CIMG

SEC source: 0001641172-25-002636 · ownership.xml · nonDerivative · entry 1

Dada Business Trading Co., Ltd. · CIK 0002039337 · 10% owner

YANG YUBO · CIK 0002039228 · 10% owner

Dai Zheng · CIK 0001825507 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,739,761

F1 · ownership.direct: Zheng Dai is the sole director of Dada Business Trading Co., Ltd. Dada Business Trading Co., Limited is governed by its sole director, Mr. Zheng Dai. As such, Mr. Dai has voting and investment discretion with respect to the ordinary shares held of record by Dada Business Trading Co., Limited and may be deemed to have beneficial ownership of the shares held directly by Dada Business Trading Co., Limited. Yubo Yang is the sole shareholder of Dada Business Trading Co., Ltd.

SEC source: 0001641172-25-002638 · ownership.xml · nonDerivative · entry 1

VMADE CO., LTD · CIK 0002035197 · 10% owner

Liu Xiaodong · CIK 0002035199 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,400,282

F1 · ownership.direct: Xiaodong Liu beneficially owns such shares of common stock through his indirect 100% ownership of VMADE CO. LIMITED. Xiaodong Liu is the sole director of VMADE CO. LIMITED.

SEC source: 0001641172-25-002637 · ownership.xml · nonDerivative · entry 1

JOYER INVESTMENT LTD. · CIK 0002030559 · 10% owner

Liu Yumei · CIK 0002022237 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,125,872

F1 · ownership.direct: Yumei Liu beneficially owns such shares of common stock through his indirect 100% ownership of Joyer investment Limited. Yumei Liu is the sole director of Joyer investment Limited

SEC source: 0001641172-25-002639 · ownership.xml · nonDerivative · entry 1

YY Tech Inc · CIK 0002026188 · 10% owner

Liu Yujie · CIK 0002027127 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,125,872

F1 · ownership.direct: Yujie Liu beneficially owns such shares of common stock through his indirect 100% ownership of YY Tech Inc. Yujie Liu is the sole director of YY Tech Inc.

SEC source: 0001641172-25-002636 · ownership.xml · derivative · entry 2

Dada Business Trading Co., Ltd. · CIK 0002039337 · 10% owner

YANG YUBO · CIK 0002039228 · 10% owner

Dai Zheng · CIK 0001825507 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,739,761

Underlying: Common Stock · 3,333,333 shares

Expires 2027-01-17

SEC source: 0001641172-25-002638 · ownership.xml · derivative · entry 2

VMADE CO., LTD · CIK 0002035197 · 10% owner

Liu Xiaodong · CIK 0002035199 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,400,282

Underlying: Common Stock · 3,871,794 shares

Expires 2027-01-17

SEC source: 0001641172-25-002639 · ownership.xml · derivative · entry 2

YY Tech Inc · CIK 0002026188 · 10% owner

Liu Yujie · CIK 0002027127 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,125,872

Underlying: Common Stock · 4,756,410 shares

Expires 2027-01-17

SEC source: 0001641172-25-002637 · ownership.xml · derivative · entry 2

JOYER INVESTMENT LTD. · CIK 0002030559 · 10% owner

Liu Yumei · CIK 0002022237 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,125,872

Underlying: Common Stock · 4,051,282 shares

Expires 2027-01-16

SEC source: 0001493152-24-042305 · ownership.xml · derivative · entry 2

Liu Yumei · CIK 0002022237 · 10% owner

Future Science & Technology Co. Ltd. · CIK 0002022045 · 10% owner

JOYER INVESTMENT LTD. · CIK 0002030559 · 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: 0

Underlying: Common Stock · 82,930 shares

Expires 2026-04-30

F2 · price: On October 18, 2024, Future Science and Technology Co. Ltd exercised its cashless option to purchase 20,990 shares of common stock pursuant to warrants issued by the Issuer sold under the convertible note and warrant purchase agreement dated April 27, 2024.

F1 · ownership.nature: Yumei Liu beneficially owns 20,990 shares of common stock through her indirect 100% ownership of Future science and Technology Co. Ltd pursuant to the cashless exercise of warrants issued by the Issuer under the convertible note and warrant purchase agreement dated April 27, 2024. Additionally, Yumei Liu beneficially owns 542,517 shares of common stock through her direct 100% ownership of JOYER INVESTMENT LIMITED.

SEC source: 0001493152-24-042305 · ownership.xml · nonDerivative · entry 1

Liu Yumei · CIK 0002022237 · 10% owner

Future Science & Technology Co. Ltd. · CIK 0002022045 · 10% owner

JOYER INVESTMENT LTD. · CIK 0002030559 · 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: 563,507

F1 · ownership.nature: Yumei Liu beneficially owns 20,990 shares of common stock through her indirect 100% ownership of Future science and Technology Co. Ltd pursuant to the cashless exercise of warrants issued by the Issuer under the convertible note and warrant purchase agreement dated April 27, 2024. Additionally, Yumei Liu beneficially owns 542,517 shares of common stock through her direct 100% ownership of JOYER INVESTMENT LIMITED.

SEC source: 0001493152-24-041319 · ownership.xml · nonDerivative · entry 1

DYT INFO PTE. LTD. · CIK 0002026155 · 10% owner

Jiang Shelei · CIK 0002027141 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,496,159

F1 · ownership.direct: Shelei Jiang beneficially owns such shares of common stock through his indirect 100% ownership of DYT INFO PTE. LTD. Shelei Jiang is the sole director of DYT INFO PTE. LTD.

SEC source: 0001493152-24-034076 · ownership.xml · nonDerivative · entry 1

Liu Yumei · CIK 0002022237 · 10% owner

Future Science & Technology Co. Ltd. · CIK 0002022045 · 10% owner

JOYER INVESTMENT LTD. · CIK 0002030559 · 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: 542,517

F1 · ownership.nature: Yumei Liu beneficially owns such shares of common stock through her indirect 100% ownership of Future science and Technology Co. Ltd and JOYER INVESTMENT LIMITED.

SEC source: 0001493152-24-034078 · ownership.xml · nonDerivative · entry 1

Zhang Xiang · CIK 0002022039 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

SEC source: 0001493152-24-028846 · ownership.xml · nonDerivative · entry 1

Liu Yumei · CIK 0002022237 · 10% owner

Future Science & Technology Co. Ltd. · CIK 0002022045 · 10% owner

JOYER INVESTMENT LTD. · CIK 0002030559 · 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: 626,132

F1 · ownership.nature: Yumei Liu beneficially owns such shares of common stock through her indirect 100% ownership of Future science and Technology Co. Ltd and JOYER INVESTMENT LIMITED.

SEC source: 0001493152-24-028845 · ownership.xml · nonDerivative · entry 1

DYT INFO PTE. LTD. · CIK 0002026155 · 10% owner

Jiang Shelei · CIK 0002027141 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 794,405

F1 · ownership.direct: Shelei Jiang beneficially owns such shares of common stock through his indirect 100% ownership of DYT INFO PTE. LTD.

SEC source: 0001493152-24-023971 · ownership.xml · derivative · entry 2

Liu Yumei · CIK 0002022237 · 10% owner

Future Science & Technology Co. Ltd. · CIK 0002022045 · 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: 0

Underlying: Common Stock · 83,615 shares

Expires not disclosed

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.

F2 · derivative.expiration_date: Pursuant to the convertible promissory note (the "Note") dated April 30, 2024, the issuer shall pay the reporting person, an amount in cash representing all outstanding principal, accrued and unpaid interest, and any other amounts outstanding pursuant to the terms of the Note on April 30, 2025 ("Maturity Date"). The Note will be convertible into the issuer's common stock until it is fully paid.

F1 · ownership.nature: Yumei Liu beneficially owns such shares of common stock through her indirect 100% ownership of Future science and Technology Co. Ltd.

SEC source: 0001493152-24-023971 · ownership.xml · nonDerivative · entry 1

Liu Yumei · CIK 0002022237 · 10% owner

Future Science & Technology Co. Ltd. · CIK 0002022045 · 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: 83,615

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.

F1 · ownership.nature: Yumei Liu beneficially owns such shares of common stock through her indirect 100% ownership of Future science and Technology Co. Ltd.

SEC source: 0001493152-24-023972 · ownership.xml · derivative · entry 2

Zhang Xiang · CIK 0002022039 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 139,357 shares

Expires not disclosed

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.

F1 · derivative.expiration_date: Pursuant to the convertible promissory note (the "Note") dated April 30, 2024, the issuer shall pay the reporting person, an amount in cash representing all outstanding principal, accrued and unpaid interest, and any other amounts outstanding pursuant to the terms of the Note on April 30, 2025 ("Maturity Date"). The Note will be convertible into the issuer's common stock until it is fully paid.

SEC source: 0001493152-24-023972 · ownership.xml · nonDerivative · entry 1

Zhang Xiang · CIK 0002022039 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 139,357

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.

SEC source: 0001493152-23-037372 · ownership.xml · nonDerivative · entry 1

HIGASHIDA MASATERU · CIK 0001630849 · Director · See Remarks · 10% owner

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 133,059

F1 · shares: Reflects the sale of shares of common stock by the reporting person pursuant to a Rule 10b5-1 Trading Plan adopted by the reporting person.

F2 · price: The price reported in Column 4 is a weighted-average price. These shares were purchased in multiple transactions at prices ranging from $5.15 to $5.30, inclusive. For all transactions reported in this Form 4 utilizing a weighted-average price, the reporting person will provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares purchased at each price within the range.

F3 · balance_after: On December 28, 2022 the Issuer effected a 1-for 35 reverse stock split (the "Reverse Stock Split"). The number of securities reported on this Form 4 have been adjusted to reflect the Reverse Stock Split.

SEC source: 0001493152-23-032839 · ownership.xml · nonDerivative · entry 1

HIGASHIDA MASATERU · CIK 0001630849 · Director · See Remarks · 10% owner

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 133,558

F1 · shares: Reflects the sale of shares of common stock by the reporting person pursuant to a Rule 10b5-1 Trading Plan adopted by the reporting person.

F2 · price: The price reported in Column 4 is a weighted-average price. These shares were purchased in multiple transactions at prices ranging from $7.05 to $7.59, inclusive. For all transactions reported in this Form 4 utilizing a weighted-average price, the reporting person will provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares purchased at each price within the range.

F4 · balance_after: On December 28, 2022 the Issuer effected a 1-for-35 reverse stock split (the "Reverse Stock Split"). The number of securities reported on this Form 4 have been adjusted to reflect the Reverse Stock Split.

SEC source: 0001493152-23-033579 · ownership.xml · nonDerivative · entry 1

HIGASHIDA MASATERU · CIK 0001630849 · Director · See Remarks · 10% owner

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 133,559

F1 · shares: Reflects the sale of shares of common stock by the reporting person pursuant to a Rule 10b5-1 Trading Plan adopted by the reporting person.

F2 · price: The price reported in Column 4 is a weighted-average price. These shares were purchased in multiple transactions at prices ranging from $7.05 to $7.59, inclusive. For all transactions reported in this Form 4/A utilizing a weighted-average price, the reporting person will provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares purchased at each price within the range.

F4 · balance_after: On December 28, 2022 the Issuer effected a 1-for 35 reverse stock split (the "Reverse Stock Split"). The number of securities reported on this Form 4/A have been adjusted to reflect the Reverse Stock Split.

F6 · balance_after: On September 15, 2023, the reporting person filed a Form 4 which inadvertently reported 133,558 as the Amount of Securities Beneficially Owned Following Reported Transaction. The correct Amount of Securities Beneficially Owned Following Reported Transaction is 133,559 shares of Common Stock.

SEC source: 0001493152-23-032839 · ownership.xml · nonDerivative · entry 2

HIGASHIDA MASATERU · CIK 0001630849 · Director · See Remarks · 10% owner

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 134,358

F1 · shares: Reflects the sale of shares of common stock by the reporting person pursuant to a Rule 10b5-1 Trading Plan adopted by the reporting person.

F3 · price: The price reported in Column 4 is a weighted-average price. These shares were purchased in multiple transactions at prices ranging from $7.25 to $7.70, inclusive. For all transactions reported in this Form 4 utilizing a weighted-average price, the reporting person will provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares purchased at each price within the range.

F4 · balance_after: On December 28, 2022 the Issuer effected a 1-for-35 reverse stock split (the "Reverse Stock Split"). The number of securities reported on this Form 4 have been adjusted to reflect the Reverse Stock Split.

SEC source: 0001493152-23-033579 · ownership.xml · nonDerivative · entry 2

HIGASHIDA MASATERU · CIK 0001630849 · Director · See Remarks · 10% owner

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 134,359

F1 · shares: Reflects the sale of shares of common stock by the reporting person pursuant to a Rule 10b5-1 Trading Plan adopted by the reporting person.

F3 · price: The price reported in Column 4 is a weighted-average price. These shares were purchased in multiple transactions at prices ranging from $7.25 to $7.70, inclusive. For all transactions reported in this Form 4/A utilizing a weighted-average price, the reporting person will provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares purchased at each price within the range.

F4 · balance_after: On December 28, 2022 the Issuer effected a 1-for 35 reverse stock split (the "Reverse Stock Split"). The number of securities reported on this Form 4/A have been adjusted to reflect the Reverse Stock Split.

F7 · balance_after: On September 15, 2023, the reporting person filed a Form 4 which inadvertently reported 134,358 as the Amount of Securities Beneficially Owned Following Reported Transaction. The correct Amount of Securities Beneficially Owned Following Reported Transaction is 134,359 shares of Common Stock.

SEC source: 0001493152-23-029320 · ownership.xml · derivative · entry 2

WEAVER RANDELL · CIK 0001194131 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,000

Underlying: Common Stock · 6,000 shares

Expires 2033-08-16

F2 · derivative.exercise_price: The options have an exercise price of equal to the fair market value at the time of grant.

F3 · derivative.exercise_date: The options vest as follows: (i) 2,000 options shall vest on August 16, 2024; (ii) 2,000 options shall vest on August 16, 2025; and (iii) 2,000 options shall vest on August 16, 2026.

SEC source: 0001493152-23-029320 · ownership.xml · nonDerivative · entry 1

WEAVER RANDELL · CIK 0001194131 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,000

F1 · deemedExecutionDate: The restricted shares vest as follows: (i) 2,000 restricted shares shall vest on August 16, 2024; (ii) 2,000 restricted shares shall vest on August 16, 2025; and (iii) 2,000 restricted shares shall vest on August 16, 2026.

SEC source: 0001493152-23-008897 · ownership.xml · nonDerivative · entry 1

Kurita Nobuki · CIK 0001851550 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,072

F1 · shares: 100% of the restricted shares of the Issuer's common stock shall vest on the one year anniversary of the grant date, subject to the Reporting Person's continued service as a director of the Issuer.

SEC source: 0001493152-23-008892 · ownership.xml · nonDerivative · entry 1

Robson David · CIK 0001317553 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,072

F1 · shares: 100% of the restricted shares of the Issuer's common stock shall vest on the one year anniversary of the grant date, subject to the Reporting Person's continued service as a director of the Issuer.

SEC source: 0001493152-23-008903 · ownership.xml · nonDerivative · entry 1

CONNER KEVIN J · CIK 0001344270 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,072

F1 · shares: 100% of the restricted shares of the Issuer's common stock shall vest on the one year anniversary of the grant date, subject to the Reporting Person's continued service as a director of the Issuer.

SEC source: 0001493152-23-008900 · ownership.xml · nonDerivative · entry 1

Jones James Chris · CIK 0001791856 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,072

F1 · shares: 100% of the restricted shares of the Issuer's common stock shall vest on the one year anniversary of the grant date, subject to the Reporting Person's continued service as a director of the Issuer.

SEC source: 0001493152-23-008895 · ownership.xml · nonDerivative · entry 1

Ging Tracy · CIK 0001856441 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,072

F1 · shares: 100% of the restricted shares of the Issuer's common stock shall vest on the one year anniversary of the grant date, subject to the Reporting Person's continued service as a director of the Issuer.

SEC source: 0001493152-22-007295 · ownership.xml · nonDerivative · entry 1

Kurita Nobuki · CIK 0001851550 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,584

F1 · shares: 100% of the restricted shares of the Issuer's common stock shall vest on the one year anniversary of the grant date, subject to the Reporting Person's continued service as a director of the Issuer.

SEC source: 0001493152-22-007289 · ownership.xml · nonDerivative · entry 1

CONNER KEVIN J · CIK 0001344270 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,584

F1 · shares: 100% of the restricted shares of the Issuer's common stock shall vest on the one year anniversary of the grant date, subject to the Reporting Person's continued service as a director of the Issuer.

SEC source: 0001493152-22-007292 · ownership.xml · nonDerivative · entry 1

Robson David · CIK 0001317553 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,584

F1 · shares: 100% of the restricted shares of the Issuer's common stock shall vest on the one year anniversary of the grant date, subject to the Reporting Person's continued service as a director of the Issuer.

SEC source: 0001493152-22-007297 · ownership.xml · nonDerivative · entry 1

Ging Tracy · CIK 0001856441 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,584

F1 · shares: 100% of the restricted shares of the Issuer's common stock shall vest on the one year anniversary of the grant date, subject to the Reporting Person's continued service as a director of the Issuer.

SEC source: 0001493152-22-007296 · ownership.xml · nonDerivative · entry 1

Jones James Chris · CIK 0001791856 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,584

F1 · shares: 100% of the restricted shares of the Issuer's common stock shall vest on the one year anniversary of the grant date, subject to the Reporting Person's continued service as a director of the Issuer.

SEC source: 0001493152-21-016355 · ownership.xml · derivative · entry 1

Shearer Patrick J · CIK 0001870483 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 200,000

Underlying: Common Stock · 200,000 shares

Expires 2031-07-02

F1 · derivative.exercise_date: The options vest as follows: (i) 80,000 options shall vest on July 2, 2022; (ii) 60,000 options shall vest on July 2, 2023; and (iii) 60,000 options shall vest on July 2, 2024.

SEC source: 0001493152-21-011162 · ownership.xml · derivative · entry 1

Ramirez Jose L · CIK 0001861857 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires 2031-05-10

F1 · derivative.exercise_date: The options vest in installments of 10,000 on each of May 10, 2022, May 10, 2023 and May 10, 2024.

SEC source: 0001493152-21-010431 · ownership.xml · derivative · entry 1

Toyota Tomoko · CIK 0001859229 · Chief Marketing Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires 2031-05-03

F1 · derivative.exercise_date: The options vest in installments of 10,000 on each of May 3, 2022, May 3, 2023 and May 3, 2024.

SEC source: 0001493152-21-009659 · ownership.xml · derivative · entry 1

Ging Tracy · CIK 0001856441 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 228,323

Underlying: Common Stock · 228,323 shares

Expires 2031-04-22

F1 · derivative.exercise_date: 50% of the options (114,162) vested on April 22, 2021. The remainder of the options vest in installments of 57,081 on April 22, 2022 and 57,080 on April 22, 2023.

SEC source: 0001493152-21-006557 · ownership.xml · derivative · entry 1

Kurita Nobuki · CIK 0001851550 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 228,323

Underlying: Common Stock · 228,323 shares

Expires 2031-03-18

F1 · derivative.exercise_date: 50% of the options (114,162) vested on March 18, 2021. The remainder of the options vest in installments of 57,081 on March 18, 2022 and 57,080 on March 18, 2023.

SEC source: 0001493152-21-006554 · ownership.xml · derivative · entry 1

Robson David · CIK 0001317553 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 228,323

Underlying: Common Stock · 228,323 shares

Expires 2031-03-18

F1 · derivative.exercise_date: 50% of the options (114,162) vested on March 18, 2021. The remainder of the options vest in installments of 57,081 on March 18, 2022 and 57,080 on March 18, 2023.

SEC source: 0001493152-21-000978 · ownership.xml · nonDerivative · entry 2

Kothari Shanoop · CIK 0001788856 · Director · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 137,215

F2 · shares: Shares were forfeited solely to cover tax withholding obligations arising automatically upon partial vesting of restricted shares and issuance of the vested restricted shares.

SEC source: 0001493152-21-000978 · ownership.xml · nonDerivative · entry 1

Kothari Shanoop · CIK 0001788856 · Director · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 152,215

F1 · shares: Represents 152,215 restricted shares of the Issuer's common stock which vest, subject to the reporting person's continued employment, as follows: (i) 50,739 restricted shares vested immediately; (ii) 50,739 restricted shares will vest on March 31, 2021; and (iii) 50,737 restricted shares vest on March 31, 2022.

SEC source: 0001493152-20-024392 · ownership.xml · derivative · entry 1

CONNER KEVIN J · CIK 0001344270 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 228,323

Underlying: Common Stock · 228,323 shares

Expires 2030-11-04

F1 · derivative.exercise_date: 50% of the options (114,162) vested on November 4, 2020. The remainder of the options vest in installments of 57,081 on November 4, 2021 and 57,080 on November 4, 2022.

SEC source: 0001493152-20-024391 · ownership.xml · derivative · entry 1

Jones James Chris · CIK 0001791856 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 228,323

Underlying: Common Stock · 228,323 shares

Expires 2030-11-04

F1 · derivative.exercise_date: 50% of the options (114,162) vested on November 4, 2020. The remainder of the options vest in installments of 57,081 on November 4, 2021 and 57,080 on November 4, 2022.

SEC source: 0001493152-20-024390 · ownership.xml · derivative · entry 1

Morton Allen S. · CIK 0001792269 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 228,323

Underlying: Common Stock · 228,323 shares

Expires 2030-11-04

F1 · derivative.exercise_date: 50% of the options (114,162) vested on November 4, 2020. The remainder of the options vest in installments of 57,081 on November 4, 2021 and 57,080 on November 4, 2022.

SEC source: 0001415889-20-001672 · form4-06232020_030652.xml · nonDerivative · entry 2

Kothari Shanoop · CIK 0001788856 · Director · SVP AND CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

SEC source: 0001415889-20-001672 · form4-06232020_030652.xml · nonDerivative · entry 1

Kothari Shanoop · CIK 0001788856 · Director · SVP AND CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10

SEC source: 0001493152-20-024394 · ownership.xml · derivative · entry 1

Kothari Shanoop · CIK 0001788856 · Director · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 133,333

Underlying: Common Stock · 133,333 shares

Expires 2029-04-01

F1 · balance_after: On April 1, 2019, the reporting person was granted options to purchase 200,000 shares of the Issuer's common stock, as adjusted for the Issuer's l-for-3 reverse stock split, which became effective on November 12, 2019. The options vest, subject to the reporting person's continued employment, based on the Issuer's satisfaction of certain performance criteria. 133,333 options were to vest upon the Issuer's listing on any tier of the Nasdaq Stock Market on or before December 31, 2020. The Issuer's common stock began trading on the Nasdaq Capital Market on June 19, 2020, resulting in vesting of the options as to 133,333 shares.