CHUC

SEC source: 0001415889-19-000679 · form4a-06102019_100632.xml · nonDerivative · entry 7

Cohen Scot · CIK 0001558913 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By V3 Capital Partners LLC

Disclosed balance after: 80,125,152

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · price: Each share of Series B Convertible Preferred Stock ("Series B Preferred") was convertible into that number of shares of the Registrant's common stock equal to the stated value, $4 per share, divided by the conversion price of $0.25 per share.

SEC source: 0001415889-19-000679 · form4a-06102019_100632.xml · nonDerivative · entry 6

Cohen Scot · CIK 0001558913 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · by IRA

Disclosed balance after: 200,000

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · price: Each share of Series B Convertible Preferred Stock ("Series B Preferred") was convertible into that number of shares of the Registrant's common stock equal to the stated value, $4 per share, divided by the conversion price of $0.25 per share.

SEC source: 0001415889-19-000679 · form4a-06102019_100632.xml · nonDerivative · entry 5

Cohen Scot · CIK 0001558913 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 121,609,439

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · price: Each share of Series D Convertible Preferred Stock ("Series D Preferred") was convertible into that number of shares of the Registrant's common stock equal to the stated value, $100 per share, divided by the conversion price of $0.025 per share.

SEC source: 0001415889-19-000679 · form4a-06102019_100632.xml · nonDerivative · entry 4

Cohen Scot · CIK 0001558913 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 105,609,439

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · price: Each share of Series B Convertible Preferred Stock ("Series B Preferred") was convertible into that number of shares of the Registrant's common stock equal to the stated value, $4 per share, divided by the conversion price of $0.25 per share.

SEC source: 0001415889-19-000679 · form4a-06102019_100632.xml · nonDerivative · entry 3

Cohen Scot · CIK 0001558913 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By V3 Capital Partners LLC

Disclosed balance after: 78,225,152

F2 · price: Shares issued to the Reporting Person as compensation for advisory services rendered by the Reporting Person in connection with Exchange.

SEC source: 0001415889-19-000679 · form4a-06102019_100632.xml · nonDerivative · entry 2

Cohen Scot · CIK 0001558913 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 105,549,439

F2 · price: Shares issued to the Reporting Person as compensation for advisory services rendered by the Reporting Person in connection with Exchange.

SEC source: 0001415889-19-000679 · form4a-06102019_100632.xml · nonDerivative · entry 1

Cohen Scot · CIK 0001558913 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,208,178

F1 · price: Securities received by the Reporting Person in exchange for 200,000 membership units of Charlie's Chalk Dust, LLC ("CCD") owned by the Reporting Person in connection with exchange of all outstanding membership units of CCD for securities of the Registrant, consisting of shares of the Registrant's common stock, Series A Convertible Preferred Stock ("Series A Preferred"), and warrants to purchase shares of the Registrant's common stock (the "Exchange").

SEC source: 0001415889-18-001092 · form4-07062018_060718.xml · derivative · entry 3

Sherman Kevin Charles · CIK 0001483052 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,971,988

Underlying: Common Stock · 35,971,988 shares

Expires 2028-01-30

SEC source: 0001415889-18-001092 · form4-07062018_060718.xml · derivative · entry 2

Sherman Kevin Charles · CIK 0001483052 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,238,012

Underlying: Common Stock · 10,238,012 shares

Expires 2023-01-30

F1 · kind: The reported transaction involved the modification of certain outstanding options, resulting in the deemed cancellation of the "old" options and the grant of replacement options with a reduced exercise price of $0.025 per share and extended expiration date, which modifications were approved in advance by the Issuer's Board of Directors on January 30, 2018. The cancellation and subsequent grant were both exempt from Section 16(b) pursuant to Rule 16b-3(e) and Rule 16b-3(d), respectively.

F1 · price: The reported transaction involved the modification of certain outstanding options, resulting in the deemed cancellation of the "old" options and the grant of replacement options with a reduced exercise price of $0.025 per share and extended expiration date, which modifications were approved in advance by the Issuer's Board of Directors on January 30, 2018. The cancellation and subsequent grant were both exempt from Section 16(b) pursuant to Rule 16b-3(e) and Rule 16b-3(d), respectively.

SEC source: 0001415889-18-001092 · form4-07062018_060718.xml · derivative · entry 1

Sherman Kevin Charles · CIK 0001483052 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: Not disclosed

Underlying: Common Stock · 10,238,012 shares

Expires 2022-09-29

F1 · kind: The reported transaction involved the modification of certain outstanding options, resulting in the deemed cancellation of the "old" options and the grant of replacement options with a reduced exercise price of $0.025 per share and extended expiration date, which modifications were approved in advance by the Issuer's Board of Directors on January 30, 2018. The cancellation and subsequent grant were both exempt from Section 16(b) pursuant to Rule 16b-3(e) and Rule 16b-3(d), respectively.

F1 · price: The reported transaction involved the modification of certain outstanding options, resulting in the deemed cancellation of the "old" options and the grant of replacement options with a reduced exercise price of $0.025 per share and extended expiration date, which modifications were approved in advance by the Issuer's Board of Directors on January 30, 2018. The cancellation and subsequent grant were both exempt from Section 16(b) pursuant to Rule 16b-3(e) and Rule 16b-3(d), respectively.

F1 · derivative.expiration_date: The reported transaction involved the modification of certain outstanding options, resulting in the deemed cancellation of the "old" options and the grant of replacement options with a reduced exercise price of $0.025 per share and extended expiration date, which modifications were approved in advance by the Issuer's Board of Directors on January 30, 2018. The cancellation and subsequent grant were both exempt from Section 16(b) pursuant to Rule 16b-3(e) and Rule 16b-3(d), respectively.

SEC source: 0001415889-18-001091 · form4-07062018_060741.xml · derivative · entry 1

Cohen Scot · CIK 0001558913 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,114,826

Underlying: Common Stock · 7,114,826 shares

Expires 2028-01-30

SEC source: 0001415889-18-001090 · form4-07062018_060756.xml · derivative · entry 3

VAN BOERUM ROBERT · CIK 0001655832 · CEO AND CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,172,294

Underlying: Common Stock · 3,172,294 shares

Expires 2028-01-30

SEC source: 0001415889-18-001090 · form4-07062018_060756.xml · derivative · entry 2

VAN BOERUM ROBERT · CIK 0001655832 · CEO AND CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,937,706

Underlying: Common Stock · 3,937,706 shares

Expires 2023-01-30

F1 · kind: The reported transaction involved the modification of certain outstanding options, resulting in the deemed cancellation of the "old" options and the grant of replacement options with a reduced exercise price of $0.025 per share and extended expiration date, which modifications were approved in advance by the Issuer's Board of Directors on January 30, 2018. The cancellation and subsequent grant were both exempt from Section 16(b) pursuant to Rule 16b-3(e) and Rule 16b-3(d), respectively.

F1 · price: The reported transaction involved the modification of certain outstanding options, resulting in the deemed cancellation of the "old" options and the grant of replacement options with a reduced exercise price of $0.025 per share and extended expiration date, which modifications were approved in advance by the Issuer's Board of Directors on January 30, 2018. The cancellation and subsequent grant were both exempt from Section 16(b) pursuant to Rule 16b-3(e) and Rule 16b-3(d), respectively.

F1 · derivative.expiration_date: The reported transaction involved the modification of certain outstanding options, resulting in the deemed cancellation of the "old" options and the grant of replacement options with a reduced exercise price of $0.025 per share and extended expiration date, which modifications were approved in advance by the Issuer's Board of Directors on January 30, 2018. The cancellation and subsequent grant were both exempt from Section 16(b) pursuant to Rule 16b-3(e) and Rule 16b-3(d), respectively.

SEC source: 0001415889-18-001090 · form4-07062018_060756.xml · derivative · entry 1

VAN BOERUM ROBERT · CIK 0001655832 · CEO AND CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,937,706 shares

Expires 2022-09-29

F1 · kind: The reported transaction involved the modification of certain outstanding options, resulting in the deemed cancellation of the "old" options and the grant of replacement options with a reduced exercise price of $0.025 per share and extended expiration date, which modifications were approved in advance by the Issuer's Board of Directors on January 30, 2018. The cancellation and subsequent grant were both exempt from Section 16(b) pursuant to Rule 16b-3(e) and Rule 16b-3(d), respectively.

F1 · price: The reported transaction involved the modification of certain outstanding options, resulting in the deemed cancellation of the "old" options and the grant of replacement options with a reduced exercise price of $0.025 per share and extended expiration date, which modifications were approved in advance by the Issuer's Board of Directors on January 30, 2018. The cancellation and subsequent grant were both exempt from Section 16(b) pursuant to Rule 16b-3(e) and Rule 16b-3(d), respectively.

F1 · derivative.expiration_date: The reported transaction involved the modification of certain outstanding options, resulting in the deemed cancellation of the "old" options and the grant of replacement options with a reduced exercise price of $0.025 per share and extended expiration date, which modifications were approved in advance by the Issuer's Board of Directors on January 30, 2018. The cancellation and subsequent grant were both exempt from Section 16(b) pursuant to Rule 16b-3(e) and Rule 16b-3(d), respectively.

SEC source: 0001415889-18-001089 · form4-07062018_060734.xml · derivative · entry 3

Greco James J · CIK 0001697306 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,644,921

Underlying: Common Stock · 12,644,921 shares

Expires 2028-01-30

SEC source: 0001415889-18-001089 · form4-07062018_060734.xml · derivative · entry 2

Greco James J · CIK 0001697306 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,575,079

Underlying: Common Stock · 1,575,079 shares

Expires 2023-01-30

F1 · kind: The reported transaction involved (i) the forfeiture of 14,175,710 outstanding options, and (ii) the modification of 1,575,079 outstanding options, resulting in the deemed cancellation of the "old" options and the grant of replacement options with a reduced exercise price of $0.025 per share and extended expiration date, which modifications were approved in advance by the Issuer's Board of Directors on January 30, 2018. The cancellation and subsequent grant were both exempt from Section 16(b) pursuant to Rule 16b-3(e) and Rule 16b-3(d), respectively.

F1 · price: The reported transaction involved (i) the forfeiture of 14,175,710 outstanding options, and (ii) the modification of 1,575,079 outstanding options, resulting in the deemed cancellation of the "old" options and the grant of replacement options with a reduced exercise price of $0.025 per share and extended expiration date, which modifications were approved in advance by the Issuer's Board of Directors on January 30, 2018. The cancellation and subsequent grant were both exempt from Section 16(b) pursuant to Rule 16b-3(e) and Rule 16b-3(d), respectively.

F1 · derivative.expiration_date: The reported transaction involved (i) the forfeiture of 14,175,710 outstanding options, and (ii) the modification of 1,575,079 outstanding options, resulting in the deemed cancellation of the "old" options and the grant of replacement options with a reduced exercise price of $0.025 per share and extended expiration date, which modifications were approved in advance by the Issuer's Board of Directors on January 30, 2018. The cancellation and subsequent grant were both exempt from Section 16(b) pursuant to Rule 16b-3(e) and Rule 16b-3(d), respectively.

SEC source: 0001415889-18-001089 · form4-07062018_060734.xml · derivative · entry 1

Greco James J · CIK 0001697306 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 15,750,789 shares

Expires 2022-04-13

F1 · kind: The reported transaction involved (i) the forfeiture of 14,175,710 outstanding options, and (ii) the modification of 1,575,079 outstanding options, resulting in the deemed cancellation of the "old" options and the grant of replacement options with a reduced exercise price of $0.025 per share and extended expiration date, which modifications were approved in advance by the Issuer's Board of Directors on January 30, 2018. The cancellation and subsequent grant were both exempt from Section 16(b) pursuant to Rule 16b-3(e) and Rule 16b-3(d), respectively.

F1 · price: The reported transaction involved (i) the forfeiture of 14,175,710 outstanding options, and (ii) the modification of 1,575,079 outstanding options, resulting in the deemed cancellation of the "old" options and the grant of replacement options with a reduced exercise price of $0.025 per share and extended expiration date, which modifications were approved in advance by the Issuer's Board of Directors on January 30, 2018. The cancellation and subsequent grant were both exempt from Section 16(b) pursuant to Rule 16b-3(e) and Rule 16b-3(d), respectively.

F1 · derivative.expiration_date: The reported transaction involved (i) the forfeiture of 14,175,710 outstanding options, and (ii) the modification of 1,575,079 outstanding options, resulting in the deemed cancellation of the "old" options and the grant of replacement options with a reduced exercise price of $0.025 per share and extended expiration date, which modifications were approved in advance by the Issuer's Board of Directors on January 30, 2018. The cancellation and subsequent grant were both exempt from Section 16(b) pursuant to Rule 16b-3(e) and Rule 16b-3(d), respectively.

SEC source: 0001415889-19-000160 · form5-02132019_030248.xml · nonDerivative · entry 1

Greco James J · CIK 0001697306 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000,000

F1 · price: The shares reported herein were issued to the Reporting Person in lieu of cash as compensation for services rendered by the Reporting Person to the Issuer from April 2017 to September 2017 in his capacity as Chief Executive Officer.

SEC source: 0001567619-22-021270 · doc1.xml · nonDerivative · entry 1

Stump Ryan · CIK 0001775621 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 498,901