HGBL

SEC source: 0000950170-25-046743 · ownership.xml · nonDerivative · entry 1

Ludwig David Van · CIK 0001628293 · Director · President of subsidiary

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 1,029,304

F1 · kind: This transaction reflects the sale of shares made pursuant to a previously established 10b5-1 plan

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.60 to $1.62, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (2) to this Form 4.

F3 · balance_after: The original Form 4, filed on November 20, 2024 (the "Original Filing"), is being amended by this Form 4 amendment (the "Amendment") solely to correct an administrative error which underreported the amount of securities beneficially owned by the reporting person following a sale transaction that occurred on November 19, 2024 by less than 1,825 shares. As a result of this administrative error, all Form 4s filed by the reporting person after the Original Filing underreported the amount of securities beneficially owned by the reporting person by 1,825 shares. This Amendment corrects the amount of securities beneficially owned by the reporting person in the Original Filing by increasing the amount by 1,825 shares.

SEC source: 0000950170-24-034288 · ownership.xml · nonDerivative · entry 1

DOVE ROSS · CIK 0001245119 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,302,656

SEC source: 0000950170-24-033903 · ownership.xml · nonDerivative · entry 1

COBB BRIAN J. · CIK 0001854033 · CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 94,913

F1 · shares: Shares withheld by Heritage Global Inc. to satisfy tax withholding on restricted stock

SEC source: 0000950170-24-033899 · ownership.xml · nonDerivative · entry 1

Sklar James Edward · CIK 0001641547 · EVP, Gen Counsel & Secretary

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 283,876

F1 · shares: Shares withheld by Heritage Gloabl Inc. to satisfy tax withholding on restricted stock

SEC source: 0000950170-24-033233 · ownership.xml · nonDerivative · entry 1

Dove Nicholas Kirk · CIK 0001826542 · President, Industrial Assets

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 100,000

SEC source: 0000950170-24-029339 · ownership.xml · nonDerivative · entry 1

Sinsley Barbara A · CIK 0001821535 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 61,300

F1 · shares: These shares are restricted and will vest in full on March 7, 2025.

SEC source: 0000950170-24-029336 · ownership.xml · nonDerivative · entry 1

Hexner Michael · CIK 0001693277 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 232,104

F1 · shares: These shares are restricted and will vest in full on March 7, 2025.

SEC source: 0000950170-24-029333 · ownership.xml · nonDerivative · entry 1

SHIMER SAMUEL L · CIK 0001281105 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 312,500

F1 · shares: These shares are restricted and will vest in full on March 7, 2025.

SEC source: 0000950170-24-029316 · ownership.xml · nonDerivative · entry 1

Sharpe Kelly S · CIK 0001844350 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 55,800

F1 · shares: These shares are restricted and will vest in full on March 7, 2025.

SEC source: 0000950170-24-029311 · ownership.xml · nonDerivative · entry 1

Burnham William L · CIK 0001248150 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 30,000

F1 · shares: These shares are restricted and will vest in full on March 7, 2025.

SEC source: 0000950170-24-029295 · ownership.xml · nonDerivative · entry 1

Sklar James Edward · CIK 0001641547 · EVP, Gen Counsel & Secretary

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 295,706

F1 · shares: These shares are restricted and will vest in full on March 7, 2025.

SEC source: 0000950170-24-029261 · ownership.xml · nonDerivative · entry 1

DOVE ROSS · CIK 0001245119 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,295,359

F1 · shares: These shares are restricted and will vest in full on March 7, 2025.

SEC source: 0000950170-24-029247 · ownership.xml · nonDerivative · entry 1

COBB BRIAN J. · CIK 0001854033 · CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 108,551

F1 · shares: These shares are restricted and will vest in full on March 7, 2025.

SEC source: 0001209191-23-054948 · doc4.xml · nonDerivative · entry 1

Dove Nicholas Kirk · CIK 0001826542 · President, Industrial Assets

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 95,000

SEC source: 0001209191-23-049397 · doc4.xml · nonDerivative · entry 1

SHIMER SAMUEL L · CIK 0001281105 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 297,500

SEC source: 0001209191-23-047169 · doc4.xml · nonDerivative · entry 1

DOVE ROSS · CIK 0001245119 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,218,510

SEC source: 0001209191-23-046299 · doc4.xml · nonDerivative · entry 1

Dove Nicholas Kirk · CIK 0001826542 · President, Industrial Assets

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 90,000

SEC source: 0001209191-23-045969 · doc4.xml · nonDerivative · entry 1

Ludwig David Van · CIK 0001628293 · Director · President of subsidiary

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,039,304

SEC source: 0001209191-23-045562 · doc4.xml · nonDerivative · entry 1

Dove Nicholas Kirk · CIK 0001826542 · President, Industrial Assets

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 86,545

SEC source: 0001209191-23-045837 · doc4.xml · nonDerivative · entry 1

Hexner Michael · CIK 0001693277 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 217,104

SEC source: 0001209191-23-045792 · doc4.xml · nonDerivative · entry 1

DOVE ROSS · CIK 0001245119 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,215,310

SEC source: 0001209191-23-045772 · doc4.xml · derivative · entry 4

SHIMER SAMUEL L · CIK 0001281105 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,500 shares

Expires 2029-03-29

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

F2 · derivative.exercise_date: Options were granted 3/29/2019 and vested 25% annually beginning on the first anniversary of the grant date.

SEC source: 0001209191-23-045772 · doc4.xml · derivative · entry 3

SHIMER SAMUEL L · CIK 0001281105 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,500

Underlying: Common Stock · 2,500 shares

Expires 2030-03-31

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.

F1 · derivative.exercise_date: Options were granted 3/31/2020 and vested 25% annually beginning on the first anniversary of the grant date.

SEC source: 0001209191-23-045772 · doc4.xml · nonDerivative · entry 2

SHIMER SAMUEL L · CIK 0001281105 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 285,000

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.

SEC source: 0001209191-23-045772 · doc4.xml · nonDerivative · entry 1

SHIMER SAMUEL L · CIK 0001281105 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 287,500

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.

SEC source: 0001209191-23-045969 · doc4.xml · nonDerivative · entry 2

Ludwig David Van · CIK 0001628293 · Director · President of subsidiary

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,037,479

SEC source: 0001792549-23-000008 · primary_doc.xml · nonDerivative · entry 3

Topline Capital Management, LLC · CIK 0001792549 · See Explanation in Footnotes

McBirney Collin · CIK 0001792547 · See Explanation in Footnotes

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

10b5-1 filing: No plan indicated

Ownership: Indirect · By Topline Capital Partners, LP

Disclosed balance after: 3,617,885

F1 · ownership.direct: The reporting persons are (i) Topline Capital Management, LLC, an exempt reporting adviser ("TCM"), and (ii) Collin McBirney, TCM's managing member.

F2 · ownership.direct: Each reporting person may be deemed to beneficially own more than 10% of the issuer's outstanding shares of Common Stock. Each reporting person disclaims beneficial ownership of the shares of Common Stock reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any reporting person is the beneficial owner of such shares of Common Stock for purposes of Section 16 or for any other purpose.

F3 · ownership.nature: The shares of Common Stock reported in Table I of this Form 4 are beneficially owned by Topline Capital Partners, LP, a Delaware limited partnership (the "Fund"). As a greater than 10% beneficial owner, the Fund is separately reporting its holdings in the issuer's securities on a Form 4 filed concurrently herewith. Each of TCM, as the investment manager and general partner of the Fund, and Mr. Mc Birney, as managing member of TCM, may be deemed to be the beneficial owner of the shares of common stock beneficially owned by the Fund.

SEC source: 0001754074-23-000007 · primary_doc.xml · nonDerivative · entry 3

Topline Capital Partners, LP · CIK 0001754074 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,617,885

SEC source: 0001792549-23-000008 · primary_doc.xml · nonDerivative · entry 2

Topline Capital Management, LLC · CIK 0001792549 · See Explanation in Footnotes

McBirney Collin · CIK 0001792547 · See Explanation in Footnotes

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

10b5-1 filing: No plan indicated

Ownership: Indirect · By Topline Capital Partners, LP

Disclosed balance after: 3,662,443

F1 · ownership.direct: The reporting persons are (i) Topline Capital Management, LLC, an exempt reporting adviser ("TCM"), and (ii) Collin McBirney, TCM's managing member.

F2 · ownership.direct: Each reporting person may be deemed to beneficially own more than 10% of the issuer's outstanding shares of Common Stock. Each reporting person disclaims beneficial ownership of the shares of Common Stock reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any reporting person is the beneficial owner of such shares of Common Stock for purposes of Section 16 or for any other purpose.

F3 · ownership.nature: The shares of Common Stock reported in Table I of this Form 4 are beneficially owned by Topline Capital Partners, LP, a Delaware limited partnership (the "Fund"). As a greater than 10% beneficial owner, the Fund is separately reporting its holdings in the issuer's securities on a Form 4 filed concurrently herewith. Each of TCM, as the investment manager and general partner of the Fund, and Mr. Mc Birney, as managing member of TCM, may be deemed to be the beneficial owner of the shares of common stock beneficially owned by the Fund.

SEC source: 0001754074-23-000007 · primary_doc.xml · nonDerivative · entry 2

Topline Capital Partners, LP · CIK 0001754074 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,662,443

SEC source: 0001792549-23-000008 · primary_doc.xml · nonDerivative · entry 1

Topline Capital Management, LLC · CIK 0001792549 · See Explanation in Footnotes

McBirney Collin · CIK 0001792547 · See Explanation in Footnotes

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

10b5-1 filing: No plan indicated

Ownership: Indirect · By Topline Capital Partners, LP

Disclosed balance after: 3,718,415

F1 · ownership.direct: The reporting persons are (i) Topline Capital Management, LLC, an exempt reporting adviser ("TCM"), and (ii) Collin McBirney, TCM's managing member.

F2 · ownership.direct: Each reporting person may be deemed to beneficially own more than 10% of the issuer's outstanding shares of Common Stock. Each reporting person disclaims beneficial ownership of the shares of Common Stock reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any reporting person is the beneficial owner of such shares of Common Stock for purposes of Section 16 or for any other purpose.

F3 · ownership.nature: The shares of Common Stock reported in Table I of this Form 4 are beneficially owned by Topline Capital Partners, LP, a Delaware limited partnership (the "Fund"). As a greater than 10% beneficial owner, the Fund is separately reporting its holdings in the issuer's securities on a Form 4 filed concurrently herewith. Each of TCM, as the investment manager and general partner of the Fund, and Mr. Mc Birney, as managing member of TCM, may be deemed to be the beneficial owner of the shares of common stock beneficially owned by the Fund.

SEC source: 0001754074-23-000007 · primary_doc.xml · nonDerivative · entry 1

Topline Capital Partners, LP · CIK 0001754074 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,718,415

SEC source: 0001792549-23-000007 · primary_doc.xml · nonDerivative · entry 3

Topline Capital Management, LLC · CIK 0001792549 · See Explanation in Footnotes

McBirney Collin · CIK 0001792547 · See Explanation in Footnotes

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

10b5-1 filing: No plan indicated

Ownership: Indirect · By Topline Capital Partners, LP

Disclosed balance after: 3,792,577

F1 · ownership.direct: The reporting persons are (i) Topline Capital Management, LLC, an exempt reporting adviser ("TCM"), and (ii) Collin McBirney, TCM's managing member.

F2 · ownership.direct: Each reporting person may be deemed to beneficially own more than 10% of the issuer's outstanding shares of Common Stock. Each reporting person disclaims beneficial ownership of the shares of Common Stock reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any reporting person is the beneficial owner of such shares of Common Stock for purposes of Section 16 or for any other purpose.

F3 · ownership.nature: The shares of Common Stock reported in Table I of this Form 4 are beneficially owned by Topline Capital Partners, LP, a Delaware limited partnership (the "Fund"). As a greater than 10% beneficial owner, the Fund is separately reporting its holdings in the issuer's securities on a Form 4 filed concurrently herewith. Each of TCM, as the investment manager and general partner of the Fund, and Mr. Mc Birney, as managing member of TCM, may be deemed to be the beneficial owner of the shares of common stock beneficially owned by the Fund.

SEC source: 0001754074-23-000006 · primary_doc.xml · nonDerivative · entry 3

Topline Capital Partners, LP · CIK 0001754074 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,792,577

SEC source: 0001792549-23-000007 · primary_doc.xml · nonDerivative · entry 2

Topline Capital Management, LLC · CIK 0001792549 · See Explanation in Footnotes

McBirney Collin · CIK 0001792547 · See Explanation in Footnotes

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

10b5-1 filing: No plan indicated

Ownership: Indirect · By Topline Capital Partners, LP

Disclosed balance after: 3,816,661

F1 · ownership.direct: The reporting persons are (i) Topline Capital Management, LLC, an exempt reporting adviser ("TCM"), and (ii) Collin McBirney, TCM's managing member.

F2 · ownership.direct: Each reporting person may be deemed to beneficially own more than 10% of the issuer's outstanding shares of Common Stock. Each reporting person disclaims beneficial ownership of the shares of Common Stock reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any reporting person is the beneficial owner of such shares of Common Stock for purposes of Section 16 or for any other purpose.

F3 · ownership.nature: The shares of Common Stock reported in Table I of this Form 4 are beneficially owned by Topline Capital Partners, LP, a Delaware limited partnership (the "Fund"). As a greater than 10% beneficial owner, the Fund is separately reporting its holdings in the issuer's securities on a Form 4 filed concurrently herewith. Each of TCM, as the investment manager and general partner of the Fund, and Mr. Mc Birney, as managing member of TCM, may be deemed to be the beneficial owner of the shares of common stock beneficially owned by the Fund.

SEC source: 0001754074-23-000006 · primary_doc.xml · nonDerivative · entry 2

Topline Capital Partners, LP · CIK 0001754074 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,816,661

SEC source: 0001792549-23-000007 · primary_doc.xml · nonDerivative · entry 1

Topline Capital Management, LLC · CIK 0001792549 · See Explanation in Footnotes

McBirney Collin · CIK 0001792547 · See Explanation in Footnotes

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

10b5-1 filing: No plan indicated

Ownership: Indirect · By Topline Capital Partners, LP

Disclosed balance after: 3,825,860

F1 · ownership.direct: The reporting persons are (i) Topline Capital Management, LLC, an exempt reporting adviser ("TCM"), and (ii) Collin McBirney, TCM's managing member.

F2 · ownership.direct: Each reporting person may be deemed to beneficially own more than 10% of the issuer's outstanding shares of Common Stock. Each reporting person disclaims beneficial ownership of the shares of Common Stock reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any reporting person is the beneficial owner of such shares of Common Stock for purposes of Section 16 or for any other purpose.

F3 · ownership.nature: The shares of Common Stock reported in Table I of this Form 4 are beneficially owned by Topline Capital Partners, LP, a Delaware limited partnership (the "Fund"). As a greater than 10% beneficial owner, the Fund is separately reporting its holdings in the issuer's securities on a Form 4 filed concurrently herewith. Each of TCM, as the investment manager and general partner of the Fund, and Mr. Mc Birney, as managing member of TCM, may be deemed to be the beneficial owner of the shares of common stock beneficially owned by the Fund.

SEC source: 0001754074-23-000006 · primary_doc.xml · nonDerivative · entry 1

Topline Capital Partners, LP · CIK 0001754074 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,825,860

SEC source: 0001792549-23-000005 · primary_doc.xml · nonDerivative · entry 2

Topline Capital Management, LLC · CIK 0001792549 · See Explanation in Footnotes

McBirney Collin · CIK 0001792547 · See Explanation in Footnotes

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

10b5-1 filing: No plan indicated

Ownership: Indirect · By Topline Capital Partners, LP

Disclosed balance after: 3,858,526

F1 · ownership.direct: The reporting persons are (i) Topline Capital Management, LLC, an exempt reporting adviser ("TCM"), and (ii) Collin McBirney, TCM's managing member.

F2 · ownership.direct: Each reporting person may be deemed to beneficially own more than 10% of the issuer's outstanding shares of Common Stock. Each reporting person disclaims beneficial ownership of the shares of Common Stock reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any reporting person is the beneficial owner of such shares of Common Stock for purposes of Section 16 or for any other purpose.

F3 · ownership.nature: The shares of Common Stock reported in Table I of this Form 4 are beneficially owned by Topline Capital Partners, LP, a Delaware limited partnership (the "Fund"). As a greater than 10% beneficial owner, the Fund is separately reporting its holdings in the issuer's securities on a Form 4 filed concurrently herewith. Each of TCM, as the investment manager and general partner of the Fund, and Mr. Mc Birney, as managing member of TCM, may be deemed to be the beneficial owner of the shares of common stock beneficially owned by the Fund.

SEC source: 0001754074-23-000004 · primary_doc.xml · nonDerivative · entry 2

Topline Capital Partners, LP · CIK 0001754074 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,858,526

SEC source: 0001792549-23-000005 · primary_doc.xml · nonDerivative · entry 1

Topline Capital Management, LLC · CIK 0001792549 · See Explanation in Footnotes

McBirney Collin · CIK 0001792547 · See Explanation in Footnotes

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

10b5-1 filing: No plan indicated

Ownership: Indirect · By Topline Capital Partners, LP

Disclosed balance after: 3,860,460

F1 · ownership.direct: The reporting persons are (i) Topline Capital Management, LLC, an exempt reporting adviser ("TCM"), and (ii) Collin McBirney, TCM's managing member.

F2 · ownership.direct: Each reporting person may be deemed to beneficially own more than 10% of the issuer's outstanding shares of Common Stock. Each reporting person disclaims beneficial ownership of the shares of Common Stock reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any reporting person is the beneficial owner of such shares of Common Stock for purposes of Section 16 or for any other purpose.

F3 · ownership.nature: The shares of Common Stock reported in Table I of this Form 4 are beneficially owned by Topline Capital Partners, LP, a Delaware limited partnership (the "Fund"). As a greater than 10% beneficial owner, the Fund is separately reporting its holdings in the issuer's securities on a Form 4 filed concurrently herewith. Each of TCM, as the investment manager and general partner of the Fund, and Mr. Mc Birney, as managing member of TCM, may be deemed to be the beneficial owner of the shares of common stock beneficially owned by the Fund.

SEC source: 0001754074-23-000004 · primary_doc.xml · nonDerivative · entry 1

Topline Capital Partners, LP · CIK 0001754074 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,860,460

SEC source: 0001209191-23-024553 · doc4.xml · nonDerivative · entry 1

Burnham William L · CIK 0001248150 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 15,000

F1 · shares: These shares are restricted and will vest in full on April 1, 2024.

SEC source: 0001209191-23-022442 · doc4.xml · nonDerivative · entry 1

Sharpe Kelly S · CIK 0001844350 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,800

F1 · shares: These shares are restricted and will vest in full on March 31, 2024

SEC source: 0001209191-23-022174 · doc4.xml · nonDerivative · entry 1

Sinsley Barbara A · CIK 0001821535 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 46,300

F1 · shares: These shares are restricted and will vest in full on March 31, 2024

SEC source: 0001209191-23-022064 · doc4.xml · nonDerivative · entry 1

SHIMER SAMUEL L · CIK 0001281105 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 282,500

F1 · shares: These shares are restricted and will vest in full on March 31, 2024

SEC source: 0001209191-23-022060 · doc4.xml · nonDerivative · entry 1

Hexner Michael · CIK 0001693277 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 208,851

F1 · shares: These shares are restricted and will vest in full on March 31, 2024

SEC source: 0001209191-23-022057 · doc4.xml · nonDerivative · entry 1

Cho Shirley · CIK 0001904809 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 30,000

F1 · shares: These shares are restricted and will vest in full on March 31, 2024

SEC source: 0001792549-23-000004 · primary_doc.xml · nonDerivative · entry 3

Topline Capital Management, LLC · CIK 0001792549 · See Explanation in Footnotes

McBirney Collin · CIK 0001792547 · See Explanation in Footnotes

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

10b5-1 filing: No plan indicated

Ownership: Indirect · By Topline Capital Partners, LP

Disclosed balance after: 3,910,460

F1 · ownership.direct: The reporting persons are (i) Topline Capital Management, LLC, an exempt reporting adviser ("TCM"), and (ii) Collin McBirney, TCM's managing member.

F2 · ownership.direct: Each reporting person may be deemed to beneficially own more than 10% of the issuer's outstanding shares of Common Stock. Each reporting person disclaims beneficial ownership of the shares of Common Stock reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any reporting person is the beneficial owner of such shares of Common Stock for purposes of Section 16 or for any other purpose.

F3 · ownership.nature: The shares of Common Stock reported in Table I of this Form 4 are beneficially owned by Topline Capital Partners, LP, a Delaware limited partnership (the "Fund"). As a greater than 10% beneficial owner, the Fund is separately reporting its holdings in the issuer's securities on a Form 4 filed concurrently herewith. Each of TCM, as the investment manager and general partner of the Fund, and Mr. Mc Birney, as managing member of TCM, may be deemed to be the beneficial owner of the shares of common stock beneficially owned by the Fund.

SEC source: 0001754074-23-000003 · primary_doc.xml · nonDerivative · entry 3

Topline Capital Partners, LP · CIK 0001754074 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,910,460