GEDC

SEC source: 0001493152-26-018711 · ownership.xml · derivative · entry 8

Thompson Chauncey Lennis · CIK 0002081187 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 6,000,000

Underlying: Common Stock · 6,000,000 shares

Expires 2032-04-30

F2 · price: The reported transaction involves a grant of warrants by CalEthos, Inc. (the "Issuer") to SFO IDF in consideration for a loan made by SFO IDF to the Issuer pursuant to a promissory note issued by the Issuer to SFO IDF.

F1 · ownership.nature: The reported securities are owned by SFO IDF LLC ("SFO IDF"), a company of which the reporting person is the manager. As the manager of SFO IDF, the reporting person has the power to direct the voting and disposition of securities held in the name of SFO IDF and may be deemed to beneficially own the securities reported herein. The reporting person disclaims beneficial ownership of the securities reported herein, except to the extent of his pecuniary interest therein.

SEC source: 0001493152-26-017080 · ownership.xml · derivative · entry 3

Stone Joel Drake · CIK 0002005830 · Director · Chairman and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,000,000

Underlying: Common Stock · 2,000,000 shares

Expires 2033-03-27

F3 · security: The options reported herein were granted to the reporting person by the Issuer pursuant to an executive employment agreement by and between the Issuer and the reporting person. These options fully vested on the date of grant (March 27, 2026).

F3 · price: The options reported herein were granted to the reporting person by the Issuer pursuant to an executive employment agreement by and between the Issuer and the reporting person. These options fully vested on the date of grant (March 27, 2026).

SEC source: 0001493152-25-028255 · ownership.xml · derivative · entry 3

Thompson Chauncey Lennis · CIK 0002081187 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 1,000,000

Underlying: Common Stock · 1,000,000 shares

Expires 2031-06-30

F2 · price: The reported transaction involves a grant of warrants by CalEthos, Inc. (the "Issuer") to SFO IDF in consideration for a promissory note issued by the Issuer to SFO IDF.

F1 · ownership.nature: The reported securities are owned by SFO IDF LLC ("SFO IDF"), a company of which the reporting person is the manager. As the manager of SFO IDF, the reporting person has the power to direct the voting and disposition of securities held in the name of SFO IDF and may be deemed to beneficially own the securities reported herein. The reporting person disclaims beneficial ownership of the securities reported herein, except to the extent of his pecuniary interest therein.

SEC source: 0001493152-25-027606 · ownership.xml · nonDerivative · entry 1

Campbell Michael · CIK 0001476255 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 8,554,199

F1 · kind: The securities reported herein were sold by the reporting person to a third-party lender in exchange for the grant of a loan by such third-party lender to the reporting person.

F1 · price: The securities reported herein were sold by the reporting person to a third-party lender in exchange for the grant of a loan by such third-party lender to the reporting person.

F2 · ownership.nature: The reported securities are owned by M1 Advisors LLC, a company of which the reporting person is a principal member. The reporting person disclaims beneficial ownership of these securities, except to the extent of his pecuniary interests.

SEC source: 0001641172-25-006517 · ownership.xml · derivative · entry 3

FONTENOT SEAN PAUL · CIK 0001892498 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 2,258,877

Underlying: Common Stock · 2,258,877 shares

Expires 2029-12-15

F1 · derivative.exercise_price: The two reported transactions involved an amendment of outstanding warrants to purchase 2,258,877 shares of Common Stock (the "Warrants"), which were previously issued to Nanosha (as defined in footnote 2) by CalEthos, Inc. (the "Issuer") on December 15, 2024.

F1 · kind: The two reported transactions involved an amendment of outstanding warrants to purchase 2,258,877 shares of Common Stock (the "Warrants"), which were previously issued to Nanosha (as defined in footnote 2) by CalEthos, Inc. (the "Issuer") on December 15, 2024.

F1 · price: The two reported transactions involved an amendment of outstanding warrants to purchase 2,258,877 shares of Common Stock (the "Warrants"), which were previously issued to Nanosha (as defined in footnote 2) by CalEthos, Inc. (the "Issuer") on December 15, 2024.

F2 · ownership.nature: The reported securities are owned by Nanosha Investments LLC ("Nanosha"), a company of which the reporting person is the principal member. The reporting person disclaims beneficial ownership of these securities, except to the extent of his pecuniary interest therein.

SEC source: 0001641172-25-006517 · ownership.xml · derivative · entry 2

FONTENOT SEAN PAUL · CIK 0001892498 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 2,258,877

Underlying: Common Stock · 2,258,877 shares

Expires 2029-12-15

F1 · derivative.exercise_price: The two reported transactions involved an amendment of outstanding warrants to purchase 2,258,877 shares of Common Stock (the "Warrants"), which were previously issued to Nanosha (as defined in footnote 2) by CalEthos, Inc. (the "Issuer") on December 15, 2024.

F1 · kind: The two reported transactions involved an amendment of outstanding warrants to purchase 2,258,877 shares of Common Stock (the "Warrants"), which were previously issued to Nanosha (as defined in footnote 2) by CalEthos, Inc. (the "Issuer") on December 15, 2024.

F1 · price: The two reported transactions involved an amendment of outstanding warrants to purchase 2,258,877 shares of Common Stock (the "Warrants"), which were previously issued to Nanosha (as defined in footnote 2) by CalEthos, Inc. (the "Issuer") on December 15, 2024.

F2 · ownership.nature: The reported securities are owned by Nanosha Investments LLC ("Nanosha"), a company of which the reporting person is the principal member. The reporting person disclaims beneficial ownership of these securities, except to the extent of his pecuniary interest therein.

SEC source: 0001641172-25-002026 · ownership.xml · nonDerivative · entry 1

Shum Steve · CIK 0001578898 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 165,665

F1 · security: The reported securities were owned by Core Fund Management LLC, a limited liability company of which the reporting person is the principal member ("Core Fund"). The reporting person disclaims beneficial ownership of these securities, except to the extent of his pecuniary interest therein.

F1 · shares: The reported securities were owned by Core Fund Management LLC, a limited liability company of which the reporting person is the principal member ("Core Fund"). The reporting person disclaims beneficial ownership of these securities, except to the extent of his pecuniary interest therein.

F2 · balance_after: Of the shares reported herein, 161,010 are owned indirectly through Core Fund.

F1 · ownership.nature: The reported securities were owned by Core Fund Management LLC, a limited liability company of which the reporting person is the principal member ("Core Fund"). The reporting person disclaims beneficial ownership of these securities, except to the extent of his pecuniary interest therein.

SEC source: 0001493152-24-050491 · ownership.xml · derivative · entry 4

FONTENOT SEAN PAUL · CIK 0001892498 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 300,000 shares

Expires not disclosed

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

F1 · kind: On December 15, 2024, Nanosha (as defined in footnote 2) entered into an exchange subscription agreement with CalEthos, Inc. (the "Issuer") pursuant to which the Issuer issued to Nanosha (i) 500,000 shares of common stock, par value $0.001 per share (the "Common Stock"), and (ii) a five-year warrant to acquire 2,258,877 shares of Common Stock with an exercise price of $2.00 per share in exchange for (i) a promissory note of the Issuer, (ii) a warrant to purchase 300,000 shares of Common Stock for a price of $3.50 per share, and (iii) a warrant to purchase 300,000 shares of Common Stock for a price of $3.80 per share.

F1 · price: On December 15, 2024, Nanosha (as defined in footnote 2) entered into an exchange subscription agreement with CalEthos, Inc. (the "Issuer") pursuant to which the Issuer issued to Nanosha (i) 500,000 shares of common stock, par value $0.001 per share (the "Common Stock"), and (ii) a five-year warrant to acquire 2,258,877 shares of Common Stock with an exercise price of $2.00 per share in exchange for (i) a promissory note of the Issuer, (ii) a warrant to purchase 300,000 shares of Common Stock for a price of $3.50 per share, and (iii) a warrant to purchase 300,000 shares of Common Stock for a price of $3.80 per share.

F1 · derivative.exercise_date: On December 15, 2024, Nanosha (as defined in footnote 2) entered into an exchange subscription agreement with CalEthos, Inc. (the "Issuer") pursuant to which the Issuer issued to Nanosha (i) 500,000 shares of common stock, par value $0.001 per share (the "Common Stock"), and (ii) a five-year warrant to acquire 2,258,877 shares of Common Stock with an exercise price of $2.00 per share in exchange for (i) a promissory note of the Issuer, (ii) a warrant to purchase 300,000 shares of Common Stock for a price of $3.50 per share, and (iii) a warrant to purchase 300,000 shares of Common Stock for a price of $3.80 per share.

F1 · derivative.expiration_date: On December 15, 2024, Nanosha (as defined in footnote 2) entered into an exchange subscription agreement with CalEthos, Inc. (the "Issuer") pursuant to which the Issuer issued to Nanosha (i) 500,000 shares of common stock, par value $0.001 per share (the "Common Stock"), and (ii) a five-year warrant to acquire 2,258,877 shares of Common Stock with an exercise price of $2.00 per share in exchange for (i) a promissory note of the Issuer, (ii) a warrant to purchase 300,000 shares of Common Stock for a price of $3.50 per share, and (iii) a warrant to purchase 300,000 shares of Common Stock for a price of $3.80 per share.

F2 · ownership.nature: The reported securities are owned by Nanosha Investments LLC ("Nanosha"), a company of which the reporting person is the principal member. The reporting person disclaims beneficial ownership of these securities, except to the extent of his pecuniary interest therein.

SEC source: 0001493152-24-050491 · ownership.xml · derivative · entry 3

FONTENOT SEAN PAUL · CIK 0001892498 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 300,000 shares

Expires not disclosed

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

F1 · kind: On December 15, 2024, Nanosha (as defined in footnote 2) entered into an exchange subscription agreement with CalEthos, Inc. (the "Issuer") pursuant to which the Issuer issued to Nanosha (i) 500,000 shares of common stock, par value $0.001 per share (the "Common Stock"), and (ii) a five-year warrant to acquire 2,258,877 shares of Common Stock with an exercise price of $2.00 per share in exchange for (i) a promissory note of the Issuer, (ii) a warrant to purchase 300,000 shares of Common Stock for a price of $3.50 per share, and (iii) a warrant to purchase 300,000 shares of Common Stock for a price of $3.80 per share.

F1 · price: On December 15, 2024, Nanosha (as defined in footnote 2) entered into an exchange subscription agreement with CalEthos, Inc. (the "Issuer") pursuant to which the Issuer issued to Nanosha (i) 500,000 shares of common stock, par value $0.001 per share (the "Common Stock"), and (ii) a five-year warrant to acquire 2,258,877 shares of Common Stock with an exercise price of $2.00 per share in exchange for (i) a promissory note of the Issuer, (ii) a warrant to purchase 300,000 shares of Common Stock for a price of $3.50 per share, and (iii) a warrant to purchase 300,000 shares of Common Stock for a price of $3.80 per share.

F1 · derivative.exercise_date: On December 15, 2024, Nanosha (as defined in footnote 2) entered into an exchange subscription agreement with CalEthos, Inc. (the "Issuer") pursuant to which the Issuer issued to Nanosha (i) 500,000 shares of common stock, par value $0.001 per share (the "Common Stock"), and (ii) a five-year warrant to acquire 2,258,877 shares of Common Stock with an exercise price of $2.00 per share in exchange for (i) a promissory note of the Issuer, (ii) a warrant to purchase 300,000 shares of Common Stock for a price of $3.50 per share, and (iii) a warrant to purchase 300,000 shares of Common Stock for a price of $3.80 per share.

F1 · derivative.expiration_date: On December 15, 2024, Nanosha (as defined in footnote 2) entered into an exchange subscription agreement with CalEthos, Inc. (the "Issuer") pursuant to which the Issuer issued to Nanosha (i) 500,000 shares of common stock, par value $0.001 per share (the "Common Stock"), and (ii) a five-year warrant to acquire 2,258,877 shares of Common Stock with an exercise price of $2.00 per share in exchange for (i) a promissory note of the Issuer, (ii) a warrant to purchase 300,000 shares of Common Stock for a price of $3.50 per share, and (iii) a warrant to purchase 300,000 shares of Common Stock for a price of $3.80 per share.

F2 · ownership.nature: The reported securities are owned by Nanosha Investments LLC ("Nanosha"), a company of which the reporting person is the principal member. The reporting person disclaims beneficial ownership of these securities, except to the extent of his pecuniary interest therein.

SEC source: 0001493152-24-050491 · ownership.xml · derivative · entry 2

FONTENOT SEAN PAUL · CIK 0001892498 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 2,258,877

Underlying: Common Stock · 2,258,877 shares

Expires 2029-12-15

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

F1 · kind: On December 15, 2024, Nanosha (as defined in footnote 2) entered into an exchange subscription agreement with CalEthos, Inc. (the "Issuer") pursuant to which the Issuer issued to Nanosha (i) 500,000 shares of common stock, par value $0.001 per share (the "Common Stock"), and (ii) a five-year warrant to acquire 2,258,877 shares of Common Stock with an exercise price of $2.00 per share in exchange for (i) a promissory note of the Issuer, (ii) a warrant to purchase 300,000 shares of Common Stock for a price of $3.50 per share, and (iii) a warrant to purchase 300,000 shares of Common Stock for a price of $3.80 per share.

F1 · price: On December 15, 2024, Nanosha (as defined in footnote 2) entered into an exchange subscription agreement with CalEthos, Inc. (the "Issuer") pursuant to which the Issuer issued to Nanosha (i) 500,000 shares of common stock, par value $0.001 per share (the "Common Stock"), and (ii) a five-year warrant to acquire 2,258,877 shares of Common Stock with an exercise price of $2.00 per share in exchange for (i) a promissory note of the Issuer, (ii) a warrant to purchase 300,000 shares of Common Stock for a price of $3.50 per share, and (iii) a warrant to purchase 300,000 shares of Common Stock for a price of $3.80 per share.

F2 · ownership.nature: The reported securities are owned by Nanosha Investments LLC ("Nanosha"), a company of which the reporting person is the principal member. The reporting person disclaims beneficial ownership of these securities, except to the extent of his pecuniary interest therein.

SEC source: 0001493152-24-050491 · ownership.xml · nonDerivative · entry 1

FONTENOT SEAN PAUL · CIK 0001892498 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 9,076,438

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

F1 · kind: On December 15, 2024, Nanosha (as defined in footnote 2) entered into an exchange subscription agreement with CalEthos, Inc. (the "Issuer") pursuant to which the Issuer issued to Nanosha (i) 500,000 shares of common stock, par value $0.001 per share (the "Common Stock"), and (ii) a five-year warrant to acquire 2,258,877 shares of Common Stock with an exercise price of $2.00 per share in exchange for (i) a promissory note of the Issuer, (ii) a warrant to purchase 300,000 shares of Common Stock for a price of $3.50 per share, and (iii) a warrant to purchase 300,000 shares of Common Stock for a price of $3.80 per share.

F1 · price: On December 15, 2024, Nanosha (as defined in footnote 2) entered into an exchange subscription agreement with CalEthos, Inc. (the "Issuer") pursuant to which the Issuer issued to Nanosha (i) 500,000 shares of common stock, par value $0.001 per share (the "Common Stock"), and (ii) a five-year warrant to acquire 2,258,877 shares of Common Stock with an exercise price of $2.00 per share in exchange for (i) a promissory note of the Issuer, (ii) a warrant to purchase 300,000 shares of Common Stock for a price of $3.50 per share, and (iii) a warrant to purchase 300,000 shares of Common Stock for a price of $3.80 per share.

F2 · ownership.nature: The reported securities are owned by Nanosha Investments LLC ("Nanosha"), a company of which the reporting person is the principal member. The reporting person disclaims beneficial ownership of these securities, except to the extent of his pecuniary interest therein.

SEC source: 0001493152-24-042073 · ownership.xml · nonDerivative · entry 1

Campbell Michael · CIK 0001476255 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 8,854,199

F1 · ownership.nature: The reported securities are owned by M1 Advisors LLC, a company of which the reporting person is a principal member. The reporting person disclaims beneficial ownership of these securities, except to the extent of his pecuniary interests.

SEC source: 0001493152-26-014750 · ownership.xml · derivative · entry 5

FONTENOT SEAN PAUL · CIK 0001892498 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 200,000 shares

Expires 2029-02-12

F1 · kind: This amended Form 4 is being filed to correct errors from the initial Form 4 filing for the reporting beneficial person's ownership of securities of CalEthos, Inc. (the "Issuer"). On September 7, 2024, the reporting person entered into an acquisition agreement with SFO IDF LLC ("SFO") pursuant to which the reporting person transferred his entire beneficial ownership of the securities of the Issuer to SFO. Such transfers were made without consideration for estate planning purposes.

F1 · price: This amended Form 4 is being filed to correct errors from the initial Form 4 filing for the reporting beneficial person's ownership of securities of CalEthos, Inc. (the "Issuer"). On September 7, 2024, the reporting person entered into an acquisition agreement with SFO IDF LLC ("SFO") pursuant to which the reporting person transferred his entire beneficial ownership of the securities of the Issuer to SFO. Such transfers were made without consideration for estate planning purposes.

F2 · ownership.nature: The reported securities were owned by Nanosha Investments LLC, a company of which the reporting person is the principal member. The reporting person disclaims beneficial ownership of these securities, except to the extent of his pecuniary interest therein.

SEC source: 0001493152-26-014750 · ownership.xml · derivative · entry 4

FONTENOT SEAN PAUL · CIK 0001892498 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 750,000 shares

Expires 2028-11-28

F1 · kind: This amended Form 4 is being filed to correct errors from the initial Form 4 filing for the reporting beneficial person's ownership of securities of CalEthos, Inc. (the "Issuer"). On September 7, 2024, the reporting person entered into an acquisition agreement with SFO IDF LLC ("SFO") pursuant to which the reporting person transferred his entire beneficial ownership of the securities of the Issuer to SFO. Such transfers were made without consideration for estate planning purposes.

F1 · price: This amended Form 4 is being filed to correct errors from the initial Form 4 filing for the reporting beneficial person's ownership of securities of CalEthos, Inc. (the "Issuer"). On September 7, 2024, the reporting person entered into an acquisition agreement with SFO IDF LLC ("SFO") pursuant to which the reporting person transferred his entire beneficial ownership of the securities of the Issuer to SFO. Such transfers were made without consideration for estate planning purposes.

SEC source: 0001493152-26-014750 · ownership.xml · derivative · entry 3

FONTENOT SEAN PAUL · CIK 0001892498 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 2,000,000 shares

Expires 2028-12-31

F1 · kind: This amended Form 4 is being filed to correct errors from the initial Form 4 filing for the reporting beneficial person's ownership of securities of CalEthos, Inc. (the "Issuer"). On September 7, 2024, the reporting person entered into an acquisition agreement with SFO IDF LLC ("SFO") pursuant to which the reporting person transferred his entire beneficial ownership of the securities of the Issuer to SFO. Such transfers were made without consideration for estate planning purposes.

F1 · price: This amended Form 4 is being filed to correct errors from the initial Form 4 filing for the reporting beneficial person's ownership of securities of CalEthos, Inc. (the "Issuer"). On September 7, 2024, the reporting person entered into an acquisition agreement with SFO IDF LLC ("SFO") pursuant to which the reporting person transferred his entire beneficial ownership of the securities of the Issuer to SFO. Such transfers were made without consideration for estate planning purposes.

F2 · ownership.nature: The reported securities were owned by Nanosha Investments LLC, a company of which the reporting person is the principal member. The reporting person disclaims beneficial ownership of these securities, except to the extent of his pecuniary interest therein.

SEC source: 0001493152-26-014750 · ownership.xml · derivative · entry 2

FONTENOT SEAN PAUL · CIK 0001892498 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 2,258,877 shares

Expires 2029-12-15

F1 · kind: This amended Form 4 is being filed to correct errors from the initial Form 4 filing for the reporting beneficial person's ownership of securities of CalEthos, Inc. (the "Issuer"). On September 7, 2024, the reporting person entered into an acquisition agreement with SFO IDF LLC ("SFO") pursuant to which the reporting person transferred his entire beneficial ownership of the securities of the Issuer to SFO. Such transfers were made without consideration for estate planning purposes.

F1 · price: This amended Form 4 is being filed to correct errors from the initial Form 4 filing for the reporting beneficial person's ownership of securities of CalEthos, Inc. (the "Issuer"). On September 7, 2024, the reporting person entered into an acquisition agreement with SFO IDF LLC ("SFO") pursuant to which the reporting person transferred his entire beneficial ownership of the securities of the Issuer to SFO. Such transfers were made without consideration for estate planning purposes.

F2 · ownership.nature: The reported securities were owned by Nanosha Investments LLC, a company of which the reporting person is the principal member. The reporting person disclaims beneficial ownership of these securities, except to the extent of his pecuniary interest therein.

SEC source: 0001493152-26-014750 · ownership.xml · nonDerivative · entry 1

FONTENOT SEAN PAUL · CIK 0001892498 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 0

F1 · kind: This amended Form 4 is being filed to correct errors from the initial Form 4 filing for the reporting beneficial person's ownership of securities of CalEthos, Inc. (the "Issuer"). On September 7, 2024, the reporting person entered into an acquisition agreement with SFO IDF LLC ("SFO") pursuant to which the reporting person transferred his entire beneficial ownership of the securities of the Issuer to SFO. Such transfers were made without consideration for estate planning purposes.

F1 · price: This amended Form 4 is being filed to correct errors from the initial Form 4 filing for the reporting beneficial person's ownership of securities of CalEthos, Inc. (the "Issuer"). On September 7, 2024, the reporting person entered into an acquisition agreement with SFO IDF LLC ("SFO") pursuant to which the reporting person transferred his entire beneficial ownership of the securities of the Issuer to SFO. Such transfers were made without consideration for estate planning purposes.

F2 · ownership.nature: The reported securities were owned by Nanosha Investments LLC, a company of which the reporting person is the principal member. The reporting person disclaims beneficial ownership of these securities, except to the extent of his pecuniary interest therein.

SEC source: 0001493152-24-006786 · ownership.xml · derivative · entry 4

FONTENOT SEAN PAUL · CIK 0001892498 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 200,000

Underlying: Common Stock · 200,000 shares

Expires 2029-02-12

F1 · ownership.nature: The reported securities are owned by Nanosha Investments LLC, a company of which the reporting person is the principal member. The reporting person disclaims beneficial ownership of these securities, except to the extent of his pecuniary interest therein.

SEC source: 0001493152-24-000268 · ownership.xml · nonDerivative · entry 1

FONTENOT SEAN PAUL · CIK 0001892498 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 8,576,438

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 · shares: The shares of common stock were received in consideration for the exchange of the outstanding 10% OID Convertible Promissory Note of CalEthos, Inc. (the "Issuer") and the Series A Warrants of the Issuer described in Table II. The Issuer and the reporting person valued those securities in the aggregate at $4,288,219, which resulted in a price per share of $0.50.

F2 · price: These shares were issued in exchange for the 10% OID Convertible Promissory Note and the Series A Stock Purchase Warrant listed in Table II.

F3 · ownership.nature: The reported securities are owned by Nanosha Investments LLC, a company of which the reporting person is the principal member. The reporting person disclaims beneficial ownership of these securities, except to the extent of his pecuniary interest therein.

SEC source: 0001493152-24-000269 · ownership.xml · nonDerivative · entry 1

Shum Steve · CIK 0001578898 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 200,665

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: These shares were issued to the reporting person by CalEthos, Inc. (the "Issuer") in exchange for a promissory note that was previously issued by the Issuer to the reporting person. Such note was not convertible into securities of the Issuer.

F1 · shares: These shares were issued to the reporting person by CalEthos, Inc. (the "Issuer") in exchange for a promissory note that was previously issued by the Issuer to the reporting person. Such note was not convertible into securities of the Issuer.

F2 · ownership.nature: The reported securities are owned by Core Fund Management LLC, a limited liability company of which the reporting person is the principal member. The reporting person disclaims beneficial ownership of these securities, except to the extent of his pecuniary interest therein. Of the shares reported herein, 196,010 are owned indirectly through the entity.

SEC source: 0001493152-24-000268 · ownership.xml · derivative · entry 3

FONTENOT SEAN PAUL · CIK 0001892498 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 1,540,000 shares

Expires 2024-08-31

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.

F4 · price: The 10% OID Convertible Promissory Note and the Series A Stock Purchase Warrants were exchanged for the shares of common stock listed in Table I.

F3 · ownership.nature: The reported securities are owned by Nanosha Investments LLC, a company of which the reporting person is the principal member. The reporting person disclaims beneficial ownership of these securities, except to the extent of his pecuniary interest therein.

SEC source: 0001493152-24-000268 · ownership.xml · derivative · entry 2

FONTENOT SEAN PAUL · CIK 0001892498 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 3,080,000 shares

Expires 2022-08-31

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.

F4 · price: The 10% OID Convertible Promissory Note and the Series A Stock Purchase Warrants were exchanged for the shares of common stock listed in Table I.

F3 · ownership.nature: The reported securities are owned by Nanosha Investments LLC, a company of which the reporting person is the principal member. The reporting person disclaims beneficial ownership of these securities, except to the extent of his pecuniary interest therein.

SEC source: 0001493152-24-000268 · ownership.xml · derivative · entry 5

FONTENOT SEAN PAUL · CIK 0001892498 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,750,000

Underlying: Common Stock · 750,000 shares

Expires 2028-11-28

SEC source: 0001493152-24-000268 · ownership.xml · derivative · entry 4

FONTENOT SEAN PAUL · CIK 0001892498 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 2,000,000

Underlying: Common Stock · 2,000,000 shares

Expires 2028-12-31

F3 · ownership.nature: The reported securities are owned by Nanosha Investments LLC, a company of which the reporting person is the principal member. The reporting person disclaims beneficial ownership of these securities, except to the extent of his pecuniary interest therein.

SEC source: 0001493152-24-000267 · ownership.xml · derivative · entry 4

Campbell Michael · CIK 0001476255 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,045,801

Underlying: Common Stock · 500,000 shares

Expires 2028-11-28

F3 · security: The options reported herein were granted to the reporting person by the Board of Directors of the Issuer pursuant to the Issuer's 2021 Equity Incentive Plan.

SEC source: 0001493152-24-000267 · ownership.xml · derivative · entry 3

Campbell Michael · CIK 0001476255 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,545,801

Underlying: Common Stock · 1,000,000 shares

Expires 2028-11-28

F2 · security: The options reported herein were granted to the reporting person by the Board of Directors of CalEthos, Inc. (the "Issuer") pursuant to the Issuer's 2021 Equity Incentive Plan. These options vest in three equal installments, beginning on the first anniversary of the date of grant, and terminating on the third anniversary of the date of grant.

F2 · derivative.exercise_date: The options reported herein were granted to the reporting person by the Board of Directors of CalEthos, Inc. (the "Issuer") pursuant to the Issuer's 2021 Equity Incentive Plan. These options vest in three equal installments, beginning on the first anniversary of the date of grant, and terminating on the third anniversary of the date of grant.

SEC source: 0001493152-24-000267 · ownership.xml · derivative · entry 2

Campbell Michael · CIK 0001476255 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 3,545,801

Underlying: Common Stock · 2,045,801 shares

Expires 2028-12-31

F1 · ownership.nature: The reported securities are owned by M1 Advisors LLC, a company of which the reporting person is a principal member. The reporting person disclaims beneficial ownership of these securities, except to the extent of his pecuniary interests.

SEC source: 0001493152-24-000269 · ownership.xml · derivative · entry 2

Shum Steve · CIK 0001578898 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 404,000

Underlying: Common Stock · 404,000 shares

Expires 2028-11-28

SEC source: 0001493152-21-027815 · ownership.xml · derivative · entry 1

Campbell Michael · CIK 0001476255 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 1,500,000

Underlying: Common Stock · 1,500,000 shares

Expires not disclosed

F1 · derivative.exercise_date: 50% of the Restricted Shares shall vest upon the achievement of certain Company milestones, and the remaining 50% of the Restricted Shares shall vest upon the sooner of (i) the achievement of certain additional Company milestones, or (ii) six months after the completion of the milestones that the vesting of the initial 50% are based on. Details regarding the vesting of the Restricted shares are more fully described in the RestrictedShare Award agreement, which was filed as Exhibit 4.3 to the Company's Form 8-K filed on August 17, 2021

F2 · derivative.expiration_date: The Restricted Shares shall be cancelled upon the termination of M1 Advisors LLC consulting relationship with the Company for Cause, or if M1 Advisors LLC voluntarily terminates its consulting relationship with the Company or such relationship is terminated due to disability or death prior to the vesting of all or any portion of the Restricted Shares awarded under the Restricted Share Award Agreement.

F3 · ownership.nature: The reported securities are owned by M1 Advisors LLC, a company of which the reporting person is a principal member. The reporting person disclaims beneficial ownership of these securities, expect to the extent of his pecuniary interest therein.

SEC source: 0001493152-19-006034 · ownership.xml · nonDerivative · entry 1

Campbell Michael · CIK 0001476255 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,954,199

SEC source: 0001493152-19-006031 · ownership.xml · nonDerivative · entry 1

Cooper Piers · CIK 0001753027 · Director · President · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,753,467

SEC source: 0001493152-19-006034 · ownership.xml · derivative · entry 3

Campbell Michael · CIK 0001476255 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 9,320,414 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.

F3 · derivative.exercise_price: The Series A Preferred Stock was automatically converted into shares of Common Stock on a one-for-one basis on the business day immediately following effectiveness of an amendment to the Issuer's articles of incorporation to increase the number of shares of Common Stock that the Issuer is authorized to issue to 100,000,000 shares.

F3 · price: The Series A Preferred Stock was automatically converted into shares of Common Stock on a one-for-one basis on the business day immediately following effectiveness of an amendment to the Issuer's articles of incorporation to increase the number of shares of Common Stock that the Issuer is authorized to issue to 100,000,000 shares.

F3 · derivative.exercise_date: The Series A Preferred Stock was automatically converted into shares of Common Stock on a one-for-one basis on the business day immediately following effectiveness of an amendment to the Issuer's articles of incorporation to increase the number of shares of Common Stock that the Issuer is authorized to issue to 100,000,000 shares.

F3 · derivative.expiration_date: The Series A Preferred Stock was automatically converted into shares of Common Stock on a one-for-one basis on the business day immediately following effectiveness of an amendment to the Issuer's articles of incorporation to increase the number of shares of Common Stock that the Issuer is authorized to issue to 100,000,000 shares.

SEC source: 0001493152-19-006031 · ownership.xml · derivative · entry 2

Cooper Piers · CIK 0001753027 · Director · President · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 4,674,330 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: The Series A Preferred Stock was automatically converted into shares of Common Stock on a one-for-one basis on the business day immediately following effectiveness of an amendment to the Issuer's articles of incorporation to increase the number of shares of Common Stock that the Issuer is authorized to issue to 100,000,000 shares.

F1 · price: The Series A Preferred Stock was automatically converted into shares of Common Stock on a one-for-one basis on the business day immediately following effectiveness of an amendment to the Issuer's articles of incorporation to increase the number of shares of Common Stock that the Issuer is authorized to issue to 100,000,000 shares.

F1 · derivative.exercise_date: The Series A Preferred Stock was automatically converted into shares of Common Stock on a one-for-one basis on the business day immediately following effectiveness of an amendment to the Issuer's articles of incorporation to increase the number of shares of Common Stock that the Issuer is authorized to issue to 100,000,000 shares.

F1 · derivative.expiration_date: The Series A Preferred Stock was automatically converted into shares of Common Stock on a one-for-one basis on the business day immediately following effectiveness of an amendment to the Issuer's articles of incorporation to increase the number of shares of Common Stock that the Issuer is authorized to issue to 100,000,000 shares.

F1 · ownership.direct: The Series A Preferred Stock was automatically converted into shares of Common Stock on a one-for-one basis on the business day immediately following effectiveness of an amendment to the Issuer's articles of incorporation to increase the number of shares of Common Stock that the Issuer is authorized to issue to 100,000,000 shares.

SEC source: 0001493152-18-013902 · ownership.xml · derivative · entry 1

M1 Advisors LLC · CIK 0001753043 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,815,414

Underlying: Common Stock · 505,000 shares

Expires not disclosed

F1 · derivative.exercise_price: The Series A Preferred Stock is automatically convertible into shares of Common Stock on a one-for-one basis on the business day immediately following effectiveness of an amendment to the Issuer's articles of incorporation to increase the number of shares of Common Stock that the Issuer is authorized to issue to 100,000,000 shares.

F2 · price: The shares of Series A Preferred Stock were transferred to an affiliate of M1 Advisors LLC in consideration for, and in settlement of, a loan in the principal amount of $270,000.

F1 · derivative.exercise_date: The Series A Preferred Stock is automatically convertible into shares of Common Stock on a one-for-one basis on the business day immediately following effectiveness of an amendment to the Issuer's articles of incorporation to increase the number of shares of Common Stock that the Issuer is authorized to issue to 100,000,000 shares.

F1 · derivative.expiration_date: The Series A Preferred Stock is automatically convertible into shares of Common Stock on a one-for-one basis on the business day immediately following effectiveness of an amendment to the Issuer's articles of incorporation to increase the number of shares of Common Stock that the Issuer is authorized to issue to 100,000,000 shares.

SEC source: 0001493152-19-006034 · ownership.xml · derivative · entry 2

Campbell Michael · CIK 0001476255 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,320,414

Underlying: Common Stock · 505,000 shares

Expires not disclosed

F1 · derivative.exercise_price: The Series A Preferred Stock is automatically convertible into shares of Common Stock on a one-for-one basis on the business day immediately following effectiveness of an amendment to the Issuer's articles of incorporation to increase the number of shares of Common Stock that the Issuer is authorized to issue to 100,000,000 shares.

F2 · kind: The original Form 4, filed on September 28, 2018, is being amended by this Form 4 amendment solely to correct an administrative error, which misreported a sale and transfer to an affiliate of M1 Advisors LLC in consideration for, and in settlement of, a loan in the principal amount of $270,000 that occurred on September 24, 2018 as a total of 505,000 shares sold when in fact 0 shares were sold. As a result of this administrative error, the number of Series A Preferred Stock beneficially owned by the reporting person following the corrected transaction is 9,320,414 shares.

F1 · price: The Series A Preferred Stock is automatically convertible into shares of Common Stock on a one-for-one basis on the business day immediately following effectiveness of an amendment to the Issuer's articles of incorporation to increase the number of shares of Common Stock that the Issuer is authorized to issue to 100,000,000 shares.

F1 · derivative.exercise_date: The Series A Preferred Stock is automatically convertible into shares of Common Stock on a one-for-one basis on the business day immediately following effectiveness of an amendment to the Issuer's articles of incorporation to increase the number of shares of Common Stock that the Issuer is authorized to issue to 100,000,000 shares.

F1 · derivative.expiration_date: The Series A Preferred Stock is automatically convertible into shares of Common Stock on a one-for-one basis on the business day immediately following effectiveness of an amendment to the Issuer's articles of incorporation to increase the number of shares of Common Stock that the Issuer is authorized to issue to 100,000,000 shares.