FLUX

SEC source: 0001493152-20-012189 · ownership.xml · derivative · entry 1

Johnson Michael · CIK 0001550109 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: Not disclosed

Underlying: Common Stock · Not disclosed shares

Expires 2020-09-30

F1 · security: Pursuant to the Amended and Restated Convertible Promissory Note issued by the Issuer to Esenjay Investment LLC, a Delaware limited liability company ("Esenjay"), dated March 9, 2020, as amended on June 2, 2020, the Issuer (i) extended the maturity date from June 30, 2020 to September 30, 2020, and (ii) increased the principal amount outstanding from $750,000 to $1,400,000 ("Promissory Note"). The Promissory Note grants Esenjay the right to convert the Note at any time on or after the Issuer's next the next qualified financing (with gross proceeds of at least $1 million) at a conversion price equal to the price per share paid by other investors in such financing. The Promissory Note was not convertible and the conversion price was not fixed at June 2, 2020.

F1 · derivative.exercise_price: Pursuant to the Amended and Restated Convertible Promissory Note issued by the Issuer to Esenjay Investment LLC, a Delaware limited liability company ("Esenjay"), dated March 9, 2020, as amended on June 2, 2020, the Issuer (i) extended the maturity date from June 30, 2020 to September 30, 2020, and (ii) increased the principal amount outstanding from $750,000 to $1,400,000 ("Promissory Note"). The Promissory Note grants Esenjay the right to convert the Note at any time on or after the Issuer's next the next qualified financing (with gross proceeds of at least $1 million) at a conversion price equal to the price per share paid by other investors in such financing. The Promissory Note was not convertible and the conversion price was not fixed at June 2, 2020.

F1 · reported_value: Pursuant to the Amended and Restated Convertible Promissory Note issued by the Issuer to Esenjay Investment LLC, a Delaware limited liability company ("Esenjay"), dated March 9, 2020, as amended on June 2, 2020, the Issuer (i) extended the maturity date from June 30, 2020 to September 30, 2020, and (ii) increased the principal amount outstanding from $750,000 to $1,400,000 ("Promissory Note"). The Promissory Note grants Esenjay the right to convert the Note at any time on or after the Issuer's next the next qualified financing (with gross proceeds of at least $1 million) at a conversion price equal to the price per share paid by other investors in such financing. The Promissory Note was not convertible and the conversion price was not fixed at June 2, 2020.

F1 · price: Pursuant to the Amended and Restated Convertible Promissory Note issued by the Issuer to Esenjay Investment LLC, a Delaware limited liability company ("Esenjay"), dated March 9, 2020, as amended on June 2, 2020, the Issuer (i) extended the maturity date from June 30, 2020 to September 30, 2020, and (ii) increased the principal amount outstanding from $750,000 to $1,400,000 ("Promissory Note"). The Promissory Note grants Esenjay the right to convert the Note at any time on or after the Issuer's next the next qualified financing (with gross proceeds of at least $1 million) at a conversion price equal to the price per share paid by other investors in such financing. The Promissory Note was not convertible and the conversion price was not fixed at June 2, 2020.

F1 · derivative.exercise_date: Pursuant to the Amended and Restated Convertible Promissory Note issued by the Issuer to Esenjay Investment LLC, a Delaware limited liability company ("Esenjay"), dated March 9, 2020, as amended on June 2, 2020, the Issuer (i) extended the maturity date from June 30, 2020 to September 30, 2020, and (ii) increased the principal amount outstanding from $750,000 to $1,400,000 ("Promissory Note"). The Promissory Note grants Esenjay the right to convert the Note at any time on or after the Issuer's next the next qualified financing (with gross proceeds of at least $1 million) at a conversion price equal to the price per share paid by other investors in such financing. The Promissory Note was not convertible and the conversion price was not fixed at June 2, 2020.

F1 · derivative.expiration_date: Pursuant to the Amended and Restated Convertible Promissory Note issued by the Issuer to Esenjay Investment LLC, a Delaware limited liability company ("Esenjay"), dated March 9, 2020, as amended on June 2, 2020, the Issuer (i) extended the maturity date from June 30, 2020 to September 30, 2020, and (ii) increased the principal amount outstanding from $750,000 to $1,400,000 ("Promissory Note"). The Promissory Note grants Esenjay the right to convert the Note at any time on or after the Issuer's next the next qualified financing (with gross proceeds of at least $1 million) at a conversion price equal to the price per share paid by other investors in such financing. The Promissory Note was not convertible and the conversion price was not fixed at June 2, 2020.

F1 · derivative.underlying_shares: Pursuant to the Amended and Restated Convertible Promissory Note issued by the Issuer to Esenjay Investment LLC, a Delaware limited liability company ("Esenjay"), dated March 9, 2020, as amended on June 2, 2020, the Issuer (i) extended the maturity date from June 30, 2020 to September 30, 2020, and (ii) increased the principal amount outstanding from $750,000 to $1,400,000 ("Promissory Note"). The Promissory Note grants Esenjay the right to convert the Note at any time on or after the Issuer's next the next qualified financing (with gross proceeds of at least $1 million) at a conversion price equal to the price per share paid by other investors in such financing. The Promissory Note was not convertible and the conversion price was not fixed at June 2, 2020.

F2 · ownership.nature: The securities are held by Esenjay. Mr. Johnson is the sole director and beneficial owner of Esenjay.

SEC source: 0001493152-20-003706 · ownership.xml · derivative · entry 1

Johnson Michael · CIK 0001550109 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: Not disclosed

Underlying: Common Stock · Not disclosed shares

Expires 2020-06-30

F1 · security: In connection with an unsecured promissory note for the principal amount of $750,000 (the "Note") issued by the Issuer to Esenjay Investments, LLC, a Delaware limited liability company ("Esenjay"), the Issuer granted Esenjay the right to convert the Note at any time on or after the Issuer's next the next qualified financing (with gross proceeds of at least $1 million) at a conversion price equal to the price per share paid by other investors in such financing. The maturity date of the Note is June 30, 2020 unless extended or due earlier as a result of an occurrence of an event of default under the Note. As of the date of the filing, there is $750,000 outstanding under the Note.

F1 · derivative.exercise_price: In connection with an unsecured promissory note for the principal amount of $750,000 (the "Note") issued by the Issuer to Esenjay Investments, LLC, a Delaware limited liability company ("Esenjay"), the Issuer granted Esenjay the right to convert the Note at any time on or after the Issuer's next the next qualified financing (with gross proceeds of at least $1 million) at a conversion price equal to the price per share paid by other investors in such financing. The maturity date of the Note is June 30, 2020 unless extended or due earlier as a result of an occurrence of an event of default under the Note. As of the date of the filing, there is $750,000 outstanding under the Note.

F1 · reported_value: In connection with an unsecured promissory note for the principal amount of $750,000 (the "Note") issued by the Issuer to Esenjay Investments, LLC, a Delaware limited liability company ("Esenjay"), the Issuer granted Esenjay the right to convert the Note at any time on or after the Issuer's next the next qualified financing (with gross proceeds of at least $1 million) at a conversion price equal to the price per share paid by other investors in such financing. The maturity date of the Note is June 30, 2020 unless extended or due earlier as a result of an occurrence of an event of default under the Note. As of the date of the filing, there is $750,000 outstanding under the Note.

F1 · price: In connection with an unsecured promissory note for the principal amount of $750,000 (the "Note") issued by the Issuer to Esenjay Investments, LLC, a Delaware limited liability company ("Esenjay"), the Issuer granted Esenjay the right to convert the Note at any time on or after the Issuer's next the next qualified financing (with gross proceeds of at least $1 million) at a conversion price equal to the price per share paid by other investors in such financing. The maturity date of the Note is June 30, 2020 unless extended or due earlier as a result of an occurrence of an event of default under the Note. As of the date of the filing, there is $750,000 outstanding under the Note.

F1 · derivative.exercise_date: In connection with an unsecured promissory note for the principal amount of $750,000 (the "Note") issued by the Issuer to Esenjay Investments, LLC, a Delaware limited liability company ("Esenjay"), the Issuer granted Esenjay the right to convert the Note at any time on or after the Issuer's next the next qualified financing (with gross proceeds of at least $1 million) at a conversion price equal to the price per share paid by other investors in such financing. The maturity date of the Note is June 30, 2020 unless extended or due earlier as a result of an occurrence of an event of default under the Note. As of the date of the filing, there is $750,000 outstanding under the Note.

F1 · derivative.expiration_date: In connection with an unsecured promissory note for the principal amount of $750,000 (the "Note") issued by the Issuer to Esenjay Investments, LLC, a Delaware limited liability company ("Esenjay"), the Issuer granted Esenjay the right to convert the Note at any time on or after the Issuer's next the next qualified financing (with gross proceeds of at least $1 million) at a conversion price equal to the price per share paid by other investors in such financing. The maturity date of the Note is June 30, 2020 unless extended or due earlier as a result of an occurrence of an event of default under the Note. As of the date of the filing, there is $750,000 outstanding under the Note.

F1 · derivative.underlying_shares: In connection with an unsecured promissory note for the principal amount of $750,000 (the "Note") issued by the Issuer to Esenjay Investments, LLC, a Delaware limited liability company ("Esenjay"), the Issuer granted Esenjay the right to convert the Note at any time on or after the Issuer's next the next qualified financing (with gross proceeds of at least $1 million) at a conversion price equal to the price per share paid by other investors in such financing. The maturity date of the Note is June 30, 2020 unless extended or due earlier as a result of an occurrence of an event of default under the Note. As of the date of the filing, there is $750,000 outstanding under the Note.

F1 · valueOwnedAfter: In connection with an unsecured promissory note for the principal amount of $750,000 (the "Note") issued by the Issuer to Esenjay Investments, LLC, a Delaware limited liability company ("Esenjay"), the Issuer granted Esenjay the right to convert the Note at any time on or after the Issuer's next the next qualified financing (with gross proceeds of at least $1 million) at a conversion price equal to the price per share paid by other investors in such financing. The maturity date of the Note is June 30, 2020 unless extended or due earlier as a result of an occurrence of an event of default under the Note. As of the date of the filing, there is $750,000 outstanding under the Note.

F2 · ownership.nature: Mr. Johnson is the sole director and beneficial owner of Esenjay.

SEC source: 0001493152-20-012187 · ownership.xml · derivative · entry 1

Johnson Michael · CIK 0001550109 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: Not disclosed

Underlying: Common Stock · Not disclosed shares

Expires 2020-06-30

F1 · security: In connection with an unsecured promissory note for the principal amount of $750,000 (the "Note") issued by the Issuer to Esenjay Investments, LLC, a Delaware limited liability company ("Esenjay"), the Issuer granted Esenjay the right to convert the Note at any time on or after the Issuer's next the next qualified financing (with gross proceeds of at least $1 million) at a conversion price equal to the price per share paid by other investors in such financing. The maturity date of the Note is June 30, 2020 unless extended or due earlier as a result of an occurrence of an event of default under the Note. As of the date of the original filing, Esenjay has $750,000 outstanding under the Note. The Note was not convertible and the conversion price was not fixed at March 9, 2020.

F1 · derivative.exercise_price: In connection with an unsecured promissory note for the principal amount of $750,000 (the "Note") issued by the Issuer to Esenjay Investments, LLC, a Delaware limited liability company ("Esenjay"), the Issuer granted Esenjay the right to convert the Note at any time on or after the Issuer's next the next qualified financing (with gross proceeds of at least $1 million) at a conversion price equal to the price per share paid by other investors in such financing. The maturity date of the Note is June 30, 2020 unless extended or due earlier as a result of an occurrence of an event of default under the Note. As of the date of the original filing, Esenjay has $750,000 outstanding under the Note. The Note was not convertible and the conversion price was not fixed at March 9, 2020.

F1 · reported_value: In connection with an unsecured promissory note for the principal amount of $750,000 (the "Note") issued by the Issuer to Esenjay Investments, LLC, a Delaware limited liability company ("Esenjay"), the Issuer granted Esenjay the right to convert the Note at any time on or after the Issuer's next the next qualified financing (with gross proceeds of at least $1 million) at a conversion price equal to the price per share paid by other investors in such financing. The maturity date of the Note is June 30, 2020 unless extended or due earlier as a result of an occurrence of an event of default under the Note. As of the date of the original filing, Esenjay has $750,000 outstanding under the Note. The Note was not convertible and the conversion price was not fixed at March 9, 2020.

F1 · price: In connection with an unsecured promissory note for the principal amount of $750,000 (the "Note") issued by the Issuer to Esenjay Investments, LLC, a Delaware limited liability company ("Esenjay"), the Issuer granted Esenjay the right to convert the Note at any time on or after the Issuer's next the next qualified financing (with gross proceeds of at least $1 million) at a conversion price equal to the price per share paid by other investors in such financing. The maturity date of the Note is June 30, 2020 unless extended or due earlier as a result of an occurrence of an event of default under the Note. As of the date of the original filing, Esenjay has $750,000 outstanding under the Note. The Note was not convertible and the conversion price was not fixed at March 9, 2020.

F1 · derivative.exercise_date: In connection with an unsecured promissory note for the principal amount of $750,000 (the "Note") issued by the Issuer to Esenjay Investments, LLC, a Delaware limited liability company ("Esenjay"), the Issuer granted Esenjay the right to convert the Note at any time on or after the Issuer's next the next qualified financing (with gross proceeds of at least $1 million) at a conversion price equal to the price per share paid by other investors in such financing. The maturity date of the Note is June 30, 2020 unless extended or due earlier as a result of an occurrence of an event of default under the Note. As of the date of the original filing, Esenjay has $750,000 outstanding under the Note. The Note was not convertible and the conversion price was not fixed at March 9, 2020.

F1 · derivative.expiration_date: In connection with an unsecured promissory note for the principal amount of $750,000 (the "Note") issued by the Issuer to Esenjay Investments, LLC, a Delaware limited liability company ("Esenjay"), the Issuer granted Esenjay the right to convert the Note at any time on or after the Issuer's next the next qualified financing (with gross proceeds of at least $1 million) at a conversion price equal to the price per share paid by other investors in such financing. The maturity date of the Note is June 30, 2020 unless extended or due earlier as a result of an occurrence of an event of default under the Note. As of the date of the original filing, Esenjay has $750,000 outstanding under the Note. The Note was not convertible and the conversion price was not fixed at March 9, 2020.

F1 · derivative.underlying_shares: In connection with an unsecured promissory note for the principal amount of $750,000 (the "Note") issued by the Issuer to Esenjay Investments, LLC, a Delaware limited liability company ("Esenjay"), the Issuer granted Esenjay the right to convert the Note at any time on or after the Issuer's next the next qualified financing (with gross proceeds of at least $1 million) at a conversion price equal to the price per share paid by other investors in such financing. The maturity date of the Note is June 30, 2020 unless extended or due earlier as a result of an occurrence of an event of default under the Note. As of the date of the original filing, Esenjay has $750,000 outstanding under the Note. The Note was not convertible and the conversion price was not fixed at March 9, 2020.

F1 · valueOwnedAfter: In connection with an unsecured promissory note for the principal amount of $750,000 (the "Note") issued by the Issuer to Esenjay Investments, LLC, a Delaware limited liability company ("Esenjay"), the Issuer granted Esenjay the right to convert the Note at any time on or after the Issuer's next the next qualified financing (with gross proceeds of at least $1 million) at a conversion price equal to the price per share paid by other investors in such financing. The maturity date of the Note is June 30, 2020 unless extended or due earlier as a result of an occurrence of an event of default under the Note. As of the date of the original filing, Esenjay has $750,000 outstanding under the Note. The Note was not convertible and the conversion price was not fixed at March 9, 2020.

F2 · ownership.nature: Mr. Johnson is the sole director and beneficial owner of Esenjay.

SEC source: 0001493152-20-000140 · ownership.xml · derivative · entry 1

Gevarges James · CIK 0001548534 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,948

Underlying: Common Stock · 3,948 shares

Expires 2030-01-01

F1 · security: Pursuant to the stock option, Reporting Person has a right to purchase up to 3,948 shares of common stock of Issuer. The stock option vests over a 2 year period in quarterly installments, starting on 1/1/2020. The exercise price is the fair market value of Issuer's common stock, which is $8.87 per share based on the Issuer's 30-day volume-weighted average price on January 1, 2020.

F1 · price: Pursuant to the stock option, Reporting Person has a right to purchase up to 3,948 shares of common stock of Issuer. The stock option vests over a 2 year period in quarterly installments, starting on 1/1/2020. The exercise price is the fair market value of Issuer's common stock, which is $8.87 per share based on the Issuer's 30-day volume-weighted average price on January 1, 2020.

F1 · derivative.exercise_date: Pursuant to the stock option, Reporting Person has a right to purchase up to 3,948 shares of common stock of Issuer. The stock option vests over a 2 year period in quarterly installments, starting on 1/1/2020. The exercise price is the fair market value of Issuer's common stock, which is $8.87 per share based on the Issuer's 30-day volume-weighted average price on January 1, 2020.

SEC source: 0001493152-20-000137 · ownership.xml · derivative · entry 1

Robinette Dale Thomas · CIK 0001781328 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,948

Underlying: Common Stock · 3,948 shares

Expires 2030-01-01

F1 · security: Pursuant to the stock option, Reporting Person has a right to purchase up to 3,948 shares of common stock of Issuer. The stock option vests over a 2 year period in quarterly installments, starting on 1/1/2020. The exercise price is the fair market value of Issuer's common stock, which is $8.87 per share based on the Issuer's 30-day volume-weighted average price on January 1, 2020.

F1 · price: Pursuant to the stock option, Reporting Person has a right to purchase up to 3,948 shares of common stock of Issuer. The stock option vests over a 2 year period in quarterly installments, starting on 1/1/2020. The exercise price is the fair market value of Issuer's common stock, which is $8.87 per share based on the Issuer's 30-day volume-weighted average price on January 1, 2020.

F1 · derivative.exercise_date: Pursuant to the stock option, Reporting Person has a right to purchase up to 3,948 shares of common stock of Issuer. The stock option vests over a 2 year period in quarterly installments, starting on 1/1/2020. The exercise price is the fair market value of Issuer's common stock, which is $8.87 per share based on the Issuer's 30-day volume-weighted average price on January 1, 2020.

SEC source: 0001493152-20-000136 · ownership.xml · derivative · entry 1

Walters-Hoffert Lisa · CIK 0001711576 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,948

Underlying: Common Stock · 3,948 shares

Expires 2030-01-01

F1 · security: Pursuant to the stock option, Reporting Person has a right to purchase up to 3,948 shares of common stock of Issuer. The stock option vests over a 2 year period in quarterly installments, starting on 1/1/2020. The exercise price is the fair market value of Issuer's common stock, which is $8.87 per share based on the Issuer's 30-day volume-weighted average price on January 1, 2020.

F1 · price: Pursuant to the stock option, Reporting Person has a right to purchase up to 3,948 shares of common stock of Issuer. The stock option vests over a 2 year period in quarterly installments, starting on 1/1/2020. The exercise price is the fair market value of Issuer's common stock, which is $8.87 per share based on the Issuer's 30-day volume-weighted average price on January 1, 2020.

F1 · derivative.exercise_date: Pursuant to the stock option, Reporting Person has a right to purchase up to 3,948 shares of common stock of Issuer. The stock option vests over a 2 year period in quarterly installments, starting on 1/1/2020. The exercise price is the fair market value of Issuer's common stock, which is $8.87 per share based on the Issuer's 30-day volume-weighted average price on January 1, 2020.

SEC source: 0001493152-20-000135 · ownership.xml · derivative · entry 2

Johnson Michael · CIK 0001550109 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,948

Underlying: Common Stock · 3,948 shares

Expires 2030-01-01

F3 · security: Pursuant to the stock option, Reporting Person has a right to purchase up to 3,948 shares of common stock of Issuer. The stock option vests over a 2 year period in quarterly installments, starting on 1/1/2020. The exercise price is the fair market value of Issuer's common stock, which is $8.87 per share based on the Issuer's 30day volume-weighted average price on January 1, 2020.

F3 · price: Pursuant to the stock option, Reporting Person has a right to purchase up to 3,948 shares of common stock of Issuer. The stock option vests over a 2 year period in quarterly installments, starting on 1/1/2020. The exercise price is the fair market value of Issuer's common stock, which is $8.87 per share based on the Issuer's 30day volume-weighted average price on January 1, 2020.

F3 · derivative.exercise_date: Pursuant to the stock option, Reporting Person has a right to purchase up to 3,948 shares of common stock of Issuer. The stock option vests over a 2 year period in quarterly installments, starting on 1/1/2020. The exercise price is the fair market value of Issuer's common stock, which is $8.87 per share based on the Issuer's 30day volume-weighted average price on January 1, 2020.

SEC source: 0001493152-20-012185 · ownership.xml · derivative · entry 2

Johnson Michael · CIK 0001550109 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,948

Underlying: Common Stock · 3,948 shares

Expires 2030-01-01

F3 · security: Pursuant to the stock option, Reporting Person has a right to purchase up to 3,948 shares of common stock of Issuer. The stock option vests over a 2 year period in quarterly installments, starting on 1/1/2020. The exercise price is the fair market value of Issuer's common stock, which is $8.87 per share based on the Issuer's 30day volume-weighted average price on January 1, 2020.

F3 · price: Pursuant to the stock option, Reporting Person has a right to purchase up to 3,948 shares of common stock of Issuer. The stock option vests over a 2 year period in quarterly installments, starting on 1/1/2020. The exercise price is the fair market value of Issuer's common stock, which is $8.87 per share based on the Issuer's 30day volume-weighted average price on January 1, 2020.

F3 · derivative.exercise_date: Pursuant to the stock option, Reporting Person has a right to purchase up to 3,948 shares of common stock of Issuer. The stock option vests over a 2 year period in quarterly installments, starting on 1/1/2020. The exercise price is the fair market value of Issuer's common stock, which is $8.87 per share based on the Issuer's 30day volume-weighted average price on January 1, 2020.

SEC source: 0001493152-20-000135 · ownership.xml · derivative · entry 1

Johnson Michael · CIK 0001550109 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: Not disclosed

Underlying: Common Stock · Not disclosed shares

Expires 2020-06-30

F1 · security: In connection with Flux Power, Inc., the wholly-owned subsidiary of the Issuer, extension of the maturity date from December 31, 2019 to June 30, 2020 of the Secured Promissory Note, dated March 28, 2019, as amended on October 10, 2019 and December 31, 2019 ("Note") for a $12 million line of credit, held Esenjay Investments, LLC, a Delaware limited liability company ("Esenjay"), the Issuers granted Esenjay the right to convert the Note at any time on or after the Issuer's next qualified financing (with gross proceeds of at least $1 million) at a conversion price equal to the price per share paid by other investors in such financing. As of December 31, 2019, Esenjay has $5,666,503 outstanding under the Note.

F1 · derivative.exercise_price: In connection with Flux Power, Inc., the wholly-owned subsidiary of the Issuer, extension of the maturity date from December 31, 2019 to June 30, 2020 of the Secured Promissory Note, dated March 28, 2019, as amended on October 10, 2019 and December 31, 2019 ("Note") for a $12 million line of credit, held Esenjay Investments, LLC, a Delaware limited liability company ("Esenjay"), the Issuers granted Esenjay the right to convert the Note at any time on or after the Issuer's next qualified financing (with gross proceeds of at least $1 million) at a conversion price equal to the price per share paid by other investors in such financing. As of December 31, 2019, Esenjay has $5,666,503 outstanding under the Note.

F1 · price: In connection with Flux Power, Inc., the wholly-owned subsidiary of the Issuer, extension of the maturity date from December 31, 2019 to June 30, 2020 of the Secured Promissory Note, dated March 28, 2019, as amended on October 10, 2019 and December 31, 2019 ("Note") for a $12 million line of credit, held Esenjay Investments, LLC, a Delaware limited liability company ("Esenjay"), the Issuers granted Esenjay the right to convert the Note at any time on or after the Issuer's next qualified financing (with gross proceeds of at least $1 million) at a conversion price equal to the price per share paid by other investors in such financing. As of December 31, 2019, Esenjay has $5,666,503 outstanding under the Note.

F1 · derivative.exercise_date: In connection with Flux Power, Inc., the wholly-owned subsidiary of the Issuer, extension of the maturity date from December 31, 2019 to June 30, 2020 of the Secured Promissory Note, dated March 28, 2019, as amended on October 10, 2019 and December 31, 2019 ("Note") for a $12 million line of credit, held Esenjay Investments, LLC, a Delaware limited liability company ("Esenjay"), the Issuers granted Esenjay the right to convert the Note at any time on or after the Issuer's next qualified financing (with gross proceeds of at least $1 million) at a conversion price equal to the price per share paid by other investors in such financing. As of December 31, 2019, Esenjay has $5,666,503 outstanding under the Note.

F1 · derivative.underlying_shares: In connection with Flux Power, Inc., the wholly-owned subsidiary of the Issuer, extension of the maturity date from December 31, 2019 to June 30, 2020 of the Secured Promissory Note, dated March 28, 2019, as amended on October 10, 2019 and December 31, 2019 ("Note") for a $12 million line of credit, held Esenjay Investments, LLC, a Delaware limited liability company ("Esenjay"), the Issuers granted Esenjay the right to convert the Note at any time on or after the Issuer's next qualified financing (with gross proceeds of at least $1 million) at a conversion price equal to the price per share paid by other investors in such financing. As of December 31, 2019, Esenjay has $5,666,503 outstanding under the Note.

F2 · ownership.nature: Mr. Johnson is the sole director and beneficial owner of Esenjay.

SEC source: 0001493152-20-012185 · ownership.xml · derivative · entry 1

Johnson Michael · CIK 0001550109 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: Not disclosed

Underlying: Common Stock · Not disclosed shares

Expires 2020-06-30

F1 · security: In connection with Flux Power, Inc., the wholly-owned subsidiary of the Issuer, extension of the maturity date from December 31, 2019 to June 30, 2020 of the Secured Promissory Note, dated March 28, 2019, as amended on October 10, 2019 and December 31, 2019 ("Note") for a $12 million line of credit, held Esenjay Investments, LLC, a Delaware limited liability company ("Esenjay"), the Issuers granted Esenjay the right to convert the Note at any time on or after the Issuer's next qualified financing (with gross proceeds of at least $1 million) at a conversion price equal to the price per share paid by other investors in such financing. As of December 31, 2019, Esenjay has $5,666,503 outstanding under the Note. The Note was not convertible and the conversion price was not fixed at December 31, 2019.

F1 · derivative.exercise_price: In connection with Flux Power, Inc., the wholly-owned subsidiary of the Issuer, extension of the maturity date from December 31, 2019 to June 30, 2020 of the Secured Promissory Note, dated March 28, 2019, as amended on October 10, 2019 and December 31, 2019 ("Note") for a $12 million line of credit, held Esenjay Investments, LLC, a Delaware limited liability company ("Esenjay"), the Issuers granted Esenjay the right to convert the Note at any time on or after the Issuer's next qualified financing (with gross proceeds of at least $1 million) at a conversion price equal to the price per share paid by other investors in such financing. As of December 31, 2019, Esenjay has $5,666,503 outstanding under the Note. The Note was not convertible and the conversion price was not fixed at December 31, 2019.

F1 · reported_value: In connection with Flux Power, Inc., the wholly-owned subsidiary of the Issuer, extension of the maturity date from December 31, 2019 to June 30, 2020 of the Secured Promissory Note, dated March 28, 2019, as amended on October 10, 2019 and December 31, 2019 ("Note") for a $12 million line of credit, held Esenjay Investments, LLC, a Delaware limited liability company ("Esenjay"), the Issuers granted Esenjay the right to convert the Note at any time on or after the Issuer's next qualified financing (with gross proceeds of at least $1 million) at a conversion price equal to the price per share paid by other investors in such financing. As of December 31, 2019, Esenjay has $5,666,503 outstanding under the Note. The Note was not convertible and the conversion price was not fixed at December 31, 2019.

F1 · price: In connection with Flux Power, Inc., the wholly-owned subsidiary of the Issuer, extension of the maturity date from December 31, 2019 to June 30, 2020 of the Secured Promissory Note, dated March 28, 2019, as amended on October 10, 2019 and December 31, 2019 ("Note") for a $12 million line of credit, held Esenjay Investments, LLC, a Delaware limited liability company ("Esenjay"), the Issuers granted Esenjay the right to convert the Note at any time on or after the Issuer's next qualified financing (with gross proceeds of at least $1 million) at a conversion price equal to the price per share paid by other investors in such financing. As of December 31, 2019, Esenjay has $5,666,503 outstanding under the Note. The Note was not convertible and the conversion price was not fixed at December 31, 2019.

F1 · derivative.exercise_date: In connection with Flux Power, Inc., the wholly-owned subsidiary of the Issuer, extension of the maturity date from December 31, 2019 to June 30, 2020 of the Secured Promissory Note, dated March 28, 2019, as amended on October 10, 2019 and December 31, 2019 ("Note") for a $12 million line of credit, held Esenjay Investments, LLC, a Delaware limited liability company ("Esenjay"), the Issuers granted Esenjay the right to convert the Note at any time on or after the Issuer's next qualified financing (with gross proceeds of at least $1 million) at a conversion price equal to the price per share paid by other investors in such financing. As of December 31, 2019, Esenjay has $5,666,503 outstanding under the Note. The Note was not convertible and the conversion price was not fixed at December 31, 2019.

F1 · derivative.expiration_date: In connection with Flux Power, Inc., the wholly-owned subsidiary of the Issuer, extension of the maturity date from December 31, 2019 to June 30, 2020 of the Secured Promissory Note, dated March 28, 2019, as amended on October 10, 2019 and December 31, 2019 ("Note") for a $12 million line of credit, held Esenjay Investments, LLC, a Delaware limited liability company ("Esenjay"), the Issuers granted Esenjay the right to convert the Note at any time on or after the Issuer's next qualified financing (with gross proceeds of at least $1 million) at a conversion price equal to the price per share paid by other investors in such financing. As of December 31, 2019, Esenjay has $5,666,503 outstanding under the Note. The Note was not convertible and the conversion price was not fixed at December 31, 2019.

F1 · derivative.underlying_shares: In connection with Flux Power, Inc., the wholly-owned subsidiary of the Issuer, extension of the maturity date from December 31, 2019 to June 30, 2020 of the Secured Promissory Note, dated March 28, 2019, as amended on October 10, 2019 and December 31, 2019 ("Note") for a $12 million line of credit, held Esenjay Investments, LLC, a Delaware limited liability company ("Esenjay"), the Issuers granted Esenjay the right to convert the Note at any time on or after the Issuer's next qualified financing (with gross proceeds of at least $1 million) at a conversion price equal to the price per share paid by other investors in such financing. As of December 31, 2019, Esenjay has $5,666,503 outstanding under the Note. The Note was not convertible and the conversion price was not fixed at December 31, 2019.

F1 · valueOwnedAfter: In connection with Flux Power, Inc., the wholly-owned subsidiary of the Issuer, extension of the maturity date from December 31, 2019 to June 30, 2020 of the Secured Promissory Note, dated March 28, 2019, as amended on October 10, 2019 and December 31, 2019 ("Note") for a $12 million line of credit, held Esenjay Investments, LLC, a Delaware limited liability company ("Esenjay"), the Issuers granted Esenjay the right to convert the Note at any time on or after the Issuer's next qualified financing (with gross proceeds of at least $1 million) at a conversion price equal to the price per share paid by other investors in such financing. As of December 31, 2019, Esenjay has $5,666,503 outstanding under the Note. The Note was not convertible and the conversion price was not fixed at December 31, 2019.

F2 · ownership.nature: Mr. Johnson is the sole director and beneficial owner of Esenjay.

SEC source: 0001654954-19-002920 · section16.xml · derivative · entry 1

Anthony Christopher Lee · CIK 0001548403 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires 2029-05-15

F1 · security: Pursuant to the stock option, Reporting Person has a right to purchase up to 30,000 shares of common stock of Issuer. The stock option vests over a 3 year period in quarterly installments, with 25% vesting on March 15, 2019. The exercise price is the fair market value of Issuer's common stock, which is $1.36 per share based on the Issuer's 30day volume-weighted average price on March 15, 2019.

F1 · price: Pursuant to the stock option, Reporting Person has a right to purchase up to 30,000 shares of common stock of Issuer. The stock option vests over a 3 year period in quarterly installments, with 25% vesting on March 15, 2019. The exercise price is the fair market value of Issuer's common stock, which is $1.36 per share based on the Issuer's 30day volume-weighted average price on March 15, 2019.

F1 · derivative.exercise_date: Pursuant to the stock option, Reporting Person has a right to purchase up to 30,000 shares of common stock of Issuer. The stock option vests over a 3 year period in quarterly installments, with 25% vesting on March 15, 2019. The exercise price is the fair market value of Issuer's common stock, which is $1.36 per share based on the Issuer's 30day volume-weighted average price on March 15, 2019.

SEC source: 0001654954-19-002919 · section16.xml · derivative · entry 1

Scheiwe Charles · CIK 0001761309 · CFO & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 300,000

Underlying: Common stock · 300,000 shares

Expires 2029-05-15

F1 · security: Pursuant to the stock option, Reporting Person has a right to purchase up to 300,000 shares of common stock of Issuer. The stock option vests over a 3 year period in quarterly installments, with 25% vesting on March 15, 2019. The exercise price is the fair market value of Issuer's common stock, which is $1.36 per share based on the Issuer's 30-day volume-weighted average price on March 15, 2019.

F1 · price: Pursuant to the stock option, Reporting Person has a right to purchase up to 300,000 shares of common stock of Issuer. The stock option vests over a 3 year period in quarterly installments, with 25% vesting on March 15, 2019. The exercise price is the fair market value of Issuer's common stock, which is $1.36 per share based on the Issuer's 30-day volume-weighted average price on March 15, 2019.

F1 · derivative.exercise_date: Pursuant to the stock option, Reporting Person has a right to purchase up to 300,000 shares of common stock of Issuer. The stock option vests over a 3 year period in quarterly installments, with 25% vesting on March 15, 2019. The exercise price is the fair market value of Issuer's common stock, which is $1.36 per share based on the Issuer's 30-day volume-weighted average price on March 15, 2019.

SEC source: 0001654954-19-002918 · section16.xml · derivative · entry 1

Berry Jonathan Andrew · CIK 0001745443 · COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 300,000

Underlying: Common stock · 300,000 shares

Expires 2029-05-15

F1 · security: Pursuant to the stock option, Reporting Person has a right to purchase up to 300,000 shares of common stock of Issuer. The stock option vests over a 3 year period in quarterly installments, with 25% vesting on March 15, 2019. The exercise price is the fair market value of Issuer's common stock, which is $1.36 per share based on the Issuer's 30day volume-weighted average price on March 15, 2019.

F1 · price: Pursuant to the stock option, Reporting Person has a right to purchase up to 300,000 shares of common stock of Issuer. The stock option vests over a 3 year period in quarterly installments, with 25% vesting on March 15, 2019. The exercise price is the fair market value of Issuer's common stock, which is $1.36 per share based on the Issuer's 30day volume-weighted average price on March 15, 2019.

F1 · derivative.exercise_date: Pursuant to the stock option, Reporting Person has a right to purchase up to 300,000 shares of common stock of Issuer. The stock option vests over a 3 year period in quarterly installments, with 25% vesting on March 15, 2019. The exercise price is the fair market value of Issuer's common stock, which is $1.36 per share based on the Issuer's 30day volume-weighted average price on March 15, 2019.

SEC source: 0001654954-19-002917 · section16.xml · derivative · entry 1

Gevarges James · CIK 0001548534 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires 2029-05-15

F1 · security: Pursuant to the stock option, Reporting Person has a right to purchase up to 30,000 shares of common stock of Issuer. The stock option vests over a 3 year period in quarterly installments, with 25% vesting on March 15, 2019. The exercise price is the fair market value of Issuer's common stock, which is $1.36 per share based on the Issuer's 30day volume-weighted average price on March 15, 2019.

F1 · price: Pursuant to the stock option, Reporting Person has a right to purchase up to 30,000 shares of common stock of Issuer. The stock option vests over a 3 year period in quarterly installments, with 25% vesting on March 15, 2019. The exercise price is the fair market value of Issuer's common stock, which is $1.36 per share based on the Issuer's 30day volume-weighted average price on March 15, 2019.

F1 · derivative.exercise_date: Pursuant to the stock option, Reporting Person has a right to purchase up to 30,000 shares of common stock of Issuer. The stock option vests over a 3 year period in quarterly installments, with 25% vesting on March 15, 2019. The exercise price is the fair market value of Issuer's common stock, which is $1.36 per share based on the Issuer's 30day volume-weighted average price on March 15, 2019.

SEC source: 0001654954-19-002916 · section16.xml · derivative · entry 1

Johnson Michael · CIK 0001550109 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common stock · 30,000 shares

Expires 2029-05-15

F1 · security: Pursuant to the stock option, Reporting Person has a right to purchase up to 300,000 shares of common stock of Issuer. The stock option vests over a 3 year period in quarterly installments, with 25% vesting on March 15, 2019. The exercise price is the fair market value of Issuer's common stock, which is $1.36 per share based on the Issuer's 30day volume-weighted average price on March 15, 2019.

F1 · price: Pursuant to the stock option, Reporting Person has a right to purchase up to 300,000 shares of common stock of Issuer. The stock option vests over a 3 year period in quarterly installments, with 25% vesting on March 15, 2019. The exercise price is the fair market value of Issuer's common stock, which is $1.36 per share based on the Issuer's 30day volume-weighted average price on March 15, 2019.

F1 · derivative.exercise_date: Pursuant to the stock option, Reporting Person has a right to purchase up to 300,000 shares of common stock of Issuer. The stock option vests over a 3 year period in quarterly installments, with 25% vesting on March 15, 2019. The exercise price is the fair market value of Issuer's common stock, which is $1.36 per share based on the Issuer's 30day volume-weighted average price on March 15, 2019.

SEC source: 0001654954-19-002914 · section16.xml · derivative · entry 1

DUTT RONALD F · CIK 0001262880 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 500,000

Underlying: Common stock · 500,000 shares

Expires 2029-05-15

F1 · security: Pursuant to the stock option, Reporting Person has a right to purchase up to 500,000 shares of common stock of Issuer. The stock option vests over a 3 year period in quarterly installments, with 25% vesting on March 15, 2019. The exercise price is the fair market value of Issuer's common stock, which is $1.36 per share based on the Issuer's 30day volume-weighted average price on March 15, 2019.

F1 · price: Pursuant to the stock option, Reporting Person has a right to purchase up to 500,000 shares of common stock of Issuer. The stock option vests over a 3 year period in quarterly installments, with 25% vesting on March 15, 2019. The exercise price is the fair market value of Issuer's common stock, which is $1.36 per share based on the Issuer's 30day volume-weighted average price on March 15, 2019.

F1 · derivative.exercise_date: Pursuant to the stock option, Reporting Person has a right to purchase up to 500,000 shares of common stock of Issuer. The stock option vests over a 3 year period in quarterly installments, with 25% vesting on March 15, 2019. The exercise price is the fair market value of Issuer's common stock, which is $1.36 per share based on the Issuer's 30day volume-weighted average price on March 15, 2019.

SEC source: 0001654954-19-000920 · section16.xml · nonDerivative · entry 1

Cleveland Capital Management, L.L.C. · CIK 0001604742 · 10% owner

Massad Wade · CIK 0001492831 · 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: 5,656,200

F1 · kind: The securities are held in account(s) managed by Cleveland Capital Management, L.L.C. (the "Reporting Person"). The Reporting Person disclaims beneficial ownership in the account(s) except to the extent of his pecuniary interest, if any therein.

F2 · ownership.nature: The securities are held in client accounts and may be deemed to be indirectly beneficially owned by the Reporting Person, because it serves as the investment manager to such account and Wade Massad, as the Managing Member of Reporting Person. The Reporting Person disclaims beneficial ownership in the securities reported on this Form 4 except to the extent of his pecuniary interest, if any, therein, and this report shall not be deemed to be an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0001654954-19-000686 · section16.xml · nonDerivative · entry 1

Cleveland Capital Management, L.L.C. · CIK 0001604742 · 10% owner

Massad Wade · CIK 0001492831 · 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: 5,159,100

F1 · kind: The securities are held in account(s) managed by Cleveland Capital Management, L.L.C. (the "Reporting Person"). The Reporting Person disclaims beneficial ownership in the account(s) except to the extent of his pecuniary interest, if any therein.

F2 · ownership.nature: The securities are held in the account of Cleveland Capital, L.P. and may be deemed to be indirectly beneficially owned by the Reporting Person, because it serves as the investment manager to such account(s) and Wade Massad, as the Managing Member of a Reporting Person. The Reporting Person disclaims beneficial ownership in the securities reported on this Form 4 except to the extent of his pecuniary interest, if any, therein, and this report shall not be deemed to be an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0001654954-18-011951 · section16.xml · nonDerivative · entry 1

Johnson Michael · CIK 0001550109 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · see footnote

Disclosed balance after: 31,987,098

F1 · security: Represents exercise of a convertible promissory note for the above-referenced shares of restricted common stock.

F2 · ownership.nature: Securities are held by Esenjay. Mr. Johnson is the sole director and beneficial owner of this entity.

SEC source: 0001709409-18-000016 · primary_doc.xml · derivative · entry 1

DUTT RONALD F · CIK 0001262880 · Director · CEO; CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 335,264

Underlying: Common Stock · 335,264 shares

Expires 2028-07-25

F1 · derivative.exercise_price: Pursuant to the stock option, Reporting Person has a right to purchase up to 335,264 shares of Issuer's common stock. The options vest quarterly over a two-year period following the grant. The exercise price is the fair market value of Issuer's common stock, which is $1.98 per share based on the Issuer's 30-day volume-weighted average price on July 25, 2018.

F1 · price: Pursuant to the stock option, Reporting Person has a right to purchase up to 335,264 shares of Issuer's common stock. The options vest quarterly over a two-year period following the grant. The exercise price is the fair market value of Issuer's common stock, which is $1.98 per share based on the Issuer's 30-day volume-weighted average price on July 25, 2018.

F1 · derivative.exercise_date: Pursuant to the stock option, Reporting Person has a right to purchase up to 335,264 shares of Issuer's common stock. The options vest quarterly over a two-year period following the grant. The exercise price is the fair market value of Issuer's common stock, which is $1.98 per share based on the Issuer's 30-day volume-weighted average price on July 25, 2018.

SEC source: 0001709409-18-000012 · primary_doc.xml · derivative · entry 1

DUTT RONALD F · CIK 0001262880 · Director · CEO, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 500,000

Underlying: Common Stock · 500,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Pursuant to the stock option, Reporting Person has a right to purchase up to 500,000 shares of Issuer's common stock. The options vest quarterly over a two-year period following the grant and expire on June 29, 2020. The exercise price is the fair market value of Issuer's common stock, which is $1.44 per share based on the Issuer's 30-day volume-weighted average price on June 29, 2018.

F1 · price: Pursuant to the stock option, Reporting Person has a right to purchase up to 500,000 shares of Issuer's common stock. The options vest quarterly over a two-year period following the grant and expire on June 29, 2020. The exercise price is the fair market value of Issuer's common stock, which is $1.44 per share based on the Issuer's 30-day volume-weighted average price on June 29, 2018.

F1 · derivative.exercise_date: Pursuant to the stock option, Reporting Person has a right to purchase up to 500,000 shares of Issuer's common stock. The options vest quarterly over a two-year period following the grant and expire on June 29, 2020. The exercise price is the fair market value of Issuer's common stock, which is $1.44 per share based on the Issuer's 30-day volume-weighted average price on June 29, 2018.

F1 · derivative.expiration_date: Pursuant to the stock option, Reporting Person has a right to purchase up to 500,000 shares of Issuer's common stock. The options vest quarterly over a two-year period following the grant and expire on June 29, 2020. The exercise price is the fair market value of Issuer's common stock, which is $1.44 per share based on the Issuer's 30-day volume-weighted average price on June 29, 2018.

SEC source: 0001709409-18-000015 · primary_doc.xml · derivative · entry 1

DUTT RONALD F · CIK 0001262880 · Director · CEO; CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 500,000

Underlying: Common Stock · 500,000 shares

Expires 2028-06-29

F1 · derivative.exercise_price: Pursuant to the stock option, the Reporting Person has a right to purchase up to 500,000 shares of Issuer's common stock. The options vest quarterly over a two-year period following the grant. The exercise price is the fair market value of Issuer's common stock, which is $1.44 per share based on the Issuer's 30-day volume-weighted average price on June 29, 2018.

F1 · price: Pursuant to the stock option, the Reporting Person has a right to purchase up to 500,000 shares of Issuer's common stock. The options vest quarterly over a two-year period following the grant. The exercise price is the fair market value of Issuer's common stock, which is $1.44 per share based on the Issuer's 30-day volume-weighted average price on June 29, 2018.

F1 · derivative.exercise_date: Pursuant to the stock option, the Reporting Person has a right to purchase up to 500,000 shares of Issuer's common stock. The options vest quarterly over a two-year period following the grant. The exercise price is the fair market value of Issuer's common stock, which is $1.44 per share based on the Issuer's 30-day volume-weighted average price on June 29, 2018.

F2 · derivative.expiration_date: This report on Form 4/A amends and replaces in its entirety the Form 4 filed by the Reporting Person on July 3, 2018. This report on Form 4/A is being filed solely to correct a typographical error with respect to the expiration date of the stock option, which should be June 29, 2028.

SEC source: 0001437749-17-017858 · rdgdoc.xml · derivative · entry 1

Johnson Michael · CIK 0001550109 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires 2027-10-26

F1 · price: Pursuant to the stock option, Reporting Person has a right to purchase up to 30,000 shares of common stock of Issuer. The stock option vests over a two-year period in quarterly installments, with the vesting commencing as of October 26, 2017. The exercise price is $0.4638 per share (which was the closing price on October 26, 2017).

F1 · derivative.exercise_date: Pursuant to the stock option, Reporting Person has a right to purchase up to 30,000 shares of common stock of Issuer. The stock option vests over a two-year period in quarterly installments, with the vesting commencing as of October 26, 2017. The exercise price is $0.4638 per share (which was the closing price on October 26, 2017).

SEC source: 0001437749-17-017857 · rdgdoc.xml · derivative · entry 1

Anthony Christopher Lee · CIK 0001548403 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires 2027-10-26

F1 · price: Pursuant to the stock option, Reporting Person has a right to purchase up to 30,000 shares of common stock of Issuer. The stock option vests over a two-year period in quarterly installments, with the vesting commencing as of October 26, 2017. The exercise price is $0.4638 per share (which was the closing price on October 26, 2017).

F1 · derivative.exercise_date: Pursuant to the stock option, Reporting Person has a right to purchase up to 30,000 shares of common stock of Issuer. The stock option vests over a two-year period in quarterly installments, with the vesting commencing as of October 26, 2017. The exercise price is $0.4638 per share (which was the closing price on October 26, 2017).

SEC source: 0001437749-17-017856 · rdgdoc.xml · derivative · entry 1

DUTT RONALD F · CIK 0001262880 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 500,000

Underlying: Common Stock · 500,000 shares

Expires 2027-10-26

F1 · price: Pursuant to the stock option, Reporting Person has a right to purchase up to 500,000 shares of common stock of Issuer. The stock option vests over a three-year period in quarterly installments, with 25% vesting on October 26, 2017. The exercise price is $0.4638 per share (which was the closing price on October 26, 2017).

F1 · derivative.exercise_date: Pursuant to the stock option, Reporting Person has a right to purchase up to 500,000 shares of common stock of Issuer. The stock option vests over a three-year period in quarterly installments, with 25% vesting on October 26, 2017. The exercise price is $0.4638 per share (which was the closing price on October 26, 2017).

SEC source: 0001437749-17-018249 · rdgdoc.xml · derivative · entry 1

Gevarges James · CIK 0001548534 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires 2027-10-26

F1 · price: Pursuant to the stock option, Reporting Person has a right to purchase up to 30,000 shares of common stock of Issuer. The stock option vests over a two-year period in quarterly installments, with the vesting commencing as of October 26, 2017. The exercise price is $0.4638 per share (which was the closing price on October 26, 2017).

F1 · derivative.exercise_date: Pursuant to the stock option, Reporting Person has a right to purchase up to 30,000 shares of common stock of Issuer. The stock option vests over a two-year period in quarterly installments, with the vesting commencing as of October 26, 2017. The exercise price is $0.4638 per share (which was the closing price on October 26, 2017).

SEC source: 0001437749-16-038440 · rdgdoc.xml · nonDerivative · entry 2

Johnson Michael · CIK 0001550109 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · see footnote

Disclosed balance after: 184,836,117

F2 · security: Represents acquisition of 12,500,000 shares of common stock (at $0.04 per share) acquired by Esenjay for $500,000 in cash.

F5 · balance_after: Includes 15,333,333 shares of common stock convertible under the Unrestricted Line of Credit between Esenjay and the Issuer at $0.06 per share.

F6 · balance_after: Under a Side Letter, Esenjay agreed to limit its right of conversion under the Unrestricted Line of Credit to such number of Shares so that upon conversion, if any, it will not cause the Issuer to exceed the authorized number of shares of Common Stock.

F3 · ownership.nature: Securities are held by Esenjay. Mr. Johnson is the sole director and beneficial owner of this entity.

SEC source: 0001437749-16-038440 · rdgdoc.xml · nonDerivative · entry 1

Johnson Michael · CIK 0001550109 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · see footnote

Disclosed balance after: 170,336,117

F1 · security: Represents acquisition of 10,000,000 shares of common stock (at $0.04 per share) acquired by Esenjay Investments, LLC ("Esenjay") in consideration for cancellation of debt in the amount of $400,000.

F4 · balance_after: Includes 13,333,333 shares of common stock convertible under the Unrestricted Line of Credit between Esenjay and the Issuer at $0.06 per share.

F6 · balance_after: Under a Side Letter, Esenjay agreed to limit its right of conversion under the Unrestricted Line of Credit to such number of Shares so that upon conversion, if any, it will not cause the Issuer to exceed the authorized number of shares of Common Stock.

F3 · ownership.nature: Securities are held by Esenjay. Mr. Johnson is the sole director and beneficial owner of this entity.