DSS

SEC source: 0001493152-26-041798 · ownership.xml · nonDerivative · entry 1

Chan Heng Fai Ambrose · CIK 0001261725 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,031,944

F1 · shares: On September 3, 2026 Chan Heng Fai sold 21,852 shares of the Issuer's common stock at a sale price of $0.82 per share.

F1 · price: On September 3, 2026 Chan Heng Fai sold 21,852 shares of the Issuer's common stock at a sale price of $0.82 per share.

F2 · balance_after: The beneficial ownership of Mr. Chan as of the date hereof may be deemed to include 1,031,944 shares of the Issuer's common stock held by Mr. Chan directly, and certain other securities held indirectly through various entities.

SEC source: 0001493152-26-032712 · ownership.xml · derivative · entry 2

Chan Heng Fai Ambrose · CIK 0001261725 · Director · 10% owner

Alset Inc. · CIK 0001750106 · 10% owner

Alset International Ltd · CIK 0001660984 · 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: 16,554,055

Underlying: Common Stock · 16,554,055 shares

Expires 2031-03-26

F2 · derivative.exercise_price: On March 26, 2026 the Issuer issued common stock purchase warrants (the "Warrants") to Alset International Limited to purchase up to 16,554,055 shares of the Issuer's common stock at an exercise price of $0.93 per share. The Warrants expire on March 26, 2031.

F2 · shares: On March 26, 2026 the Issuer issued common stock purchase warrants (the "Warrants") to Alset International Limited to purchase up to 16,554,055 shares of the Issuer's common stock at an exercise price of $0.93 per share. The Warrants expire on March 26, 2031.

F2 · price: On March 26, 2026 the Issuer issued common stock purchase warrants (the "Warrants") to Alset International Limited to purchase up to 16,554,055 shares of the Issuer's common stock at an exercise price of $0.93 per share. The Warrants expire on March 26, 2031.

F2 · derivative.underlying_shares: On March 26, 2026 the Issuer issued common stock purchase warrants (the "Warrants") to Alset International Limited to purchase up to 16,554,055 shares of the Issuer's common stock at an exercise price of $0.93 per share. The Warrants expire on March 26, 2031.

F3 · balance_after: The beneficial ownership of Mr. Chan as of the date hereof may be deemed to include the following shares held personally (a) 1,002,978 shares of the Issuer's common stock held by Heng Fai Holdings Limited, an entity controlled by Heng Fai Chan; (b) 1,184,475 shares of the Issuer's common stock held by Mr. Chan directly.

F4 · balance_after: Mr. Chan may also be deemed to beneficially own (a) 2,581,268 shares of the Issuer's common stock held by Alset Inc., an entity controlled by Mr. Chan; (b) a convertible promissory note in the amount of $500,000 held by Alset Inc. and convertible into shares of the Issuer's common stock; (c) 1,068,309 shares of the Issuer's common stock, a convertible promissory note in the amount of $2,450,000, and common stock purchase warrants to purchase up to 16,554,055 shares held by Alset International Limited, an entity controlled by Mr. Chan and a subsidiary of Alset Inc.; and (d) 311,634 shares of the Issuer's common stock held by Global Biomedical Pte. Ltd., an entity controlled by Mr. Chan and a subsidiary of Alset International Limited (which is a subsidiary of Alset Inc.).

F3 · ownership.nature: The beneficial ownership of Mr. Chan as of the date hereof may be deemed to include the following shares held personally (a) 1,002,978 shares of the Issuer's common stock held by Heng Fai Holdings Limited, an entity controlled by Heng Fai Chan; (b) 1,184,475 shares of the Issuer's common stock held by Mr. Chan directly.

F4 · ownership.nature: Mr. Chan may also be deemed to beneficially own (a) 2,581,268 shares of the Issuer's common stock held by Alset Inc., an entity controlled by Mr. Chan; (b) a convertible promissory note in the amount of $500,000 held by Alset Inc. and convertible into shares of the Issuer's common stock; (c) 1,068,309 shares of the Issuer's common stock, a convertible promissory note in the amount of $2,450,000, and common stock purchase warrants to purchase up to 16,554,055 shares held by Alset International Limited, an entity controlled by Mr. Chan and a subsidiary of Alset Inc.; and (d) 311,634 shares of the Issuer's common stock held by Global Biomedical Pte. Ltd., an entity controlled by Mr. Chan and a subsidiary of Alset International Limited (which is a subsidiary of Alset Inc.).

SEC source: 0001493152-26-032712 · ownership.xml · derivative · entry 1

Chan Heng Fai Ambrose · CIK 0001261725 · Director · 10% owner

Alset Inc. · CIK 0001750106 · 10% owner

Alset International Ltd · CIK 0001660984 · 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: Not disclosed

Underlying: Common Stock · Not disclosed shares

Expires 2031-03-26

F1 · security: On March 26, 2026 the Issuer issued a convertible promissory note (the "Convertible Promissory Note") to Alset International Limited in the amount of $2,450,000, which became convertible on June 3, 2026. Under the terms of the Convertible Promissory Note, Alset International Limited may convert outstanding principal and interest into shares of the Issuer's common stock at a conversion price of either (i) $0.74 per share, or (ii) if while the Convertible Promissory Note is outstanding, the Issuer sells or issues any other convertible instruments on terms that differ from the Convertible Promissory Note, the Holder may elect to exchange the Convertible Promissory Note for such convertible instrument based on the Convertible Promissory Note's principal balance plus any accrued but unpaid interest.

F1 · derivative.exercise_price: On March 26, 2026 the Issuer issued a convertible promissory note (the "Convertible Promissory Note") to Alset International Limited in the amount of $2,450,000, which became convertible on June 3, 2026. Under the terms of the Convertible Promissory Note, Alset International Limited may convert outstanding principal and interest into shares of the Issuer's common stock at a conversion price of either (i) $0.74 per share, or (ii) if while the Convertible Promissory Note is outstanding, the Issuer sells or issues any other convertible instruments on terms that differ from the Convertible Promissory Note, the Holder may elect to exchange the Convertible Promissory Note for such convertible instrument based on the Convertible Promissory Note's principal balance plus any accrued but unpaid interest.

F1 · reported_value: On March 26, 2026 the Issuer issued a convertible promissory note (the "Convertible Promissory Note") to Alset International Limited in the amount of $2,450,000, which became convertible on June 3, 2026. Under the terms of the Convertible Promissory Note, Alset International Limited may convert outstanding principal and interest into shares of the Issuer's common stock at a conversion price of either (i) $0.74 per share, or (ii) if while the Convertible Promissory Note is outstanding, the Issuer sells or issues any other convertible instruments on terms that differ from the Convertible Promissory Note, the Holder may elect to exchange the Convertible Promissory Note for such convertible instrument based on the Convertible Promissory Note's principal balance plus any accrued but unpaid interest.

F1 · price: On March 26, 2026 the Issuer issued a convertible promissory note (the "Convertible Promissory Note") to Alset International Limited in the amount of $2,450,000, which became convertible on June 3, 2026. Under the terms of the Convertible Promissory Note, Alset International Limited may convert outstanding principal and interest into shares of the Issuer's common stock at a conversion price of either (i) $0.74 per share, or (ii) if while the Convertible Promissory Note is outstanding, the Issuer sells or issues any other convertible instruments on terms that differ from the Convertible Promissory Note, the Holder may elect to exchange the Convertible Promissory Note for such convertible instrument based on the Convertible Promissory Note's principal balance plus any accrued but unpaid interest.

F1 · derivative.underlying_shares: On March 26, 2026 the Issuer issued a convertible promissory note (the "Convertible Promissory Note") to Alset International Limited in the amount of $2,450,000, which became convertible on June 3, 2026. Under the terms of the Convertible Promissory Note, Alset International Limited may convert outstanding principal and interest into shares of the Issuer's common stock at a conversion price of either (i) $0.74 per share, or (ii) if while the Convertible Promissory Note is outstanding, the Issuer sells or issues any other convertible instruments on terms that differ from the Convertible Promissory Note, the Holder may elect to exchange the Convertible Promissory Note for such convertible instrument based on the Convertible Promissory Note's principal balance plus any accrued but unpaid interest.

F3 · valueOwnedAfter: The beneficial ownership of Mr. Chan as of the date hereof may be deemed to include the following shares held personally (a) 1,002,978 shares of the Issuer's common stock held by Heng Fai Holdings Limited, an entity controlled by Heng Fai Chan; (b) 1,184,475 shares of the Issuer's common stock held by Mr. Chan directly.

F4 · valueOwnedAfter: Mr. Chan may also be deemed to beneficially own (a) 2,581,268 shares of the Issuer's common stock held by Alset Inc., an entity controlled by Mr. Chan; (b) a convertible promissory note in the amount of $500,000 held by Alset Inc. and convertible into shares of the Issuer's common stock; (c) 1,068,309 shares of the Issuer's common stock, a convertible promissory note in the amount of $2,450,000, and common stock purchase warrants to purchase up to 16,554,055 shares held by Alset International Limited, an entity controlled by Mr. Chan and a subsidiary of Alset Inc.; and (d) 311,634 shares of the Issuer's common stock held by Global Biomedical Pte. Ltd., an entity controlled by Mr. Chan and a subsidiary of Alset International Limited (which is a subsidiary of Alset Inc.).

F3 · ownership.nature: The beneficial ownership of Mr. Chan as of the date hereof may be deemed to include the following shares held personally (a) 1,002,978 shares of the Issuer's common stock held by Heng Fai Holdings Limited, an entity controlled by Heng Fai Chan; (b) 1,184,475 shares of the Issuer's common stock held by Mr. Chan directly.

F4 · ownership.nature: Mr. Chan may also be deemed to beneficially own (a) 2,581,268 shares of the Issuer's common stock held by Alset Inc., an entity controlled by Mr. Chan; (b) a convertible promissory note in the amount of $500,000 held by Alset Inc. and convertible into shares of the Issuer's common stock; (c) 1,068,309 shares of the Issuer's common stock, a convertible promissory note in the amount of $2,450,000, and common stock purchase warrants to purchase up to 16,554,055 shares held by Alset International Limited, an entity controlled by Mr. Chan and a subsidiary of Alset Inc.; and (d) 311,634 shares of the Issuer's common stock held by Global Biomedical Pte. Ltd., an entity controlled by Mr. Chan and a subsidiary of Alset International Limited (which is a subsidiary of Alset Inc.).

SEC source: 0001641172-25-026292 · ownership.xml · nonDerivative · entry 1

Chan Heng Fai Ambrose · CIK 0001261725 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,053,796

F1 · shares: On August 28, 2025, Mr. Chan sold 130,679 shares of the Issuer's common stock at an average sale price of $1.3475. The shares were sold in multiple trades at prices ranging between $1.23 and $1.565. The reporting person hereby undertakes to provide, upon request of the SEC staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares and prices at which the transaction was effected.

F1 · price: On August 28, 2025, Mr. Chan sold 130,679 shares of the Issuer's common stock at an average sale price of $1.3475. The shares were sold in multiple trades at prices ranging between $1.23 and $1.565. The reporting person hereby undertakes to provide, upon request of the SEC staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares and prices at which the transaction was effected.

F2 · balance_after: The beneficial ownership of Mr. Chan may be deemed to include the following: (a) 1,002,978 shares of the Issuer's common stock held by Heng Fai Holdings Limited, an entity controlled by Heng Fai Chan; (b) 1,053,796 shares of the Issuer's common stock held by Mr. Chan directly; (c) 2,581,268 shares of the Issuer's common stock held by Alset Inc., an entity controlled by Mr. Chan; (d) a convertible promissory note in the amount of $500,000 held by Alset Inc. and convertible into shares of the Issuer's common stock; (e) 1,068,309 shares of the Issuer's common stock held by Alset International Limited, an entity controlled by Mr. Chan and a subsidiary of Alset Inc.; and (f) 311,634 shares of the Issuer's common stock held by Global Biomedical Pte. Ltd., an entity controlled by Mr. Chan and a subsidiary of Alset International Limited (which is a subsidiary of Alset Inc.).

SEC source: 0001641172-25-025294 · ownership.xml · derivative · entry 1

Chan Heng Fai Ambrose · CIK 0001261725 · Director · 10% owner

Alset Inc. · CIK 0001750106 · 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: 581,395

Underlying: Common Stock · 581,395 shares

Expires 2028-07-31

F1 · derivative.exercise_price: On August 20, 2025, the Issuer issued a convertible promissory note (the "Convertible Note") to Alset Inc. in the amount of $500,000.00. Under the terms of the Convertible Note, Alset Inc. may convert outstanding principal and interest into shares of the Issuer's common stock at a conversion price of $0.86 per share.

F1 · shares: On August 20, 2025, the Issuer issued a convertible promissory note (the "Convertible Note") to Alset Inc. in the amount of $500,000.00. Under the terms of the Convertible Note, Alset Inc. may convert outstanding principal and interest into shares of the Issuer's common stock at a conversion price of $0.86 per share.

F1 · derivative.underlying_shares: On August 20, 2025, the Issuer issued a convertible promissory note (the "Convertible Note") to Alset Inc. in the amount of $500,000.00. Under the terms of the Convertible Note, Alset Inc. may convert outstanding principal and interest into shares of the Issuer's common stock at a conversion price of $0.86 per share.

F2 · balance_after: The beneficial ownership of Mr. Chan includes a total of 6,730,059 shares of common stock, consisting of (a) 1,002,978 shares of common stock held by Heng Fai Holdings Limited, an entity controlled by Heng Fai Chan; (b) 1,184,475 shares of common stock held by Mr. Chan directly; (c) 2,581,268 shares of common stock and debt convertible into 581,395 shares of common stock held by Alset Inc., an entity controlled by Mr. Chan; (d) 1,068,309 shares of common stock held by Alset International Limited, an entity controlled by Mr. Chan and a subsidiary of Alset Inc.; and (e) 311,634 shares of common stock held by Global Biomedical Pte. Ltd., an entity controlled by Mr. Chan and a subsidiary of Alset International Limited (which is a subsidiary of Alset Inc.).

F1 · ownership.nature: On August 20, 2025, the Issuer issued a convertible promissory note (the "Convertible Note") to Alset Inc. in the amount of $500,000.00. Under the terms of the Convertible Note, Alset Inc. may convert outstanding principal and interest into shares of the Issuer's common stock at a conversion price of $0.86 per share.

SEC source: 0001641172-25-026290 · ownership.xml · derivative · entry 1

Chan Heng Fai Ambrose · CIK 0001261725 · Director · 10% owner

Alset Inc. · CIK 0001750106 · 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: Not disclosed

Underlying: Common Stock · Not disclosed shares

Expires 2028-07-31

F1 · security: This Amended Form 4 is being filed to clarify certain information set forth on the Form 4 originally filed by the reporting persons on August 22, 2025.

F2 · derivative.exercise_price: On August 20, 2025, the Issuer issued a convertible promissory note (the "Convertible Promissory Note") to Alset Inc. in the amount of $500,000. Under the terms of the Convertible Promissory Note, Alset Inc. may convert outstanding principal and interest into shares of the Issuer's common stock at a conversion price of either (i) $0.86 per share, or (ii) if while the Convertible Promissory Note is outstanding, the Issuer sells or issues any other convertible instruments on terms that differ from the Convertible Promissory Note, the Holder may elect to exchange the Convertible Promissory Note for such convertible instrument based on the Convertible Promissory Note's principal balance plus any accrued but unpaid interest.

F2 · reported_value: On August 20, 2025, the Issuer issued a convertible promissory note (the "Convertible Promissory Note") to Alset Inc. in the amount of $500,000. Under the terms of the Convertible Promissory Note, Alset Inc. may convert outstanding principal and interest into shares of the Issuer's common stock at a conversion price of either (i) $0.86 per share, or (ii) if while the Convertible Promissory Note is outstanding, the Issuer sells or issues any other convertible instruments on terms that differ from the Convertible Promissory Note, the Holder may elect to exchange the Convertible Promissory Note for such convertible instrument based on the Convertible Promissory Note's principal balance plus any accrued but unpaid interest.

F2 · price: On August 20, 2025, the Issuer issued a convertible promissory note (the "Convertible Promissory Note") to Alset Inc. in the amount of $500,000. Under the terms of the Convertible Promissory Note, Alset Inc. may convert outstanding principal and interest into shares of the Issuer's common stock at a conversion price of either (i) $0.86 per share, or (ii) if while the Convertible Promissory Note is outstanding, the Issuer sells or issues any other convertible instruments on terms that differ from the Convertible Promissory Note, the Holder may elect to exchange the Convertible Promissory Note for such convertible instrument based on the Convertible Promissory Note's principal balance plus any accrued but unpaid interest.

F2 · derivative.underlying_shares: On August 20, 2025, the Issuer issued a convertible promissory note (the "Convertible Promissory Note") to Alset Inc. in the amount of $500,000. Under the terms of the Convertible Promissory Note, Alset Inc. may convert outstanding principal and interest into shares of the Issuer's common stock at a conversion price of either (i) $0.86 per share, or (ii) if while the Convertible Promissory Note is outstanding, the Issuer sells or issues any other convertible instruments on terms that differ from the Convertible Promissory Note, the Holder may elect to exchange the Convertible Promissory Note for such convertible instrument based on the Convertible Promissory Note's principal balance plus any accrued but unpaid interest.

F3 · valueOwnedAfter: The beneficial ownership of Mr. Chan as of August 22, 2025 may be deemed to include the following (a) 1,002,978 shares of the Issuer's common stock held by Heng Fai Holdings Limited, an entity controlled by Heng Fai Chan; (b) 1,184,475 shares of the Issuer's common stock held by Mr. Chan directly; (c) 2,581,268 shares of the Issuer's common stock held by Alset Inc., an entity controlled by Mr. Chan; (d) a convertible promissory note in the amount of $500,000 held by Alset Inc. and convertible into shares of the Issuer's common stock; (e) 1,068,309 shares of the Issuer's common stock held by Alset International Limited, an entity controlled by Mr. Chan and a subsidiary of Alset Inc.; and (f) 311,634 shares of the Issuer's common stock held by Global Biomedical Pte. Ltd., an entity controlled by Mr. Chan and a subsidiary of Alset International Limited (which is a subsidiary of Alset Inc.).

F3 · ownership.nature: The beneficial ownership of Mr. Chan as of August 22, 2025 may be deemed to include the following (a) 1,002,978 shares of the Issuer's common stock held by Heng Fai Holdings Limited, an entity controlled by Heng Fai Chan; (b) 1,184,475 shares of the Issuer's common stock held by Mr. Chan directly; (c) 2,581,268 shares of the Issuer's common stock held by Alset Inc., an entity controlled by Mr. Chan; (d) a convertible promissory note in the amount of $500,000 held by Alset Inc. and convertible into shares of the Issuer's common stock; (e) 1,068,309 shares of the Issuer's common stock held by Alset International Limited, an entity controlled by Mr. Chan and a subsidiary of Alset Inc.; and (f) 311,634 shares of the Issuer's common stock held by Global Biomedical Pte. Ltd., an entity controlled by Mr. Chan and a subsidiary of Alset International Limited (which is a subsidiary of Alset Inc.).

SEC source: 0001493152-25-005715 · ownership.xml · nonDerivative · entry 1

Chan Heng Fai Ambrose · CIK 0001261725 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 1,002,978

F1 · shares: On February 6, 2025, the Issuer awarded Mr. Heng Fai Ambrose Chan, a Director of the Company, a stock grant of 1,000,000 newly issued shares of the Issuer's common stock through his personally owned company, Heng Fai Holdings Limited as compensation for services rendered. The common stock was issued pursuant to the Issuer's 2020 Employee, Director and Consultant Equity Incentive Plan.

F1 · price: On February 6, 2025, the Issuer awarded Mr. Heng Fai Ambrose Chan, a Director of the Company, a stock grant of 1,000,000 newly issued shares of the Issuer's common stock through his personally owned company, Heng Fai Holdings Limited as compensation for services rendered. The common stock was issued pursuant to the Issuer's 2020 Employee, Director and Consultant Equity Incentive Plan.

F2 · balance_after: The beneficial ownership of Mr. Chan includes a total of 6,148,664 shares of common stock, consisting of (a) 1,002,978 shares of common stock held by Heng Fai Holdings Limited, an entity controlled by Heng Fai Chan; (b) 1,184,475 shares of common stock held by Mr. Chan directly; (c) 2,581,268 shares of common stock held by Alset Inc., an entity controlled by Mr. Chan; (d) 1,068,309 shares of common stock held by Alset International Limited, an entity controlled by Mr. Chan and a subsidiary of Alset Inc.; and (e) 311,634 shares of common stock held by Global Biomedical Pte. Ltd., an entity controlled by Mr. Chan and a subsidiary of Alset International Limited (which is a subsidiary of Alset Inc.).

F1 · ownership.nature: On February 6, 2025, the Issuer awarded Mr. Heng Fai Ambrose Chan, a Director of the Company, a stock grant of 1,000,000 newly issued shares of the Issuer's common stock through his personally owned company, Heng Fai Holdings Limited as compensation for services rendered. The common stock was issued pursuant to the Issuer's 2020 Employee, Director and Consultant Equity Incentive Plan.

SEC source: 0001493152-24-049861 · ownership.xml · nonDerivative · entry 2

Chan Heng Fai Ambrose · CIK 0001261725 · Director · 10% owner

Alset Inc. · CIK 0001750106 · 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: 1,184,475

F1 · shares: On December 10, 2024, Alset Inc. entered into a stock purchase agreement with DSS, Inc. (the "Issuer"), pursuant to which Alset Inc. agreed to purchase 820,597 newly issued shares of the Issuer's common stock for a purchase price of $0.9749 per share. Alset Inc. and its various subsidiaries are collectively the largest shareholder of DSS. Further, on December 10, 2024, Mr. Chan directly entered into a stock purchase agreement with the Issuer, pursuant to which he agreed to purchase 205,149 newly issued shares of the Issuer's common stock for a purchase price of $0.9749 per share. Mr. Chan is the Executive Chairman of DSS.

F1 · price: On December 10, 2024, Alset Inc. entered into a stock purchase agreement with DSS, Inc. (the "Issuer"), pursuant to which Alset Inc. agreed to purchase 820,597 newly issued shares of the Issuer's common stock for a purchase price of $0.9749 per share. Alset Inc. and its various subsidiaries are collectively the largest shareholder of DSS. Further, on December 10, 2024, Mr. Chan directly entered into a stock purchase agreement with the Issuer, pursuant to which he agreed to purchase 205,149 newly issued shares of the Issuer's common stock for a purchase price of $0.9749 per share. Mr. Chan is the Executive Chairman of DSS.

F2 · balance_after: The beneficial ownership of Mr. Chan includes a total of 5,148,664 shares of common stock, consisting of (a) 2,978 shares of common stock held by Heng Fai Holdings Limited, an entity controlled by Heng Fai Chan; (b) 1,184,475 shares of common stock held by Mr. Chan directly; (c) 2,581,268 shares of common stock held by Alset Inc., an entity controlled by Mr. Chan; (d) 1,068,309 shares of common stock held by Alset International Limited, an entity controlled by Mr. Chan and a subsidiary of Alset Inc.; and (e) 311,634 shares of common stock held by Global Biomedical Pte. Ltd., an entity controlled by Mr. Chan and a subsidiary of Alset International Limited (which is a subsidiary of Alset Inc.).

SEC source: 0001493152-24-049861 · ownership.xml · nonDerivative · entry 1

Chan Heng Fai Ambrose · CIK 0001261725 · Director · 10% owner

Alset Inc. · CIK 0001750106 · 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: 3,961,211

F1 · shares: On December 10, 2024, Alset Inc. entered into a stock purchase agreement with DSS, Inc. (the "Issuer"), pursuant to which Alset Inc. agreed to purchase 820,597 newly issued shares of the Issuer's common stock for a purchase price of $0.9749 per share. Alset Inc. and its various subsidiaries are collectively the largest shareholder of DSS. Further, on December 10, 2024, Mr. Chan directly entered into a stock purchase agreement with the Issuer, pursuant to which he agreed to purchase 205,149 newly issued shares of the Issuer's common stock for a purchase price of $0.9749 per share. Mr. Chan is the Executive Chairman of DSS.

F1 · price: On December 10, 2024, Alset Inc. entered into a stock purchase agreement with DSS, Inc. (the "Issuer"), pursuant to which Alset Inc. agreed to purchase 820,597 newly issued shares of the Issuer's common stock for a purchase price of $0.9749 per share. Alset Inc. and its various subsidiaries are collectively the largest shareholder of DSS. Further, on December 10, 2024, Mr. Chan directly entered into a stock purchase agreement with the Issuer, pursuant to which he agreed to purchase 205,149 newly issued shares of the Issuer's common stock for a purchase price of $0.9749 per share. Mr. Chan is the Executive Chairman of DSS.

F2 · balance_after: The beneficial ownership of Mr. Chan includes a total of 5,148,664 shares of common stock, consisting of (a) 2,978 shares of common stock held by Heng Fai Holdings Limited, an entity controlled by Heng Fai Chan; (b) 1,184,475 shares of common stock held by Mr. Chan directly; (c) 2,581,268 shares of common stock held by Alset Inc., an entity controlled by Mr. Chan; (d) 1,068,309 shares of common stock held by Alset International Limited, an entity controlled by Mr. Chan and a subsidiary of Alset Inc.; and (e) 311,634 shares of common stock held by Global Biomedical Pte. Ltd., an entity controlled by Mr. Chan and a subsidiary of Alset International Limited (which is a subsidiary of Alset Inc.).

F2 · ownership.nature: The beneficial ownership of Mr. Chan includes a total of 5,148,664 shares of common stock, consisting of (a) 2,978 shares of common stock held by Heng Fai Holdings Limited, an entity controlled by Heng Fai Chan; (b) 1,184,475 shares of common stock held by Mr. Chan directly; (c) 2,581,268 shares of common stock held by Alset Inc., an entity controlled by Mr. Chan; (d) 1,068,309 shares of common stock held by Alset International Limited, an entity controlled by Mr. Chan and a subsidiary of Alset Inc.; and (e) 311,634 shares of common stock held by Global Biomedical Pte. Ltd., an entity controlled by Mr. Chan and a subsidiary of Alset International Limited (which is a subsidiary of Alset Inc.).

SEC source: 0001493152-24-000089 · ownership.xml · nonDerivative · entry 2

Wu William Wai Leung · CIK 0001793749 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

SEC source: 0001493152-24-000089 · ownership.xml · nonDerivative · entry 1

Wu William Wai Leung · CIK 0001793749 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By Spouse

Disclosed balance after: 0

F1 · ownership.nature: Owned and sold by Mr. Wu's spouse. Mr. Wu disclaimed beneficial ownership of these securities.

SEC source: 0001493152-24-000039 · ownership.xml · nonDerivative · entry 1

Chan Heng Fai Ambrose · CIK 0001261725 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 19,586,499

F1 · shares: On December 28, 2023, the reporting person purchased 672,173 shares of the Issuer's common stock. This transaction was executed in multiple trades at prices ranging from $0.1239 to $0.15. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide, upon request of the SEC staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares and prices at which the transaction was effected.

F1 · price: On December 28, 2023, the reporting person purchased 672,173 shares of the Issuer's common stock. This transaction was executed in multiple trades at prices ranging from $0.1239 to $0.15. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide, upon request of the SEC staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares and prices at which the transaction was effected.

F2 · balance_after: The beneficial ownership of Heng Fai Chan includes a total of 82,458,315 shares of common stock, consisting of (a) 59,552 shares of common stock held by Heng Fai Holdings Limited, an entity controlled by Heng Fai Chan; (b) 19,586,499 shares of common stock held by Heng Fai Chan directly; (c) 35,213,416 shares of common stock held by Alset Inc., an entity controlled by Mr. Chan; (d) 21,366,177 shares of common stock held by Alset International Limited, an entity controlled by Mr. Chan and a subsidiary of Alset Inc.; and (e) 6,232,671 shares of common stock held by Global Biomedical Pte. Ltd., an entity controlled by Mr. Chan and a subsidiary of Alset International Limited.

SEC source: 0001493152-23-012781 · ownership.xml · nonDerivative · entry 1

Heuszel Frank D · CIK 0001748704 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,312,776

F1 · shares: On April 10, 2023, Frank D. Heuszel was issued 1,247,078 shares of common stock pursuant to his employment agreement.

SEC source: 0001493152-22-035493 · ownership.xml · nonDerivative · entry 1

Chan Heng Fai Ambrose · CIK 0001261725 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,914,326

F1 · shares: On December 13, 2022, the reporting person purchased 334,921 shares of the Issuer's common stock. This transaction was executed in multiple trades at prices ranging from $0.1899 to $0.25. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide, upon request of the SEC staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares and prices at which the transaction was effected.

F1 · price: On December 13, 2022, the reporting person purchased 334,921 shares of the Issuer's common stock. This transaction was executed in multiple trades at prices ranging from $0.1899 to $0.25. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide, upon request of the SEC staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares and prices at which the transaction was effected.

F2 · balance_after: The beneficial ownership of Heng Fai Chan includes a total of 81,786,142 shares of common stock, consisting of (a) 59,552 shares of common stock held by Heng Fai Holdings Limited, an entity controlled by Heng Fai Chan; (b) 18,914,326 shares of common stock held by Heng Fai Chan directly; (c) 35,213,416 shares of common stock held by Alset Inc.; (d) 21,366,177 shares of common stock held by Alset International Limited, a subsidiary of Alset Inc.; and (e) 6,232,671 shares of common stock held by Global Biomedical Pte. Ltd., a subsidiary of Alset International Limited. Mr. Chan, as indirect beneficial owner, has dispositive control over the securities of the Issuer owned by Alset Inc., Alset International Limited and Global Biomedical Pte. Ltd.

SEC source: 0001493152-22-035312 · ownership.xml · nonDerivative · entry 1

Chan Heng Fai Ambrose · CIK 0001261725 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,579,405

F1 · shares: On December 9, 2022, the reporting person purchased 51,385 shares of the Issuer's common stock. This transaction was executed in multiple trades at prices ranging from $0.1866 to $0.195. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide, upon request of the SEC staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares and prices at which the transaction was effected.

F1 · price: On December 9, 2022, the reporting person purchased 51,385 shares of the Issuer's common stock. This transaction was executed in multiple trades at prices ranging from $0.1866 to $0.195. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide, upon request of the SEC staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares and prices at which the transaction was effected.

F2 · balance_after: The beneficial ownership of Heng Fai Chan includes a total of 81,451,221 shares of common stock, consisting of (a) 59,552 shares of common stock held by Heng Fai Holdings Limited, an entity controlled by Heng Fai Chan; (b) 18,579,405 shares of common stock held by Heng Fai Chan directly; (c) 35,213,416 shares of common stock held by Alset Inc.; (d) 21,366,177 shares of common stock held by Alset International Limited, a subsidiary of Alset Inc.; and (e) 6,232,671 shares of common stock held by Global Biomedical Pte. Ltd., a subsidiary of Alset International Limited. Mr. Chan, as indirect beneficial owner, has dispositive control over the securities of the Issuer owned by Alset Inc., Alset International Limited and Global Biomedical Pte. Ltd.

SEC source: 0001493152-22-019369 · ownership.xml · nonDerivative · entry 1

Chan Heng Fai Ambrose · CIK 0001261725 · Director · 10% owner

Alset EHome International Inc. · CIK 0001750106 · 10% owner

Alset International Ltd · CIK 0001660984 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 81,399,836

F1 · kind: On July 12, 2022, Alset International Limited ("AIL"), a majority owned subsidiary of Alset EHome International Inc. ("AEI"), was issued 21,366,177 shares of the common stock of DSS, Inc. (the "Issuer") pursuant to an assignment and assumption agreement (the "Agreement") between the Issuer and AIL dated February 25, 2022, as amended on July 12, 2022. Pursuant to the Agreement, as amended, the Issuer agreed to purchase a convertible promissory note from AIL (the "Note"). The Note has a principal amount of $8,350,000 and accrued but unpaid interest of $367,400. The Note was issued by American Medical REIT, Inc., a Maryland corporation. The consideration paid for the Note was 21,366,177 shares of the Issuer's common stock. The consideration was calculated by dividing $8,717,400, the aggregate of the principal amount and the accrued but unpaid interest under the Note, by $0.408 per share.

F1 · price: On July 12, 2022, Alset International Limited ("AIL"), a majority owned subsidiary of Alset EHome International Inc. ("AEI"), was issued 21,366,177 shares of the common stock of DSS, Inc. (the "Issuer") pursuant to an assignment and assumption agreement (the "Agreement") between the Issuer and AIL dated February 25, 2022, as amended on July 12, 2022. Pursuant to the Agreement, as amended, the Issuer agreed to purchase a convertible promissory note from AIL (the "Note"). The Note has a principal amount of $8,350,000 and accrued but unpaid interest of $367,400. The Note was issued by American Medical REIT, Inc., a Maryland corporation. The consideration paid for the Note was 21,366,177 shares of the Issuer's common stock. The consideration was calculated by dividing $8,717,400, the aggregate of the principal amount and the accrued but unpaid interest under the Note, by $0.408 per share.

F2 · balance_after: The beneficial ownership of Heng Fai Chan includes 81,399,836 shares of common stock, consisting of (a) 1,614,552 shares of common stock held by Heng Fai Holdings Limited, an entity controlled by Heng Fai Chan; (b) 16,973,020 shares of common stock held by Heng Fai Chan directly; (c) 6,232,671 shares of common stock held by Global Biomedical Pte. Ltd., a subsidiary of AIL; (d) 35,213,416 shares of common stock held by Alset EHome International Inc.; and (e) 21,366,177 shares of common stock held by AIL, a subsidiary of Alset EHome International Inc. Mr. Chan, as indirect beneficial owner, has dispositive control over the securities of the Issuer owned by Alset EHome International Inc., Global Biomedical Pte. Ltd., and Alset International Limited.

F2 · ownership.nature: The beneficial ownership of Heng Fai Chan includes 81,399,836 shares of common stock, consisting of (a) 1,614,552 shares of common stock held by Heng Fai Holdings Limited, an entity controlled by Heng Fai Chan; (b) 16,973,020 shares of common stock held by Heng Fai Chan directly; (c) 6,232,671 shares of common stock held by Global Biomedical Pte. Ltd., a subsidiary of AIL; (d) 35,213,416 shares of common stock held by Alset EHome International Inc.; and (e) 21,366,177 shares of common stock held by AIL, a subsidiary of Alset EHome International Inc. Mr. Chan, as indirect beneficial owner, has dispositive control over the securities of the Issuer owned by Alset EHome International Inc., Global Biomedical Pte. Ltd., and Alset International Limited.

SEC source: 0001493152-22-019013 · ownership.xml · nonDerivative · entry 1

Chan Heng Fai Ambrose · CIK 0001261725 · Director · 10% owner

Alset EHome International Inc. · CIK 0001750106 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 60,033,659

F1 · price: On July 7, 2022, Alset EHome International Inc. ("AEI") was issued 17,570,948 shares of common stock pursuant to a Stock Purchase Agreement ("SPA") between the Issuer and AEI dated February 28, 2022. Pursuant to the SPA, AEI agreed to sell a subsidiary holding 44,808,908 shares of stock of True Partner Capital Holding Limited, together with an additional 17,314,000 shares of True Partner Capital Holding Limited (for a total of 62,122,908 shares) in exchange for the 17,570,948 shares of the Issuer's common stock.

F2 · balance_after: The beneficial ownership of Heng Fai Chan includes 60,033,659 shares of common stock, consisting of (a) 1,614,552 shares of common stock held by Heng Fai Holdings Limited, an entity controlled by Heng Fai Chan; (b) 16,973,020 shares of common stock held by Heng Fai Chan directly; (c) 6,232,671 shares of common stock held by Global Biomedical Pte. Ltd.; and (d) 35,213,416 shares of common stock held by Alset EHome International Inc. Mr. Chan, as indirect beneficial owner, has dispositive control over the securities of the Issuer owned by Alset EHome International Inc. and Global Biomedical Pte. Ltd. Global Biomedical Pte. Ltd. is a subsidiary of an entity which is majority-owned by Alset EHome International Inc.

F2 · ownership.nature: The beneficial ownership of Heng Fai Chan includes 60,033,659 shares of common stock, consisting of (a) 1,614,552 shares of common stock held by Heng Fai Holdings Limited, an entity controlled by Heng Fai Chan; (b) 16,973,020 shares of common stock held by Heng Fai Chan directly; (c) 6,232,671 shares of common stock held by Global Biomedical Pte. Ltd.; and (d) 35,213,416 shares of common stock held by Alset EHome International Inc. Mr. Chan, as indirect beneficial owner, has dispositive control over the securities of the Issuer owned by Alset EHome International Inc. and Global Biomedical Pte. Ltd. Global Biomedical Pte. Ltd. is a subsidiary of an entity which is majority-owned by Alset EHome International Inc.

SEC source: 0001493152-22-017420 · ownership.xml · nonDerivative · entry 2

Wu William Wai Leung · CIK 0001793749 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Spouse

Disclosed balance after: 151,020

F1 · ownership.nature: Owned and purchased by Mr. Wu's spouse. Mr. Wu disclaims beneficial ownership of these securities.

SEC source: 0001493152-22-017420 · ownership.xml · nonDerivative · entry 1

Wu William Wai Leung · CIK 0001793749 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Spouse

Disclosed balance after: 146,020

F1 · ownership.nature: Owned and purchased by Mr. Wu's spouse. Mr. Wu disclaims beneficial ownership of these securities.

SEC source: 0001493152-22-016767 · ownership.xml · nonDerivative · entry 4

Wu William Wai Leung · CIK 0001793749 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Spouse

Disclosed balance after: 140,000

F1 · price: Based on price at market close. The average purchase price for 140,000 shares was $0.4136.

F2 · ownership.nature: Owned and purchased by Mr. Wu's spouse. Mr. Wu disclaims beneficial ownership of these securities.

SEC source: 0001493152-22-016767 · ownership.xml · nonDerivative · entry 3

Wu William Wai Leung · CIK 0001793749 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Spouse

Disclosed balance after: 113,000

F1 · price: Based on price at market close. The average purchase price for 140,000 shares was $0.4136.

F2 · ownership.nature: Owned and purchased by Mr. Wu's spouse. Mr. Wu disclaims beneficial ownership of these securities.

SEC source: 0001493152-22-016767 · ownership.xml · nonDerivative · entry 2

Wu William Wai Leung · CIK 0001793749 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Spouse

Disclosed balance after: 40,400

F1 · price: Based on price at market close. The average purchase price for 140,000 shares was $0.4136.

F2 · ownership.nature: Owned and purchased by Mr. Wu's spouse. Mr. Wu disclaims beneficial ownership of these securities.

SEC source: 0001493152-22-016767 · ownership.xml · nonDerivative · entry 1

Wu William Wai Leung · CIK 0001793749 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Spouse

Disclosed balance after: 16,749

F1 · price: Based on price at market close. The average purchase price for 140,000 shares was $0.4136.

F2 · ownership.nature: Owned and purchased by Mr. Wu's spouse. Mr. Wu disclaims beneficial ownership of these securities.

SEC source: 0001493152-22-015360 · ownership.xml · nonDerivative · entry 1

Chan Heng Fai Ambrose · CIK 0001261725 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,973,020

F1 · shares: On May 25, 2022, Heng Fai Ambrose Chan was issued 15,389,995 shares of common stock pursuant to his employment agreement. Such shares were issued as payment of base salary and a performance bonus due under such employment agreement.

F1 · price: On May 25, 2022, Heng Fai Ambrose Chan was issued 15,389,995 shares of common stock pursuant to his employment agreement. Such shares were issued as payment of base salary and a performance bonus due under such employment agreement.

F2 · balance_after: The beneficial ownership of Heng Fai Ambrose Chan includes 42,462,711 shares of common stock, consisting of (a) 1,614,552 shares of common stock held by Heng Fai Holdings Limited, an entity controlled by Heng Fai Ambrose Chan; (b) 16,973,020 shares of common stock held by Heng Fai Ambrose Chan directly; (c) 6,232,671 shares of common stock held by Global Biomedical Pte. Ltd.; and (d) 17,642,468 shares of common stock held by Alset EHome International Inc.

SEC source: 0001493152-22-015542 · ownership.xml · nonDerivative · entry 1

Heuszel Frank D · CIK 0001748704 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,698

F1 · shares: On May 4, 2022, Frank D. Heuszel was issued 63,205 shares of common stock pursuant to his employment agreement. Such shares were issued as payment of a performance bonus due under such employment agreement.

SEC source: 0001493152-22-010437 · ownership.xml · nonDerivative · entry 1

Chan Heng Fai Ambrose · CIK 0001261725 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,583,025

F1 · shares: On April 1, 2022, Heng Fai Chan was issued 894,084 shares of common stock pursuant to his employment agreement. Such shares were issued in consideration of $339,752 due under such employment agreement.

F1 · price: On April 1, 2022, Heng Fai Chan was issued 894,084 shares of common stock pursuant to his employment agreement. Such shares were issued in consideration of $339,752 due under such employment agreement.

F2 · balance_after: The beneficial ownership of Heng Fai Chan includes 27,072,716 shares of common stock, consisting of (a) 1,614,552 shares of common stock held by Heng Fai Holdings Limited, an entity controlled by Heng Fai Chan; (b) 1,583,025 shares of common stock held by Heng Fai Chan directly; (c) 16,667 shares of common stock held by BMI Capital Partners International Limited; (d) 7,716,004 shares of common stock held by Global Biomedical Pte. Ltd.; and (e) 16,142,468 shares of common stock held by Alset EHome International Inc.

SEC source: 0001493152-22-006557 · ownership.xml · nonDerivative · entry 1

Chan Heng Fai Ambrose · CIK 0001261725 · Director · 10% owner

Alset EHome International Inc. · CIK 0001750106 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 26,178,632

F1 · balance_after: The beneficial ownership of Heng Fai Chan includes 26,178,632 shares of common stock, consisting of (a) 1,614,552 shares of common stock held by Heng Fai Holdings Limited, an entity controlled by Heng Fai Chan; (b) 688,941 shares of common stock held by Heng Fai Chan directly; (c) 16,667 shares of common stock held by BMI Capital Partners International Limited; (d) 7,716,004 shares of common stock held by Global Biomedical Pte. Ltd.; and (e) 16,142,468 shares of common stock held by Alset EHome International Inc.

F2 · ownership.nature: 16,142,468 shares of common stock are owned directly by Alset EHome International Inc., including 3,986,877 shares purchased on March 9, 2022 pursuant to an agreement entered into between Alset EHome International Inc. and DSS, Inc. on February 28, 2022. Mr. Chan, as indirect beneficial owner, has dispositive control over the securities of the Issuer owned by Alset EHome International Inc., BMI Capital Partners International Limited and Global Biomedical Pte. Ltd. BMI Capital Partners International Limited and Global Biomedical Pte. Ltd. are each subsidiaries of entities majority-owned by Alset EHome International Inc.

SEC source: 0001493152-21-022444 · ownership.xml · nonDerivative · entry 1

Chan Heng Fai Ambrose · CIK 0001261725 · Director · 10% owner

Alset EHome International Inc. · CIK 0001750106 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 22,191,755

F1 · balance_after: The beneficial ownership of Heng Fai Chan includes 22,191,755 shares of common stock, consisting of (a) 1,614,552 shares of common stock held by Heng Fai Holdings Limited, an entity controlled by Heng Fai Chan; (b) 688,941 shares of common stock held by Heng Fai Chan directly; (c) 16,667 shares of common stock held by BMI Capital Partners International Limited; (d) 7,716,004 shares of common stock held by Global Biomedical Pte. Ltd.; and (e) 12,155,591 shares of common stock held by Alset EHome International Inc.

F2 · ownership.nature: These 12,155,591 shares of common stock are owned directly by Alset EHome International Inc. Mr. Chan has dispositive control over the securities of the Issuer owned by Alset EHome International Inc., BMI Capital Partners International Limited and Global Biomedical Pte. Ltd. BMI Capital Partners International Limited and Global Biomedical Pte. Ltd. are each subsidiaries of entities majority-owned by Alset EHome International Inc.

SEC source: 0001493152-21-015139 · ownership.xml · derivative · entry 2

Chan Heng Fai Ambrose · CIK 0001261725 · Director · 10% owner

Global BioMedical Pte. Ltd. · CIK 0001823066 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 0

Underlying: Common Stock · 1,120,170 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.exercise_price: The Series A Convertible Preferred Stock of the Issuer has a stated value of $1,000 per share and may be converted into shares of the Common Stock of the Issuer at a conversion price of $6.48 per share. Following the conversion of 7,259 shares of Series A Convertible Preferred Stock, GBM does not own any shares of Series A Convertible Preferred Stock. Mr. Chan has dispositive control over the securities owned by GBM.

F1 · kind: Global BioMedical Pte. Ltd. ("GBM") has converted 7,259 shares of Series A Convertible Preferred Stock into 1,120,170 shares of the common stock, par value $0.02 per share (the "Common Stock"), of Document Security Systems, Inc. (the "Issuer").

F2 · price: The Series A Convertible Preferred Stock of the Issuer has a stated value of $1,000 per share and may be converted into shares of the Common Stock of the Issuer at a conversion price of $6.48 per share. Following the conversion of 7,259 shares of Series A Convertible Preferred Stock, GBM does not own any shares of Series A Convertible Preferred Stock. Mr. Chan has dispositive control over the securities owned by GBM.

F2 · derivative.exercise_date: The Series A Convertible Preferred Stock of the Issuer has a stated value of $1,000 per share and may be converted into shares of the Common Stock of the Issuer at a conversion price of $6.48 per share. Following the conversion of 7,259 shares of Series A Convertible Preferred Stock, GBM does not own any shares of Series A Convertible Preferred Stock. Mr. Chan has dispositive control over the securities owned by GBM.

F2 · derivative.expiration_date: The Series A Convertible Preferred Stock of the Issuer has a stated value of $1,000 per share and may be converted into shares of the Common Stock of the Issuer at a conversion price of $6.48 per share. Following the conversion of 7,259 shares of Series A Convertible Preferred Stock, GBM does not own any shares of Series A Convertible Preferred Stock. Mr. Chan has dispositive control over the securities owned by GBM.

F4 · ownership.nature: These securities were owned directly by GBM. Mr. Chan has dispositive control over the securities of the Issuer owned by GBM.

SEC source: 0001493152-21-015139 · ownership.xml · nonDerivative · entry 1

Chan Heng Fai Ambrose · CIK 0001261725 · Director · 10% owner

Global BioMedical Pte. Ltd. · CIK 0001823066 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 10,036,164

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 · kind: Global BioMedical Pte. Ltd. ("GBM") has converted 7,259 shares of Series A Convertible Preferred Stock into 1,120,170 shares of the common stock, par value $0.02 per share (the "Common Stock"), of Document Security Systems, Inc. (the "Issuer").

F2 · price: The Series A Convertible Preferred Stock of the Issuer has a stated value of $1,000 per share and may be converted into shares of the Common Stock of the Issuer at a conversion price of $6.48 per share. Following the conversion of 7,259 shares of Series A Convertible Preferred Stock, GBM does not own any shares of Series A Convertible Preferred Stock. Mr. Chan has dispositive control over the securities owned by GBM.

F3 · balance_after: The beneficial ownership of the Reporting Person includes 10,036,164 shares of Common Stock, consisting of (a) 1,614,552 shares of Common Stock held by Heng Fai Holdings Limited; (b) 16,667 shares of Common Stock held by BMI Capital Partners International Limited; (c) 474,060 shares of Common Stock held by the Reporting Person; (d) 214,881 shares of Common Stock held by LiquidValue Development Pte Ltd.; and (e) 7,716,004 shares of Common Stock held by Global Biomedical Pte. Ltd.

F4 · ownership.nature: These securities were owned directly by GBM. Mr. Chan has dispositive control over the securities of the Issuer owned by GBM.

SEC source: 0001493152-21-014712 · ownership.xml · nonDerivative · entry 3

Chan Heng Fai Ambrose · CIK 0001261725 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,947,012

F1 · ownership.direct: The beneficial ownership of the Reporting Person includes, in addition to those purchases described herein, 7,392,012 shares of common stock, par value $0.02 per share, of Document Security Systems, Inc. ("Common Stock"), consisting of (a) 59,552 shares of Common Stock held by Heng Fai Holdings Limited; (b) 16,667 shares of Common Stock held by BMI Capital Partners International Limited; (c) 474,060 shares of Common Stock held by the Reporting Person; (d) 214,881 shares of Common Stock held by LiquidValue Development Pte Ltd.; and (e) (i) 6,595,834 shares of Common Stock and (ii) 31,018 shares of Common Stock that could be obtained upon the conversion of shares of Series A Convertible Preferred Stock, par value $.02 per share, beneficially owned by the Reporting Person, held by Global Biomedical Pte. Ltd.

SEC source: 0001493152-21-014712 · ownership.xml · nonDerivative · entry 2

Chan Heng Fai Ambrose · CIK 0001261725 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,392,012

F1 · ownership.direct: The beneficial ownership of the Reporting Person includes, in addition to those purchases described herein, 7,392,012 shares of common stock, par value $0.02 per share, of Document Security Systems, Inc. ("Common Stock"), consisting of (a) 59,552 shares of Common Stock held by Heng Fai Holdings Limited; (b) 16,667 shares of Common Stock held by BMI Capital Partners International Limited; (c) 474,060 shares of Common Stock held by the Reporting Person; (d) 214,881 shares of Common Stock held by LiquidValue Development Pte Ltd.; and (e) (i) 6,595,834 shares of Common Stock and (ii) 31,018 shares of Common Stock that could be obtained upon the conversion of shares of Series A Convertible Preferred Stock, par value $.02 per share, beneficially owned by the Reporting Person, held by Global Biomedical Pte. Ltd.

SEC source: 0001493152-21-014712 · ownership.xml · nonDerivative · entry 1

Chan Heng Fai Ambrose · CIK 0001261725 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,507,972

F1 · ownership.direct: The beneficial ownership of the Reporting Person includes, in addition to those purchases described herein, 7,392,012 shares of common stock, par value $0.02 per share, of Document Security Systems, Inc. ("Common Stock"), consisting of (a) 59,552 shares of Common Stock held by Heng Fai Holdings Limited; (b) 16,667 shares of Common Stock held by BMI Capital Partners International Limited; (c) 474,060 shares of Common Stock held by the Reporting Person; (d) 214,881 shares of Common Stock held by LiquidValue Development Pte Ltd.; and (e) (i) 6,595,834 shares of Common Stock and (ii) 31,018 shares of Common Stock that could be obtained upon the conversion of shares of Series A Convertible Preferred Stock, par value $.02 per share, beneficially owned by the Reporting Person, held by Global Biomedical Pte. Ltd.

SEC source: 0001493152-21-013109 · ownership.xml · derivative · entry 2

Chan Heng Fai Ambrose · CIK 0001261725 · Director · 10% owner

Global BioMedical Pte. Ltd. · CIK 0001823066 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 7,259

Underlying: Common Stock · 5,450,000 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.exercise_price: The Series A Convertible Preferred Stock of the Issuer has a stated value of $1,000 per share and may be converted into shares of the common stock of the Issuer at a conversion price of $6.48 per share, subject to a 19.99% beneficial ownership conversion limitation (the "Blocker") based on the total issued and outstanding shares of common stock of the Issuer beneficially owned by GBM. There are currently 33,120,125 shares of the Issuer's common stock issued and outstanding, and therefore, as a result of the Blocker, GBM is currently able to convert an additional 201 shares of Series A Preferred Stock, equal to 31,018 shares of the Issuer's common stock. Mr. Chan has dispositive control over the securities owned by GBM.

F1 · kind: Global BioMedical Pte. Ltd. ("GBM") has converted 35,316 shares of Series A Convertible Preferred Stock into 5,450,000 shares of the common stock of Document Security Systems, Inc. (the "Issuer").

F2 · price: The Series A Convertible Preferred Stock of the Issuer has a stated value of $1,000 per share and may be converted into shares of the common stock of the Issuer at a conversion price of $6.48 per share, subject to a 19.99% beneficial ownership conversion limitation (the "Blocker") based on the total issued and outstanding shares of common stock of the Issuer beneficially owned by GBM. There are currently 33,120,125 shares of the Issuer's common stock issued and outstanding, and therefore, as a result of the Blocker, GBM is currently able to convert an additional 201 shares of Series A Preferred Stock, equal to 31,018 shares of the Issuer's common stock. Mr. Chan has dispositive control over the securities owned by GBM.

F2 · derivative.exercise_date: The Series A Convertible Preferred Stock of the Issuer has a stated value of $1,000 per share and may be converted into shares of the common stock of the Issuer at a conversion price of $6.48 per share, subject to a 19.99% beneficial ownership conversion limitation (the "Blocker") based on the total issued and outstanding shares of common stock of the Issuer beneficially owned by GBM. There are currently 33,120,125 shares of the Issuer's common stock issued and outstanding, and therefore, as a result of the Blocker, GBM is currently able to convert an additional 201 shares of Series A Preferred Stock, equal to 31,018 shares of the Issuer's common stock. Mr. Chan has dispositive control over the securities owned by GBM.

F2 · derivative.expiration_date: The Series A Convertible Preferred Stock of the Issuer has a stated value of $1,000 per share and may be converted into shares of the common stock of the Issuer at a conversion price of $6.48 per share, subject to a 19.99% beneficial ownership conversion limitation (the "Blocker") based on the total issued and outstanding shares of common stock of the Issuer beneficially owned by GBM. There are currently 33,120,125 shares of the Issuer's common stock issued and outstanding, and therefore, as a result of the Blocker, GBM is currently able to convert an additional 201 shares of Series A Preferred Stock, equal to 31,018 shares of the Issuer's common stock. Mr. Chan has dispositive control over the securities owned by GBM.

F3 · ownership.nature: These securities are owned directly by GBM. Mr. Chan has dispositive control over the common stock and Series A Convertible Preferred Stock of the Issuer owned by GBM.

SEC source: 0001493152-21-013109 · ownership.xml · nonDerivative · entry 1

Chan Heng Fai Ambrose · CIK 0001261725 · Director · 10% owner

Global BioMedical Pte. Ltd. · CIK 0001823066 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 6,595,834

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 · kind: Global BioMedical Pte. Ltd. ("GBM") has converted 35,316 shares of Series A Convertible Preferred Stock into 5,450,000 shares of the common stock of Document Security Systems, Inc. (the "Issuer").

F2 · price: The Series A Convertible Preferred Stock of the Issuer has a stated value of $1,000 per share and may be converted into shares of the common stock of the Issuer at a conversion price of $6.48 per share, subject to a 19.99% beneficial ownership conversion limitation (the "Blocker") based on the total issued and outstanding shares of common stock of the Issuer beneficially owned by GBM. There are currently 33,120,125 shares of the Issuer's common stock issued and outstanding, and therefore, as a result of the Blocker, GBM is currently able to convert an additional 201 shares of Series A Preferred Stock, equal to 31,018 shares of the Issuer's common stock. Mr. Chan has dispositive control over the securities owned by GBM.

F3 · ownership.nature: These securities are owned directly by GBM. Mr. Chan has dispositive control over the common stock and Series A Convertible Preferred Stock of the Issuer owned by GBM.

SEC source: 0001493152-20-019900 · ownership.xml · derivative · entry 2

Chan Heng Fai Ambrose · CIK 0001261725 · Director · 10% owner

Global BioMedical Pte. Ltd. · CIK 0001823066 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 42,575

Underlying: Common Stock · 662,500 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.exercise_price: The Series A Convertible Preferred Stock of the Issuer has a stated value of $1,000 per share and may be converted into shares of the common stock of the Issuer at a conversion price of $6.48 per share, subject to a 19.99% beneficial ownership conversion limitation (the "Blocker") based on the total issued and outstanding shares of common stock of the Issuer beneficially owned by GBM. There are currently 5,836,212 shares of the Issuer's common stock issued and outstanding, and therefore, as a result of the Blocker, GBM is currently able to convert an additional 168 shares of Series A Preferred Stock, equal to 25,925 shares of the Issuer's common stock. Mr. Chan has dispositive control over the securities owned by GBM.

F1 · kind: Global BioMedical Pte. Ltd. ("GBM") has converted 4,293 shares of Series A Convertible Preferred Stock into 662,500 shares of the common stock of Document Security Systems, Inc. (the "Issuer").

F2 · price: The Series A Convertible Preferred Stock of the Issuer has a stated value of $1,000 per share and may be converted into shares of the common stock of the Issuer at a conversion price of $6.48 per share, subject to a 19.99% beneficial ownership conversion limitation (the "Blocker") based on the total issued and outstanding shares of common stock of the Issuer beneficially owned by GBM. There are currently 5,836,212 shares of the Issuer's common stock issued and outstanding, and therefore, as a result of the Blocker, GBM is currently able to convert an additional 168 shares of Series A Preferred Stock, equal to 25,925 shares of the Issuer's common stock. Mr. Chan has dispositive control over the securities owned by GBM.

F2 · derivative.exercise_date: The Series A Convertible Preferred Stock of the Issuer has a stated value of $1,000 per share and may be converted into shares of the common stock of the Issuer at a conversion price of $6.48 per share, subject to a 19.99% beneficial ownership conversion limitation (the "Blocker") based on the total issued and outstanding shares of common stock of the Issuer beneficially owned by GBM. There are currently 5,836,212 shares of the Issuer's common stock issued and outstanding, and therefore, as a result of the Blocker, GBM is currently able to convert an additional 168 shares of Series A Preferred Stock, equal to 25,925 shares of the Issuer's common stock. Mr. Chan has dispositive control over the securities owned by GBM.

F2 · derivative.expiration_date: The Series A Convertible Preferred Stock of the Issuer has a stated value of $1,000 per share and may be converted into shares of the common stock of the Issuer at a conversion price of $6.48 per share, subject to a 19.99% beneficial ownership conversion limitation (the "Blocker") based on the total issued and outstanding shares of common stock of the Issuer beneficially owned by GBM. There are currently 5,836,212 shares of the Issuer's common stock issued and outstanding, and therefore, as a result of the Blocker, GBM is currently able to convert an additional 168 shares of Series A Preferred Stock, equal to 25,925 shares of the Issuer's common stock. Mr. Chan has dispositive control over the securities owned by GBM.

F3 · ownership.nature: These securities are owned directly by GBM. Mr. Chan has dispositive control over the common stock and Series A Convertible Preferred Stock of the Issuer owned by GBM.

SEC source: 0001493152-20-019900 · ownership.xml · nonDerivative · entry 1

Chan Heng Fai Ambrose · CIK 0001261725 · Director · 10% owner

Global BioMedical Pte. Ltd. · CIK 0001823066 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 1,145,834

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 · kind: Global BioMedical Pte. Ltd. ("GBM") has converted 4,293 shares of Series A Convertible Preferred Stock into 662,500 shares of the common stock of Document Security Systems, Inc. (the "Issuer").

F2 · price: The Series A Convertible Preferred Stock of the Issuer has a stated value of $1,000 per share and may be converted into shares of the common stock of the Issuer at a conversion price of $6.48 per share, subject to a 19.99% beneficial ownership conversion limitation (the "Blocker") based on the total issued and outstanding shares of common stock of the Issuer beneficially owned by GBM. There are currently 5,836,212 shares of the Issuer's common stock issued and outstanding, and therefore, as a result of the Blocker, GBM is currently able to convert an additional 168 shares of Series A Preferred Stock, equal to 25,925 shares of the Issuer's common stock. Mr. Chan has dispositive control over the securities owned by GBM.

F3 · ownership.nature: These securities are owned directly by GBM. Mr. Chan has dispositive control over the common stock and Series A Convertible Preferred Stock of the Issuer owned by GBM.

SEC source: 0001493152-20-016707 · ownership.xml · derivative · entry 7

Chan Heng Fai Ambrose · CIK 0001261725 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 46,868

Underlying: Common Stock · 7,232,716 shares

Expires not disclosed

F6 · derivative.exercise_price: In connection with the Exchange Agreement, GBM received 46,868 newly issued shares of the Issuer's Series A Convertible Preferred Stock ("Series A Preferred Stock") with a stated value of $46,868,000, or $1,000 per share. The Series A Preferred Stock is convertible into shares of common stock of DSS, at an initial conversion price of $6.48 per share, subject to a 19.9% beneficial ownership conversion limitation ("Blocker") based on the total issued and outstanding shares of common stock of the Issuer beneficially owned by GBM. As of August 21, 2020, there were 5,115,179 shares of the Issuer's common stock issued and outstanding, and therefore, as a result of the Blocker, GBM is currently only able to convert the number of Series A Preferred Stock equal to approximately 673,904 shares of the Issuer's common stock, or approximately 4,366 shares of Series A Preferred Stock. The Reporting Person has dispositive control over these securities.

F6 · price: In connection with the Exchange Agreement, GBM received 46,868 newly issued shares of the Issuer's Series A Convertible Preferred Stock ("Series A Preferred Stock") with a stated value of $46,868,000, or $1,000 per share. The Series A Preferred Stock is convertible into shares of common stock of DSS, at an initial conversion price of $6.48 per share, subject to a 19.9% beneficial ownership conversion limitation ("Blocker") based on the total issued and outstanding shares of common stock of the Issuer beneficially owned by GBM. As of August 21, 2020, there were 5,115,179 shares of the Issuer's common stock issued and outstanding, and therefore, as a result of the Blocker, GBM is currently only able to convert the number of Series A Preferred Stock equal to approximately 673,904 shares of the Issuer's common stock, or approximately 4,366 shares of Series A Preferred Stock. The Reporting Person has dispositive control over these securities.

F6 · derivative.exercise_date: In connection with the Exchange Agreement, GBM received 46,868 newly issued shares of the Issuer's Series A Convertible Preferred Stock ("Series A Preferred Stock") with a stated value of $46,868,000, or $1,000 per share. The Series A Preferred Stock is convertible into shares of common stock of DSS, at an initial conversion price of $6.48 per share, subject to a 19.9% beneficial ownership conversion limitation ("Blocker") based on the total issued and outstanding shares of common stock of the Issuer beneficially owned by GBM. As of August 21, 2020, there were 5,115,179 shares of the Issuer's common stock issued and outstanding, and therefore, as a result of the Blocker, GBM is currently only able to convert the number of Series A Preferred Stock equal to approximately 673,904 shares of the Issuer's common stock, or approximately 4,366 shares of Series A Preferred Stock. The Reporting Person has dispositive control over these securities.

F6 · derivative.expiration_date: In connection with the Exchange Agreement, GBM received 46,868 newly issued shares of the Issuer's Series A Convertible Preferred Stock ("Series A Preferred Stock") with a stated value of $46,868,000, or $1,000 per share. The Series A Preferred Stock is convertible into shares of common stock of DSS, at an initial conversion price of $6.48 per share, subject to a 19.9% beneficial ownership conversion limitation ("Blocker") based on the total issued and outstanding shares of common stock of the Issuer beneficially owned by GBM. As of August 21, 2020, there were 5,115,179 shares of the Issuer's common stock issued and outstanding, and therefore, as a result of the Blocker, GBM is currently only able to convert the number of Series A Preferred Stock equal to approximately 673,904 shares of the Issuer's common stock, or approximately 4,366 shares of Series A Preferred Stock. The Reporting Person has dispositive control over these securities.

F6 · derivative.underlying_shares: In connection with the Exchange Agreement, GBM received 46,868 newly issued shares of the Issuer's Series A Convertible Preferred Stock ("Series A Preferred Stock") with a stated value of $46,868,000, or $1,000 per share. The Series A Preferred Stock is convertible into shares of common stock of DSS, at an initial conversion price of $6.48 per share, subject to a 19.9% beneficial ownership conversion limitation ("Blocker") based on the total issued and outstanding shares of common stock of the Issuer beneficially owned by GBM. As of August 21, 2020, there were 5,115,179 shares of the Issuer's common stock issued and outstanding, and therefore, as a result of the Blocker, GBM is currently only able to convert the number of Series A Preferred Stock equal to approximately 673,904 shares of the Issuer's common stock, or approximately 4,366 shares of Series A Preferred Stock. The Reporting Person has dispositive control over these securities.

F6 · ownership.nature: In connection with the Exchange Agreement, GBM received 46,868 newly issued shares of the Issuer's Series A Convertible Preferred Stock ("Series A Preferred Stock") with a stated value of $46,868,000, or $1,000 per share. The Series A Preferred Stock is convertible into shares of common stock of DSS, at an initial conversion price of $6.48 per share, subject to a 19.9% beneficial ownership conversion limitation ("Blocker") based on the total issued and outstanding shares of common stock of the Issuer beneficially owned by GBM. As of August 21, 2020, there were 5,115,179 shares of the Issuer's common stock issued and outstanding, and therefore, as a result of the Blocker, GBM is currently only able to convert the number of Series A Preferred Stock equal to approximately 673,904 shares of the Issuer's common stock, or approximately 4,366 shares of Series A Preferred Stock. The Reporting Person has dispositive control over these securities.

SEC source: 0001493152-20-016707 · ownership.xml · nonDerivative · entry 1

Chan Heng Fai Ambrose · CIK 0001261725 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 483,334

F1 · shares: On August 21, 2020, Document Security Systems, Inc., a New York corporation (the "Issuer") closed on a share exchange agreement (the "Exchange Agreement") by and among the Issuer, DSS BioHealth Security, Inc., Singapore eDevelopment Ltd. ("SeD"), an entity controlled by the Reporting Person, and Global Biomedical Pte Ltd. ("GBM"), a wholly-owned subsidiary of SeD. Pursuant to the Exchange Agreement, GBM received 483,334 shares of the Issuer's common stock at a per share cost basis of $6.48 per share. The Reporting Person has dispositive control over these securities.

F1 · price: On August 21, 2020, Document Security Systems, Inc., a New York corporation (the "Issuer") closed on a share exchange agreement (the "Exchange Agreement") by and among the Issuer, DSS BioHealth Security, Inc., Singapore eDevelopment Ltd. ("SeD"), an entity controlled by the Reporting Person, and Global Biomedical Pte Ltd. ("GBM"), a wholly-owned subsidiary of SeD. Pursuant to the Exchange Agreement, GBM received 483,334 shares of the Issuer's common stock at a per share cost basis of $6.48 per share. The Reporting Person has dispositive control over these securities.

F1 · ownership.nature: On August 21, 2020, Document Security Systems, Inc., a New York corporation (the "Issuer") closed on a share exchange agreement (the "Exchange Agreement") by and among the Issuer, DSS BioHealth Security, Inc., Singapore eDevelopment Ltd. ("SeD"), an entity controlled by the Reporting Person, and Global Biomedical Pte Ltd. ("GBM"), a wholly-owned subsidiary of SeD. Pursuant to the Exchange Agreement, GBM received 483,334 shares of the Issuer's common stock at a per share cost basis of $6.48 per share. The Reporting Person has dispositive control over these securities.

SEC source: 0001493152-20-003100 · ownership.xml · nonDerivative · entry 1

Chan Heng Fai Ambrose · CIK 0001261725 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,538,710

F1 · price: On February 24, 2020, the Reporting Persons purchased from the Issuer 11,111,111 shares of the Issuer's Common Stock, in an underwritten public offering, in consideration for $2,000,000.

SEC source: 0001493152-20-003408 · ownership.xml · nonDerivative · entry 1

Chan Heng Fai Ambrose · CIK 0001261725 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,538,711

F1 · shares: The original Form 4 filed on February 27, 2020 is amended by this Form 4 amendment to correctly reflect the reporting person's ownership of Common Stock. No other changes have been made to the original Form 4.

F2 · price: On February 24, 2020, the Reporting Persons purchased from the Issuer 11,111,112 shares of the Issuer's Common Stock, in an underwritten public offering, in consideration for $2,000,000.

SEC source: 0001493152-20-002815 · ownership.xml · nonDerivative · entry 1

Chan Heng Fai Ambrose · CIK 0001261725 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,427,599

F1 · price: Represents a restricted stock grant awarded to the Reporting Person by the Issuer pursuant to the Executive Employment Agreement between the Issuer and the Reporting Person and the Issuer's 2020 Equity Incentive Plan, in consideration for the Reporting Person's services as Executive Chairman of the Issuer and Executive Chairman and Chief Executive Officer of the Issuer's subsidiary.

SEC source: 0001493152-19-016463 · ownership.xml · nonDerivative · entry 1

Chan Heng Fai Ambrose · CIK 0001261725 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 6,446,428

F1 · shares: On November 1, 2019, Document Security Systems, Inc., a New York corporation (the "Company") entered into and closed on a subscription agreement (the "Subscription Agreement") with LiquidValue Development Pte Ltd., an entity owned and controlled by the Reporting Person. Pursuant to the Subscription Agreement, LiquidValue Development Pte Ltd. purchased 6,000,000 shares of the Company's common stock at a purchase price of $0.3037 per share. The Reporting Person has dispositive control over these securities.

F1 · price: On November 1, 2019, Document Security Systems, Inc., a New York corporation (the "Company") entered into and closed on a subscription agreement (the "Subscription Agreement") with LiquidValue Development Pte Ltd., an entity owned and controlled by the Reporting Person. Pursuant to the Subscription Agreement, LiquidValue Development Pte Ltd. purchased 6,000,000 shares of the Company's common stock at a purchase price of $0.3037 per share. The Reporting Person has dispositive control over these securities.

F1 · ownership.nature: On November 1, 2019, Document Security Systems, Inc., a New York corporation (the "Company") entered into and closed on a subscription agreement (the "Subscription Agreement") with LiquidValue Development Pte Ltd., an entity owned and controlled by the Reporting Person. Pursuant to the Subscription Agreement, LiquidValue Development Pte Ltd. purchased 6,000,000 shares of the Company's common stock at a purchase price of $0.3037 per share. The Reporting Person has dispositive control over these securities.

SEC source: 0001493152-19-011060 · ownership.xml · nonDerivative · entry 1

Heuszel Frank D · CIK 0001748704 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 74,770

F1 · shares: Represents a restricted stock grant awarded to the Reporting Person by the Issuer pursuant to the Company's 2013 Employee, Director and Consultants Equity Incentive Plan in consideration for the Reporting Person's services as Chief Executive Officer, Interim Chief Financial Officer and Director of the Issuer.

F1 · price: Represents a restricted stock grant awarded to the Reporting Person by the Issuer pursuant to the Company's 2013 Employee, Director and Consultants Equity Incentive Plan in consideration for the Reporting Person's services as Chief Executive Officer, Interim Chief Financial Officer and Director of the Issuer.

SEC source: 0001493152-19-011054 · ownership.xml · nonDerivative · entry 1

DelGiorno Daniel · CIK 0001768218 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,767

F1 · shares: Represents a stock grant awarded to the Reporting Person by the Issuer pursuant to the Company's 2013 Employee, Director and Consultants Equity Incentive Plan in consideration for the Reporting Person's services as a Director of the Issuer.

F1 · price: Represents a stock grant awarded to the Reporting Person by the Issuer pursuant to the Company's 2013 Employee, Director and Consultants Equity Incentive Plan in consideration for the Reporting Person's services as a Director of the Issuer.

SEC source: 0001493152-19-011064 · ownership.xml · nonDerivative · entry 1

Grisham Stanley V. · CIK 0001776112 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,575

F1 · shares: Represents a stock grant awarded to the Reporting Person by the Issuer pursuant to the Company's 2013 Employee, Director and Consultants Equity Incentive Plan in consideration for the Reporting Person's services as a Director of the Issuer.

F1 · price: Represents a stock grant awarded to the Reporting Person by the Issuer pursuant to the Company's 2013 Employee, Director and Consultants Equity Incentive Plan in consideration for the Reporting Person's services as a Director of the Issuer.

SEC source: 0001493152-19-011063 · ownership.xml · nonDerivative · entry 1

Avallone Pamela · CIK 0001716182 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,575

F1 · shares: Represents a stock grant awarded to the Reporting Person by the Issuer pursuant to the Company's 2013 Employee, Director and Consultants Equity Incentive Plan in consideration for the Reporting Person's services as a Director of the Issuer.

F1 · price: Represents a stock grant awarded to the Reporting Person by the Issuer pursuant to the Company's 2013 Employee, Director and Consultants Equity Incentive Plan in consideration for the Reporting Person's services as a Director of the Issuer.

SEC source: 0001493152-19-011062 · ownership.xml · nonDerivative · entry 1

THATCH JOHN · CIK 0001733061 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,575

F1 · shares: Represents a stock grant awarded to the Reporting Person by the Issuer pursuant to the Company's 2013 Employee, Director and Consultants Equity Incentive Plan in consideration for the Reporting Person's services as a Director of the Issuer.

F1 · price: Represents a stock grant awarded to the Reporting Person by the Issuer pursuant to the Company's 2013 Employee, Director and Consultants Equity Incentive Plan in consideration for the Reporting Person's services as a Director of the Issuer.

SEC source: 0001493152-19-011061 · ownership.xml · nonDerivative · entry 1

Grady Jason · CIK 0001782482 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 74,770

F1 · shares: Represents a restricted stock grant awarded to the Reporting Person by the Issuer pursuant to the Company's 2013 Employee, Director and Consultants Equity Incentive Plan in consideration for the Reporting Person's services as Chief Operating Officer of the Issuer.

F1 · price: Represents a restricted stock grant awarded to the Reporting Person by the Issuer pursuant to the Company's 2013 Employee, Director and Consultants Equity Incentive Plan in consideration for the Reporting Person's services as Chief Operating Officer of the Issuer.

SEC source: 0001493152-19-011057 · ownership.xml · nonDerivative · entry 1

Chan Heng Fai Ambrose · CIK 0001261725 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,077,682

F1 · shares: Represents a restricted stock grant awarded to the Reporting Person by the Issuer pursuant to the Company's 2013 Employee, Director and Consultants Equity Incentive Plan in consideration for the Reporting Person's services as Executive Chairman of the Issuer and Executive Chairman and Chief Executive Officer of the Issuer's subsidiary.

F1 · price: Represents a restricted stock grant awarded to the Reporting Person by the Issuer pursuant to the Company's 2013 Employee, Director and Consultants Equity Incentive Plan in consideration for the Reporting Person's services as Executive Chairman of the Issuer and Executive Chairman and Chief Executive Officer of the Issuer's subsidiary.