DUOT

SEC source: 0001553350-22-000587 · ownership.xml · nonDerivative · entry 5

EHRMAN KENNETH S · CIK 0001107329 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,041

F3 · kind: The shares were issued to Mr. Ehrman as compensation shares for his services as a Director of the Issuer.

SEC source: 0001553350-22-000587 · ownership.xml · nonDerivative · entry 4

EHRMAN KENNETH S · CIK 0001107329 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,707

SEC source: 0001553350-22-000589 · ownership.xml · nonDerivative · entry 1

MAVROMMATIS NED · CIK 0001113291 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,190

F1 · kind: The shares were issued to Mr. Mavrommatis as compensation shares for his services as a Director of the Issuer.

SEC source: 0001553350-22-000590 · ownership.xml · nonDerivative · entry 1

Nixon James Craig · CIK 0001879177 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,786

F1 · kind: These shares were issued to Mr. Nixon as compensation shares for his services as a Director of the Issuer.

SEC source: 0001553350-22-000588 · ownership.xml · nonDerivative · entry 1

Harris Edmond L · CIK 0001728038 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,924

F1 · kind: These shares were issued to Mr. Harris as compensation shares for his services as a Director of the Issuer.

SEC source: 0001553350-22-000587 · ownership.xml · nonDerivative · entry 3

EHRMAN KENNETH S · CIK 0001107329 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,900

F2 · price: The price reported in Column 4 is a weighted price. These shares were purchased in multiple transactions at prices ranging from $3.56 to $3.75 per share. The reporting person undertakes to provide upon request by the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission full information regarding the number of shares purchased at each separate price within the range set forth in this footnote to this Form 4.

SEC source: 0001553350-22-000587 · ownership.xml · nonDerivative · entry 2

EHRMAN KENNETH S · CIK 0001107329 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,104

F1 · price: The price reported in Column 4 is a weighted price. These shares were purchased in multiple transactions at prices ranging from $3.60 to $3.75 per share. The reporting person undertakes to provide upon request by the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission full information regarding the number of shares purchased at each separate price within the range set forth in this footnote to this Form 4.

SEC source: 0001553350-22-000587 · ownership.xml · nonDerivative · entry 1

EHRMAN KENNETH S · CIK 0001107329 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,104

SEC source: 0001079973-22-000642 · ownership.xml · nonDerivative · entry 2

Ferry Charles Parker · CIK 0001821811 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,000

F3 · price: The price reported in Column 4 is a weighted price. These shares were purchased in multiple transactions at prices ranging from $3.475 to $3.69 per share. The reporting person undertakes to provide upon request by the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission full information regarding the number of shares purchased at each separate price within the range set forth in this footnote to this Form 4.

F2 · ownership.direct: The shares owned by the reporting person are held in a joint account with the reporting person's spouse.

SEC source: 0001079973-22-000642 · ownership.xml · nonDerivative · entry 1

Ferry Charles Parker · CIK 0001821811 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,675

F1 · price: The price reported in Column 4 is a weighted price. These shares were purchased in multiple transactions at prices ranging from $3.49 to $3.525 per share. The reporting person undertakes to provide upon request by the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission full information regarding the number of shares purchased at each separate price within the range set forth in this footnote to this Form 4.

F2 · ownership.direct: The shares owned by the reporting person are held in a joint account with the reporting person's spouse.

SEC source: 0001553350-22-000297 · ownership.xml · nonDerivative · entry 1

EHRMAN KENNETH S · CIK 0001107329 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,206

F1 · kind: The shares were issued to Mr. Ehrman as compensation shares for his services as a Director of the Issuer.

SEC source: 0001553350-22-000299 · ownership.xml · nonDerivative · entry 1

Nixon James Craig · CIK 0001879177 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,452

F1 · kind: These shares were issued to Mr. Nixon as compensation shares for his services as a Director of the Issuer.

SEC source: 0001553350-22-000298 · ownership.xml · nonDerivative · entry 1

Harris Edmond L · CIK 0001728038 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,924

F1 · kind: These shares were issued to Mr. Harris as compensation shares for his services as a Director of the Issuer.

SEC source: 0001553350-22-000300 · ownership.xml · nonDerivative · entry 1

MAVROMMATIS NED · CIK 0001113291 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,190

F1 · kind: The shares were issued to Mr. Mavrommatis as compensation shares for his services as a Director of the Issuer.

SEC source: 0001140361-22-004145 · form4.xml · nonDerivative · entry 2

PESSIN NORMAN H · CIK 0000923666 · 10% owner

Pessin Brian L. · CIK 0001582758 · 10% owner

PESSIN SANDRA F · CIK 0000936979 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 766,157

F1 · security: This Form 4 is filed jointly by Norman H. Pessin, Brian L. Pessin and Sandra F. Pessin (collectively, the "Reporting Persons"). Each Reporting Person may be deemed to be a member of a Section 13(d) group that may be deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of common stock. Each Reporting Person disclaims beneficial ownership of the shares of common stock reported herein except to the extent of his or her pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such shares of common stock for purposes of Section 16 or for any other purpose.

F2 · ownership.direct: Shares beneficially owned by Sandra F. Pessin, Norman H. Pessin's spouse. Norman H. Pessin expressly disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.

SEC source: 0001781002-22-000003 · primary_doc.xml · nonDerivative · entry 1

Bleichroeder LP · CIK 0001781002 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 1,283,162

F1 · ownership.nature: This form is filed by Bleichroeder LP. Bleichroeder LP serves as registered investment adviser to 21 April Fund, Ltd., 21 April Fund, LP and other managed accounts. Bleichroeder LP disclaims beneficial ownership of these securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that Bleichroeder LP is the beneficial owner of the securities for purposes of Section 16 or for any other purposes.

SEC source: 0001781002-22-000002 · primary_doc.xml · derivative · entry 2

Bleichroeder LP · CIK 0001781002 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 0

Underlying: Common Stock · 454,546 shares

Expires not disclosed

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

F1 · derivative.exercise_price: On February 26, 2021, 21 April Fund, Ltd., 21 April Fund, LP and DUOS Technologies Group, Inc. (the "Issuer") entered into an agreement (the "Preferred Stock Agreement") under which 21 April Fund, Ltd. and 21 April Fund, LP purchased from the Issuer 2,500 shares of Series C Convertible Preferred Stock at a per share price of $1,000. Each share of Series C Convertible Preferred Stock is convertible into shares of Common Stock at a conversion price of $5.50. The conversion of the shares of Series C Convertible Preferred Stock is subject to a Beneficial Ownership Limitation (as defined in the agreement) of 19.9% of the number of shares of Common Stock outstanding immediately after giving effect to the issuance of shares of Common Stock issuable upon conversion.

F1 · derivative.exercise_date: On February 26, 2021, 21 April Fund, Ltd., 21 April Fund, LP and DUOS Technologies Group, Inc. (the "Issuer") entered into an agreement (the "Preferred Stock Agreement") under which 21 April Fund, Ltd. and 21 April Fund, LP purchased from the Issuer 2,500 shares of Series C Convertible Preferred Stock at a per share price of $1,000. Each share of Series C Convertible Preferred Stock is convertible into shares of Common Stock at a conversion price of $5.50. The conversion of the shares of Series C Convertible Preferred Stock is subject to a Beneficial Ownership Limitation (as defined in the agreement) of 19.9% of the number of shares of Common Stock outstanding immediately after giving effect to the issuance of shares of Common Stock issuable upon conversion.

F1 · derivative.expiration_date: On February 26, 2021, 21 April Fund, Ltd., 21 April Fund, LP and DUOS Technologies Group, Inc. (the "Issuer") entered into an agreement (the "Preferred Stock Agreement") under which 21 April Fund, Ltd. and 21 April Fund, LP purchased from the Issuer 2,500 shares of Series C Convertible Preferred Stock at a per share price of $1,000. Each share of Series C Convertible Preferred Stock is convertible into shares of Common Stock at a conversion price of $5.50. The conversion of the shares of Series C Convertible Preferred Stock is subject to a Beneficial Ownership Limitation (as defined in the agreement) of 19.9% of the number of shares of Common Stock outstanding immediately after giving effect to the issuance of shares of Common Stock issuable upon conversion.

F2 · ownership.nature: This form is filed by Bleichroeder LP. Bleichroeder LP serves as registered investment adviser to 21 April Fund, Ltd., 21 April Fund, LP and other managed accounts. Bleichroeder LP disclaims beneficial ownership of these securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that Bleichroeder LP is the beneficial owner of the securities for purposes of Section 16 or for any other purposes.

SEC source: 0001781002-22-000002 · primary_doc.xml · nonDerivative · entry 1

Bleichroeder LP · CIK 0001781002 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 908,162

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 · price: On February 26, 2021, 21 April Fund, Ltd., 21 April Fund, LP and DUOS Technologies Group, Inc. (the "Issuer") entered into an agreement (the "Preferred Stock Agreement") under which 21 April Fund, Ltd. and 21 April Fund, LP purchased from the Issuer 2,500 shares of Series C Convertible Preferred Stock at a per share price of $1,000. Each share of Series C Convertible Preferred Stock is convertible into shares of Common Stock at a conversion price of $5.50. The conversion of the shares of Series C Convertible Preferred Stock is subject to a Beneficial Ownership Limitation (as defined in the agreement) of 19.9% of the number of shares of Common Stock outstanding immediately after giving effect to the issuance of shares of Common Stock issuable upon conversion.

F2 · ownership.nature: This form is filed by Bleichroeder LP. Bleichroeder LP serves as registered investment adviser to 21 April Fund, Ltd., 21 April Fund, LP and other managed accounts. Bleichroeder LP disclaims beneficial ownership of these securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that Bleichroeder LP is the beneficial owner of the securities for purposes of Section 16 or for any other purposes.

SEC source: 0001553350-22-000144 · ownership.xml · nonDerivative · entry 1

MAVROMMATIS NED · CIK 0001113291 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,840

F1 · kind: The shares were issued to Mr. Mavrommatis as compensation shares for his services as a Director of the Issuer.

SEC source: 0001553350-22-000142 · ownership.xml · nonDerivative · entry 1

Nixon James Craig · CIK 0001879177 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,203

F1 · kind: These shares were issued to Mr. Nixon as compensation shares for his services as a Director of the Issuer.

SEC source: 0001553350-22-000143 · ownership.xml · nonDerivative · entry 1

Harris Edmond L · CIK 0001728038 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,574

F1 · kind: These shares were issued to Mr. Harris as compensation shares for his services as a Director of the Issuer.

SEC source: 0001553350-22-000162 · ownership.xml · nonDerivative · entry 1

EHRMAN KENNETH S · CIK 0001107329 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,957

F1 · kind: The shares were issued to Mr. Ehrman as compensation shares for his services as a Director of the Issuer.

SEC source: 0001140361-22-036623 · form4.xml · derivative · entry 8

PESSIN NORMAN H · CIK 0000923666 · 10% owner

Pessin Brian L. · CIK 0001582758 · 10% owner

PESSIN SANDRA F · CIK 0000936979 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 90,909 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.

F7 · security: Brian L. Pessin converted 500 shares of Series C Preferred Stock into 90,909 shares of Common Stock on December 2, 2021. The Series C Preferred Stock has no stated maturity date.

F7 · derivative.exercise_date: Brian L. Pessin converted 500 shares of Series C Preferred Stock into 90,909 shares of Common Stock on December 2, 2021. The Series C Preferred Stock has no stated maturity date.

F7 · derivative.expiration_date: Brian L. Pessin converted 500 shares of Series C Preferred Stock into 90,909 shares of Common Stock on December 2, 2021. The Series C Preferred Stock has no stated maturity date.

SEC source: 0001140361-22-036623 · form4.xml · derivative · entry 6

PESSIN NORMAN H · CIK 0000923666 · 10% owner

Pessin Brian L. · CIK 0001582758 · 10% owner

PESSIN SANDRA F · CIK 0000936979 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 851

Underlying: Common Stock · 121,571 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.

F6 · security: Sandra F. Pessin converted 854 shares of Series B Preferred Stock into 122,000 shares of Common Stock on December 3, 2021. The Series B Preferred Stock has no stated maturity date.

F6 · derivative.exercise_date: Sandra F. Pessin converted 854 shares of Series B Preferred Stock into 122,000 shares of Common Stock on December 3, 2021. The Series B Preferred Stock has no stated maturity date.

F6 · derivative.expiration_date: Sandra F. Pessin converted 854 shares of Series B Preferred Stock into 122,000 shares of Common Stock on December 3, 2021. The Series B Preferred Stock has no stated maturity date.

SEC source: 0001140361-22-036623 · form4.xml · nonDerivative · entry 3

PESSIN NORMAN H · CIK 0000923666 · 10% owner

Pessin Brian L. · CIK 0001582758 · 10% owner

PESSIN SANDRA F · CIK 0000936979 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 466,157

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 · security: This Form 4 is filed jointly by Norman H. Pessin, Brian L. Pessin and Sandra F. Pessin (collectively, the "Reporting Persons"). Each Reporting Person may be deemed to be a member of a Section 13(d) group that may be deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of common stock. Each Reporting Person disclaims beneficial ownership of the shares of common stock reported herein except to the extent of his or her pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such shares of common stock for purposes of Section 16 or for any other purpose.

F3 · ownership.direct: Shares beneficially owned by Sandra F. Pessin, Norman H. Pessin's spouse. Norman H. Pessin expressly disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.

F6 · ownership.direct: Sandra F. Pessin converted 854 shares of Series B Preferred Stock into 122,000 shares of Common Stock on December 3, 2021. The Series B Preferred Stock has no stated maturity date.

SEC source: 0001140361-22-036623 · form4.xml · derivative · entry 7

PESSIN NORMAN H · CIK 0000923666 · 10% owner

Pessin Brian L. · CIK 0001582758 · 10% owner

PESSIN SANDRA F · CIK 0000936979 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 272,727 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.

F5 · security: Sandra F. Pessin converted 1,500 shares of Series C Preferred Stock into 272,727 shares of Common Stock on December 2, 2021. The Series C Preferred Stock has no stated maturity date.

F5 · derivative.exercise_date: Sandra F. Pessin converted 1,500 shares of Series C Preferred Stock into 272,727 shares of Common Stock on December 2, 2021. The Series C Preferred Stock has no stated maturity date.

F5 · derivative.expiration_date: Sandra F. Pessin converted 1,500 shares of Series C Preferred Stock into 272,727 shares of Common Stock on December 2, 2021. The Series C Preferred Stock has no stated maturity date.

SEC source: 0001140361-22-036623 · form4.xml · nonDerivative · entry 5

PESSIN NORMAN H · CIK 0000923666 · 10% owner

Pessin Brian L. · CIK 0001582758 · 10% owner

PESSIN SANDRA F · CIK 0000936979 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 180,911

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 · security: This Form 4 is filed jointly by Norman H. Pessin, Brian L. Pessin and Sandra F. Pessin (collectively, the "Reporting Persons"). Each Reporting Person may be deemed to be a member of a Section 13(d) group that may be deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of common stock. Each Reporting Person disclaims beneficial ownership of the shares of common stock reported herein except to the extent of his or her pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such shares of common stock for purposes of Section 16 or for any other purpose.

F2 · ownership.direct: On May 21, 2021, Norman H. Pessin gifted 45,000 shares of Common Stock. Of those shares, 15,000 were gifted to Brian L. Pessin

F7 · ownership.direct: Brian L. Pessin converted 500 shares of Series C Preferred Stock into 90,909 shares of Common Stock on December 2, 2021. The Series C Preferred Stock has no stated maturity date.

SEC source: 0001140361-22-036623 · form4.xml · nonDerivative · entry 2

PESSIN NORMAN H · CIK 0000923666 · 10% owner

Pessin Brian L. · CIK 0001582758 · 10% owner

PESSIN SANDRA F · CIK 0000936979 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 344,157

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 · security: This Form 4 is filed jointly by Norman H. Pessin, Brian L. Pessin and Sandra F. Pessin (collectively, the "Reporting Persons"). Each Reporting Person may be deemed to be a member of a Section 13(d) group that may be deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of common stock. Each Reporting Person disclaims beneficial ownership of the shares of common stock reported herein except to the extent of his or her pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such shares of common stock for purposes of Section 16 or for any other purpose.

F3 · ownership.direct: Shares beneficially owned by Sandra F. Pessin, Norman H. Pessin's spouse. Norman H. Pessin expressly disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.

F5 · ownership.direct: Sandra F. Pessin converted 1,500 shares of Series C Preferred Stock into 272,727 shares of Common Stock on December 2, 2021. The Series C Preferred Stock has no stated maturity date.

SEC source: 0001553350-21-001042 · goldfarb4.xml · derivative · entry 2

Goldfarb Adrian Graham · CIK 0001427103 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,000

Underlying: Common Stock · 75,000 shares

Expires 2026-11-09

F1 · derivative.exercise_date: The options vest over three years, with 1/3 vesting on each anniversary of the date of grant.

SEC source: 0001553350-21-001043 · ownership.xml · derivative · entry 2

Ferry Charles Parker · CIK 0001821811 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2026-11-09

F2 · derivative.exercise_date: The options vest over three years, with 1/3 vesting on each anniversary of the date of grant

SEC source: 0001553350-21-001049 · ownership.xml · derivative · entry 1

Weeks Connie L. · CIK 0001739897 · Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2026-11-09

F1 · derivative.exercise_date: The options vest over three years, with 1/3 vesting on each anniversary of the date of grant

SEC source: 0001553350-21-001088 · ownership.xml · nonDerivative · entry 3

MAVROMMATIS NED · CIK 0001113291 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,450

F1 · kind: The shares were issued to Mr. Mavrommatis as compensation shares for his services as a Director of the Issuer.

SEC source: 0001553350-21-001089 · ownership.xml · nonDerivative · entry 1

Nixon James Craig · CIK 0001879177 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,813

F1 · kind: These shares were issued to Mr. Nixon as compensation shares for his services as a Director of the Issuer.

SEC source: 0001553350-21-001090 · ownership.xml · nonDerivative · entry 1

Harris Edmond L · CIK 0001728038 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,184

F1 · kind: These shares were issued to Mr. Harris as compensation shares for his services as a Director of the Issuer.

SEC source: 0001553350-21-001101 · ownership.xml · nonDerivative · entry 1

EHRMAN KENNETH S · CIK 0001107329 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,567

F1 · kind: The shares were issued to Mr. Ehrman as compensation shares for his services as a Director of the Issuer.

SEC source: 0001553350-21-000939 · ownership.xml · nonDerivative · entry 2

Harris Edmond L · CIK 0001728038 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,212

F1 · kind: These shares were issued to Mr. Harris as compensation shares for his services as a Director of the Issuer.

SEC source: 0001553350-21-000947 · ownership.xml · nonDerivative · entry 2

EHRMAN KENNETH S · CIK 0001107329 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,595

F1 · kind: The shares were issued to Mr. Ehrman as compensation shares for his services as a Director of the Issuer.

SEC source: 0001553350-21-000948 · ownership.xml · nonDerivative · entry 1

Nixon James Craig · CIK 0001879177 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,003

F1 · kind: These shares were issued to Mr. Nixon as compensation shares for his services as a Director of the Issuer.

SEC source: 0001553350-21-000956 · fonda4.xml · nonDerivative · entry 2

Fonda Blair Madison · CIK 0001737486 · Former Director (See Remarks)

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,779

F1 · kind: The shares were issued to Mr. Fonda as compensation shares for his services as a Director of the Issuer.

SEC source: 0001553350-21-001088 · ownership.xml · nonDerivative · entry 2

MAVROMMATIS NED · CIK 0001113291 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,478

F1 · kind: The shares were issued to Mr. Mavrommatis as compensation shares for his services as a Director of the Issuer.

SEC source: 0001553350-21-000742 · ownership.xml · nonDerivative · entry 1

Ferry Charles Parker · CIK 0001821811 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,000

F1 · price: The price reported in Column 4 is a weighted price. These shares were purchased in multiple transactions at prices ranging from $5.64 to $5.96 per share. The reporting person undertakes to provide upon request by the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission full information regarding the number of shares purchased at each separate price within the range set forth in this footnote to this Form 4.

F2 · ownership.direct: The shares purchased by the reporting person are held in a joint account with the reporting person's spouse.

SEC source: 0001553350-21-000939 · ownership.xml · nonDerivative · entry 1

Harris Edmond L · CIK 0001728038 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,008

F1 · kind: These shares were issued to Mr. Harris as compensation shares for his services as a Director of the Issuer.

SEC source: 0001553350-21-000947 · ownership.xml · nonDerivative · entry 1

EHRMAN KENNETH S · CIK 0001107329 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,391

F1 · kind: The shares were issued to Mr. Ehrman as compensation shares for his services as a Director of the Issuer.

SEC source: 0001553350-21-000956 · fonda4.xml · nonDerivative · entry 1

Fonda Blair Madison · CIK 0001737486 · Former Director (See Remarks)

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,171

F1 · kind: The shares were issued to Mr. Fonda as compensation shares for his services as a Director of the Issuer.

SEC source: 0001553350-21-001088 · ownership.xml · nonDerivative · entry 1

MAVROMMATIS NED · CIK 0001113291 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,274

F1 · kind: The shares were issued to Mr. Mavrommatis as compensation shares for his services as a Director of the Issuer.

SEC source: 0001553350-21-000477 · ownership.xml · nonDerivative · entry 1

Harris Edmond L · CIK 0001728038 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Trust

Disclosed balance after: 2,900

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $8.81 to $9.25 per share. The reporting person undertakes to provide upon request by the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote to this Form 4.

F2 · ownership.nature: Shares purchased by The Edmond L. Harris Declaration of Trust UAD 8/7/99, of which the reporting person is the trustee.

SEC source: 0001553350-21-000472 · ownership.xml · nonDerivative · entry 1

Harris Edmond L · CIK 0001728038 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,000

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $9.94 to $10.00 per share. The reporting person undertakes to provide upon request by the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote to this Form 4.

SEC source: 0001140361-22-036623 · form4.xml · nonDerivative · entry 4

PESSIN NORMAN H · CIK 0000923666 · 10% owner

Pessin Brian L. · CIK 0001582758 · 10% owner

PESSIN SANDRA F · CIK 0000936979 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 90,002

F1 · security: This Form 4 is filed jointly by Norman H. Pessin, Brian L. Pessin and Sandra F. Pessin (collectively, the "Reporting Persons"). Each Reporting Person may be deemed to be a member of a Section 13(d) group that may be deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of common stock. Each Reporting Person disclaims beneficial ownership of the shares of common stock reported herein except to the extent of his or her pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such shares of common stock for purposes of Section 16 or for any other purpose.

F2 · ownership.direct: On May 21, 2021, Norman H. Pessin gifted 45,000 shares of Common Stock. Of those shares, 15,000 were gifted to Brian L. Pessin

F4 · ownership.direct: Shares beneficially owned by Brian L. Pessin. Norman H. Pessin and Sandra F. Pessin expressly disclaim beneficial ownership of such shares.

SEC source: 0001140361-22-036623 · form4.xml · nonDerivative · entry 1

PESSIN NORMAN H · CIK 0000923666 · 10% owner

Pessin Brian L. · CIK 0001582758 · 10% owner

PESSIN SANDRA F · CIK 0000936979 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 57,972

F1 · security: This Form 4 is filed jointly by Norman H. Pessin, Brian L. Pessin and Sandra F. Pessin (collectively, the "Reporting Persons"). Each Reporting Person may be deemed to be a member of a Section 13(d) group that may be deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of common stock. Each Reporting Person disclaims beneficial ownership of the shares of common stock reported herein except to the extent of his or her pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such shares of common stock for purposes of Section 16 or for any other purpose.

F2 · ownership.direct: On May 21, 2021, Norman H. Pessin gifted 45,000 shares of Common Stock. Of those shares, 15,000 were gifted to Brian L. Pessin

SEC source: 0001553350-21-000475 · ownership.xml · nonDerivative · entry 1

Ferry Charles Parker · CIK 0001821811 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,500

F1 · ownership.direct: The shares purchased by the reporting person are held in a joint account with the reporting person's spouse.