KRMD

SEC source: 0001161697-24-000308 · form_4.xml · nonDerivative · entry 1

French Donna · CIK 0001863260 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 65,524

SEC source: 0001161697-24-000307 · form_4.xml · nonDerivative · entry 1

FLETCHER R JOHN · CIK 0001215024 · Director · Chairman of the Board

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 182,670

SEC source: 0001161697-24-000306 · form_4.xml · nonDerivative · entry 1

CASCELLA ROBERT · CIK 0001218713 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 65,524

SEC source: 0001161697-25-000006 · form_4.xml · nonDerivative · entry 1

CASCELLA ROBERT · CIK 0001218713 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 65,165

SEC source: 0001161697-24-000179 · form_4.xml · nonDerivative · entry 1

Manko Joseph M. Jr. · CIK 0001664091 · Director · 10% owner

Horton Capital Management, LLC · CIK 0001575444 · 10% owner

Horton Capital Partners, LLC · CIK 0001575443 · 10% owner

Horton Capital Partners Fund, L.P. · CIK 0001567994 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · By Horton Capital Partners Fund, LP

Disclosed balance after: 7,594,709

F1 · price: See Exhibit 99.1 to this Form 4 for explanation of note (1).

F2 · ownership.nature: See Exhibit 99.1 to this Form 4 for explanation of note (2).

SEC source: 0001161697-24-000172 · form_4.xml · nonDerivative · entry 1

Matin Shahriar · CIK 0001396270 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 62,609

SEC source: 0001161697-24-000174 · form_4.xml · nonDerivative · entry 1

WHOLIHAN EDWARD · CIK 0001719764 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 12,777

SEC source: 0001161697-24-000170 · form_4.xml · nonDerivative · entry 1

French Donna · CIK 0001863260 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 59,979

SEC source: 0001161697-24-000168 · form_4.xml · nonDerivative · entry 1

FLETCHER R JOHN · CIK 0001215024 · Director · Chairman of the Board

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 174,353

SEC source: 0001161697-24-000166 · form_4.xml · nonDerivative · entry 1

CASCELLA ROBERT · CIK 0001218713 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 59,620

SEC source: 0001161697-24-000150 · form_4.xml · nonDerivative · entry 2

Tharby Linda M · CIK 0001621797 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,069,443

F3 · shares: Represents shares of common stock withheld by the issuer in satisfaction of tax withholding obligations upon the issuance of common stock for the portion of the 2023 bonus paid out in equity

F2 · balance_after: Includes 200,000 in restricted stock awards that vest in 25% increments annually on 4/12/22,4/12/23, 4/12/24 and 4/12/25; 200,000 in restricted stock awards that vest based on a schedule of the Company's market capitalization prior to 3/15/27; 600,000 in restricted stock awards that vest based on a schedule of the Company's net sales growth targets for each of the fiscal years ended 12/31/22 through 12/31/25.

SEC source: 0001161697-24-000150 · form_4.xml · nonDerivative · entry 1

Tharby Linda M · CIK 0001621797 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,076,537

F1 · shares: Shares earned per her employment agreement for bonus of which 70% was paid in cash and 30% paid in shares of the Company's common stock.

F2 · balance_after: Includes 200,000 in restricted stock awards that vest in 25% increments annually on 4/12/22,4/12/23, 4/12/24 and 4/12/25; 200,000 in restricted stock awards that vest based on a schedule of the Company's market capitalization prior to 3/15/27; 600,000 in restricted stock awards that vest based on a schedule of the Company's net sales growth targets for each of the fiscal years ended 12/31/22 through 12/31/25.

SEC source: 0000950170-24-016429 · ownership.xml · nonDerivative · entry 1

Manko Joseph M. Jr. · CIK 0001664091 · Director · 10% owner

Horton Capital Management, LLC · CIK 0001575444 · Director · 10% owner

Horton Capital Partners, LLC · CIK 0001575443 · Director · 10% owner

Horton Capital Partners Fund, L.P. · CIK 0001567994 · Director · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · By Horton Capital Partners Fund, LP

Disclosed balance after: 7,588,380

F1 · kind: On February 15, 2024, Horton Capital Partners Fund, L.P., a Delaware limited partnership ("HCPF"), in accordance with its terms, transferred 27,700 shares of common stock of Koru Medical Systems, Inc. (the "Company") to a limited partner, for no consideration, representing a pro-rata distribution of such limited partner's interest in HCPF.

F2 · ownership.nature: This Form 4 is filed jointly by Horton Capital Management, LLC, a Delaware limited liability company ("HCM"), Horton Capital Partners, LLC, a Delaware limited liability company ("HCP"), HCPF, and Joseph M. Manko, Jr. Pursuant to investment advisory agreements, HCM maintains investment and voting power with respect to shares of Common Stock of the Issuer held by HCPF. However, despite the delegation of investment and voting power to HCM, HCP may be deemed to be the beneficial owner of such Common Stock because, in the event HCM's investment advisory agreement with respect to such Common Stock is terminated, HCP has the right to assume HCM's discretionary investment and voting authority with respect to such Common Stock. HCP is the general partner of HCPF.

F3 · ownership.nature: (Continued from footnote 2) Mr. Manko is the managing member of both HCM and HCP. Each Reporting Person disclaims beneficial ownership of the securities of the Issuer 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 securities for purposes of Section 16 or any other purpose.

SEC source: 0000950170-24-004229 · ownership.xml · nonDerivative · entry 1

Manko Joseph M. Jr. · CIK 0001664091 · Director · 10% owner

Horton Capital Management, LLC · CIK 0001575444 · Director · 10% owner

Horton Capital Partners, LLC · CIK 0001575443 · Director · 10% owner

Horton Capital Partners Fund, L.P. · CIK 0001567994 · Director · 10% owner

Horton Freedom, L.P. · CIK 0001767112 · Director · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · By Horton Freedom, L.P.

Disclosed balance after: 0

F1 · kind: On January 10, 2024, Horton Freedom, L.P., a Delaware limited partnership ("Horton Freedom"), in accordance with its terms, transferred 453,231 shares of common stock of Koru Medical Systems, Inc. (the "Company") to certain of its limited partners, for no consideration, representing a pro-rata distribution of such limited partners' interests in Horton Freedom.

F2 · ownership.nature: This Form 4 is filed jointly by Horton Capital Management, LLC, a Delaware limited liability company ("HCM"), Horton Capital Partners, LLC, a Delaware limited liability company ("HCP"), Horton Capital Partners Fund, LP, a Delaware limited partnership ("HCPF"), Horton Freedom, and Joseph M. Manko, Jr. Pursuant to investment advisory agreements, HCM maintains investment and voting power with respect to shares of Common Stock of the Issuer held by HCPF and Horton Freedom. However, despite the delegation of investment and voting power to HCM, HCP may be deemed to be the beneficial owner of such Common Stock because, in the event HCM's investment advisory agreement with respect to such Common Stock is terminated, HCP has the right to assume HCM's discretionary investment and voting authority with respect to such Common Stock.

F3 · ownership.nature: {Continued footnote 2) HCP is the general partner of HCPF and Horton Freedom. Mr. Manko is the managing member of both HCM and HCP. Each Reporting Person disclaims beneficial ownership of the securities of the Issuer 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 securities for purposes of Section 16 or any other purpose.

SEC source: 0001161697-24-000013 · form_4.xml · nonDerivative · entry 1

WHOLIHAN EDWARD · CIK 0001719764 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,448

SEC source: 0001161697-24-000015 · form_4.xml · nonDerivative · entry 1

Manko Joseph M. Jr. · CIK 0001664091 · Director · 10% owner

Horton Capital Management, LLC · CIK 0001575444 · 10% owner

Horton Capital Partners, LLC · CIK 0001575443 · 10% owner

Horton Capital Partners Fund, L.P. · CIK 0001567994 · 10% owner

Horton Freedom, L.P. · CIK 0001767112 · Less than 10% Owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · By Horton Capital Partners Fund, LP

Disclosed balance after: 7,616,080

F1 · price: See Exhibit 99.1 to this Form 4 for explanation of note (1).

F2 · ownership.nature: See Exhibit 99.1 to this Form 4 for explanation of note (2).

SEC source: 0001161697-24-000011 · form_4.xml · nonDerivative · entry 1

Matin Shahriar · CIK 0001396270 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 56,280

SEC source: 0001161697-24-000010 · form_4.xml · nonDerivative · entry 1

French Donna · CIK 0001863260 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 53,650

SEC source: 0001161697-24-000007 · form_4.xml · nonDerivative · entry 1

FLETCHER R JOHN · CIK 0001215024 · Director · Chairman of the Board

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 164,860

SEC source: 0001161697-24-000005 · form_4.xml · nonDerivative · entry 1

CASCELLA ROBERT · CIK 0001218713 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 53,291

SEC source: 0000899243-23-020712 · doc4.xml · nonDerivative · entry 4

Manko Joseph M. Jr. · CIK 0001664091 · Director · 10% owner

Horton Capital Partners, LLC · CIK 0001575443 · Director · 10% owner

Horton Capital Management, LLC · CIK 0001575444 · Director · 10% owner

Horton Capital Partners Fund, L.P. · CIK 0001567994 · Director · 10% owner

Horton Freedom, L.P. · CIK 0001767112 · Director · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 165,252

F3 · kind: Represents Joseph M. Manko's distribution of shares from HCP.

SEC source: 0000899243-23-020712 · doc4.xml · nonDerivative · entry 3

Manko Joseph M. Jr. · CIK 0001664091 · Director · 10% owner

Horton Capital Partners, LLC · CIK 0001575443 · Director · 10% owner

Horton Capital Management, LLC · CIK 0001575444 · Director · 10% owner

Horton Capital Partners Fund, L.P. · CIK 0001567994 · Director · 10% owner

Horton Freedom, L.P. · CIK 0001767112 · Director · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · By Horton Capital Partners, LLC

Disclosed balance after: 0

F2 · kind: Represents HCP's distribution of shares from Horton Freedom and subsequent transfer to HCP's members, including Joseph M. Manko.

F4 · ownership.nature: This Form 4 is filed jointly by Horton Capital Management, LLC, a Delaware limited liability company ("HCM"), HCP, Horton Capital Partners Fund, LP, a Delaware limited partnership ("HCPF"), Horton Freedom, and Joseph M. Manko, Jr. Pursuant to investment advisory agreements, HCM maintains investment and voting power with respect to shares of Common Stock of the Issuer held by HCPF and Horton Freedom. However, despite the delegation of investment and voting power to HCM, HCP may be deemed to be the beneficial owner of such Common Stock because, in the event HCM's investment advisory agreement with respect to such Common Stock is terminated, HCP has the right to assume HCM's discretionary investment and voting authority with respect to such Common Stock. HCP is the general partner of HCPF and Horton Freedom.

F5 · ownership.nature: (Continued from Footnote 4) Mr. Manko is the managing member of both HCM and HCP. Each Reporting Person disclaims beneficial ownership of the securities of the Issuer 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 securities for purposes of Section 16 or any other purpose.

SEC source: 0000899243-23-020712 · doc4.xml · nonDerivative · entry 2

Manko Joseph M. Jr. · CIK 0001664091 · Director · 10% owner

Horton Capital Partners, LLC · CIK 0001575443 · Director · 10% owner

Horton Capital Management, LLC · CIK 0001575444 · Director · 10% owner

Horton Capital Partners Fund, L.P. · CIK 0001567994 · Director · 10% owner

Horton Freedom, L.P. · CIK 0001767112 · Director · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · By Horton Capital Partners, LLC

Disclosed balance after: 402,725

F2 · kind: Represents HCP's distribution of shares from Horton Freedom and subsequent transfer to HCP's members, including Joseph M. Manko.

F4 · ownership.nature: This Form 4 is filed jointly by Horton Capital Management, LLC, a Delaware limited liability company ("HCM"), HCP, Horton Capital Partners Fund, LP, a Delaware limited partnership ("HCPF"), Horton Freedom, and Joseph M. Manko, Jr. Pursuant to investment advisory agreements, HCM maintains investment and voting power with respect to shares of Common Stock of the Issuer held by HCPF and Horton Freedom. However, despite the delegation of investment and voting power to HCM, HCP may be deemed to be the beneficial owner of such Common Stock because, in the event HCM's investment advisory agreement with respect to such Common Stock is terminated, HCP has the right to assume HCM's discretionary investment and voting authority with respect to such Common Stock. HCP is the general partner of HCPF and Horton Freedom.

F5 · ownership.nature: (Continued from Footnote 4) Mr. Manko is the managing member of both HCM and HCP. Each Reporting Person disclaims beneficial ownership of the securities of the Issuer 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 securities for purposes of Section 16 or any other purpose.

SEC source: 0000899243-23-020712 · doc4.xml · nonDerivative · entry 1

Manko Joseph M. Jr. · CIK 0001664091 · Director · 10% owner

Horton Capital Partners, LLC · CIK 0001575443 · Director · 10% owner

Horton Capital Management, LLC · CIK 0001575444 · Director · 10% owner

Horton Capital Partners Fund, L.P. · CIK 0001567994 · Director · 10% owner

Horton Freedom, L.P. · CIK 0001767112 · Director · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · By Horton Freedom, L.P.

Disclosed balance after: 453,231

F1 · kind: On December 27, 2023, Horton Freedom, L.P., a Delaware limited partnership ("Horton Freedom"), in accordance with its terms, transferred 1,745,594 shares of common stock of Koru Medical Systems, Inc. (the "Company") to certain of its limited partners, including Horton Capital Partners, LLC, a Delaware limited liability company ("HCP"), for no consideration, representing a pro-rata distribution of such limited partners' interests in Horton Freedom.

F4 · ownership.nature: This Form 4 is filed jointly by Horton Capital Management, LLC, a Delaware limited liability company ("HCM"), HCP, Horton Capital Partners Fund, LP, a Delaware limited partnership ("HCPF"), Horton Freedom, and Joseph M. Manko, Jr. Pursuant to investment advisory agreements, HCM maintains investment and voting power with respect to shares of Common Stock of the Issuer held by HCPF and Horton Freedom. However, despite the delegation of investment and voting power to HCM, HCP may be deemed to be the beneficial owner of such Common Stock because, in the event HCM's investment advisory agreement with respect to such Common Stock is terminated, HCP has the right to assume HCM's discretionary investment and voting authority with respect to such Common Stock. HCP is the general partner of HCPF and Horton Freedom.

F5 · ownership.nature: (Continued from Footnote 4) Mr. Manko is the managing member of both HCM and HCP. Each Reporting Person disclaims beneficial ownership of the securities of the Issuer 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 securities for purposes of Section 16 or any other purpose.

SEC source: 0000950170-23-070726 · ownership.xml · nonDerivative · entry 2

Manko Joseph M. Jr. · CIK 0001664091 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Horton Freedom, L.P

Disclosed balance after: 2,198,825

F1 · ownership.nature: On December 13, 2023, Horton Freedom, L.P. ("Horton Freedom") agreed to sell 145,833 shares to Horton Capital Partners Fund, LP ("HCPF"), a Horton Freedom affiliate, in a private transaction.

F2 · ownership.nature: This Form 4 is filed jointly by Horton Capital Management, LLC, a Delaware limited liability company ("HCM"), Horton Capital Partners LLC, a Delaware limited liability company ("HCP"), HCPF, and Joseph M. Manko, Jr. Pursuant to investment advisory agreements, HCM maintains investment and voting power with respect to shares of Common Stock of the Issuer held by HCPF and Horton Freedom, a Delaware limited partnership. However, despite the delegation of investment and voting power to HCM, HCP may be deemed to be the beneficial owner of such Common Stock because, in the event HCM's investment advisory agreement with respect to such Common Stock is terminated, HCP has the right to assume HCM's discretionary investment and voting authority with respect to such Common Stock. HCP is the general partner of HCPF and Horton Freedom. Mr. Manko is the managing member of both HCM and HCP.

SEC source: 0000950170-23-070726 · ownership.xml · nonDerivative · entry 1

Manko Joseph M. Jr. · CIK 0001664091 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Horton Capital Partners Fund, LP

Disclosed balance after: 7,609,751

F1 · ownership.nature: On December 13, 2023, Horton Freedom, L.P. ("Horton Freedom") agreed to sell 145,833 shares to Horton Capital Partners Fund, LP ("HCPF"), a Horton Freedom affiliate, in a private transaction.

F2 · ownership.nature: This Form 4 is filed jointly by Horton Capital Management, LLC, a Delaware limited liability company ("HCM"), Horton Capital Partners LLC, a Delaware limited liability company ("HCP"), HCPF, and Joseph M. Manko, Jr. Pursuant to investment advisory agreements, HCM maintains investment and voting power with respect to shares of Common Stock of the Issuer held by HCPF and Horton Freedom, a Delaware limited partnership. However, despite the delegation of investment and voting power to HCM, HCP may be deemed to be the beneficial owner of such Common Stock because, in the event HCM's investment advisory agreement with respect to such Common Stock is terminated, HCP has the right to assume HCM's discretionary investment and voting authority with respect to such Common Stock. HCP is the general partner of HCPF and Horton Freedom. Mr. Manko is the managing member of both HCM and HCP.

SEC source: 0001161697-23-000576 · form_4.xml · derivative · entry 2

Miller Kenneth E · CIK 0001999516 · Chief Commercial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 400,000

Underlying: Common Stock · 200,000 shares

Expires 2033-11-15

F2 · shares: Nonqualified stock options awards vest based on a schedule of the Company's net sales growth targets for each of the fiscal years ended 12/31/2024 through 12/31/2026.

F2 · derivative.exercise_date: Nonqualified stock options awards vest based on a schedule of the Company's net sales growth targets for each of the fiscal years ended 12/31/2024 through 12/31/2026.

SEC source: 0001161697-23-000576 · form_4.xml · derivative · entry 1

Miller Kenneth E · CIK 0001999516 · Chief Commercial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 200,000

Underlying: Common Stock · 200,000 shares

Expires 2033-11-15

F1 · shares: Nonqualified stock options granted as an inducement to employment. Options vest in increments of 50,000 on the first anniversary of the date of grant and each anniversary thereafter until fully vested.

F1 · derivative.exercise_date: Nonqualified stock options granted as an inducement to employment. Options vest in increments of 50,000 on the first anniversary of the date of grant and each anniversary thereafter until fully vested.

SEC source: 0001161697-23-000520 · form_4.xml · nonDerivative · entry 1

Matin Shahriar · CIK 0001396270 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 50,744

SEC source: 0001161697-23-000518 · form_4.xml · nonDerivative · entry 1

French Donna · CIK 0001863260 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 47,321

SEC source: 0001161697-23-000516 · form_4.xml · nonDerivative · entry 1

FLETCHER R JOHN · CIK 0001215024 · Director · Chairman of the Board

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 155,367

SEC source: 0001161697-23-000514 · form_4.xml · nonDerivative · entry 1

CASCELLA ROBERT · CIK 0001218713 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 46,962

SEC source: 0001161697-23-000512 · form_4.xml · nonDerivative · entry 1

Manko Joseph M. Jr. · CIK 0001664091 · Director · 10% owner

Horton Capital Management, LLC · CIK 0001575444 · 10% owner

Horton Capital Partners, LLC · CIK 0001575443 · 10% owner

Horton Capital Partners Fund, L.P. · CIK 0001567994 · 10% owner

Horton Freedom, L.P. · CIK 0001767112 · Less than 10% Owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · By Horton Capital Partners Fund, LP

Disclosed balance after: 7,463,918

F1 · price: See Exhibit 99.1 to this Form 4 for explanation of note (1).

F2 · ownership.nature: See Exhibit 99.1 to this Form 4 for explanation of note (2).

SEC source: 0001161697-23-000526 · form_4.xml · nonDerivative · entry 1

WHOLIHAN EDWARD · CIK 0001719764 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 119

SEC source: 0001161697-23-000460 · form_4.xml · nonDerivative · entry 2

Manko Joseph M. Jr. · CIK 0001664091 · Director · 10% owner

Horton Capital Management, LLC · CIK 0001575444 · 10% owner

Horton Capital Partners, LLC · CIK 0001575443 · 10% owner

Horton Capital Partners Fund, L.P. · CIK 0001567994 · 10% owner

Horton Freedom, L.P. · CIK 0001767112 · Less than 10% Owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · By Horton Capital Partners Fund, LP

Disclosed balance after: 7,458,434

F1 · price: See Exhibit 99.1 to this Form 4 for explanation of note (1).

F2 · ownership.nature: See Exhibit 99.1 to this Form 4 for explanation of note (2).

SEC source: 0001161697-23-000460 · form_4.xml · nonDerivative · entry 1

Manko Joseph M. Jr. · CIK 0001664091 · Director · 10% owner

Horton Capital Management, LLC · CIK 0001575444 · 10% owner

Horton Capital Partners, LLC · CIK 0001575443 · 10% owner

Horton Capital Partners Fund, L.P. · CIK 0001567994 · 10% owner

Horton Freedom, L.P. · CIK 0001767112 · Less than 10% Owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · By Horton Capital Partners Fund, LP

Disclosed balance after: 7,448,434

F1 · price: See Exhibit 99.1 to this Form 4 for explanation of note (1).

F2 · ownership.nature: See Exhibit 99.1 to this Form 4 for explanation of note (2).

SEC source: 0001161697-23-000465 · form_4.xml · nonDerivative · entry 1

Tharby Linda M · CIK 0001621797 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,056,676

SEC source: 0001161697-23-000458 · form_4.xml · nonDerivative · entry 1

CASCELLA ROBERT · CIK 0001218713 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 41,478

SEC source: 0001161697-23-000431 · form_4.xml · derivative · entry 2

Adams Thomas Edward · CIK 0001939226 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2033-08-01

F2 · derivative.exercise_date: Nonqualified stock options granted pursuant to the Company's 2021 Omnibus Equity Incentive Plan. Options vest in increments of 25,000 on the first anniversary of the date of grant and each anniversary thereafter until fully vested.

SEC source: 0001161697-23-000419 · form_4.xml · derivative · entry 1

LaFrence Andrew D.C. · CIK 0001850633 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 300,000

Underlying: Common Stock · 300,000 shares

Expires 2033-07-15

F1 · derivative.exercise_date: Nonqualified stock options granted as an inducement to employment . Options vest in increments of 75,000 on the first anniversary of the date of grant and each anniversary thereafter until fully vested.

SEC source: 0001161697-23-000396 · form_4.xml · nonDerivative · entry 1

Manko Joseph M. Jr. · CIK 0001664091 · Director · 10% owner

Horton Capital Management, LLC · CIK 0001575444 · 10% owner

Horton Capital Partners, LLC · CIK 0001575443 · 10% owner

Horton Capital Partners Fund, L.P. · CIK 0001567994 · 10% owner

Horton Freedom, L.P. · CIK 0001767112 · Less than 10% Owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · By Horton Capital Partners Fund, LP

Disclosed balance after: 7,438,434

F1 · price: See Exhibit 99.1 to this Form 4 for explanation of note (1).

F2 · ownership.nature: See Exhibit 99.1 to this Form 4 for explanation of note (2).

SEC source: 0001161697-23-000394 · form_4.xml · nonDerivative · entry 1

Matin Shahriar · CIK 0001396270 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 45,260

SEC source: 0001161697-23-000392 · form_4.xml · nonDerivative · entry 1

French Donna · CIK 0001863260 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 41,837

SEC source: 0001161697-23-000390 · form_4.xml · nonDerivative · entry 1

FLETCHER R JOHN · CIK 0001215024 · Director · Chairman of the Board

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 147,141

SEC source: 0001161697-23-000388 · form_4.xml · nonDerivative · entry 1

CASCELLA ROBERT · CIK 0001218713 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 22,478

SEC source: 0001161697-23-000386 · form_4.xml · nonDerivative · entry 2

Beck James M · CIK 0001761683 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 90,283

SEC source: 0001161697-23-000219 · form_4.xml · nonDerivative · entry 1

Manko Joseph M. Jr. · CIK 0001664091 · Director · 10% owner

Horton Capital Management, LLC · CIK 0001575444 · 10% owner

Horton Capital Partners, LLC · CIK 0001575443 · 10% owner

Horton Capital Partners Fund, L.P. · CIK 0001567994 · 10% owner

Horton Freedom, L.P. · CIK 0001767112 · Less than 10% Owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · By Horton Capital Partners Fund, LP

Disclosed balance after: 7,434,124

F1 · price: See Exhibit 99.1 to this Form 4 for explanation of note (1).

F2 · ownership.nature: See Exhibit 99.1 to this Form 4 for explanation of note (2).

SEC source: 0001161697-23-000217 · form_4.xml · nonDerivative · entry 1

Matin Shahriar · CIK 0001396270 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,753

SEC source: 0001161697-23-000215 · form_4.xml · nonDerivative · entry 1

French Donna · CIK 0001863260 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 37,330

SEC source: 0001161697-23-000213 · form_4.xml · nonDerivative · entry 1

FLETCHER R JOHN · CIK 0001215024 · Director · Chairman of the Board

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 140,380