr. Kupinsky is Managing Partner of Windsor. WPC is the general partner of Windsor and WPC Management Services is the sole shareholder of WPC. Mr. Marcello, Mr. Cundari and Mr. Kupinsky are the directors of WPC and WPC Management Services. WPC Management Services, WPC, Mr. Kupinsky, Mr. Marcello and Mr. Cundari may be deemed to beneficially own the reported securities. WPC Management Services, WPC, Mr. Kupinsky, Mr. Marcello and Mr. Cundari disclaim beneficial ownership of the securities held directly by Windsor except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that any of WPC Management Services, WPC, Mr. Kupinsky, Mr. Marcello or Mr. Cundari is a beneficial owner of such securities for purposes of Section 16 or any other purpose.

SEC source: 0001193125-25-247150 · ownership.xml · nonDerivative · entry 1

Windsor Private Capital LP · CIK 0002034160 · 10% owner

WPC Management Services Inc. · CIK 0002034112 · 10% owner

WPC GP I Inc. · CIK 0002034166 · 10% owner

Kupinsky Jordan · CIK 0001544321 · 10% owner

HJRK Holdings Inc. · CIK 0002034082 · 10% owner

HJR Kupinsky 2013 Family Trust · CIK 0002034429 · 10% owner

Marcello Rocco · CIK 0002034039 · 10% owner

Cundari John · CIK 0002034031 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 1,334,026

F1 · security: This Form 4 is filed jointly by Windsor Private Capital LP ("Windsor"), WPC Management Services Inc. ("WPC Management Services"), WPC GP I Inc. ("WPC"), Jordan Kupinsky ("Mr. Kupinsky"), HJRK Holdings Inc. ("HJRK"), HJR Kupinsky 2013 Family Trust ("HJRK Trust"), Rocco Marcello ("Mr. Marcello") and John Cundari ("Mr. Cundari", and collectively, the "Reporting Persons"). The Reporting Persons are members of a "group" that beneficially owns more than 10% of the shares of common stock of Firefly Neurosciences, Inc. (the "Issuer").

F2 · kind: These transactions occurred pursuant to broker-dealer sales conducted in accordance with Rule 144 under the Securities Act of 1933, as amended. Following these transactions, the Reporting Persons are no longer beneficial owners of more than 10% of the Issuer's securities and as such, this filing represents an exit filing for the Reporting Persons.

F3 · ownership.nature: The reported securities are held directly by Windsor. Mr. Marcello is Founder, Chairman and Chief Executive Officer of Windsor. Mr. Cundari is President of Windsor. Mr. Kupinsky is Managing Partner of Windsor. WPC is the general partner of Windsor and WPC Management Services is the sole shareholder of WPC. Mr. Marcello, Mr. Cundari and Mr. Kupinsky are the directors of WPC and WPC Management Services. WPC Management Services, WPC, Mr. Kupinsky, Mr. Marcello and Mr. Cundari may be deemed to beneficially own the reported securities. WPC Management Services, WPC, Mr. Kupinsky, Mr. Marcello and Mr. Cundari disclaim beneficial ownership of the securities held directly by Windsor except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that any of WPC Management Services, WPC, Mr. Kupinsky, Mr. Marcello or Mr. Cundari is a beneficial owner of such securities for purposes of Section 16 or any other purpose.

SEC source: 0001193125-25-242736 · ownership.xml · nonDerivative · entry 3

Windsor Private Capital LP · CIK 0002034160 · 10% owner

WPC Management Services Inc. · CIK 0002034112 · 10% owner

WPC GP I Inc. · CIK 0002034166 · 10% owner

Kupinsky Jordan · CIK 0001544321 · 10% owner

HJRK Holdings Inc. · CIK 0002034082 · 10% owner

HJR Kupinsky 2013 Family Trust · CIK 0002034429 · 10% owner

Marcello Rocco · CIK 0002034039 · 10% owner

Cundari John · CIK 0002034031 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 1,367,526

F1 · security: This Form 4 is filed jointly by Windsor Private Capital LP ("Windsor"), WPC Management Services Inc. ("WPC Management Services"), WPC GP I Inc. ("WPC"), Jordan Kupinsky ("Mr. Kupinsky"), HJRK Holdings Inc. ("HJRK"), HJR Kupinsky 2013 Family Trust ("HJRK Trust"), Rocco Marcello ("Mr. Marcello") and John Cundari ("Mr. Cundari", and collectively, the "Reporting Persons"). The Reporting Persons are members of a "group" that beneficially owns more than 10% of the shares of common stock of Firefly Neurosciences, Inc. (the "Issuer").

F2 · kind: These transactions occurred pursuant to broker-dealer sales conducted in accordance with Rule 144 under the Securities Act of 1933, as amended.

F3 · ownership.nature: The reported securities are held directly by Windsor. Mr. Marcello is Founder, Chairman and Chief Executive Officer of Windsor. Mr. Cundari is President of Windsor. Mr. Kupinsky is Managing Partner of Windsor. WPC is the general partner of Windsor and WPC Management Services is the sole shareholder of WPC. Mr. Marcello, Mr. Cundari and Mr. Kupinsky are the directors of WPC and WPC Management Services. WPC Management Services, WPC, Mr. Kupinsky, Mr. Marcello and Mr. Cundari may be deemed to beneficially own the reported securities. WPC Management Services, WPC, Mr. Kupinsky, Mr. Marcello and Mr. Cundari disclaim beneficial ownership of the securities held directly by Windsor except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that any of WPC Management Services, WPC, Mr. Kupinsky, Mr. Marcello or Mr. Cundari is a beneficial owner of such securities for purposes of Section 16 or any other purpose.

SEC source: 0001193125-25-242736 · ownership.xml · nonDerivative · entry 2

Windsor Private Capital LP · CIK 0002034160 · 10% owner

WPC Management Services Inc. · CIK 0002034112 · 10% owner

WPC GP I Inc. · CIK 0002034166 · 10% owner

Kupinsky Jordan · CIK 0001544321 · 10% owner

HJRK Holdings Inc. · CIK 0002034082 · 10% owner

HJR Kupinsky 2013 Family Trust · CIK 0002034429 · 10% owner

Marcello Rocco · CIK 0002034039 · 10% owner

Cundari John · CIK 0002034031 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 1,412,562

F1 · security: This Form 4 is filed jointly by Windsor Private Capital LP ("Windsor"), WPC Management Services Inc. ("WPC Management Services"), WPC GP I Inc. ("WPC"), Jordan Kupinsky ("Mr. Kupinsky"), HJRK Holdings Inc. ("HJRK"), HJR Kupinsky 2013 Family Trust ("HJRK Trust"), Rocco Marcello ("Mr. Marcello") and John Cundari ("Mr. Cundari", and collectively, the "Reporting Persons"). The Reporting Persons are members of a "group" that beneficially owns more than 10% of the shares of common stock of Firefly Neurosciences, Inc. (the "Issuer").

F2 · kind: These transactions occurred pursuant to broker-dealer sales conducted in accordance with Rule 144 under the Securities Act of 1933, as amended.

F3 · ownership.nature: The reported securities are held directly by Windsor. Mr. Marcello is Founder, Chairman and Chief Executive Officer of Windsor. Mr. Cundari is President of Windsor. Mr. Kupinsky is Managing Partner of Windsor. WPC is the general partner of Windsor and WPC Management Services is the sole shareholder of WPC. Mr. Marcello, Mr. Cundari and Mr. Kupinsky are the directors of WPC and WPC Management Services. WPC Management Services, WPC, Mr. Kupinsky, Mr. Marcello and Mr. Cundari may be deemed to beneficially own the reported securities. WPC Management Services, WPC, Mr. Kupinsky, Mr. Marcello and Mr. Cundari disclaim beneficial ownership of the securities held directly by Windsor except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that any of WPC Management Services, WPC, Mr. Kupinsky, Mr. Marcello or Mr. Cundari is a beneficial owner of such securities for purposes of Section 16 or any other purpose.

SEC source: 0001193125-25-242736 · ownership.xml · nonDerivative · entry 1

Windsor Private Capital LP · CIK 0002034160 · 10% owner

WPC Management Services Inc. · CIK 0002034112 · 10% owner

WPC GP I Inc. · CIK 0002034166 · 10% owner

Kupinsky Jordan · CIK 0001544321 · 10% owner

HJRK Holdings Inc. · CIK 0002034082 · 10% owner

HJR Kupinsky 2013 Family Trust · CIK 0002034429 · 10% owner

Marcello Rocco · CIK 0002034039 · 10% owner

Cundari John · CIK 0002034031 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 1,452,701

F1 · security: This Form 4 is filed jointly by Windsor Private Capital LP ("Windsor"), WPC Management Services Inc. ("WPC Management Services"), WPC GP I Inc. ("WPC"), Jordan Kupinsky ("Mr. Kupinsky"), HJRK Holdings Inc. ("HJRK"), HJR Kupinsky 2013 Family Trust ("HJRK Trust"), Rocco Marcello ("Mr. Marcello") and John Cundari ("Mr. Cundari", and collectively, the "Reporting Persons"). The Reporting Persons are members of a "group" that beneficially owns more than 10% of the shares of common stock of Firefly Neurosciences, Inc. (the "Issuer").

F2 · kind: These transactions occurred pursuant to broker-dealer sales conducted in accordance with Rule 144 under the Securities Act of 1933, as amended.

F3 · ownership.nature: The reported securities are held directly by Windsor. Mr. Marcello is Founder, Chairman and Chief Executive Officer of Windsor. Mr. Cundari is President of Windsor. Mr. Kupinsky is Managing Partner of Windsor. WPC is the general partner of Windsor and WPC Management Services is the sole shareholder of WPC. Mr. Marcello, Mr. Cundari and Mr. Kupinsky are the directors of WPC and WPC Management Services. WPC Management Services, WPC, Mr. Kupinsky, Mr. Marcello and Mr. Cundari may be deemed to beneficially own the reported securities. WPC Management Services, WPC, Mr. Kupinsky, Mr. Marcello and Mr. Cundari disclaim beneficial ownership of the securities held directly by Windsor except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that any of WPC Management Services, WPC, Mr. Kupinsky, Mr. Marcello or Mr. Cundari is a beneficial owner of such securities for purposes of Section 16 or any other purpose.

SEC source: 0001193125-25-239285 · ownership.xml · nonDerivative · entry 4

Windsor Private Capital LP · CIK 0002034160 · 10% owner

WPC Management Services Inc. · CIK 0002034112 · 10% owner

WPC GP I Inc. · CIK 0002034166 · 10% owner

Kupinsky Jordan · CIK 0001544321 · 10% owner

HJRK Holdings Inc. · CIK 0002034082 · 10% owner

HJR Kupinsky 2013 Family Trust · CIK 0002034429 · 10% owner

Marcello Rocco · CIK 0002034039 · 10% owner

Cundari John · CIK 0002034031 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 1,470,201

F1 · security: This Form 4 is filed jointly by Windsor Private Capital LP ("Windsor"), WPC Management Services Inc. ("WPC Management Services"), WPC GP I Inc. ("WPC"), Jordan Kupinsky ("Mr. Kupinsky"), HJRK Holdings Inc. ("HJRK"), HJR Kupinsky 2013 Family Trust ("HJRK Trust"), Rocco Marcello ("Mr. Marcello") and John Cundari ("Mr. Cundari", and collectively, the "Reporting Persons"). The Reporting Persons are members of a "group" that beneficially owns more than 10% of the shares of common stock of Firefly Neurosciences, Inc. (the "Issuer").

F2 · kind: These transactions occurred pursuant to broker-dealer sales conducted in accordance with Rule 144 under the Securities Act of 1933, as amended.

F3 · ownership.nature: The reported securities are held directly by Windsor. Mr. Marcello is Founder, Chairman and Chief Executive Officer of Windsor. Mr. Cundari is President of Windsor. Mr. Kupinsky is Managing Partner of Windsor. WPC is the general partner of Windsor and WPC Management Services is the sole shareholder of WPC. Mr. Marcello, Mr. Cundari and Mr. Kupinsky are the directors of WPC and WPC Management Services. WPC Management Services, WPC, Mr. Kupinsky, Mr. Marcello and Mr. Cundari may be deemed to beneficially own the reported securities. WPC Management Services, WPC, Mr. Kupinsky, Mr. Marcello and Mr. Cundari disclaim beneficial ownership of the securities held directly by Windsor except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that any of WPC Management Services, WPC, Mr. Kupinsky, Mr. Marcello or Mr. Cundari is a beneficial owner of such securities for purposes of Section 16 or any other purpose.

SEC source: 0001193125-25-239285 · ownership.xml · nonDerivative · entry 3

Windsor Private Capital LP · CIK 0002034160 · 10% owner

WPC Management Services Inc. · CIK 0002034112 · 10% owner

WPC GP I Inc. · CIK 0002034166 · 10% owner

Kupinsky Jordan · CIK 0001544321 · 10% owner

HJRK Holdings Inc. · CIK 0002034082 · 10% owner

HJR Kupinsky 2013 Family Trust · CIK 0002034429 · 10% owner

Marcello Rocco · CIK 0002034039 · 10% owner

Cundari John · CIK 0002034031 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 1,499,701

F1 · security: This Form 4 is filed jointly by Windsor Private Capital LP ("Windsor"), WPC Management Services Inc. ("WPC Management Services"), WPC GP I Inc. ("WPC"), Jordan Kupinsky ("Mr. Kupinsky"), HJRK Holdings Inc. ("HJRK"), HJR Kupinsky 2013 Family Trust ("HJRK Trust"), Rocco Marcello ("Mr. Marcello") and John Cundari ("Mr. Cundari", and collectively, the "Reporting Persons"). The Reporting Persons are members of a "group" that beneficially owns more than 10% of the shares of common stock of Firefly Neurosciences, Inc. (the "Issuer").

F2 · kind: These transactions occurred pursuant to broker-dealer sales conducted in accordance with Rule 144 under the Securities Act of 1933, as amended.

F3 · ownership.nature: The reported securities are held directly by Windsor. Mr. Marcello is Founder, Chairman and Chief Executive Officer of Windsor. Mr. Cundari is President of Windsor. Mr. Kupinsky is Managing Partner of Windsor. WPC is the general partner of Windsor and WPC Management Services is the sole shareholder of WPC. Mr. Marcello, Mr. Cundari and Mr. Kupinsky are the directors of WPC and WPC Management Services. WPC Management Services, WPC, Mr. Kupinsky, Mr. Marcello and Mr. Cundari may be deemed to beneficially own the reported securities. WPC Management Services, WPC, Mr. Kupinsky, Mr. Marcello and Mr. Cundari disclaim beneficial ownership of the securities held directly by Windsor except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that any of WPC Management Services, WPC, Mr. Kupinsky, Mr. Marcello or Mr. Cundari is a beneficial owner of such securities for purposes of Section 16 or any other purpose.

SEC source: 0001193125-25-239285 · ownership.xml · nonDerivative · entry 2

Windsor Private Capital LP · CIK 0002034160 · 10% owner

WPC Management Services Inc. · CIK 0002034112 · 10% owner

WPC GP I Inc. · CIK 0002034166 · 10% owner

Kupinsky Jordan · CIK 0001544321 · 10% owner

HJRK Holdings Inc. · CIK 0002034082 · 10% owner

HJR Kupinsky 2013 Family Trust · CIK 0002034429 · 10% owner

Marcello Rocco · CIK 0002034039 · 10% owner

Cundari John · CIK 0002034031 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 1,531,837

F1 · security: This Form 4 is filed jointly by Windsor Private Capital LP ("Windsor"), WPC Management Services Inc. ("WPC Management Services"), WPC GP I Inc. ("WPC"), Jordan Kupinsky ("Mr. Kupinsky"), HJRK Holdings Inc. ("HJRK"), HJR Kupinsky 2013 Family Trust ("HJRK Trust"), Rocco Marcello ("Mr. Marcello") and John Cundari ("Mr. Cundari", and collectively, the "Reporting Persons"). The Reporting Persons are members of a "group" that beneficially owns more than 10% of the shares of common stock of Firefly Neurosciences, Inc. (the "Issuer").

F2 · kind: These transactions occurred pursuant to broker-dealer sales conducted in accordance with Rule 144 under the Securities Act of 1933, as amended.

F3 · ownership.nature: The reported securities are held directly by Windsor. Mr. Marcello is Founder, Chairman and Chief Executive Officer of Windsor. Mr. Cundari is President of Windsor. Mr. Kupinsky is Managing Partner of Windsor. WPC is the general partner of Windsor and WPC Management Services is the sole shareholder of WPC. Mr. Marcello, Mr. Cundari and Mr. Kupinsky are the directors of WPC and WPC Management Services. WPC Management Services, WPC, Mr. Kupinsky, Mr. Marcello and Mr. Cundari may be deemed to beneficially own the reported securities. WPC Management Services, WPC, Mr. Kupinsky, Mr. Marcello and Mr. Cundari disclaim beneficial ownership of the securities held directly by Windsor except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that any of WPC Management Services, WPC, Mr. Kupinsky, Mr. Marcello or Mr. Cundari is a beneficial owner of such securities for purposes of Section 16 or any other purpose.

SEC source: 0001193125-25-239285 · ownership.xml · nonDerivative · entry 1

Windsor Private Capital LP · CIK 0002034160 · 10% owner

WPC Management Services Inc. · CIK 0002034112 · 10% owner

WPC GP I Inc. · CIK 0002034166 · 10% owner

Kupinsky Jordan · CIK 0001544321 · 10% owner

HJRK Holdings Inc. · CIK 0002034082 · 10% owner

HJR Kupinsky 2013 Family Trust · CIK 0002034429 · 10% owner

Marcello Rocco · CIK 0002034039 · 10% owner

Cundari John · CIK 0002034031 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 1,606,647

F1 · security: This Form 4 is filed jointly by Windsor Private Capital LP ("Windsor"), WPC Management Services Inc. ("WPC Management Services"), WPC GP I Inc. ("WPC"), Jordan Kupinsky ("Mr. Kupinsky"), HJRK Holdings Inc. ("HJRK"), HJR Kupinsky 2013 Family Trust ("HJRK Trust"), Rocco Marcello ("Mr. Marcello") and John Cundari ("Mr. Cundari", and collectively, the "Reporting Persons"). The Reporting Persons are members of a "group" that beneficially owns more than 10% of the shares of common stock of Firefly Neurosciences, Inc. (the "Issuer").

F2 · kind: These transactions occurred pursuant to broker-dealer sales conducted in accordance with Rule 144 under the Securities Act of 1933, as amended.

F3 · ownership.nature: The reported securities are held directly by Windsor. Mr. Marcello is Founder, Chairman and Chief Executive Officer of Windsor. Mr. Cundari is President of Windsor. Mr. Kupinsky is Managing Partner of Windsor. WPC is the general partner of Windsor and WPC Management Services is the sole shareholder of WPC. Mr. Marcello, Mr. Cundari and Mr. Kupinsky are the directors of WPC and WPC Management Services. WPC Management Services, WPC, Mr. Kupinsky, Mr. Marcello and Mr. Cundari may be deemed to beneficially own the reported securities. WPC Management Services, WPC, Mr. Kupinsky, Mr. Marcello and Mr. Cundari disclaim beneficial ownership of the securities held directly by Windsor except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that any of WPC Management Services, WPC, Mr. Kupinsky, Mr. Marcello or Mr. Cundari is a beneficial owner of such securities for purposes of Section 16 or any other purpose.

SEC source: 0001437749-25-017885 · rdgdoc.xml · derivative · entry 1

Menawat Arun Swarup · CIK 0001685893 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 125,000

Underlying: Common Stock · 125,000 shares

Expires not disclosed

F1 · kind: On May 19, 2025, the Reporting Person was granted restricted stock units under the Issuer's 2024 Long-Term Incentive Plan ("Plan") for 125,000 shares of common stock, in consideration of the services to be rendered by the Reporting Person to the Company, which shall vest quarterly over a period of three years from May 19, 2025, subject to satisfaction of the Reporting Person's continuous service.

F1 · derivative.exercise_date: On May 19, 2025, the Reporting Person was granted restricted stock units under the Issuer's 2024 Long-Term Incentive Plan ("Plan") for 125,000 shares of common stock, in consideration of the services to be rendered by the Reporting Person to the Company, which shall vest quarterly over a period of three years from May 19, 2025, subject to satisfaction of the Reporting Person's continuous service.

F1 · derivative.expiration_date: On May 19, 2025, the Reporting Person was granted restricted stock units under the Issuer's 2024 Long-Term Incentive Plan ("Plan") for 125,000 shares of common stock, in consideration of the services to be rendered by the Reporting Person to the Company, which shall vest quarterly over a period of three years from May 19, 2025, subject to satisfaction of the Reporting Person's continuous service.

SEC source: 0001437749-25-012718 · rdgdoc.xml · derivative · entry 1

DeCaprio David · CIK 0002037798 · Director · President and COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 131,976

Underlying: Common Stock · 131,976 shares

Expires not disclosed

F1 · kind: On April 18, 2025, the Reporting Person was granted restricted stock units under the Issuer's 2024 Long-Term Incentive Plan for 131,976 shares of common stock, as partial compensation for the Reporting Person's service as the President and Chief Operating Officer of the Issuer, which shall vest quarterly in twelve (12) equal quarterly installments beginning on June 27, 2025, subject to satisfaction of the Reporting Person's continuous service.

F1 · derivative.exercise_date: On April 18, 2025, the Reporting Person was granted restricted stock units under the Issuer's 2024 Long-Term Incentive Plan for 131,976 shares of common stock, as partial compensation for the Reporting Person's service as the President and Chief Operating Officer of the Issuer, which shall vest quarterly in twelve (12) equal quarterly installments beginning on June 27, 2025, subject to satisfaction of the Reporting Person's continuous service.

F1 · derivative.expiration_date: On April 18, 2025, the Reporting Person was granted restricted stock units under the Issuer's 2024 Long-Term Incentive Plan for 131,976 shares of common stock, as partial compensation for the Reporting Person's service as the President and Chief Operating Officer of the Issuer, which shall vest quarterly in twelve (12) equal quarterly installments beginning on June 27, 2025, subject to satisfaction of the Reporting Person's continuous service.

SEC source: 0001437749-25-012719 · rdgdoc.xml · derivative · entry 1

Lipschitz Gregory · CIK 0002044426 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 197,963

Underlying: Common Stock · 197,963 shares

Expires not disclosed

F1 · kind: On April 18, 2025, the Reporting Person was granted restricted stock units under the Issuer's 2024 Long-Term Incentive Plan ("Plan") for 197,963 shares of common stock, as partial compensation for the Reporting Person's service as the Chief Executive Officer of the Issuer, which shall vest monthly in thirty-six (36) equal monthly installments beginning on April 27, 2025, subject to satisfaction of the Reporting Person's continuous service.

F1 · derivative.exercise_date: On April 18, 2025, the Reporting Person was granted restricted stock units under the Issuer's 2024 Long-Term Incentive Plan ("Plan") for 197,963 shares of common stock, as partial compensation for the Reporting Person's service as the Chief Executive Officer of the Issuer, which shall vest monthly in thirty-six (36) equal monthly installments beginning on April 27, 2025, subject to satisfaction of the Reporting Person's continuous service.

F1 · derivative.expiration_date: On April 18, 2025, the Reporting Person was granted restricted stock units under the Issuer's 2024 Long-Term Incentive Plan ("Plan") for 197,963 shares of common stock, as partial compensation for the Reporting Person's service as the Chief Executive Officer of the Issuer, which shall vest monthly in thirty-six (36) equal monthly installments beginning on April 27, 2025, subject to satisfaction of the Reporting Person's continuous service.

SEC source: 0001437749-25-007342 · rdgdoc.xml · derivative · entry 1

Menawat Arun Swarup · CIK 0001685893 · Director · Chairman

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 16,667

Underlying: Common Stock · 16,667 shares

Expires not disclosed

F1 · derivative.exercise_price: On March 10, 2025, the Reporting Person was granted 16,667 DSUs under the Issuer's 2024 Long-Term Incentive Plan. A total of 8,333 DSUs vested immediately on the date of grant. Another 4,167 DSUs will vest on June 10, 2025, and an additional 4,167 DSUs will vest on September 10, 2025. Each DSU represents a contingent right to receive one share of common stock of the Issuer.

F1 · derivative.exercise_date: On March 10, 2025, the Reporting Person was granted 16,667 DSUs under the Issuer's 2024 Long-Term Incentive Plan. A total of 8,333 DSUs vested immediately on the date of grant. Another 4,167 DSUs will vest on June 10, 2025, and an additional 4,167 DSUs will vest on September 10, 2025. Each DSU represents a contingent right to receive one share of common stock of the Issuer.

F1 · derivative.expiration_date: On March 10, 2025, the Reporting Person was granted 16,667 DSUs under the Issuer's 2024 Long-Term Incentive Plan. A total of 8,333 DSUs vested immediately on the date of grant. Another 4,167 DSUs will vest on June 10, 2025, and an additional 4,167 DSUs will vest on September 10, 2025. Each DSU represents a contingent right to receive one share of common stock of the Issuer.

SEC source: 0001437749-25-007341 · rdgdoc.xml · derivative · entry 1

POSNER BRIAN M · CIK 0001287711 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 16,667

Underlying: Common Stock · 16,667 shares

Expires not disclosed

F1 · derivative.exercise_price: On March 10, 2025, the Reporting Person was granted 16,667 DSUs under the Issuer's 2024 Long-Term Incentive Plan. A total of 8,333 DSUs vested immediately on the date of grant. Another 4,167 DSUs will vest on June 10, 2025, and an additional 4,167 DSUs will vest on September 10, 2025. Each DSU represents a contingent right to receive one share of common stock of the Issuer.

F1 · derivative.exercise_date: On March 10, 2025, the Reporting Person was granted 16,667 DSUs under the Issuer's 2024 Long-Term Incentive Plan. A total of 8,333 DSUs vested immediately on the date of grant. Another 4,167 DSUs will vest on June 10, 2025, and an additional 4,167 DSUs will vest on September 10, 2025. Each DSU represents a contingent right to receive one share of common stock of the Issuer.

F1 · derivative.expiration_date: On March 10, 2025, the Reporting Person was granted 16,667 DSUs under the Issuer's 2024 Long-Term Incentive Plan. A total of 8,333 DSUs vested immediately on the date of grant. Another 4,167 DSUs will vest on June 10, 2025, and an additional 4,167 DSUs will vest on September 10, 2025. Each DSU represents a contingent right to receive one share of common stock of the Issuer.

SEC source: 0001437749-25-007340 · rdgdoc.xml · derivative · entry 1

DeCaprio David · CIK 0002037798 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 16,667

Underlying: Common Stock · 16,667 shares

Expires not disclosed

F1 · derivative.exercise_price: On March 10, 2025, the Reporting Person was granted 16,667 DSUs under the Issuer's 2024 Long-Term Incentive Plan. A total of 8,333 DSUs vested immediately on the date of grant. Another 4,167 DSUs will vest on June 10, 2025, and an additional 4,167 DSUs will vest on September 10, 2025. Each DSU represents a contingent right to receive one share of common stock of the Issuer.

F1 · derivative.exercise_date: On March 10, 2025, the Reporting Person was granted 16,667 DSUs under the Issuer's 2024 Long-Term Incentive Plan. A total of 8,333 DSUs vested immediately on the date of grant. Another 4,167 DSUs will vest on June 10, 2025, and an additional 4,167 DSUs will vest on September 10, 2025. Each DSU represents a contingent right to receive one share of common stock of the Issuer.

F1 · derivative.expiration_date: On March 10, 2025, the Reporting Person was granted 16,667 DSUs under the Issuer's 2024 Long-Term Incentive Plan. A total of 8,333 DSUs vested immediately on the date of grant. Another 4,167 DSUs will vest on June 10, 2025, and an additional 4,167 DSUs will vest on September 10, 2025. Each DSU represents a contingent right to receive one share of common stock of the Issuer.

SEC source: 0001437749-25-007339 · rdgdoc.xml · derivative · entry 2

Krzywicki Paul · CIK 0002037815 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 26,024

Underlying: Common Stock · 15,000 shares

Expires 2035-03-10

F2 · derivative.exercise_date: The Incentive Stock Option becomes vested and exercisable over two years in eight equal quarterly installments after the date of grant.

SEC source: 0001437749-25-007339 · rdgdoc.xml · derivative · entry 1

Krzywicki Paul · CIK 0002037815 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires not disclosed

F1 · derivative.exercise_price: On March 10, 2025, the Reporting Person was granted 10,000 restricted stock units under the Issuer's 2024 Long-Term Incentive Plan. The 10,000 restricted stock units vest quarterly over two years commencing on March 10, 2025. Each restricted stock unit represents a contingent right to receive one share of common stock of the Issuer.

F1 · derivative.exercise_date: On March 10, 2025, the Reporting Person was granted 10,000 restricted stock units under the Issuer's 2024 Long-Term Incentive Plan. The 10,000 restricted stock units vest quarterly over two years commencing on March 10, 2025. Each restricted stock unit represents a contingent right to receive one share of common stock of the Issuer.

F1 · derivative.expiration_date: On March 10, 2025, the Reporting Person was granted 10,000 restricted stock units under the Issuer's 2024 Long-Term Incentive Plan. The 10,000 restricted stock units vest quarterly over two years commencing on March 10, 2025. Each restricted stock unit represents a contingent right to receive one share of common stock of the Issuer.

SEC source: 0001437749-25-007338 · rdgdoc.xml · derivative · entry 1

Vnook Stella · CIK 0002037643 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 16,667

Underlying: Common Stock · 16,667 shares

Expires not disclosed

F1 · derivative.exercise_price: On March 10, 2025, the Reporting Person was granted 16,667 DSUs under the Issuer's 2024 Long-Term Incentive Plan. A total of 8,333 DSUs vested immediately on the date of grant. Another 4,167 DSUs will vest on June 10, 2025, and an additional 4,167 DSUs will vest on September 10, 2025. Each DSU represents a contingent right to receive one share of common stock of the Issuer.

F1 · derivative.exercise_date: On March 10, 2025, the Reporting Person was granted 16,667 DSUs under the Issuer's 2024 Long-Term Incentive Plan. A total of 8,333 DSUs vested immediately on the date of grant. Another 4,167 DSUs will vest on June 10, 2025, and an additional 4,167 DSUs will vest on September 10, 2025. Each DSU represents a contingent right to receive one share of common stock of the Issuer.

F1 · derivative.expiration_date: On March 10, 2025, the Reporting Person was granted 16,667 DSUs under the Issuer's 2024 Long-Term Incentive Plan. A total of 8,333 DSUs vested immediately on the date of grant. Another 4,167 DSUs will vest on June 10, 2025, and an additional 4,167 DSUs will vest on September 10, 2025. Each DSU represents a contingent right to receive one share of common stock of the Issuer.

SEC source: 0001437749-24-032018 · rdgdoc.xml · nonDerivative · entry 1

Johnson David Ian · CIK 0001563432 · Director · Executive Chairman

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 557,885

F1 · security: The reporting person was granted the shares of restricted common stock pursuant to that certain Employment Agreement, by and between Firefly Neuroscience, Inc. and the reporting person. One-half the shares shall vest on each of the sixth and twelfth month anniversaries of the grant date, provided that the reporting person has not incurred a termination of service prior to the applicable vesting date.

SEC source: 0001437749-23-030657 · rdgdoc.xml · derivative · entry 1

DiPAULA JAMES C JR · CIK 0001897056 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 16,856

Underlying: Common Stock · 5,000 shares

Expires 2028-10-25

F1 · kind: Granted pursuant to and in accordance with the WaveDancer 2021 Stock Incentive Plan.

F2 · derivative.exercise_date: The options become exercisable as to 2,500 Options on October 25, 2024, and 2,500 Options on October 25, 2026.

F3 · balance_after: Includes options for 11,000 shares, and warrants for 5,856 shares of common stock.

SEC source: 0001437749-23-030637 · rdgdoc.xml · derivative · entry 1

BENOIT GERALD JAMES JR · CIK 0001880436 · Director · CEO · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 228,833

Underlying: Common Stock · 12,500 shares

Expires 2028-10-25

F1 · kind: Granted pursuant to and in accordance with the WaveDancer 2021 Stock Incentive Plan.

F2 · derivative.exercise_date: The options become exercisable as to 4,167 Options on October 25, 2024; 4,167 Options on October 25, 2025; and 4,166 Options on October 25,2026.

F3 · balance_after: Includes options for 151,500 shares, and warrants for 77,333 shares of common stock.

SEC source: 0001437749-23-030634 · rdgdoc.xml · derivative · entry 1

WACHTEL BONNIE K · CIK 0001245354 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 16,500

Underlying: Common Stock · 5,000 shares

Expires 2028-10-25

F1 · kind: Granted pursuant to and in accordance with the WaveDancer 2021 Stock Incentive Plan.

F2 · derivative.exercise_date: The options become exercisable as to 2,500 Options on October 25, 2024, and 2,500 Options on October 25, 2025.

F3 · balance_after: Includes options for 14,000 shares, and warrants for 2,500 shares of common stock.

SEC source: 0001437749-23-030632 · rdgdoc.xml · derivative · entry 1

Pickle William Henry · CIK 0001630303 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 5,000 shares

Expires 2028-10-25

F1 · kind: Granted pursuant to and in accordance with the WaveDancer 2021 Stock Incentive Plan.

F2 · derivative.exercise_date: The options become exercisable as to 2,500 Options on October 25, 2024, and 2,500 Options on October 25, 2025.

SEC source: 0001437749-23-030522 · rdgdoc.xml · derivative · entry 1

JOHNSON JACK L JR · CIK 0001854449 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 16,500

Underlying: Common Stock · 5,000 shares

Expires 2028-10-25

F1 · kind: Granted pursuant to and in accordance with the WaveDancer 2021 Stock Incentive Plan.

F2 · derivative.exercise_date: The options become exercisable as to 2,500 Options on October 25, 2024, and 2,500 Options on October 25, 2025.

F3 · balance_after: Includes options for 13,000 shares, and warrants for 3,500 shares of common stock.

SEC source: 0001437749-23-030519 · rdgdoc.xml · derivative · entry 1

BECKER PAUL B · CIK 0001897198 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 11,000

Underlying: Common Stock · 5,000 shares

Expires 2028-10-25

F1 · kind: Granted pursuant to and in accordance with the WaveDancer 2021 Stock Incentive Plan.

F2 · derivative.exercise_date: The options become exercisable as to 2,500 Options on October 25, 2024, and 2,500 Options on October 25, 2025.

SEC source: 0001437749-23-030517 · rdgdoc.xml · derivative · entry 1

HANNON TIMOTHY G · CIK 0001885180 · CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 41,500

Underlying: Common Stock · 12,500 shares

Expires 2028-10-25

F1 · kind: Granted pursuant to and in accordance with the WaveDancer 2021 Stock Incentive Plan.

F2 · derivative.exercise_date: The options become exercisable as to 4,167 options on October 25, 2024; 4,167 Options on October 25, 2025; and 4,166 Options on October 25,2026

SEC source: 0001437749-23-027340 · rdgdoc.xml · nonDerivative · entry 1

BENOIT GERALD JAMES JR · CIK 0001880436 · Director · CEO · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,985,781

F1 · price: Shares acquired in a private placement.

SEC source: 0001437749-22-029115 · rdgdoc.xml · nonDerivative · entry 1

BENOIT GERALD JAMES JR · CIK 0001880436 · Director · CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,635,781

F1 · shares: Shares acquired in accordance with filer's Rule 10b5-1 Plan

SEC source: 0001437749-22-028964 · rdgdoc.xml · nonDerivative · entry 18

BENOIT GERALD JAMES JR · CIK 0001880436 · Director · CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,631,785

F1 · shares: Shares acquired in accordance with filer's Rule 10b5-1 Plan

SEC source: 0001437749-22-028964 · rdgdoc.xml · nonDerivative · entry 17

BENOIT GERALD JAMES JR · CIK 0001880436 · Director · CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,616,798

F1 · shares: Shares acquired in accordance with filer's Rule 10b5-1 Plan

SEC source: 0001437749-22-028964 · rdgdoc.xml · nonDerivative · entry 16

BENOIT GERALD JAMES JR · CIK 0001880436 · Director · CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,616,456

F1 · shares: Shares acquired in accordance with filer's Rule 10b5-1 Plan

SEC source: 0001437749-22-028964 · rdgdoc.xml · nonDerivative · entry 15

BENOIT GERALD JAMES JR · CIK 0001880436 · Director · CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,616,357

F1 · shares: Shares acquired in accordance with filer's Rule 10b5-1 Plan

SEC source: 0001437749-22-028964 · rdgdoc.xml · nonDerivative · entry 14

BENOIT GERALD JAMES JR · CIK 0001880436 · Director · CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,616,256

F1 · shares: Shares acquired in accordance with filer's Rule 10b5-1 Plan

SEC source: 0001437749-22-028964 · rdgdoc.xml · nonDerivative · entry 13

BENOIT GERALD JAMES JR · CIK 0001880436 · Director · CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,615,356

F1 · shares: Shares acquired in accordance with filer's Rule 10b5-1 Plan

SEC source: 0001437749-22-028964 · rdgdoc.xml · nonDerivative · entry 12

BENOIT GERALD JAMES JR · CIK 0001880436 · Director · CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,614,456

F1 · shares: Shares acquired in accordance with filer's Rule 10b5-1 Plan

SEC source: 0001437749-22-028964 · rdgdoc.xml · nonDerivative · entry 11

BENOIT GERALD JAMES JR · CIK 0001880436 · Director · CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,614,140

F1 · shares: Shares acquired in accordance with filer's Rule 10b5-1 Plan

SEC source: 0001437749-22-028964 · rdgdoc.xml · nonDerivative · entry 10

BENOIT GERALD JAMES JR · CIK 0001880436 · Director · CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,612,732

F1 · shares: Shares acquired in accordance with filer's Rule 10b5-1 Plan

SEC source: 0001437749-22-028964 · rdgdoc.xml · nonDerivative · entry 9

BENOIT GERALD JAMES JR · CIK 0001880436 · Director · CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,612,697

F1 · shares: Shares acquired in accordance with filer's Rule 10b5-1 Plan

SEC source: 0001437749-22-028964 · rdgdoc.xml · nonDerivative · entry 8

BENOIT GERALD JAMES JR · CIK 0001880436 · Director · CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,612,492

F1 · shares: Shares acquired in accordance with filer's Rule 10b5-1 Plan

SEC source: 0001437749-22-028964 · rdgdoc.xml · nonDerivative · entry 7

BENOIT GERALD JAMES JR · CIK 0001880436 · Director · CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,611,398

F1 · shares: Shares acquired in accordance with filer's Rule 10b5-1 Plan

SEC source: 0001437749-22-028964 · rdgdoc.xml · nonDerivative · entry 6

BENOIT GERALD JAMES JR · CIK 0001880436 · Director · CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,611,392

F1 · shares: Shares acquired in accordance with filer's Rule 10b5-1 Plan