CVSI

SEC source: 0001683168-19-000097 · ownership.xml · nonDerivative · entry 1

Mona Michael Joseph Jr · CIK 0001572795 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 530,000

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.

SEC source: 0001683168-18-001694 · mmona_frm4.xml · derivative · entry 2

Mona Michael Joseph Jr · CIK 0001572795 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,950,000

Underlying: Common Stock · 2,950,000 shares

Expires not disclosed

F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F3 · derivative.exercise_date: 983,323 of the restricted stock units vest on June 8, 2019 and the remaining restricted stock units vest in twenty-four equal monthly increments thereafter. Vested shares will be delivered to Reporting Person within ten (10) business days of the vesting date. Notwithstanding the foregoing, in the event the Issuer reasonably anticipates that the issuance of the vested shares would constitute a violation of federal securities laws or other applicable laws, delivery of the vested shares shall be delayed until the earliest date at which the Issuer reasonably anticipates issuing the vested shares will not cause such a violation.

F3 · derivative.expiration_date: 983,323 of the restricted stock units vest on June 8, 2019 and the remaining restricted stock units vest in twenty-four equal monthly increments thereafter. Vested shares will be delivered to Reporting Person within ten (10) business days of the vesting date. Notwithstanding the foregoing, in the event the Issuer reasonably anticipates that the issuance of the vested shares would constitute a violation of federal securities laws or other applicable laws, delivery of the vested shares shall be delayed until the earliest date at which the Issuer reasonably anticipates issuing the vested shares will not cause such a violation.

SEC source: 0001683168-18-001236 · mona3.xml · derivative · entry 1

Mona Michael III · CIK 0001595068 · Director · COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 500,000

Underlying: Common Stock · 500,000 shares

Expires 2028-03-19

F1 · derivative.underlying_shares: The stock options are fully-vested on the Date of Grant.

SEC source: 0001683168-18-001235 · dowling_f4.xml · derivative · entry 1

Dowling Joseph D · CIK 0001611860 · CFO, Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 500,000

Underlying: Common Stock · 500,000 shares

Expires 2028-03-19

F1 · derivative.underlying_shares: The stock options are fully-vested on the Date of Grant.

SEC source: 0001683168-18-001694 · mmona_frm4.xml · derivative · entry 1

Mona Michael Joseph Jr · CIK 0001572795 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,050,000

Underlying: Common Stock · 1,050,000 shares

Expires 2028-03-19

F1 · derivative.exercise_date: The stock option is fully vested on the date of grant.

SEC source: 0001683168-18-001601 · mcnulty_f4.xml · derivative · entry 1

MCNULTY JAMES A · CIK 0001275857 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2028-02-04

F1 · derivative.exercise_date: This option is durational-based and vests as follows: the option shares vest in twelve (12) equal monthly installments measured from January 1, 2018.

SEC source: 0001683168-18-001602 · sligar_f4.xml · derivative · entry 1

Sligar Gary · CIK 0001680842 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2028-02-04

F1 · derivative.exercise_date: This option is durational-based and vests as follows: the option shares vest in twelve (12) equal monthly installments measured from January 1, 2018.

SEC source: 0001683168-18-000790 · schmitz_frm4.xml · derivative · entry 2

Schmitz Stephen Martin · CIK 0001735902 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 200,000

Underlying: Common Stock · 200,000 shares

Expires 2027-11-30

F2 · derivative.underlying_shares: On December 1, 2017, the Reported Person was granted an option to purchase 200,000 shares of the Issuer's Common Stock. The option is durational-based, and vests and becomes exercisable in twenty-four (24) successive equal monthly installments, commencing on November 13, 2017. As of March 26, 2018, 33,333 shares have vested and another 16,666 will vest within 60 days, and Dr. Schmitz has not exercised any stock options.

SEC source: 0001683168-18-000773 · sligar_f4.xml · derivative · entry 1

Sligar Gary · CIK 0001680842 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2027-07-14

F1 · derivative.exercise_date: The option is fully vested on the date of grant.

SEC source: 0001683168-18-000772 · monajr_f4.xml · derivative · entry 2

Mona Michael Joseph Jr · CIK 0001572795 · Director · CEO, President · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,250,000

Underlying: Common Stock · 1,250,000 shares

Expires 2027-03-14

F3 · derivative.underlying_shares: On March 15, 2017, the Reporting Person was granted an option to purchase 5,000,000 shares of the Issuer's Common Stock. The option is performance-based, and vests and becomes exercisable as follows: (i) when the Company has final meeting minutes from a pre-IND meeting as authorized by the FDA for a drug development program utilizing CBD as the active pharmaceutical ingredient (25% vesting of the shares subject to the option); (ii) when the Company is granted an IND (25% vesting of the shares subject to the option); and (iii) when the Company commences its first human dosing under the IND (50% vesting of the shares subject to the option). On July 14, 2017, the first performance criterion was met resulting in vesting of the option as to 1,250,000 shares.

SEC source: 0001683168-18-000772 · monajr_f4.xml · derivative · entry 1

Mona Michael Joseph Jr · CIK 0001572795 · Director · CEO, President · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,500,000

Underlying: Common Stock · 1,500,000 shares

Expires 2026-07-05

F1 · derivative.underlying_shares: On July 6, 2016, the Reporting Person was granted an option to purchase 6,000,000 shares of the Issuer's Common Stock. The option is performance-based, and vests and becomes exercisable as follows: (i) the first time the Issuer completes development of a U.S. Food & Drug Administration ("FDA") current good manufacturing practice grade batch of successfully synthetically formulated Cannabidiol ("CBD") for use in drug development activities (25% vesting of the shares subject to the option); (ii) when the Company has final meeting minutes from a pre-investigational new drug application ("IND") meeting as authorized by the FDA for a drug development program utilizing CBD as the active pharmaceutical ingredient (25% vesting of the shares subject to the option); (iii) when the Company is granted an IND (25% vesting of the shares subject to the option); and (iv) when the Company commences its first human dosing under the IND (25% vesting of the shares subject to the option).

F2 · derivative.underlying_shares: On July 14, 2017, the second performance criterion was met resulting in vesting of the option as to 1,500,000 shares.

SEC source: 0001683168-18-000771 · monaiii_f4.xml · derivative · entry 2

Mona Michael III · CIK 0001595068 · Director · COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 250,000

Underlying: Common Stock · 250,000 shares

Expires 2027-04-06

F3 · derivative.underlying_shares: On April 7, 2017, the Reporting Person was granted an option to purchase 1,000,000 shares of the Issuer's Common Stock. The option is performance-based, and vests and becomes exercisable as follows: (i) when the Company has final meeting minutes from a pre-IND meeting as authorized by the FDA for a drug development program utilizing CBD as the active pharmaceutical ingredient (25% vesting of the shares subject to the option); (ii) when the Company is granted an IND (25% vesting of the shares subject to the option); and (iii) when the Company commences its first human dosing under the IND (50% vesting of the shares subject to the option). On July 14, 2017, the first performance criterion was met resulting in vesting of the option as to 250,000 shares.

SEC source: 0001683168-18-000771 · monaiii_f4.xml · derivative · entry 1

Mona Michael III · CIK 0001595068 · Director · COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,000,000

Underlying: Common Stock · 1,000,000 shares

Expires 2026-07-05

F1 · derivative.underlying_shares: On July 6, 2016, the Reporting Person was granted an option to purchase 4,000,000 shares of the Issuer's Common Stock. The option is performance-based, and vests and becomes exercisable as follows: (i) the first time the Issuer completes development of a U.S. Food & Drug Administration ("FDA") current good manufacturing practice grade batch of successfully synthetically formulated Cannabidiol ("CBD") for use in drug development activities (25% vesting of the shares subject to the option); (ii) when the Company has final meeting minutes from a pre-investigational new drug application ("IND") meeting as authorized by the FDA for a drug development program utilizing CBD as the active pharmaceutical ingredient (25% vesting of the shares subject to the option); (iii) when the Company is granted an IND (25% vesting of the shares subject to the option); and (iv) when the Company commences its first human dosing under the IND (25% vesting of the shares subject to the option).

F2 · derivative.underlying_shares: On July 14, 2017, the second performance criterion was met resulting in vesting of the option as to 1,000,000 shares.

SEC source: 0001683168-18-000770 · dowling_f4.xml · derivative · entry 2

Dowling Joseph D · CIK 0001611860 · CFO, Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 250,000

Underlying: Common Stock · 250,000 shares

Expires 2027-04-06

F3 · derivative.underlying_shares: On April 7, 2017, the Reporting Person was granted an option to purchase 1,000,000 shares of the Issuer's Common Stock. The option is performance-based, and vests and becomes exercisable as follows: (i) when the Company has final meeting minutes from a pre-IND meeting as authorized by the FDA for a drug development program utilizing CBD as the active pharmaceutical ingredient (25% vesting of the shares subject to the option); (ii) when the Company is granted an IND (25% vesting of the shares subject to the option); and (iii) when the Company commences its first human dosing under the IND (50% vesting of the shares subject to the option). On July 14, 2017, the first performance criterion was met resulting in vesting of the option as to 250,000 shares.

SEC source: 0001683168-18-000770 · dowling_f4.xml · derivative · entry 1

Dowling Joseph D · CIK 0001611860 · CFO, Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 250,000

Underlying: Common Stock · 250,000 shares

Expires 2026-07-05

F1 · derivative.underlying_shares: On July 6, 2016, the Reporting Person was granted an option to purchase 1,000,000 shares of the Issuer's Common Stock. The option is performance-based, and vests and becomes exercisable as follows: (i) the first time the Issuer completes development of a U.S. Food & Drug Administration ("FDA") current good manufacturing practice grade batch of successfully synthetically formulated Cannabidiol ("CBD") for use in drug development activities (25% vesting of the shares subject to the option); (ii) when the Company has final meeting minutes from a pre-investigational new drug application ("IND") meeting as authorized by the FDA for a drug development program utilizing CBD as the active pharmaceutical ingredient (25% vesting of the shares subject to the option); (iii) when the Company is granted an IND (25% vesting of the shares subject to the option); and (iv) when the Company commences its first human dosing under the IND (25% vesting of the shares subject to the option).

F2 · derivative.underlying_shares: On July 14, 2017, the second performance criterion was met resulting in vesting of the option as to 250,000 shares.

SEC source: 0001683168-18-000790 · schmitz_frm4.xml · derivative · entry 1

Schmitz Stephen Martin · CIK 0001735902 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 250,000

Underlying: Common Stock · 250,000 shares

Expires 2027-05-14

F1 · derivative.underlying_shares: On May 15, 2017, the Reported Person was granted an option to purchase 250,000 shares of the Issuer's Common Stock, with 50,000 option shares vested as of the date of grant, and the remaining 200,000 shares vesting in twenty-four (24) equal monthly installments measured from May 16, 2017. As of March 26, 2018, 133,333 shares have vested and another 16,666 will vest within 60 days.

SEC source: 0001144204-17-029917 · v467793_4.xml · nonDerivative · entry 2

MCNULTY JAMES A · CIK 0001275857 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,545,500

F1 · kind: The shares were issued pursuant to that certain Agreement and Plan of Reorganization, dated as of December 30, 2015, by and among CannaVEST Corp., CANNAVEST Merger Sub, Inc., CANNAVEST Acquisition LLC, CanX, Inc, and The Starwood Trust, as the Shareholder Representative.

SEC source: 0001144204-17-017748 · v462987_4.xml · derivative · entry 1

Dowling Joseph D · CIK 0001611860 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2027-03-14

F1 · derivative.exercise_date: The option is fully vested on the date of grant.

SEC source: 0001144204-17-017737 · v462984_4.xml · derivative · entry 1

Mona Michael Joseph Jr · CIK 0001572795 · Director · CEO and President · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 200,000

Underlying: Common Stock · 200,000 shares

Expires 2027-03-14

F1 · derivative.exercise_date: The option is fully vested on the date of grant.

SEC source: 0001144204-17-017743 · v462986_4.xml · derivative · entry 1

Mona Michael III · CIK 0001595068 · Director · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2027-03-14

F1 · derivative.exercise_date: The option is fully vested on the date of grant.

SEC source: 0001683168-16-000333 · monamj_frm4.xml · derivative · entry 1

Mona Michael Joseph Jr · CIK 0001572795 · Director · President and CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,500,000

Underlying: Common Stock · 1,500,000 shares

Expires 2026-07-05

F1 · balance_after: See remarks below.

SEC source: 0001683168-16-000331 · dowling_frm4.xml · derivative · entry 1

Dowling Joseph D · CIK 0001611860 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 250,000

Underlying: Common Stock · 250,000 shares

Expires 2026-07-05

F1 · balance_after: See remarks below.

SEC source: 0001683168-16-000332 · monaiii_frm4.xml · derivative · entry 1

Mona Michael III · CIK 0001595068 · Director · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,000,000

Underlying: Common Stock · 1,000,000 shares

Expires 2026-07-05

F1 · balance_after: See remarks below.

SEC source: 0001144204-17-029917 · v467793_4.xml · nonDerivative · entry 1

MCNULTY JAMES A · CIK 0001275857 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 95,000

F1 · kind: The shares were issued pursuant to that certain Agreement and Plan of Reorganization, dated as of December 30, 2015, by and among CannaVEST Corp., CANNAVEST Merger Sub, Inc., CANNAVEST Acquisition LLC, CanX, Inc, and The Starwood Trust, as the Shareholder Representative.