GUER

SEC source: 0001437749-24-019634 · rdgdoc.xml · derivative · entry 2

Barkal Susan Berish · CIK 0001454884 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents the contingent right to receive one share of common stock upon vesting of the unit.

F2 · derivative.exercise_date: The restricted stock units vest 100% on the earliest of (i) June 5, 2025, subject to the recipient's continued service as a Board member of the Company, (ii) the recipient's death, or (iii) the recipient's disability.

F3 · derivative.expiration_date: No expiration date.

SEC source: 0001437749-24-019633 · rdgdoc.xml · derivative · entry 3

Dunn James E. Jr. · CIK 0001891907 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents the contingent right to receive one share of common stock upon vesting of the unit.

F2 · derivative.exercise_date: The restricted stock units vest 100% on the earliest of (i) June 5, 2025, subject to the recipient's continued service as a Board member of the Company, (ii) the recipient's death, or (iii) the recipient's disability.

F3 · derivative.expiration_date: No expiration date.

SEC source: 0001437749-24-019631 · rdgdoc.xml · derivative · entry 3

PRATT WILLIAM J · CIK 0001223928 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents the contingent right to receive one share of common stock upon vesting of the unit.

F2 · derivative.exercise_date: The restricted stock units vest 100% on the earliest of (i) June 5, 2025, subject to the recipient's continued service as a Board member of the Company, (ii) the recipient's death, or (iii) the recipient's disability.

F3 · derivative.expiration_date: No expiration date.

SEC source: 0001437749-24-019628 · rdgdoc.xml · derivative · entry 2

SMITH GARY L /NC/ · CIK 0001030151 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents the contingent right to receive one share of common stock upon vesting of the unit.

F2 · derivative.exercise_date: The restricted stock units vest 100% on the earliest of (i) June 5, 2025, subject to the recipient's continued service as a Board member of the Company, (ii) the recipient's death, or (iii) the recipient's disability.

F3 · derivative.expiration_date: No expiration date.

SEC source: 0001437749-24-019627 · rdgdoc.xml · derivative · entry 2

THOMPSON GREGORY J · CIK 0001223532 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents the contingent right to receive one share of common stock upon vesting of the unit.

F2 · derivative.exercise_date: The restricted stock units vest 100% on the earliest of (i) June 5, 2025, subject to the recipient's continued service as a Board member of the Company, (ii) the recipient's death, or (iii) the recipient's disability.

F3 · derivative.expiration_date: No expiration date.

SEC source: 0001437749-24-019625 · rdgdoc.xml · derivative · entry 2

SUMMERELL VIRGINIA R · CIK 0001218084 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents the contingent right to receive one share of common stock upon vesting of the unit.

F2 · derivative.exercise_date: The restricted stock units vest 100% on the earliest of (i) June 5, 2025, subject to the recipient's continued service as a Board member of the Company, (ii) the recipient's death, or (iii) the recipient's disability.

F3 · derivative.expiration_date: No expiration date.

SEC source: 0001437749-24-019621 · rdgdoc.xml · derivative · entry 2

BELL DAVID B · CIK 0001253579 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents the contingent right to receive one share of common stock upon vesting of the unit.

F2 · derivative.exercise_date: The restricted stock units vest 100% on the earliest of (i) June 5, 2025, subject to the recipient's continued service as a Board member of the Company, (ii) the recipient's death, or (iii) the recipient's disability.

F3 · derivative.expiration_date: No expiration date.

SEC source: 0001437749-24-018884 · rdgdoc.xml · nonDerivative · entry 1

Dunn James E. Jr. · CIK 0001891907 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 19,230

SEC source: 0001437749-24-018509 · rdgdoc.xml · nonDerivative · entry 1

Pratt Ryan Michael · CIK 0001891781 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 948,845

SEC source: 0001437749-24-018509 · rdgdoc.xml · nonDerivative · entry 2

Pratt Ryan Michael · CIK 0001891781 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 948,745

F14 · price: The purchase price reported above is the weighted average price. The shares were purchased in multiple transactions at prices ranging from $3.025 to $3.91. The reporting person undertakes to provide Guerrilla RF, Inc., any security holder of Guerrilla RF, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within such range.

SEC source: 0001437749-24-018509 · rdgdoc.xml · nonDerivative · entry 3

Pratt Ryan Michael · CIK 0001891781 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Indirect · Held by Spouse

Disclosed balance after: 791

SEC source: 0001437749-24-017640 · rdgdoc.xml · nonDerivative · entry 2

PRATT WILLIAM J · CIK 0001223928 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · Held by Spouse

Disclosed balance after: 1,166

SEC source: 0001437749-24-010354 · rdgdoc.xml · derivative · entry 2

Bodford Alvin M. · CIK 0001891890 · 10% owner · Beneficial Owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote 1.

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2029-09-28

F2 · shares: AMB Investments purchased 40,000 units (the "Units"), each Unit consisting of one (1) share of the Company's common stock and one (1) warrant to purchase one share of Common Stock. The purchase price of each Unit was $2.50 per Unit.

F2 · price: AMB Investments purchased 40,000 units (the "Units"), each Unit consisting of one (1) share of the Company's common stock and one (1) warrant to purchase one share of Common Stock. The purchase price of each Unit was $2.50 per Unit.

F1 · ownership.nature: The Alvin M. Bodford Revocable Trust is the sole member of AMB Investments. The Reporting Person is a Manager of AMB Investments, and the beneficiary of the Trust.

SEC source: 0001437749-24-010354 · rdgdoc.xml · nonDerivative · entry 1

Bodford Alvin M. · CIK 0001891890 · 10% owner · Beneficial Owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote 2.

Disclosed balance after: 1,870,905

F2 · price: AMB Investments purchased 40,000 units (the "Units"), each Unit consisting of one (1) share of the Company's common stock and one (1) warrant to purchase one share of Common Stock. The purchase price of each Unit was $2.50 per Unit.

F3 · balance_after: Includes 500,000 shares of common stock owned by Salem Investment Partners V, Limited Partnership, in which the Reprting Person has a pecuniary interest.

F1 · ownership.nature: The Alvin M. Bodford Revocable Trust is the sole member of AMB Investments. The Reporting Person is a Manager of AMB Investments, and the beneficiary of the Trust.

SEC source: 0001437749-24-010348 · rdgdoc.xml · derivative · entry 17

Pratt Ryan Michael · CIK 0001891781 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 33,822

Underlying: Common Stock · 33,822 shares

Expires 2029-09-28

F14 · shares: In connection with the conversion of existing debt, the reporting person purchased 33,822 units (the "Units"), each Unit consisting of one (1) share of the Company's common stock and one (1) warrant to purchase one share of Common Stock. The purchase price of each Unit was $2.50 per Unit.

F14 · price: In connection with the conversion of existing debt, the reporting person purchased 33,822 units (the "Units"), each Unit consisting of one (1) share of the Company's common stock and one (1) warrant to purchase one share of Common Stock. The purchase price of each Unit was $2.50 per Unit.

SEC source: 0001437749-24-010348 · rdgdoc.xml · nonDerivative · entry 1

Pratt Ryan Michael · CIK 0001891781 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 947,844

SEC source: 0001437749-24-010351 · rdgdoc.xml · derivative · entry 3

SALEM INVESTMENT PARTNERS V, LIMITED PARTNERSHIP · CIK 0001832887 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 261,723

Underlying: Common Stock · 261,723 shares

Expires 2029-09-28

SEC source: 0001437749-24-010351 · rdgdoc.xml · nonDerivative · entry 1

SALEM INVESTMENT PARTNERS V, LIMITED PARTNERSHIP · CIK 0001832887 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 695,378

F1 · price: In connection with the conversion of existing debt, the reporting person purchased 261,723 units (the "Units"), each Unit consisting of one (1) share of the Company's common stock and one (1) warrant to purchase one share of Common Stock. The purchase price of each Unit was $2.50 per Unit.

F2 · balance_after: Excludes 760,000 shares of common stock held by the Reporting Person, in which the Reporting Person has no pecuniary interest.

SEC source: 0001437749-24-010342 · rdgdoc.xml · derivative · entry 8

PRATT WILLIAM J · CIK 0001223928 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 21,139

Underlying: Common Stock · 21,139 shares

Expires 2029-09-28

F5 · shares: In connection with the conversion of existing debt, the reporting person purchased 21,139 units (the "Units"), each Unit consisting of one (1) share of the Company's common stock and one (1) warrant to purchase one share of Common Stock. The purchase price of each Unit was $2.50 per Unit.

F5 · price: In connection with the conversion of existing debt, the reporting person purchased 21,139 units (the "Units"), each Unit consisting of one (1) share of the Company's common stock and one (1) warrant to purchase one share of Common Stock. The purchase price of each Unit was $2.50 per Unit.

SEC source: 0001437749-24-010342 · rdgdoc.xml · nonDerivative · entry 1

PRATT WILLIAM J · CIK 0001223928 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 125,378

F5 · price: In connection with the conversion of existing debt, the reporting person purchased 21,139 units (the "Units"), each Unit consisting of one (1) share of the Company's common stock and one (1) warrant to purchase one share of Common Stock. The purchase price of each Unit was $2.50 per Unit.

SEC source: 0001437749-24-002815 · rdgdoc.xml · derivative · entry 16

Pratt Ryan Michael · CIK 0001891781 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 35,377

Underlying: Common Stock · 35,377 shares

Expires not disclosed

F4 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of common stock upon vesting of the unit.

F13 · price: The restricted stock units vest as follows: (i) 11,792 on 1/1/2025; (ii) 11,792 on 1/1/2026; and (iii) 11,793 on 1/1/2027, in each case subject to the Reporting Person's continued service through the applicable vesting date.

F13 · derivative.exercise_date: The restricted stock units vest as follows: (i) 11,792 on 1/1/2025; (ii) 11,792 on 1/1/2026; and (iii) 11,793 on 1/1/2027, in each case subject to the Reporting Person's continued service through the applicable vesting date.

F10 · derivative.expiration_date: No expiration date.

SEC source: 0001437749-24-002813 · rdgdoc.xml · derivative · entry 7

Mason Mark Alan · CIK 0001892393 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 17,689

Underlying: Common Stock · 17,689 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents the contingent right to receive one share of common stock upon vesting of the unit.

F7 · derivative.exercise_date: The restricted stock units vest as follows: (i) 5,896 on 1/1/2025; (ii) 5,896 on 1/1/2026; and (iii) 5,897 on 1/1/2027, in each case subject to the Reporting Person's continued service through the applicable vesting date

F6 · derivative.expiration_date: No expiration date.

SEC source: 0001437749-24-002811 · rdgdoc.xml · derivative · entry 5

Chong Kellie Hyon-Ok · CIK 0001909330 · Chief Business Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 17,689

Underlying: Common Stock · 17,689 shares

Expires not disclosed

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

F6 · derivative.exercise_date: The restricted stock units vest as follows: (i) 5,896 on 1/1/2025; (ii) 5,896 on 1/1/2026; and (iii) 5,897 on 1/1/2027, in each case subject to the Reporting Person's continued service through the applicable vesting date

F4 · derivative.expiration_date: No expiration date.

SEC source: 0001437749-24-002809 · rdgdoc.xml · derivative · entry 9

Berg John Alen · CIK 0001892804 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 17,689

Underlying: Common Stock · 17,689 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents the contingent right to receive one share of common stock upon vesting of the unit.

F7 · derivative.exercise_date: The restricted stock units vest as follows: (i) 5,896 on 1/1/2025; (ii) 5,896 on 1/1/2026; and (iii) 5,897 on 1/1/2027, in each case subject to the Reporting Person's continued service through the applicable vesting date.

F6 · derivative.expiration_date: No expiration date.

SEC source: 0001437749-24-010348 · rdgdoc.xml · derivative · entry 16

Pratt Ryan Michael · CIK 0001891781 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 35,377

Underlying: Common Stock · 35,377 shares

Expires not disclosed

F4 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of common stock upon vesting of the unit.

F13 · price: The restricted stock units vest as follows: (i) 11,792 on 1/1/2025; (ii) 11,792 on 1/1/2026; and (iii) 11,793 on 1/1/2027, in each case subject to the Reporting Person's continued service through the applicable vesting date.

F13 · derivative.exercise_date: The restricted stock units vest as follows: (i) 11,792 on 1/1/2025; (ii) 11,792 on 1/1/2026; and (iii) 11,793 on 1/1/2027, in each case subject to the Reporting Person's continued service through the applicable vesting date.

F10 · derivative.expiration_date: No expiration date.

SEC source: 0001437749-23-025470 · rdgdoc.xml · nonDerivative · entry 1

Bodford Alvin M. · CIK 0001891890 · 10% owner · Beneficial Owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote 2.

Disclosed balance after: 1,830,905

F1 · price: On September 5, 2023, Guerrilla RF, Inc. (the "Company") entered into an amended and restated loan agreement with Salem Investment Partners V, Limited Partnership ("Salem") in order to provide for additional advances of up to $4.0 million to be made to the Company (the "New Loan Facility"). The Company agreed to issue 660,000 shares of common stock to Salem as partial consideration for the New Loan Facility. AMB Investments LLC ("AMB Investments") owns a 47% participation interest in the New Loan Facility, giving it a pecuniary interest in 311,321 shares of Company common stock.

F2 · ownership.nature: The Alvin M. Bodford Revocable Trust is the sole member of AMB Investments. The Reporting Person is a Manager of AMB Investments, and the beneficiary of the Trust.

SEC source: 0001437749-23-024745 · rdgdoc.xml · derivative · entry 15

Pratt Ryan Michael · CIK 0001891781 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · Held by Spouse

Disclosed balance after: 2,500

Underlying: Common Stock · 2,500 shares

Expires not disclosed

F4 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of common stock upon vesting of the unit.

F12 · price: The restricted stock units vest as follows: (i) 833 on 8/21/2024; (ii) 833 on 8/21/2025; and (iii) 834 on 8/21/2026, in each case subject to the Reporting Person's continued service through the applicable vesting date.

F12 · derivative.exercise_date: The restricted stock units vest as follows: (i) 833 on 8/21/2024; (ii) 833 on 8/21/2025; and (iii) 834 on 8/21/2026, in each case subject to the Reporting Person's continued service through the applicable vesting date.

F10 · derivative.expiration_date: No expiration date.

SEC source: 0001437749-23-024121 · rdgdoc.xml · nonDerivative · entry 1

Bodford Alvin M. · CIK 0001891890 · 10% owner · Beneficial Owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote 3.

Disclosed balance after: 1,519,584

F1 · price: These shares are held of record by Salem Investment Partners V, Limited Partnership ("Salem") which received 400,000 shares of Guerrilla RF, Inc. (the "Company") common stock in connection with a $1.5 million loan (the "Loan") made to the Company by Salem on August 14, 2023. On August 17, 2023, AMB Investments LLC ("AMB Investments") purchased a 47% participation interest in the Loan, giving it a pecuniary interest in 188,679 shares of Company common stock.

F2 · balance_after: On April 17, 2023, the Company effected a 1-for-6 reverse stock split of its common stock. This Form 4 reflects the beneficial ownership post-stock split.

F3 · ownership.nature: The Alvin M. Bodford Revocable Trust is the sole member of AMB Investments. The Reporting Person is a Manager of AMB Investments, and the beneficiary of the Trust.

SEC source: 0001437749-23-016339 · rdgdoc.xml · nonDerivative · entry 1

Mason Mark Alan · CIK 0001892393 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 225

SEC source: 0001437749-23-016044 · rdgdoc.xml · nonDerivative · entry 1

Pratt Ryan Michael · CIK 0001891781 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · Held by Spouse

Disclosed balance after: 43

SEC source: 0001437749-23-015219 · rdgdoc.xml · nonDerivative · entry 2

SUMMERELL VIRGINIA R · CIK 0001218084 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 200

SEC source: 0001437749-23-015219 · rdgdoc.xml · nonDerivative · entry 1

SUMMERELL VIRGINIA R · CIK 0001218084 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 400

SEC source: 0001437749-23-015198 · rdgdoc.xml · nonDerivative · entry 2

PRATT WILLIAM J · CIK 0001223928 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · Held by Spouse

Disclosed balance after: 383

SEC source: 0001437749-23-015198 · rdgdoc.xml · nonDerivative · entry 1

PRATT WILLIAM J · CIK 0001223928 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · Held by Spouse

Disclosed balance after: 583

SEC source: 0001437749-23-014775 · rdgdoc.xml · nonDerivative · entry 1

PRATT WILLIAM J · CIK 0001223928 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · Held by Spouse

Disclosed balance after: 283

SEC source: 0001437749-24-010339 · rdgdoc.xml · derivative · entry 2

SMITH GARY L /NC/ · CIK 0001030151 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,411

Underlying: Common Stock · 6,411 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents the contingent right to receive one share of common stock upon vesting of the unit.

F2 · derivative.exercise_date: The restricted stock units vest 100% on the earliest of (i) the first anniversary date of the award, subject to the recipient's continued service as a Board member of the Company as of the first anniversary date, (ii) the recipient's death, or (iii) the recipient's disability.

F4 · derivative.expiration_date: No expiration date.

SEC source: 0001437749-24-010336 · rdgdoc.xml · derivative · entry 2

THOMPSON GREGORY J · CIK 0001223532 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,411

Underlying: Common Stock · 6,411 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents the contingent right to receive one share of common stock upon vesting of the unit.

F2 · derivative.exercise_date: The restricted stock units vest 100% on the earliest of (i) the first anniversary date of the award, subject to the recipient's continued service as a Board member of the Company as of the first anniversary date, (ii) the recipient's death, or (iii) the recipient's disability.

F3 · derivative.expiration_date: No expiration date.

SEC source: 0001437749-24-010333 · rdgdoc.xml · derivative · entry 2

SUMMERELL VIRGINIA R · CIK 0001218084 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,411

Underlying: Common Stock · 6,411 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents the contingent right to receive one share of common stock upon vesting of the unit.

F2 · derivative.exercise_date: The restricted stock units vest 100% on the earliest of (i) April 5, 2024, subject to the recipient's continued service as a Board member of the Company, (ii) the recipient's death, or (iii) the recipient's disability.

F3 · derivative.expiration_date: No expiration date.

SEC source: 0001437749-24-010325 · rdgdoc.xml · derivative · entry 3

Dunn James E. Jr. · CIK 0001891907 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,411

Underlying: Common Stock · 6,411 shares

Expires not disclosed

F2 · derivative.exercise_price: Each restricted stock unit represents the contingent right to receive one share of common stock upon vesting of the unit.

F3 · derivative.exercise_date: The restricted stock units vest 100% on the earliest of (i) 04/05/2024, subject to the recipient's continued service as a Board member of the Company, (ii) the recipient's death, or (iii) the recipient's disability.

F4 · derivative.expiration_date: No expiration date.

SEC source: 0001437749-24-010329 · rdgdoc.xml · derivative · entry 2

Barkal Susan Berish · CIK 0001454884 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,411

Underlying: Common Stock · 6,411 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents the contingent right to receive one share of common stock upon vesting of the unit.

F2 · derivative.exercise_date: The restricted stock units vest 100% on the earliest of (i) April 5, 2024, subject to the recipient's continued service as a Board member of the Company, (ii) the recipient's death, or (iii) the recipient's disability.

F3 · derivative.expiration_date: No expiration date.

SEC source: 0001437749-24-010322 · rdgdoc.xml · derivative · entry 2

BELL DAVID B · CIK 0001253579 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,411

Underlying: Common Stock · 6,411 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents the contingent right to receive one share of common stock upon vesting of the unit.

F2 · date: The restricted stock units vest 100% on the earliest of (i) April 5, 2024, subject to the recipient's continued service as a Board member of the Company, (ii) the recipient's death, or (iii) the recipient's disability.

F2 · derivative.exercise_date: The restricted stock units vest 100% on the earliest of (i) April 5, 2024, subject to the recipient's continued service as a Board member of the Company, (ii) the recipient's death, or (iii) the recipient's disability.

F4 · derivative.expiration_date: No expiration date.

SEC source: 0001437749-23-001630 · rdgdoc.xml · derivative · entry 2

Barkal Susan Berish · CIK 0001454884 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires not disclosed

F4 · shares: The reporting person purchased 40,000 units (the "Units"), each Unit consisting of one (1) share of the Company's common stock and one (1) warrant to purchase one-half (0.5) of a share of Common Stock. The purchase price of each Unit was $1.30 per Unit.

F4 · price: The reporting person purchased 40,000 units (the "Units"), each Unit consisting of one (1) share of the Company's common stock and one (1) warrant to purchase one-half (0.5) of a share of Common Stock. The purchase price of each Unit was $1.30 per Unit.

F5 · derivative.exercise_date: Each Warrant is exercisable for a period of five (5) years beginning six (6) months from the date of the final closing of the private placement.

F5 · derivative.expiration_date: Each Warrant is exercisable for a period of five (5) years beginning six (6) months from the date of the final closing of the private placement.

SEC source: 0001437749-23-001630 · rdgdoc.xml · nonDerivative · entry 1

Barkal Susan Berish · CIK 0001454884 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

F4 · price: The reporting person purchased 40,000 units (the "Units"), each Unit consisting of one (1) share of the Company's common stock and one (1) warrant to purchase one-half (0.5) of a share of Common Stock. The purchase price of each Unit was $1.30 per Unit.

SEC source: 0001437749-23-000297 · rdgdoc.xml · derivative · entry 2

Berg John Alen · CIK 0001892804 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,000

Underlying: Common Stock · 75,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents the contingent right to receive one share of common stock upon vesting of the unit.

F2 · derivative.exercise_date: The restricted stock units vest as follows: (i) 25,000 on 1/1/2024; (ii) 25,000 on 1/1/2025; and (iii) 25,000 on 1/1/2026, in each case subject to the Reporting Person's continued service through the applicable vesting date.

F7 · derivative.expiration_date: No expiration date.

SEC source: 0001437749-23-000407 · rdgdoc.xml · derivative · entry 1

Mason Mark Alan · CIK 0001892393 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,000

Underlying: Common Stock · 75,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents the contingent right to receive one share of common stock upon vesting of the unit.

F2 · derivative.exercise_date: The restricted stock units vest as follows: (i) 25,000 on 1/1/2024; (ii) 25,000 on 1/1/2025; and (iii) 25,000 on 1/1/2026, in each case subject to the Reporting Person's continued service through the applicable vesting date.

F7 · derivative.expiration_date: No expiration date.

SEC source: 0001437749-23-000405 · rdgdoc.xml · derivative · entry 2

Chong Kellie Hyon-Ok · CIK 0001909330 · Chief Business Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,000

Underlying: Common Stock · 75,000 shares

Expires not disclosed

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

F3 · derivative.exercise_date: The restricted stock units vest as follows: (i) 25,000 on 1/1/2024; (ii) 25,000 on 1/1/2025; and (iii) 25,000 on 1/1/2026, in each case subject to the Reporting Person's continued service through the applicable vesting date.

F4 · derivative.expiration_date: No expiration date.

SEC source: 0001437749-23-000402 · rdgdoc.xml · derivative · entry 5

Pratt Ryan Michael · CIK 0001891781 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,000

Underlying: Common Stock · 150,000 shares

Expires not disclosed

F4 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of common stock upon vesting of the unit.

F5 · derivative.exercise_date: The restricted stock units vest as follows: (i) 50,000 on 1/1/2024; (ii) 50,000 on 1/1/2025; and (iii) 50,000 on 1/1/2026, in each case subject to the Reporting Person's continued service through the applicable vesting date.

F10 · derivative.expiration_date: No expiration date.

SEC source: 0001437749-23-000302 · rdgdoc.xml · nonDerivative · entry 1

Dunn James E. Jr. · CIK 0001891907 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 10,000

F1 · ownership.nature: Shares held of record by the James E. Dunn, Jr. Restated 1985 Revocable Trust, for the benefit of Reporting Person.

SEC source: 0001437749-23-000297 · rdgdoc.xml · nonDerivative · entry 1

Berg John Alen · CIK 0001892804 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 163,581

SEC source: 0001437749-22-027618 · rdgdoc.xml · derivative · entry 2

Berg John Alen · CIK 0001892804 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,770

Underlying: Common Stock · 15,770 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents the contingent right to receive one share of common stock upon vesting of the unit.

F2 · derivative.exercise_date: The restricted stock units vest as follows: (i) 5,256 on 12/6/2023; (ii) 5,257 on 12/6/2024; and (iii) 5,257 on 12/6/2025, in each case subject to the Reporting Person's continued service through the applicable vesting date.

F7 · derivative.expiration_date: No expiration date.