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Nasdaq · USD

LVO

LiveOne, Inc.

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7199
SEC CIK
0001491419
Parsed reports
222

Last 12 months

Inside the activity.

0 purchase rows · 0 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
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MonthPurchasesSales
Nov 202500
Dec 202500
Jan 202600
Feb 202600
Mar 202600
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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
June 29, 2026 Filed Jul 1, 2026 23:51 UTC Exercise / conversionRestricted Stock Units · Derivative 22,266 $0.00 $0.00
Disclosure

SEC source: 0001213900-26-074507 · ownership.xml · derivative · entry 8

Solomon Kenneth A · CIK 0001781934 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, $0.001 par value · 22,266 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: Restricted Stock Units ("RSUs") convert into the Issuer's common stock on a one-for-one basis.

F5 · derivative.exercise_date: Represents vested RSUs that were settled on the reported date, which RSUs were previously granted to the Reporting Person as director fees for service on the Issuer's board of directors for the period from October 1, 2024 to September 30, 2025. Each vested RSU was settled by the Issuer by delivery to the Reporting Person of one share of Issuer's common stock.

F5 · derivative.expiration_date: Represents vested RSUs that were settled on the reported date, which RSUs were previously granted to the Reporting Person as director fees for service on the Issuer's board of directors for the period from October 1, 2024 to September 30, 2025. Each vested RSU was settled by the Issuer by delivery to the Reporting Person of one share of Issuer's common stock.

Read SEC document
June 29, 2026 Filed Jul 1, 2026 23:51 UTC Exercise / conversionRestricted Stock Units · Derivative 6,369 $0.00 $0.00
Disclosure

SEC source: 0001213900-26-074507 · ownership.xml · derivative · entry 7

Solomon Kenneth A · CIK 0001781934 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, $0.001 par value · 6,369 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: Restricted Stock Units ("RSUs") convert into the Issuer's common stock on a one-for-one basis.

F4 · derivative.exercise_date: Represents vested RSUs that were settled on the reported date, which RSUs were previously granted to the Reporting Person as director fees for service on the Issuer's board of directors for the period from October 1, 2023 to September 30, 2024. Each vested RSU was settled by the Issuer by delivery to the Reporting Person of one share of Issuer's common stock and takes into effect the Reverse Split.

F4 · derivative.expiration_date: Represents vested RSUs that were settled on the reported date, which RSUs were previously granted to the Reporting Person as director fees for service on the Issuer's board of directors for the period from October 1, 2023 to September 30, 2024. Each vested RSU was settled by the Issuer by delivery to the Reporting Person of one share of Issuer's common stock and takes into effect the Reverse Split.

Read SEC document
June 29, 2026 Filed Jul 1, 2026 23:51 UTC Exercise / conversionRestricted Stock Units · Derivative 9,523 $0.00 $0.00
Disclosure

SEC source: 0001213900-26-074507 · ownership.xml · derivative · entry 6

Solomon Kenneth A · CIK 0001781934 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, $0.001 par value · 9,523 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: Restricted Stock Units ("RSUs") convert into the Issuer's common stock on a one-for-one basis.

F3 · derivative.exercise_date: Represents vested RSUs that were settled on the reported date, which RSUs were previously granted to the Reporting Person as director fees for service on the Issuer's board of directors for the period from October 1, 2021 to September 30, 2023. Each vested RSU was settled by the Issuer by delivery to the Reporting Person of one share of Issuer's common stock and takes into effect the Reverse Split.

F3 · derivative.expiration_date: Represents vested RSUs that were settled on the reported date, which RSUs were previously granted to the Reporting Person as director fees for service on the Issuer's board of directors for the period from October 1, 2021 to September 30, 2023. Each vested RSU was settled by the Issuer by delivery to the Reporting Person of one share of Issuer's common stock and takes into effect the Reverse Split.

Read SEC document
June 29, 2026 Filed Jul 1, 2026 23:51 UTC Exercise / conversionRestricted Stock Units · Derivative 3,279 $0.00 $0.00
Disclosure

SEC source: 0001213900-26-074507 · ownership.xml · derivative · entry 5

Solomon Kenneth A · CIK 0001781934 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, $0.001 par value · 3,279 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: Restricted Stock Units ("RSUs") convert into the Issuer's common stock on a one-for-one basis.

F2 · derivative.exercise_date: Represents vested RSUs that were settled on the reported date, which RSUs were previously granted to the Reporting Person as director fees for service on the Issuer's board of directors for the period from October 1, 2020 to September 30, 2021. Each vested RSU was settled by the Issuer by delivery to the Reporting Person of one share of Issuer's common stock and takes into effect the 1-for-10 reverse stock split of the Issuer's issued and outstanding shares of Common Stock completed on September 26, 2025 (the "Reverse Split").

F2 · derivative.expiration_date: Represents vested RSUs that were settled on the reported date, which RSUs were previously granted to the Reporting Person as director fees for service on the Issuer's board of directors for the period from October 1, 2020 to September 30, 2021. Each vested RSU was settled by the Issuer by delivery to the Reporting Person of one share of Issuer's common stock and takes into effect the 1-for-10 reverse stock split of the Issuer's issued and outstanding shares of Common Stock completed on September 26, 2025 (the "Reverse Split").

Read SEC document
June 29, 2026 Filed Jul 1, 2026 23:51 UTC Exercise / conversionCommon Stock, $0.001 par value 22,266 Not disclosed Not disclosed
Disclosure

SEC source: 0001213900-26-074507 · ownership.xml · nonDerivative · entry 4

Solomon Kenneth A · CIK 0001781934 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 48,790

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 · price: Restricted Stock Units ("RSUs") convert into the Issuer's common stock on a one-for-one basis.

Read SEC document
June 29, 2026 Filed Jul 1, 2026 23:51 UTC Exercise / conversionCommon Stock, $0.001 par value 6,369 Not disclosed Not disclosed
Disclosure

SEC source: 0001213900-26-074507 · ownership.xml · nonDerivative · entry 3

Solomon Kenneth A · CIK 0001781934 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 26,524

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 · price: Restricted Stock Units ("RSUs") convert into the Issuer's common stock on a one-for-one basis.

Read SEC document
June 29, 2026 Filed Jul 1, 2026 23:51 UTC Exercise / conversionCommon Stock, $0.001 par value 9,523 Not disclosed Not disclosed
Disclosure

SEC source: 0001213900-26-074507 · ownership.xml · nonDerivative · entry 2

Solomon Kenneth A · CIK 0001781934 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,155

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 · price: Restricted Stock Units ("RSUs") convert into the Issuer's common stock on a one-for-one basis.

Read SEC document
June 29, 2026 Filed Jul 1, 2026 23:51 UTC Exercise / conversionCommon Stock, $0.001 par value 3,279 Not disclosed Not disclosed
Disclosure

SEC source: 0001213900-26-074507 · ownership.xml · nonDerivative · entry 1

Solomon Kenneth A · CIK 0001781934 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,632

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 · price: Restricted Stock Units ("RSUs") convert into the Issuer's common stock on a one-for-one basis.

Read SEC document
March 31, 2026 Filed Apr 2, 2026 21:01 UTC Exercise / conversionRestricted Stock Units · Derivative 20,040 $0.00 $0.00
Disclosure

SEC source: 0001213900-26-039673 · ownership.xml · derivative · entry 2

Wright Kristopher · CIK 0001860931 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, $0.001 par value · 20,040 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: Restricted Stock Units convert into the Issuer's common stock on a one-for-one basis.

F2 · derivative.exercise_date: Represents vested Restricted Stock Units (the "RSUs") that were settled on the reported date, which RSUs were previously granted to the Reporting Person as director fees for service on the Issuer's board of directors for the period from October 1, 2024 to September 30, 2025. Each vested RSU was settled by the Issuer by delivery to the Reporting Person of one share of Issuer's common stock.

F2 · derivative.expiration_date: Represents vested Restricted Stock Units (the "RSUs") that were settled on the reported date, which RSUs were previously granted to the Reporting Person as director fees for service on the Issuer's board of directors for the period from October 1, 2024 to September 30, 2025. Each vested RSU was settled by the Issuer by delivery to the Reporting Person of one share of Issuer's common stock.

Read SEC document
March 31, 2026 Filed Apr 2, 2026 21:01 UTC Exercise / conversionCommon Stock, $0.001 par value 20,040 Not disclosed Not disclosed
Disclosure

SEC source: 0001213900-26-039673 · ownership.xml · nonDerivative · entry 1

Wright Kristopher · CIK 0001860931 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 175,090

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 · price: Restricted Stock Units convert into the Issuer's common stock on a one-for-one basis.

Read SEC document
March 31, 2026 Filed Apr 3, 2026 01:00 UTC Exercise / conversionRestricted Stock Units · Derivative 21,153 $0.00 $0.00
Disclosure

SEC source: 0001213900-26-039671 · ownership.xml · derivative · entry 2

Wachsberger Patrick D · CIK 0001765520 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, $0.001 par value · 21,153 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: Restricted Stock Units convert into the Issuer's common stock on a one-for-one basis.

F2 · derivative.exercise_date: Represents vested Restricted Stock Units (the "RSUs") that were settled on the reported date, which RSUs were previously granted to the Reporting Person as director fees for service on the Issuer's board of directors for the period from October 1, 2024 to September 30, 2025. Each vested RSU was settled by the Issuer by delivery to the Reporting Person of one share of Issuer's common stock.

F2 · derivative.expiration_date: Represents vested Restricted Stock Units (the "RSUs") that were settled on the reported date, which RSUs were previously granted to the Reporting Person as director fees for service on the Issuer's board of directors for the period from October 1, 2024 to September 30, 2025. Each vested RSU was settled by the Issuer by delivery to the Reporting Person of one share of Issuer's common stock.

Read SEC document
March 31, 2026 Filed Apr 3, 2026 01:00 UTC Exercise / conversionCommon Stock, $0.001 par value 21,153 Not disclosed Not disclosed
Disclosure

SEC source: 0001213900-26-039671 · ownership.xml · nonDerivative · entry 1

Wachsberger Patrick D · CIK 0001765520 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 278,680

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 · price: Restricted Stock Units convert into the Issuer's common stock on a one-for-one basis.

Read SEC document
March 31, 2026 Filed Apr 3, 2026 01:00 UTC Exercise / conversionRestricted Stock Units · Derivative 21,153 $0.00 $0.00
Disclosure

SEC source: 0001213900-26-039672 · ownership.xml · derivative · entry 2

Baker Bridget · CIK 0001584004 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, $0.001 par value · 21,153 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: Restricted Stock Units convert into the Issuer's common stock on a one-for-one basis.

F2 · derivative.exercise_date: Represents vested Restricted Stock Units (the "RSUs") that were settled on the reported date, which RSUs were previously granted to the Reporting Person as director fees for service on the Issuer's board of directors for the period from October 1, 2024 to September 30, 2025. Each vested RSU was settled by the Issuer by delivery to the Reporting Person of one share of Issuer's common stock.

F2 · derivative.expiration_date: Represents vested Restricted Stock Units (the "RSUs") that were settled on the reported date, which RSUs were previously granted to the Reporting Person as director fees for service on the Issuer's board of directors for the period from October 1, 2024 to September 30, 2025. Each vested RSU was settled by the Issuer by delivery to the Reporting Person of one share of Issuer's common stock.

Read SEC document
March 31, 2026 Filed Apr 3, 2026 01:00 UTC Exercise / conversionCommon Stock, $0.001 par value 21,153 Not disclosed Not disclosed
Disclosure

SEC source: 0001213900-26-039672 · ownership.xml · nonDerivative · entry 1

Baker Bridget · CIK 0001584004 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 268,684

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 · price: Restricted Stock Units convert into the Issuer's common stock on a one-for-one basis.

Read SEC document
March 31, 2026 Filed Apr 15, 2026 01:00 UTC
Arani RaminDirector
Exercise / conversionRestricted Stock Units · Derivative 22,266 $0.00 $0.00
Disclosure

SEC source: 0001213900-26-043715 · ownership.xml · derivative · entry 2

Arani Ramin · CIK 0001764185 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, $0.001 par value · 22,266 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: Restricted Stock Units convert into the Issuer's common stock on a one-for-one basis.

F2 · derivative.exercise_date: Represents vested Restricted Stock Units (the "RSUs") that were settled on the reported date, which RSUs were previously granted to the Reporting Person as director fees for service on the Issuer's board of directors for the period from October 1, 2024 to September 30, 2025. Each vested RSU was settled by the Issuer by delivery to the Reporting Person of one share of Issuer's common stock.

F2 · derivative.expiration_date: Represents vested Restricted Stock Units (the "RSUs") that were settled on the reported date, which RSUs were previously granted to the Reporting Person as director fees for service on the Issuer's board of directors for the period from October 1, 2024 to September 30, 2025. Each vested RSU was settled by the Issuer by delivery to the Reporting Person of one share of Issuer's common stock.

Read SEC document
March 31, 2026 Filed Apr 15, 2026 01:00 UTC
Arani RaminDirector
Exercise / conversionCommon Stock, $0.001 par value 22,266 Not disclosed Not disclosed
Disclosure

SEC source: 0001213900-26-043715 · ownership.xml · nonDerivative · entry 1

Arani Ramin · CIK 0001764185 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 279,867

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 · price: Restricted Stock Units convert into the Issuer's common stock on a one-for-one basis.

Read SEC document
March 02, 2026 Filed Mar 5, 2026 01:00 UTC
Arani RaminDirector
GrantRestricted Stock Units · Derivative 22,266 $0.00 $0.00
Disclosure

SEC source: 0001213900-26-023803 · ownership.xml · derivative · entry 1

Arani Ramin · CIK 0001764185 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 22,266

Underlying: Common Stock, $0.001 par value · 22,266 shares

Expires not disclosed

F1 · derivative.exercise_price: The Restricted Stock Units (the "RSUs") were granted to the Reporting Person as director fees for service on the Issuer's board of directors (the "Board") for the period from October 1, 2024 to September 30, 2025. The RSUs shall vest on March 31, 2026 (the "Vesting Date"), subject to the Reporting Person's continued service on the Board through the Vesting Date. Each RSU represents a contingent right to receive one share of the Issuer's common stock or the cash value thereof. The Board, in its sole discretion, will determine in accordance with the terms and conditions of the Issuer's 2016 Equity Incentive Plan, as amended, the form of payout of the RSUs (cash and/or stock). The Reporting Person shall have the option to defer the settlement of the RSUs until the earlier of such time as the Reporting Person is no longer serving on the Board or up to five years from the vesting date.

F1 · derivative.exercise_date: The Restricted Stock Units (the "RSUs") were granted to the Reporting Person as director fees for service on the Issuer's board of directors (the "Board") for the period from October 1, 2024 to September 30, 2025. The RSUs shall vest on March 31, 2026 (the "Vesting Date"), subject to the Reporting Person's continued service on the Board through the Vesting Date. Each RSU represents a contingent right to receive one share of the Issuer's common stock or the cash value thereof. The Board, in its sole discretion, will determine in accordance with the terms and conditions of the Issuer's 2016 Equity Incentive Plan, as amended, the form of payout of the RSUs (cash and/or stock). The Reporting Person shall have the option to defer the settlement of the RSUs until the earlier of such time as the Reporting Person is no longer serving on the Board or up to five years from the vesting date.

F1 · derivative.expiration_date: The Restricted Stock Units (the "RSUs") were granted to the Reporting Person as director fees for service on the Issuer's board of directors (the "Board") for the period from October 1, 2024 to September 30, 2025. The RSUs shall vest on March 31, 2026 (the "Vesting Date"), subject to the Reporting Person's continued service on the Board through the Vesting Date. Each RSU represents a contingent right to receive one share of the Issuer's common stock or the cash value thereof. The Board, in its sole discretion, will determine in accordance with the terms and conditions of the Issuer's 2016 Equity Incentive Plan, as amended, the form of payout of the RSUs (cash and/or stock). The Reporting Person shall have the option to defer the settlement of the RSUs until the earlier of such time as the Reporting Person is no longer serving on the Board or up to five years from the vesting date.

Read SEC document
March 02, 2026 Filed Mar 18, 2026 00:00 UTC GrantRestricted Stock Units · Derivative 21,253 $0.00 $0.00
Disclosure

SEC source: 0001213900-26-029322 · ownership.xml · derivative · entry 1

Wachsberger Patrick D · CIK 0001765520 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 21,253

Underlying: Common Stock, $0.001 par value · 21,253 shares

Expires not disclosed

F1 · derivative.exercise_price: The Restricted Stock Units (the "RSUs") were granted to the Reporting Person as director fees for service on the Issuer's board of directors (the "Board") for the period from October 1, 2024 to September 30, 2025. The RSUs shall vest on March 31, 2026 (the "Vesting Date"), subject to the Reporting Person's continued service on the Board through the Vesting Date. Each RSU represents a contingent right to receive one share of the Issuer's common stock or the cash value thereof. The Board, in its sole discretion, will determine in accordance with the terms and conditions of the Issuer's 2016 Equity Incentive Plan, as amended, the form of payout of the RSUs (cash and/or stock). The Reporting Person shall have the option to defer the settlement of the RSUs until the earlier of such time as the Reporting Person is no longer serving on the Board or up to five years from the vesting date.

F1 · derivative.exercise_date: The Restricted Stock Units (the "RSUs") were granted to the Reporting Person as director fees for service on the Issuer's board of directors (the "Board") for the period from October 1, 2024 to September 30, 2025. The RSUs shall vest on March 31, 2026 (the "Vesting Date"), subject to the Reporting Person's continued service on the Board through the Vesting Date. Each RSU represents a contingent right to receive one share of the Issuer's common stock or the cash value thereof. The Board, in its sole discretion, will determine in accordance with the terms and conditions of the Issuer's 2016 Equity Incentive Plan, as amended, the form of payout of the RSUs (cash and/or stock). The Reporting Person shall have the option to defer the settlement of the RSUs until the earlier of such time as the Reporting Person is no longer serving on the Board or up to five years from the vesting date.

F1 · derivative.expiration_date: The Restricted Stock Units (the "RSUs") were granted to the Reporting Person as director fees for service on the Issuer's board of directors (the "Board") for the period from October 1, 2024 to September 30, 2025. The RSUs shall vest on March 31, 2026 (the "Vesting Date"), subject to the Reporting Person's continued service on the Board through the Vesting Date. Each RSU represents a contingent right to receive one share of the Issuer's common stock or the cash value thereof. The Board, in its sole discretion, will determine in accordance with the terms and conditions of the Issuer's 2016 Equity Incentive Plan, as amended, the form of payout of the RSUs (cash and/or stock). The Reporting Person shall have the option to defer the settlement of the RSUs until the earlier of such time as the Reporting Person is no longer serving on the Board or up to five years from the vesting date.

Read SEC document
March 02, 2026 Filed Mar 24, 2026 01:01 UTC GrantRestricted Stock Units · Derivative 21,153 $0.00 $0.00
Disclosure

SEC source: 0001213900-26-033165 · ownership.xml · derivative · entry 1

Baker Bridget · CIK 0001584004 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 21,153

Underlying: Common Stock, $0.001 par value · 21,153 shares

Expires not disclosed

F1 · derivative.exercise_price: The Restricted Stock Units (the "RSUs") were granted to the Reporting Person as director fees for service on the Issuer's board of directors (the "Board") for the period from October 1, 2024 to September 30, 2025. The RSUs shall vest on March 31, 2026 (the "Vesting Date"), subject to the Reporting Person's continued service on the Board through the Vesting Date. Each RSU represents a contingent right to receive one share of the Issuer's common stock or the cash value thereof. The Board, in its sole discretion, will determine in accordance with the terms and conditions of the Issuer's 2016 Equity Incentive Plan, as amended, the form of payout of the RSUs (cash and/or stock). The Reporting Person shall have the option to defer the settlement of the RSUs until the earlier of such time as the Reporting Person is no longer serving on the Board or up to five years from the vesting date.

F1 · derivative.exercise_date: The Restricted Stock Units (the "RSUs") were granted to the Reporting Person as director fees for service on the Issuer's board of directors (the "Board") for the period from October 1, 2024 to September 30, 2025. The RSUs shall vest on March 31, 2026 (the "Vesting Date"), subject to the Reporting Person's continued service on the Board through the Vesting Date. Each RSU represents a contingent right to receive one share of the Issuer's common stock or the cash value thereof. The Board, in its sole discretion, will determine in accordance with the terms and conditions of the Issuer's 2016 Equity Incentive Plan, as amended, the form of payout of the RSUs (cash and/or stock). The Reporting Person shall have the option to defer the settlement of the RSUs until the earlier of such time as the Reporting Person is no longer serving on the Board or up to five years from the vesting date.

F1 · derivative.expiration_date: The Restricted Stock Units (the "RSUs") were granted to the Reporting Person as director fees for service on the Issuer's board of directors (the "Board") for the period from October 1, 2024 to September 30, 2025. The RSUs shall vest on March 31, 2026 (the "Vesting Date"), subject to the Reporting Person's continued service on the Board through the Vesting Date. Each RSU represents a contingent right to receive one share of the Issuer's common stock or the cash value thereof. The Board, in its sole discretion, will determine in accordance with the terms and conditions of the Issuer's 2016 Equity Incentive Plan, as amended, the form of payout of the RSUs (cash and/or stock). The Reporting Person shall have the option to defer the settlement of the RSUs until the earlier of such time as the Reporting Person is no longer serving on the Board or up to five years from the vesting date.

Read SEC document
March 02, 2026 Filed Mar 26, 2026 21:00 UTC GrantRestricted Stock Units · Derivative 20,040 $0.00 $0.00
Disclosure

SEC source: 0001213900-26-035008 · ownership.xml · derivative · entry 1

Wright Kristopher · CIK 0001860931 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,040

Underlying: Common Stock, $0.001 par value · 20,040 shares

Expires not disclosed

F1 · derivative.exercise_price: The Restricted Stock Units (the "RSUs") were granted to the Reporting Person as director fees for service on the Issuer's board of directors (the "Board") for the period from October 1, 2024 to September 30, 2025. The RSUs shall vest on March 31, 2026 (the "Vesting Date"), subject to the Reporting Person's continued service on the Board through the Vesting Date. Each RSU represents a contingent right to receive one share of the Issuer's common stock or the cash value thereof. The Board, in its sole discretion, will determine in accordance with the terms and conditions of the Issuer's 2016 Equity Incentive Plan, as amended, the form of payout of the RSUs (cash and/or stock). The Reporting Person shall have the option to defer the settlement of the RSUs until the earlier of such time as the Reporting Person is no longer serving on the Board or up to five years from the vesting date.

F1 · derivative.exercise_date: The Restricted Stock Units (the "RSUs") were granted to the Reporting Person as director fees for service on the Issuer's board of directors (the "Board") for the period from October 1, 2024 to September 30, 2025. The RSUs shall vest on March 31, 2026 (the "Vesting Date"), subject to the Reporting Person's continued service on the Board through the Vesting Date. Each RSU represents a contingent right to receive one share of the Issuer's common stock or the cash value thereof. The Board, in its sole discretion, will determine in accordance with the terms and conditions of the Issuer's 2016 Equity Incentive Plan, as amended, the form of payout of the RSUs (cash and/or stock). The Reporting Person shall have the option to defer the settlement of the RSUs until the earlier of such time as the Reporting Person is no longer serving on the Board or up to five years from the vesting date.

F1 · derivative.expiration_date: The Restricted Stock Units (the "RSUs") were granted to the Reporting Person as director fees for service on the Issuer's board of directors (the "Board") for the period from October 1, 2024 to September 30, 2025. The RSUs shall vest on March 31, 2026 (the "Vesting Date"), subject to the Reporting Person's continued service on the Board through the Vesting Date. Each RSU represents a contingent right to receive one share of the Issuer's common stock or the cash value thereof. The Board, in its sole discretion, will determine in accordance with the terms and conditions of the Issuer's 2016 Equity Incentive Plan, as amended, the form of payout of the RSUs (cash and/or stock). The Reporting Person shall have the option to defer the settlement of the RSUs until the earlier of such time as the Reporting Person is no longer serving on the Board or up to five years from the vesting date.

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March 02, 2026 Filed Mar 31, 2026 01:00 UTC GrantRestricted Stock Units · Derivative 22,266 $0.00 $0.00
Disclosure

SEC source: 0001213900-26-036678 · ownership.xml · derivative · entry 1

Solomon Kenneth A · CIK 0001781934 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 22,266

Underlying: Common Stock, $0.001 par value · 22,266 shares

Expires not disclosed

F1 · derivative.exercise_price: The Restricted Stock Units (the "RSUs") were granted to the Reporting Person as director fees for service on the Issuer's board of directors (the "Board") for the period from October 1, 2024 to September 30, 2025. The RSUs shall vest on March 31, 2026 (the "Vesting Date"), subject to the Reporting Person's continued service on the Board through the Vesting Date. Each RSU represents a contingent right to receive one share of the Issuer's common stock or the cash value thereof. The Board, in its sole discretion, will determine in accordance with the terms and conditions of the Issuer's 2016 Equity Incentive Plan, as amended, the form of payout of the RSUs (cash and/or stock). The Reporting Person shall have the option to defer the settlement of the RSUs until the earlier of such time as the Reporting Person is no longer serving on the Board or up to five years from the vesting date.

F1 · derivative.exercise_date: The Restricted Stock Units (the "RSUs") were granted to the Reporting Person as director fees for service on the Issuer's board of directors (the "Board") for the period from October 1, 2024 to September 30, 2025. The RSUs shall vest on March 31, 2026 (the "Vesting Date"), subject to the Reporting Person's continued service on the Board through the Vesting Date. Each RSU represents a contingent right to receive one share of the Issuer's common stock or the cash value thereof. The Board, in its sole discretion, will determine in accordance with the terms and conditions of the Issuer's 2016 Equity Incentive Plan, as amended, the form of payout of the RSUs (cash and/or stock). The Reporting Person shall have the option to defer the settlement of the RSUs until the earlier of such time as the Reporting Person is no longer serving on the Board or up to five years from the vesting date.

F1 · derivative.expiration_date: The Restricted Stock Units (the "RSUs") were granted to the Reporting Person as director fees for service on the Issuer's board of directors (the "Board") for the period from October 1, 2024 to September 30, 2025. The RSUs shall vest on March 31, 2026 (the "Vesting Date"), subject to the Reporting Person's continued service on the Board through the Vesting Date. Each RSU represents a contingent right to receive one share of the Issuer's common stock or the cash value thereof. The Board, in its sole discretion, will determine in accordance with the terms and conditions of the Issuer's 2016 Equity Incentive Plan, as amended, the form of payout of the RSUs (cash and/or stock). The Reporting Person shall have the option to defer the settlement of the RSUs until the earlier of such time as the Reporting Person is no longer serving on the Board or up to five years from the vesting date.

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March 02, 2026 Filed Apr 9, 2026 01:00 UTC GrantRestricted Stock Units · Derivative 28,946 $0.00 $0.00
Disclosure

SEC source: 0001213900-26-041677 · ownership.xml · derivative · entry 1

Krigsman Jay E. · CIK 0001480034 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 28,946

Underlying: Common Stock, $0.001 par value · 28,946 shares

Expires not disclosed

F1 · derivative.exercise_price: The Restricted Stock Units (the "RSUs") were granted to the Reporting Person as director fees for service on the Issuer's board of directors (the "Board") for the period from October 1, 2024 to September 30, 2025. The RSUs vested on March 31, 2026. Each RSU represents a contingent right to receive one share of the Issuer's common stock or the cash value thereof. The Board, in its sole discretion, will determine in accordance with the terms and conditions of the Issuer's 2016 Equity Incentive Plan, as amended, the form of payout of the RSUs (cash and/or stock). The Reporting Person shall have the option to defer the settlement of the RSUs until the earlier of such time as the Reporting Person is no longer serving on the Board or up to five years from the vesting date.

F1 · derivative.exercise_date: The Restricted Stock Units (the "RSUs") were granted to the Reporting Person as director fees for service on the Issuer's board of directors (the "Board") for the period from October 1, 2024 to September 30, 2025. The RSUs vested on March 31, 2026. Each RSU represents a contingent right to receive one share of the Issuer's common stock or the cash value thereof. The Board, in its sole discretion, will determine in accordance with the terms and conditions of the Issuer's 2016 Equity Incentive Plan, as amended, the form of payout of the RSUs (cash and/or stock). The Reporting Person shall have the option to defer the settlement of the RSUs until the earlier of such time as the Reporting Person is no longer serving on the Board or up to five years from the vesting date.

F1 · derivative.expiration_date: The Restricted Stock Units (the "RSUs") were granted to the Reporting Person as director fees for service on the Issuer's board of directors (the "Board") for the period from October 1, 2024 to September 30, 2025. The RSUs vested on March 31, 2026. Each RSU represents a contingent right to receive one share of the Issuer's common stock or the cash value thereof. The Board, in its sole discretion, will determine in accordance with the terms and conditions of the Issuer's 2016 Equity Incentive Plan, as amended, the form of payout of the RSUs (cash and/or stock). The Reporting Person shall have the option to defer the settlement of the RSUs until the earlier of such time as the Reporting Person is no longer serving on the Board or up to five years from the vesting date.

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July 15, 2025 Filed Jul 17, 2025 21:00 UTC
ELLIN ROBERT SDirector · CEO & Chairman · 10% owner
OtherWarrant · Derivative 1,500,000 Not disclosed Strike: $0.01 Not disclosed
Disclosure

SEC source: 0001213900-25-065287 · ownership.xml · derivative · entry 4

ELLIN ROBERT S · CIK 0001071292 · Director · CEO & Chairman · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote(6)(7))

Disclosed balance after: 1,500,000

Underlying: Common Stock, $0.001 par value · 1,500,000 shares

Expires not disclosed

F3 · derivative.exercise_price: Warrant was issued in connection with the Letter Agreement. The Warrant is exercisable at any time at the option of the Reporting Person at a price of $0.01 per share and expires on July 15, 2028.

F3 · shares: Warrant was issued in connection with the Letter Agreement. The Warrant is exercisable at any time at the option of the Reporting Person at a price of $0.01 per share and expires on July 15, 2028.

F3 · price: Warrant was issued in connection with the Letter Agreement. The Warrant is exercisable at any time at the option of the Reporting Person at a price of $0.01 per share and expires on July 15, 2028.

F3 · derivative.exercise_date: Warrant was issued in connection with the Letter Agreement. The Warrant is exercisable at any time at the option of the Reporting Person at a price of $0.01 per share and expires on July 15, 2028.

F3 · derivative.expiration_date: Warrant was issued in connection with the Letter Agreement. The Warrant is exercisable at any time at the option of the Reporting Person at a price of $0.01 per share and expires on July 15, 2028.

F8 · ownership.nature: The Reporting Person is the Managing Director and Portfolio Manager of Trinad Capital and is deemed to have sole voting and dispositive power over, and accordingly is deemed to have beneficial ownership of, the reported securities.

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July 15, 2025 Filed Jul 17, 2025 21:00 UTC
ELLIN ROBERT SDirector · CEO & Chairman · 10% owner
ConversionSeries A Perpetual Convertible Preferred Stock · Derivative 2,250 Not disclosed Strike: $1.50 Not disclosed
Disclosure

SEC source: 0001213900-25-065287 · ownership.xml · derivative · entry 3

ELLIN ROBERT S · CIK 0001071292 · Director · CEO & Chairman · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote(6)(7))

Disclosed balance after: 2,073.23

Underlying: Common Stock, $0.001 par value · 1,500,000 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 · derivative.exercise_price: On July 15, 2025, Issuer entered into a letter agreement (the "Letter Agreement") with Trinad Capital Master Fund Ltd. ("Trinad Capital"), a fund controlled by the Reporting Person, Issuer's Chief Executive Officer, Chairman, director and principal stockholder, and a holder of Issuer's Series A Perpetual Convertible Preferred Stock (the "Series A Preferred Stock"). Pursuant to the Letter Agreement, Trinad Capital converted 2,250 shares of Series A Preferred Stock into 1,500,000 shares of Issuer's common stock at a price of $1.50 per share

F1 · shares: On July 15, 2025, Issuer entered into a letter agreement (the "Letter Agreement") with Trinad Capital Master Fund Ltd. ("Trinad Capital"), a fund controlled by the Reporting Person, Issuer's Chief Executive Officer, Chairman, director and principal stockholder, and a holder of Issuer's Series A Perpetual Convertible Preferred Stock (the "Series A Preferred Stock"). Pursuant to the Letter Agreement, Trinad Capital converted 2,250 shares of Series A Preferred Stock into 1,500,000 shares of Issuer's common stock at a price of $1.50 per share

F2 · shares: The Series A Preferred Stock is convertible at any time at Trinad Capital's option into shares of Issuer's common stock at a price of $2.10 per share of common stock, bears a dividend of 12% per annum, which initially shall be paid in kind as provided in the Certificate of Designation, is perpetual and has no expiration date. The Series A Preferred Stock has a stated value of $1,000 per share.

F1 · price: On July 15, 2025, Issuer entered into a letter agreement (the "Letter Agreement") with Trinad Capital Master Fund Ltd. ("Trinad Capital"), a fund controlled by the Reporting Person, Issuer's Chief Executive Officer, Chairman, director and principal stockholder, and a holder of Issuer's Series A Perpetual Convertible Preferred Stock (the "Series A Preferred Stock"). Pursuant to the Letter Agreement, Trinad Capital converted 2,250 shares of Series A Preferred Stock into 1,500,000 shares of Issuer's common stock at a price of $1.50 per share

F2 · price: The Series A Preferred Stock is convertible at any time at Trinad Capital's option into shares of Issuer's common stock at a price of $2.10 per share of common stock, bears a dividend of 12% per annum, which initially shall be paid in kind as provided in the Certificate of Designation, is perpetual and has no expiration date. The Series A Preferred Stock has a stated value of $1,000 per share.

F2 · derivative.exercise_date: The Series A Preferred Stock is convertible at any time at Trinad Capital's option into shares of Issuer's common stock at a price of $2.10 per share of common stock, bears a dividend of 12% per annum, which initially shall be paid in kind as provided in the Certificate of Designation, is perpetual and has no expiration date. The Series A Preferred Stock has a stated value of $1,000 per share.

F2 · derivative.expiration_date: The Series A Preferred Stock is convertible at any time at Trinad Capital's option into shares of Issuer's common stock at a price of $2.10 per share of common stock, bears a dividend of 12% per annum, which initially shall be paid in kind as provided in the Certificate of Designation, is perpetual and has no expiration date. The Series A Preferred Stock has a stated value of $1,000 per share.

F1 · derivative.underlying_shares: On July 15, 2025, Issuer entered into a letter agreement (the "Letter Agreement") with Trinad Capital Master Fund Ltd. ("Trinad Capital"), a fund controlled by the Reporting Person, Issuer's Chief Executive Officer, Chairman, director and principal stockholder, and a holder of Issuer's Series A Perpetual Convertible Preferred Stock (the "Series A Preferred Stock"). Pursuant to the Letter Agreement, Trinad Capital converted 2,250 shares of Series A Preferred Stock into 1,500,000 shares of Issuer's common stock at a price of $1.50 per share

F8 · ownership.nature: The Reporting Person is the Managing Director and Portfolio Manager of Trinad Capital and is deemed to have sole voting and dispositive power over, and accordingly is deemed to have beneficial ownership of, the reported securities.

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July 15, 2025 Filed Jul 17, 2025 21:00 UTC
ELLIN ROBERT SDirector · CEO & Chairman · 10% owner
ConversionCommon Stock, $0.001 par value 1,500,000 $1.50 $2,250,000.00
Disclosure

SEC source: 0001213900-25-065287 · ownership.xml · nonDerivative · entry 1

ELLIN ROBERT S · CIK 0001071292 · Director · CEO & Chairman · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnotes

Disclosed balance after: 21,879,952

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 July 15, 2025, Issuer entered into a letter agreement (the "Letter Agreement") with Trinad Capital Master Fund Ltd. ("Trinad Capital"), a fund controlled by the Reporting Person, Issuer's Chief Executive Officer, Chairman, director and principal stockholder, and a holder of Issuer's Series A Perpetual Convertible Preferred Stock (the "Series A Preferred Stock"). Pursuant to the Letter Agreement, Trinad Capital converted 2,250 shares of Series A Preferred Stock into 1,500,000 shares of Issuer's common stock at a price of $1.50 per share

F4 · ownership.nature: Includes (i) 9,890,922 shares of Issuer's common stock owned by Trinad Capital as of July 15, 2025, as the Reporting Person, the Managing Director and Portfolio Manager of Trinad Capital, is deemed to have sole voting and dispositive power over such shares, (ii) 716,216 shares of Issuer's common stock owned by Trinad Capital Management, LLC ("Trinad Management") as of July 15, 2025, as the Reporting Person, the Managing Member of Trinad Management, is deemed to have sole voting and dispositive power over such shares, (iii) 6,817,810 shares of Issuer's common stock owned by JJAT Corp. ("JJAT") as of July 15, 2025, an entity owned by the Reporting Person, as the Reporting Person is deemed to have sole voting and dispositive power over such shares, (continued to footnote 5)

F5 · ownership.nature: (continued from footnote 4), (iv) approximately 987,252 shares of Issuer's common stock issuable as of July 15, 2025 upon conversion of the Series A Preferred Stock held by Trinad Capital (including the dividend to be paid in kind and accrued as of July 15, 2025 (after the conversion reported herein)), which Trinad Capital has the right to convert at the conversion price of $2.10 per share, and (v) 666,667 stock options to purchase shares of Issuer's common stock at an exercise price of $4.00 per share. Accordingly, securities owned by these entities may be regarded as being beneficially owned by the Reporting Person.

F6 · ownership.nature: Each of the Reporting Person and Trinad Management disclaim beneficial ownership of the reported securities except for the (i) Reporting Person's and Trinad Management's pecuniary interest therein, (ii) direct beneficial ownership of Trinad Management as reported herein, (iii) indirect interest of Trinad Management by virtue of being the Managing Director and Portfolio Manager of Trinad Capital, (iv) indirect interest of the Reporting Person by virtue of being a member of Trinad Management, (v) indirect interest of the Reporting Person by virtue of being a shareholder of JJAT, and (vi) indirect interest of the Reporting Person by virtue of being a member of Trinad Capital. This report shall not be deemed an admission that the Reporting Person is the beneficial owner of these securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F7 · ownership.nature: Does not include (i) shares of Issuer's common stock held by a family trust and family foundation as to which the Reporting Person does not exercise voting or dispositive power, and (ii) 88,660 restricted stock units that shall vest on September 7, 2026, subject to earlier vesting in the event of a change in control or the Reporting Person's departure from Issuer.

F8 · ownership.nature: The Reporting Person is the Managing Director and Portfolio Manager of Trinad Capital and is deemed to have sole voting and dispositive power over, and accordingly is deemed to have beneficial ownership of, the reported securities.

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November 14, 2024 Filed Nov 16, 2024 01:00 UTC Exercise / conversionRestricted Stock Units · Derivative 60,510 $0.00 $0.00
Disclosure

SEC source: 0001213900-24-099289 · ownership.xml · derivative · entry 3

Wachsberger Patrick D · CIK 0001765520 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, $0.001 par value · 60,510 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: Restricted Stock Units (the "RSUs") convert into Common Stock on a one-for-one basis.

F3 · derivative.exercise_date: Represents vested RSUs that were granted to the Reporting Person as director fees for service on the Issuer's board of directors for the period from October 1, 2023 to September 30, 2024. Each vested RSU was settled by the Issuer by delivery to the Reporting Person of one share of Issuer's common stock.

F3 · derivative.expiration_date: Represents vested RSUs that were granted to the Reporting Person as director fees for service on the Issuer's board of directors for the period from October 1, 2023 to September 30, 2024. Each vested RSU was settled by the Issuer by delivery to the Reporting Person of one share of Issuer's common stock.

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November 14, 2024 Filed Nov 16, 2024 01:00 UTC Exercise / conversionCommon Stock, $0.001 par value 60,510 Not disclosed Not disclosed
Disclosure

SEC source: 0001213900-24-099289 · ownership.xml · nonDerivative · entry 1

Wachsberger Patrick D · CIK 0001765520 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 60,510

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 · price: Restricted Stock Units (the "RSUs") convert into Common Stock on a one-for-one basis.

Read SEC document
November 14, 2024 Filed Nov 16, 2024 01:00 UTC Exercise / conversionRestricted Stock Units · Derivative 60,510 $0.00 $0.00
Disclosure

SEC source: 0001213900-24-099290 · ownership.xml · derivative · entry 2

Baker Bridget · CIK 0001584004 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, $0.001 par value · 60,510 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: Restricted Stock Units (the "RSUs") convert into Common Stock on a one-for-one basis.

F2 · derivative.exercise_date: Represents vested RSUs that were granted to the Reporting Person as director fees for service on the Issuer's board of directors for the period from October 1, 2023 to September 30, 2024. Each vested RSU was settled by the Issuer by delivery to the Reporting Person of one share of Issuer's common stock.

F2 · derivative.expiration_date: Represents vested RSUs that were granted to the Reporting Person as director fees for service on the Issuer's board of directors for the period from October 1, 2023 to September 30, 2024. Each vested RSU was settled by the Issuer by delivery to the Reporting Person of one share of Issuer's common stock.

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November 14, 2024 Filed Nov 16, 2024 01:00 UTC Exercise / conversionCommon Stock, $0.001 par value 60,510 Not disclosed Not disclosed
Disclosure

SEC source: 0001213900-24-099290 · ownership.xml · nonDerivative · entry 1

Baker Bridget · CIK 0001584004 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 65,510

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 · price: Restricted Stock Units (the "RSUs") convert into Common Stock on a one-for-one basis.

Read SEC document
November 13, 2024 Filed Nov 15, 2024 20:00 UTC Exercise / conversionRestricted Stock Units · Derivative 57,325 $0.00 $0.00
Disclosure

SEC source: 0001213900-24-099288 · ownership.xml · derivative · entry 2

Wright Kristopher · CIK 0001860931 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, $0.001 par value · 57,325 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: Restricted Stock Units (the "RSUs") convert into Common Stock on a one-for-one basis.

F2 · derivative.exercise_date: Represents vested RSUs that were granted to the Reporting Person as director fees for service on the Issuer's board of directors for the period from October 1, 2023 to September 30, 2024. Each vested RSU was settled by the Issuer by delivery to the Reporting Person of one share of Issuer's common stock.

F2 · derivative.expiration_date: Represents vested RSUs that were granted to the Reporting Person as director fees for service on the Issuer's board of directors for the period from October 1, 2023 to September 30, 2024. Each vested RSU was settled by the Issuer by delivery to the Reporting Person of one share of Issuer's common stock.

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November 13, 2024 Filed Nov 15, 2024 20:00 UTC Exercise / conversionCommon Stock, $0.001 par value 57,325 Not disclosed Not disclosed
Disclosure

SEC source: 0001213900-24-099288 · ownership.xml · nonDerivative · entry 1

Wright Kristopher · CIK 0001860931 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 57,325

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 · price: Restricted Stock Units (the "RSUs") convert into Common Stock on a one-for-one basis.

Read SEC document
September 10, 2024 Filed Sep 12, 2024 21:01 UTC GrantRestricted Stock Units · Derivative 57,325 $0.00 $0.00
Disclosure

SEC source: 0001213900-24-078259 · ownership.xml · derivative · entry 1

Wright Kristopher · CIK 0001860931 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 57,325

Underlying: Common Stock, $0.001 par value · 57,325 shares

Expires not disclosed

F1 · derivative.exercise_price: The Restricted Stock Units (the "RSUs") were granted to the Reporting Person as director fees for service on the Issuer's board of directors (the "Board") for the period from October 1, 2023 to September 30, 2024. The RSUs shall vest on October 31, 2024 (the "Vesting Date"), subject to the Reporting Person's continued service on the Board through the Vesting Date. Each RSU represents a contingent right to receive one share of the Issuer's common stock or the cash value thereof. The Board, in its sole discretion, will determine in accordance with the terms and conditions of the Issuer's 2016 Equity Incentive Plan, as amended, the form of payout of the RSUs (cash and/or stock). The Reporting Person shall have the option to defer the settlement of the RSUs until the earlier of such time as the Reporting Person is no longer serving on the Board or up to five years from the vesting date.

F1 · derivative.exercise_date: The Restricted Stock Units (the "RSUs") were granted to the Reporting Person as director fees for service on the Issuer's board of directors (the "Board") for the period from October 1, 2023 to September 30, 2024. The RSUs shall vest on October 31, 2024 (the "Vesting Date"), subject to the Reporting Person's continued service on the Board through the Vesting Date. Each RSU represents a contingent right to receive one share of the Issuer's common stock or the cash value thereof. The Board, in its sole discretion, will determine in accordance with the terms and conditions of the Issuer's 2016 Equity Incentive Plan, as amended, the form of payout of the RSUs (cash and/or stock). The Reporting Person shall have the option to defer the settlement of the RSUs until the earlier of such time as the Reporting Person is no longer serving on the Board or up to five years from the vesting date.

F1 · derivative.expiration_date: The Restricted Stock Units (the "RSUs") were granted to the Reporting Person as director fees for service on the Issuer's board of directors (the "Board") for the period from October 1, 2023 to September 30, 2024. The RSUs shall vest on October 31, 2024 (the "Vesting Date"), subject to the Reporting Person's continued service on the Board through the Vesting Date. Each RSU represents a contingent right to receive one share of the Issuer's common stock or the cash value thereof. The Board, in its sole discretion, will determine in accordance with the terms and conditions of the Issuer's 2016 Equity Incentive Plan, as amended, the form of payout of the RSUs (cash and/or stock). The Reporting Person shall have the option to defer the settlement of the RSUs until the earlier of such time as the Reporting Person is no longer serving on the Board or up to five years from the vesting date.

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September 10, 2024 Filed Sep 13, 2024 01:01 UTC GrantRestricted Stock Units · Derivative 60,510 $0.00 $0.00
Disclosure

SEC source: 0001213900-24-078260 · ownership.xml · derivative · entry 1

Wachsberger Patrick D · CIK 0001765520 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 60,510

Underlying: Common Stock, $0.001 par value · 60,510 shares

Expires not disclosed

F1 · derivative.exercise_price: The Restricted Stock Units (the "RSUs") were granted to the Reporting Person as director fees for service on the Issuer's board of directors (the "Board") for the period from October 1, 2023 to September 30, 2024. The RSUs shall vest on October 31, 2024 (the "Vesting Date"), subject to the Reporting Person's continued service on the Board through the Vesting Date. Each RSU represents a contingent right to receive one share of the Issuer's common stock or the cash value thereof. The Board, in its sole discretion, will determine in accordance with the terms and conditions of the Issuer's 2016 Equity Incentive Plan, as amended, the form of payout of the RSUs (cash and/or stock). The Reporting Person shall have the option to defer the settlement of the RSUs until the earlier of such time as the Reporting Person is no longer serving on the Board or up to five years from the vesting date.

F1 · derivative.exercise_date: The Restricted Stock Units (the "RSUs") were granted to the Reporting Person as director fees for service on the Issuer's board of directors (the "Board") for the period from October 1, 2023 to September 30, 2024. The RSUs shall vest on October 31, 2024 (the "Vesting Date"), subject to the Reporting Person's continued service on the Board through the Vesting Date. Each RSU represents a contingent right to receive one share of the Issuer's common stock or the cash value thereof. The Board, in its sole discretion, will determine in accordance with the terms and conditions of the Issuer's 2016 Equity Incentive Plan, as amended, the form of payout of the RSUs (cash and/or stock). The Reporting Person shall have the option to defer the settlement of the RSUs until the earlier of such time as the Reporting Person is no longer serving on the Board or up to five years from the vesting date.

F1 · derivative.expiration_date: The Restricted Stock Units (the "RSUs") were granted to the Reporting Person as director fees for service on the Issuer's board of directors (the "Board") for the period from October 1, 2023 to September 30, 2024. The RSUs shall vest on October 31, 2024 (the "Vesting Date"), subject to the Reporting Person's continued service on the Board through the Vesting Date. Each RSU represents a contingent right to receive one share of the Issuer's common stock or the cash value thereof. The Board, in its sole discretion, will determine in accordance with the terms and conditions of the Issuer's 2016 Equity Incentive Plan, as amended, the form of payout of the RSUs (cash and/or stock). The Reporting Person shall have the option to defer the settlement of the RSUs until the earlier of such time as the Reporting Person is no longer serving on the Board or up to five years from the vesting date.

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September 10, 2024 Filed Sep 13, 2024 01:00 UTC GrantRestricted Stock Units · Derivative 73,248 $0.00 $0.00
Disclosure

SEC source: 0001213900-24-078258 · ownership.xml · derivative · entry 1

Foster Craig L · CIK 0001572394 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 73,248

Underlying: Common Stock, $0.001 par value · 73,248 shares

Expires not disclosed

F1 · derivative.exercise_price: The Restricted Stock Units (the "RSUs") were granted to the Reporting Person as director fees for service on the Issuer's board of directors (the "Board") for the period from October 1, 2023 to September 30, 2024. The RSUs shall vest on October 31, 2024 (the "Vesting Date"), subject to the Reporting Person's continued service on the Board through the Vesting Date. Each RSU represents a contingent right to receive one share of the Issuer's common stock or the cash value thereof. The Board, in its sole discretion, will determine in accordance with the terms and conditions of the Issuer's 2016 Equity Incentive Plan, as amended, the form of payout of the RSUs (cash and/or stock). The Reporting Person shall have the option to defer the settlement of the RSUs until the earlier of such time as the Reporting Person is no longer serving on the Board or up to five years from the vesting date.

F1 · derivative.exercise_date: The Restricted Stock Units (the "RSUs") were granted to the Reporting Person as director fees for service on the Issuer's board of directors (the "Board") for the period from October 1, 2023 to September 30, 2024. The RSUs shall vest on October 31, 2024 (the "Vesting Date"), subject to the Reporting Person's continued service on the Board through the Vesting Date. Each RSU represents a contingent right to receive one share of the Issuer's common stock or the cash value thereof. The Board, in its sole discretion, will determine in accordance with the terms and conditions of the Issuer's 2016 Equity Incentive Plan, as amended, the form of payout of the RSUs (cash and/or stock). The Reporting Person shall have the option to defer the settlement of the RSUs until the earlier of such time as the Reporting Person is no longer serving on the Board or up to five years from the vesting date.

F1 · derivative.expiration_date: The Restricted Stock Units (the "RSUs") were granted to the Reporting Person as director fees for service on the Issuer's board of directors (the "Board") for the period from October 1, 2023 to September 30, 2024. The RSUs shall vest on October 31, 2024 (the "Vesting Date"), subject to the Reporting Person's continued service on the Board through the Vesting Date. Each RSU represents a contingent right to receive one share of the Issuer's common stock or the cash value thereof. The Board, in its sole discretion, will determine in accordance with the terms and conditions of the Issuer's 2016 Equity Incentive Plan, as amended, the form of payout of the RSUs (cash and/or stock). The Reporting Person shall have the option to defer the settlement of the RSUs until the earlier of such time as the Reporting Person is no longer serving on the Board or up to five years from the vesting date.

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September 10, 2024 Filed Sep 13, 2024 01:02 UTC
Arani RaminDirector
GrantRestricted Stock Units · Derivative 63,694 $0.00 $0.00
Disclosure

SEC source: 0001213900-24-078261 · ownership.xml · derivative · entry 1

Arani Ramin · CIK 0001764185 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 63,694

Underlying: Common Stock, $0.001 par value · 63,694 shares

Expires not disclosed

F1 · derivative.exercise_price: The Restricted Stock Units (the "RSUs") were granted to the Reporting Person as director fees for service on the Issuer's board of directors (the "Board") for the period from October 1, 2023 to September 30, 2024. The RSUs shall vest on October 31, 2024 (the "Vesting Date"), subject to the Reporting Person's continued service on the Board through the Vesting Date. Each RSU represents a contingent right to receive one share of the Issuer's common stock or the cash value thereof. The Board, in its sole discretion, will determine in accordance with the terms and conditions of the Issuer's 2016 Equity Incentive Plan, as amended, the form of payout of the RSUs (cash and/or stock). The Reporting Person shall have the option to defer the settlement of the RSUs until the earlier of such time as the Reporting Person is no longer serving on the Board or up to five years from the vesting date.

F1 · derivative.exercise_date: The Restricted Stock Units (the "RSUs") were granted to the Reporting Person as director fees for service on the Issuer's board of directors (the "Board") for the period from October 1, 2023 to September 30, 2024. The RSUs shall vest on October 31, 2024 (the "Vesting Date"), subject to the Reporting Person's continued service on the Board through the Vesting Date. Each RSU represents a contingent right to receive one share of the Issuer's common stock or the cash value thereof. The Board, in its sole discretion, will determine in accordance with the terms and conditions of the Issuer's 2016 Equity Incentive Plan, as amended, the form of payout of the RSUs (cash and/or stock). The Reporting Person shall have the option to defer the settlement of the RSUs until the earlier of such time as the Reporting Person is no longer serving on the Board or up to five years from the vesting date.

F1 · derivative.expiration_date: The Restricted Stock Units (the "RSUs") were granted to the Reporting Person as director fees for service on the Issuer's board of directors (the "Board") for the period from October 1, 2023 to September 30, 2024. The RSUs shall vest on October 31, 2024 (the "Vesting Date"), subject to the Reporting Person's continued service on the Board through the Vesting Date. Each RSU represents a contingent right to receive one share of the Issuer's common stock or the cash value thereof. The Board, in its sole discretion, will determine in accordance with the terms and conditions of the Issuer's 2016 Equity Incentive Plan, as amended, the form of payout of the RSUs (cash and/or stock). The Reporting Person shall have the option to defer the settlement of the RSUs until the earlier of such time as the Reporting Person is no longer serving on the Board or up to five years from the vesting date.

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September 10, 2024 Filed Sep 13, 2024 01:00 UTC GrantRestricted Stock Units · Derivative 60,510 $0.00 $0.00
Disclosure

SEC source: 0001213900-24-078257 · ownership.xml · derivative · entry 1

Baker Bridget · CIK 0001584004 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 60,510

Underlying: Common Stock, $0.001 par value · 60,510 shares

Expires not disclosed

F1 · derivative.exercise_price: The Restricted Stock Units (the "RSUs") were granted to the Reporting Person as director fees for service on the Issuer's board of directors (the "Board") for the period from October 1, 2023 to September 30, 2024. The RSUs shall vest on October 31, 2024 (the "Vesting Date"), subject to the Reporting Person's continued service on the Board through the Vesting Date. Each RSU represents a contingent right to receive one share of the Issuer's common stock or the cash value thereof. The Board, in its sole discretion, will determine in accordance with the terms and conditions of the Issuer's 2016 Equity Incentive Plan, as amended, the form of payout of the RSUs (cash and/or stock). The Reporting Person shall have the option to defer the settlement of the RSUs until the earlier of such time as the Reporting Person is no longer serving on the Board or up to five years from the vesting date.

F1 · derivative.exercise_date: The Restricted Stock Units (the "RSUs") were granted to the Reporting Person as director fees for service on the Issuer's board of directors (the "Board") for the period from October 1, 2023 to September 30, 2024. The RSUs shall vest on October 31, 2024 (the "Vesting Date"), subject to the Reporting Person's continued service on the Board through the Vesting Date. Each RSU represents a contingent right to receive one share of the Issuer's common stock or the cash value thereof. The Board, in its sole discretion, will determine in accordance with the terms and conditions of the Issuer's 2016 Equity Incentive Plan, as amended, the form of payout of the RSUs (cash and/or stock). The Reporting Person shall have the option to defer the settlement of the RSUs until the earlier of such time as the Reporting Person is no longer serving on the Board or up to five years from the vesting date.

F1 · derivative.expiration_date: The Restricted Stock Units (the "RSUs") were granted to the Reporting Person as director fees for service on the Issuer's board of directors (the "Board") for the period from October 1, 2023 to September 30, 2024. The RSUs shall vest on October 31, 2024 (the "Vesting Date"), subject to the Reporting Person's continued service on the Board through the Vesting Date. Each RSU represents a contingent right to receive one share of the Issuer's common stock or the cash value thereof. The Board, in its sole discretion, will determine in accordance with the terms and conditions of the Issuer's 2016 Equity Incentive Plan, as amended, the form of payout of the RSUs (cash and/or stock). The Reporting Person shall have the option to defer the settlement of the RSUs until the earlier of such time as the Reporting Person is no longer serving on the Board or up to five years from the vesting date.

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September 10, 2024 Filed Sep 24, 2024 01:53 UTC GrantRestricted Stock Units · Derivative 66,879 $0.00 $0.00
Disclosure

SEC source: 0001213900-24-081173 · ownership.xml · derivative · entry 1

Krigsman Jay E. · CIK 0001480034 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 66,879

Underlying: Common Stock, $0.001 par value · 66,879 shares

Expires not disclosed

F1 · derivative.exercise_price: The Restricted Stock Units (the "RSUs") were granted to the Reporting Person as director fees for service on the Issuer's board of directors (the "Board") for the period from October 1, 2023 to September 30, 2024. The RSUs shall vest on October 31, 2024 (the "Vesting Date"), subject to the Reporting Person's continued service on the Board through the Vesting Date. Each RSU represents a contingent right to receive one share of the Issuer's common stock or the cash value thereof. The Board, in its sole discretion, will determine in accordance with the terms and conditions of the Issuer's 2016 Equity Incentive Plan, as amended, the form of payout of the RSUs (cash and/or stock). The Reporting Person shall have the option to defer the settlement of the RSUs until the earlier of such time as the Reporting Person is no longer serving on the Board or up to five years from the vesting date.

F1 · derivative.exercise_date: The Restricted Stock Units (the "RSUs") were granted to the Reporting Person as director fees for service on the Issuer's board of directors (the "Board") for the period from October 1, 2023 to September 30, 2024. The RSUs shall vest on October 31, 2024 (the "Vesting Date"), subject to the Reporting Person's continued service on the Board through the Vesting Date. Each RSU represents a contingent right to receive one share of the Issuer's common stock or the cash value thereof. The Board, in its sole discretion, will determine in accordance with the terms and conditions of the Issuer's 2016 Equity Incentive Plan, as amended, the form of payout of the RSUs (cash and/or stock). The Reporting Person shall have the option to defer the settlement of the RSUs until the earlier of such time as the Reporting Person is no longer serving on the Board or up to five years from the vesting date.

F1 · derivative.expiration_date: The Restricted Stock Units (the "RSUs") were granted to the Reporting Person as director fees for service on the Issuer's board of directors (the "Board") for the period from October 1, 2023 to September 30, 2024. The RSUs shall vest on October 31, 2024 (the "Vesting Date"), subject to the Reporting Person's continued service on the Board through the Vesting Date. Each RSU represents a contingent right to receive one share of the Issuer's common stock or the cash value thereof. The Board, in its sole discretion, will determine in accordance with the terms and conditions of the Issuer's 2016 Equity Incentive Plan, as amended, the form of payout of the RSUs (cash and/or stock). The Reporting Person shall have the option to defer the settlement of the RSUs until the earlier of such time as the Reporting Person is no longer serving on the Board or up to five years from the vesting date.

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September 10, 2024 Filed Sep 24, 2024 20:30 UTC GrantRestricted Stock Units · Derivative 63,694 $0.00 $0.00
Disclosure

SEC source: 0001213900-24-081444 · ownership.xml · derivative · entry 1

Solomon Kenneth A · CIK 0001781934 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 63,694

Underlying: Common Stock, $0.001 par value · 63,694 shares

Expires not disclosed

F1 · derivative.exercise_price: The Restricted Stock Units (the "RSUs") were granted to the Reporting Person as director fees for service on the Issuer's board of directors (the "Board") for the period from October 1, 2023 to September 30, 2024. The RSUs shall vest on October 31, 2024 (the "Vesting Date"), subject to the Reporting Person's continued service on the Board through the Vesting Date. Each RSU represents a contingent right to receive one share of the Issuer's common stock or the cash value thereof. The Board, in its sole discretion, will determine in accordance with the terms and conditions of the Issuer's 2016 Equity Incentive Plan, as amended, the form of payout of the RSUs (cash and/or stock). The Reporting Person shall have the option to defer the settlement of the RSUs until the earlier of such time as the Reporting Person is no longer serving on the Board or up to five years from the vesting date.

F1 · derivative.exercise_date: The Restricted Stock Units (the "RSUs") were granted to the Reporting Person as director fees for service on the Issuer's board of directors (the "Board") for the period from October 1, 2023 to September 30, 2024. The RSUs shall vest on October 31, 2024 (the "Vesting Date"), subject to the Reporting Person's continued service on the Board through the Vesting Date. Each RSU represents a contingent right to receive one share of the Issuer's common stock or the cash value thereof. The Board, in its sole discretion, will determine in accordance with the terms and conditions of the Issuer's 2016 Equity Incentive Plan, as amended, the form of payout of the RSUs (cash and/or stock). The Reporting Person shall have the option to defer the settlement of the RSUs until the earlier of such time as the Reporting Person is no longer serving on the Board or up to five years from the vesting date.

F1 · derivative.expiration_date: The Restricted Stock Units (the "RSUs") were granted to the Reporting Person as director fees for service on the Issuer's board of directors (the "Board") for the period from October 1, 2023 to September 30, 2024. The RSUs shall vest on October 31, 2024 (the "Vesting Date"), subject to the Reporting Person's continued service on the Board through the Vesting Date. Each RSU represents a contingent right to receive one share of the Issuer's common stock or the cash value thereof. The Board, in its sole discretion, will determine in accordance with the terms and conditions of the Issuer's 2016 Equity Incentive Plan, as amended, the form of payout of the RSUs (cash and/or stock). The Reporting Person shall have the option to defer the settlement of the RSUs until the earlier of such time as the Reporting Person is no longer serving on the Board or up to five years from the vesting date.

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June 07, 2024 Filed Jun 13, 2024 01:31 UTC
Sullivan AaronCFO, Controller & EVP
Exercise / conversionRestricted Stock Units · Derivative 75,000 $0.00 $0.00
Disclosure

SEC source: 0001213900-24-052214 · ownership.xml · derivative · entry 3

Sullivan Aaron · CIK 0001941801 · CFO, Controller & EVP

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, $0.001 par value · 75,000 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 · derivative.exercise_price: Restricted Stock Units convert into Common Stock on a one-for-one basis.

F2 · derivative.exercise_date: Represents 75,000 vested Restricted Stock Units ("RSUs") that were settled on the reported date out of 75,000 RSUs granted to the Reporting Person on April 4, 2022. Each vested RSU was settled by Issuer by delivery to the Reporting Person of one share of Issuer's common stock.

F2 · derivative.expiration_date: Represents 75,000 vested Restricted Stock Units ("RSUs") that were settled on the reported date out of 75,000 RSUs granted to the Reporting Person on April 4, 2022. Each vested RSU was settled by Issuer by delivery to the Reporting Person of one share of Issuer's common stock.

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June 07, 2024 Filed Jun 13, 2024 01:31 UTC
Sullivan AaronCFO, Controller & EVP
OtherCommon Stock, $0.001 par value 27,400 $1.70 $46,610.14
Disclosure

SEC source: 0001213900-24-052214 · ownership.xml · nonDerivative · entry 2

Sullivan Aaron · CIK 0001941801 · CFO, Controller & EVP

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 122,956

F3 · price: On the reported date these shares were sold by Issuer's broker into the open market solely to satisfy the Reporting Person's required tax withholding in connection with the settlement of the RSUs reported herein. The sale price represents a weighted average price as multiple executions were involved in completing the sale transaction. Additional detail regarding the individual execution prices is available upon request.

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June 07, 2024 Filed Jun 13, 2024 01:31 UTC
Sullivan AaronCFO, Controller & EVP
Exercise / conversionCommon Stock, $0.001 par value 75,000 Not disclosed Not disclosed
Disclosure

SEC source: 0001213900-24-052214 · ownership.xml · nonDerivative · entry 1

Sullivan Aaron · CIK 0001941801 · CFO, Controller & EVP

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 150,356

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 · price: Restricted Stock Units convert into Common Stock on a one-for-one basis.

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April 01, 2024 Filed Apr 3, 2024 21:30 UTC
ELLIN ROBERT SDirector · CEO & Chairman · 10% owner
OtherWarrant · Derivative 535,399 Not disclosed Strike: $2.10 Not disclosed
Disclosure

SEC source: 0001213900-24-030038 · ownership.xml · derivative · entry 4

ELLIN ROBERT S · CIK 0001071292 · Director · CEO & Chairman · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 535,399

Underlying: Common Stock, $0.001 par value · 535,399 shares

Expires not disclosed

F3 · derivative.exercise_price: Warrant was issued in connection with the Letter Agreement. The Warrant is exercisable at any time at the option of the Reporting Person at a price of $2.10 per share and expires on April 1, 2027.

F3 · shares: Warrant was issued in connection with the Letter Agreement. The Warrant is exercisable at any time at the option of the Reporting Person at a price of $2.10 per share and expires on April 1, 2027.

F3 · price: Warrant was issued in connection with the Letter Agreement. The Warrant is exercisable at any time at the option of the Reporting Person at a price of $2.10 per share and expires on April 1, 2027.

F3 · derivative.exercise_date: Warrant was issued in connection with the Letter Agreement. The Warrant is exercisable at any time at the option of the Reporting Person at a price of $2.10 per share and expires on April 1, 2027.

F3 · derivative.expiration_date: Warrant was issued in connection with the Letter Agreement. The Warrant is exercisable at any time at the option of the Reporting Person at a price of $2.10 per share and expires on April 1, 2027.

F6 · ownership.nature: Each of the Reporting Person and Trinad Management disclaim beneficial ownership of the reported securities except for the (i) Reporting Person's and Trinad Management's pecuniary interest therein, (ii) direct beneficial ownership of Trinad Management as reported herein, (iii) indirect interest of Trinad Management by virtue of being the Managing Director and Portfolio Manager of Trinad Capital, (iv) indirect interest of the Reporting Person by virtue of being a member of Trinad Management, (v) indirect interest of the Reporting Person by virtue of being a shareholder of JJAT, and (vi) indirect interest of the Reporting Person by virtue of being a member of Trinad Capital. This report shall not be deemed an admission that the Reporting Person is the beneficial owner of these securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F7 · ownership.nature: Does not include (i) shares of Issuer's common stock held by a family trust and family foundation as to which the Reporting Person does not exercise voting or dispositive power, and (ii) 88,660 restricted stock units that shall vest on September 7, 2024, subject to earlier vesting in the event of a change in control or the Reporting Person's departure from Issuer.

F8 · ownership.nature: The Reporting Person is the Managing Director and Portfolio Manager of Trinad Capital and is deemed to have sole voting and dispositive power over, and accordingly is deemed to have beneficial ownership of, the reported securities.

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April 01, 2024 Filed Apr 3, 2024 21:30 UTC
ELLIN ROBERT SDirector · CEO & Chairman · 10% owner
ConversionSeries A Perpetual Convertible Preferred Stock · Derivative 3,395.09 Not disclosed Strike: $2.10 Not disclosed
Disclosure

SEC source: 0001213900-24-030038 · ownership.xml · derivative · entry 3

ELLIN ROBERT S · CIK 0001071292 · Director · CEO & Chairman · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 3,700.11

Underlying: Common Stock, $0.001 par value · 1,616,709 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: On April 1, 2024, Issuer entered into a letter agreement (the "Letter Agreement") with Trinad Capital Master Fund Ltd. ("Trinad Capital"), a fund controlled by the Reporting Person, Issuer's Chief Executive Officer, Chairman, director and principal stockholder, and a holder of Issuer's Series A Perpetual Convertible Preferred Stock (the "Series A Preferred Stock"). Pursuant to the Letter Agreement, Trinad Capital converted 3,395.09 shares of Series A Preferred Stock into 1,616,709 shares of Issuer's common stock at a price of $2.10 per share.

F1 · shares: On April 1, 2024, Issuer entered into a letter agreement (the "Letter Agreement") with Trinad Capital Master Fund Ltd. ("Trinad Capital"), a fund controlled by the Reporting Person, Issuer's Chief Executive Officer, Chairman, director and principal stockholder, and a holder of Issuer's Series A Perpetual Convertible Preferred Stock (the "Series A Preferred Stock"). Pursuant to the Letter Agreement, Trinad Capital converted 3,395.09 shares of Series A Preferred Stock into 1,616,709 shares of Issuer's common stock at a price of $2.10 per share.

F2 · shares: The Series A Preferred Stock is convertible at any time at Trinad Capital's option into shares of Issuer's common stock at a price of $2.10 per share of common stock, bears a dividend of 12% per annum, which initially shall be paid in kind as provided in the Certificate of Designation, is perpetual and has no expiration date. The Series A Preferred Stock has a stated value of $1,000 per share.

F1 · price: On April 1, 2024, Issuer entered into a letter agreement (the "Letter Agreement") with Trinad Capital Master Fund Ltd. ("Trinad Capital"), a fund controlled by the Reporting Person, Issuer's Chief Executive Officer, Chairman, director and principal stockholder, and a holder of Issuer's Series A Perpetual Convertible Preferred Stock (the "Series A Preferred Stock"). Pursuant to the Letter Agreement, Trinad Capital converted 3,395.09 shares of Series A Preferred Stock into 1,616,709 shares of Issuer's common stock at a price of $2.10 per share.

F2 · price: The Series A Preferred Stock is convertible at any time at Trinad Capital's option into shares of Issuer's common stock at a price of $2.10 per share of common stock, bears a dividend of 12% per annum, which initially shall be paid in kind as provided in the Certificate of Designation, is perpetual and has no expiration date. The Series A Preferred Stock has a stated value of $1,000 per share.

F2 · derivative.exercise_date: The Series A Preferred Stock is convertible at any time at Trinad Capital's option into shares of Issuer's common stock at a price of $2.10 per share of common stock, bears a dividend of 12% per annum, which initially shall be paid in kind as provided in the Certificate of Designation, is perpetual and has no expiration date. The Series A Preferred Stock has a stated value of $1,000 per share.

F2 · derivative.expiration_date: The Series A Preferred Stock is convertible at any time at Trinad Capital's option into shares of Issuer's common stock at a price of $2.10 per share of common stock, bears a dividend of 12% per annum, which initially shall be paid in kind as provided in the Certificate of Designation, is perpetual and has no expiration date. The Series A Preferred Stock has a stated value of $1,000 per share.

F1 · derivative.underlying_shares: On April 1, 2024, Issuer entered into a letter agreement (the "Letter Agreement") with Trinad Capital Master Fund Ltd. ("Trinad Capital"), a fund controlled by the Reporting Person, Issuer's Chief Executive Officer, Chairman, director and principal stockholder, and a holder of Issuer's Series A Perpetual Convertible Preferred Stock (the "Series A Preferred Stock"). Pursuant to the Letter Agreement, Trinad Capital converted 3,395.09 shares of Series A Preferred Stock into 1,616,709 shares of Issuer's common stock at a price of $2.10 per share.

F6 · ownership.nature: Each of the Reporting Person and Trinad Management disclaim beneficial ownership of the reported securities except for the (i) Reporting Person's and Trinad Management's pecuniary interest therein, (ii) direct beneficial ownership of Trinad Management as reported herein, (iii) indirect interest of Trinad Management by virtue of being the Managing Director and Portfolio Manager of Trinad Capital, (iv) indirect interest of the Reporting Person by virtue of being a member of Trinad Management, (v) indirect interest of the Reporting Person by virtue of being a shareholder of JJAT, and (vi) indirect interest of the Reporting Person by virtue of being a member of Trinad Capital. This report shall not be deemed an admission that the Reporting Person is the beneficial owner of these securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F7 · ownership.nature: Does not include (i) shares of Issuer's common stock held by a family trust and family foundation as to which the Reporting Person does not exercise voting or dispositive power, and (ii) 88,660 restricted stock units that shall vest on September 7, 2024, subject to earlier vesting in the event of a change in control or the Reporting Person's departure from Issuer.

F8 · ownership.nature: The Reporting Person is the Managing Director and Portfolio Manager of Trinad Capital and is deemed to have sole voting and dispositive power over, and accordingly is deemed to have beneficial ownership of, the reported securities.

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April 01, 2024 Filed Apr 3, 2024 21:30 UTC
ELLIN ROBERT SDirector · CEO & Chairman · 10% owner
ConversionCommon Stock, $0.001 par value 1,616,709 $2.10 $3,395,088.90
Disclosure

SEC source: 0001213900-24-030038 · ownership.xml · nonDerivative · entry 1

ELLIN ROBERT S · CIK 0001071292 · Director · CEO & Chairman · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnotes

Disclosed balance after: 19,654,656

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 April 1, 2024, Issuer entered into a letter agreement (the "Letter Agreement") with Trinad Capital Master Fund Ltd. ("Trinad Capital"), a fund controlled by the Reporting Person, Issuer's Chief Executive Officer, Chairman, director and principal stockholder, and a holder of Issuer's Series A Perpetual Convertible Preferred Stock (the "Series A Preferred Stock"). Pursuant to the Letter Agreement, Trinad Capital converted 3,395.09 shares of Series A Preferred Stock into 1,616,709 shares of Issuer's common stock at a price of $2.10 per share.

F4 · ownership.nature: Includes (i) 7,539,899 shares of Issuer's common stock owned by Trinad Capital as of April 1, 2024, as the Reporting Person, the Managing Director and Portfolio Manager of Trinad Capital, is deemed to have sole voting and dispositive power over such shares, (ii) 716,216 shares of Issuer's common stock owned by Trinad Capital Management, LLC ("Trinad Management") as of April 1, 2024, as the Reporting Person, the Managing Member of Trinad Management, is deemed to have sole voting and dispositive power over such shares, (iii) 6,817,810 shares of Issuer's common stock owned by JJAT Corp. ("JJAT") as of April 1, 2024, an entity owned by the Reporting Person, as the Reporting Person is deemed to have sole voting and dispositive power over such shares, (continued to footnote 5)

F5 · ownership.nature: (continued from footnote 4), (iv) approximately 1,761,956 shares of Issuer's common stock issuable as of April 1, 2024upon conversion of the Series A Preferred Stock held by Trinad Capital (including the dividend to be paid in kind and accrued as of April 1, 2024), which Trinad Capital has the right to convert at the conversion price of $2.10 per share, and (v) 666,667 stock options to purchase shares of Issuer's common stock at an exercise price of $4.00 per share. Accordingly, securities owned by these entities may be regarded as being beneficially owned by the Reporting Person.

F6 · ownership.nature: Each of the Reporting Person and Trinad Management disclaim beneficial ownership of the reported securities except for the (i) Reporting Person's and Trinad Management's pecuniary interest therein, (ii) direct beneficial ownership of Trinad Management as reported herein, (iii) indirect interest of Trinad Management by virtue of being the Managing Director and Portfolio Manager of Trinad Capital, (iv) indirect interest of the Reporting Person by virtue of being a member of Trinad Management, (v) indirect interest of the Reporting Person by virtue of being a shareholder of JJAT, and (vi) indirect interest of the Reporting Person by virtue of being a member of Trinad Capital. This report shall not be deemed an admission that the Reporting Person is the beneficial owner of these securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F7 · ownership.nature: Does not include (i) shares of Issuer's common stock held by a family trust and family foundation as to which the Reporting Person does not exercise voting or dispositive power, and (ii) 88,660 restricted stock units that shall vest on September 7, 2024, subject to earlier vesting in the event of a change in control or the Reporting Person's departure from Issuer.

F8 · ownership.nature: The Reporting Person is the Managing Director and Portfolio Manager of Trinad Capital and is deemed to have sole voting and dispositive power over, and accordingly is deemed to have beneficial ownership of, the reported securities.

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January 24, 2024 Filed Jan 31, 2024 01:46 UTC
Sullivan AaronCFO, EVP, Treas & Secr
GrantRestricted Stock Units · Derivative 350,000 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001213900-24-008073 · ownership.xml · derivative · entry 1

Sullivan Aaron · CIK 0001941801 · CFO, EVP, Treas & Secr

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 350,000

Underlying: Common Stock, $0.001 par value · 350,000 shares

Expires not disclosed

F1 · derivative.exercise_date: Represents Restricted Stock Units (the "RSUs") granted to the Reporting Person pursuant to the Employment Agreement, dated as of January 24, 2024 (the "EA"), entered into between the Reporting Person and the Issuer. 175,000 of the RSUs shall vest during the first open trading window under the Issuer's Insider Trading Policy which occurs after October 1, 2024 (anticipated to be in November 2024) (the "Initial Vesting Date"), and the remaining RSUs shall vest thereafter in equal amounts of 43,750 RSUs on each successive quarterly anniversary of the Initial Vesting Date, with the last tranche to vest on October 1, 2025 (inclusive), subject to the Reporting Person's continued employment with the Issuer through each applicable vesting date (continued to Footnote 2)

F2 · derivative.exercise_date: (continued from Footnote 1) and subject to earlier full vesting upon a Company Change of Control (as defined in the EA), or such other earlier vesting acceleration conditions as provided in the EA. Each vested RSU shall be settled by delivery to the Reporting Person of one share of the Issuer's common stock on the first to occur of: (i) promptly after the applicable vesting date, (ii) the date of a Company Change of Control, (iii) the date of the Reporting Person's death or Disability (as defined in the EA), and (iv) such other earlier settlement as provided in the EA.

F1 · derivative.expiration_date: Represents Restricted Stock Units (the "RSUs") granted to the Reporting Person pursuant to the Employment Agreement, dated as of January 24, 2024 (the "EA"), entered into between the Reporting Person and the Issuer. 175,000 of the RSUs shall vest during the first open trading window under the Issuer's Insider Trading Policy which occurs after October 1, 2024 (anticipated to be in November 2024) (the "Initial Vesting Date"), and the remaining RSUs shall vest thereafter in equal amounts of 43,750 RSUs on each successive quarterly anniversary of the Initial Vesting Date, with the last tranche to vest on October 1, 2025 (inclusive), subject to the Reporting Person's continued employment with the Issuer through each applicable vesting date (continued to Footnote 2)

F2 · derivative.expiration_date: (continued from Footnote 1) and subject to earlier full vesting upon a Company Change of Control (as defined in the EA), or such other earlier vesting acceleration conditions as provided in the EA. Each vested RSU shall be settled by delivery to the Reporting Person of one share of the Issuer's common stock on the first to occur of: (i) promptly after the applicable vesting date, (ii) the date of a Company Change of Control, (iii) the date of the Reporting Person's death or Disability (as defined in the EA), and (iv) such other earlier settlement as provided in the EA.

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November 14, 2023 Filed Nov 15, 2023 21:30 UTC SaleCommon Stock, $0.001 par value 11,000 $1.09 $11,990.00
Disclosure

SEC source: 0001213900-23-087696 · ownership.xml · nonDerivative · entry 1

Wright Kristopher · CIK 0001860931 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 0

F1 · price: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.09 to $1.11, inclusive. The Reporting Person undertakes to provide to Issuer or the staff of the U.S. Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote 1.

F2 · ownership.nature: Represents 11,000 shares of Issuer's common stock sold by K&J Investment LLC ("K&J Investment") on November 14, 2023, as the Reporting Person, the owner and President of K&J Investment, is deemed to have sole voting and dispositive power over such shares.

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August 14, 2023 Filed Aug 18, 2023 23:30 UTC
Sullivan AaronInterim CFO, Controller & EVP
Exercise / conversionRestricted Stock Units · Derivative 6,250 $0.00 $0.00
Disclosure

SEC source: 0001213900-23-069081 · ownership.xml · derivative · entry 3

Sullivan Aaron · CIK 0001941801 · Interim CFO, Controller & EVP

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, $0.001 par value · 6,250 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: Restricted Stock Units convert into Common Stock on a one-for-one basis.

F2 · derivative.exercise_date: Represents 6,250 vested Restricted Stock Units ("RSUs") that were settled on the reported date out of the original 100,000 RSUs granted to the Reporting Person pursuant to his employment agreement, dated as of June 6, 2019, as amended. Each vested RSU was settled by Issuer by delivery to the Reporting Person of one share of Issuer's common stock.

F2 · derivative.expiration_date: Represents 6,250 vested Restricted Stock Units ("RSUs") that were settled on the reported date out of the original 100,000 RSUs granted to the Reporting Person pursuant to his employment agreement, dated as of June 6, 2019, as amended. Each vested RSU was settled by Issuer by delivery to the Reporting Person of one share of Issuer's common stock.

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August 14, 2023 Filed Aug 18, 2023 23:30 UTC
Sullivan AaronInterim CFO, Controller & EVP
OtherCommon Stock, $0.001 par value 2,709 $1.81 $4,903.29
Disclosure

SEC source: 0001213900-23-069081 · ownership.xml · nonDerivative · entry 2

Sullivan Aaron · CIK 0001941801 · Interim CFO, Controller & EVP

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 75,356

F3 · shares: On the reported date these shares were sold by Issuer's broker into the open market solely to satisfy the Reporting Person's required tax withholding in connection with the settlement of the RSUs reported herein. The sale price represents a weighted average price as multiple executions were involved in completing the sale transaction. Additional detail regarding the individual execution prices is available upon request.

F3 · price: On the reported date these shares were sold by Issuer's broker into the open market solely to satisfy the Reporting Person's required tax withholding in connection with the settlement of the RSUs reported herein. The sale price represents a weighted average price as multiple executions were involved in completing the sale transaction. Additional detail regarding the individual execution prices is available upon request.

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August 14, 2023 Filed Aug 18, 2023 23:30 UTC
Sullivan AaronInterim CFO, Controller & EVP
Exercise / conversionCommon Stock, $0.001 par value 6,250 Not disclosed Not disclosed
Disclosure

SEC source: 0001213900-23-069081 · ownership.xml · nonDerivative · entry 1

Sullivan Aaron · CIK 0001941801 · Interim CFO, Controller & EVP

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 78,065

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 · price: Restricted Stock Units convert into Common Stock on a one-for-one basis.

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March 01, 2023 Filed Mar 7, 2023 02:00 UTC
Sullivan AaronInterim CFO, Controller & EVP
Exercise / conversionRestricted Stock Units · Derivative 6,250 $0.00 $0.00
Disclosure

SEC source: 0001213900-23-017904 · ownership.xml · derivative · entry 3

Sullivan Aaron · CIK 0001941801 · Interim CFO, Controller & EVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, $0.001 par value · 6,250 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: Restricted Stock Units convert into Common Stock on a one-for-one basis.

F2 · derivative.exercise_date: Represents 6,250 vested Restricted Stock Units ("RSUs") that were settled on the reported date out of the original 100,000 RSUs granted to the Reporting Person pursuant to his employment agreement, dated as of March 26, 2019, as amended. Each vested RSU was settled by Issuer by delivery to the Reporting Person of one share of Issuer's common stock.

F2 · derivative.expiration_date: Represents 6,250 vested Restricted Stock Units ("RSUs") that were settled on the reported date out of the original 100,000 RSUs granted to the Reporting Person pursuant to his employment agreement, dated as of March 26, 2019, as amended. Each vested RSU was settled by Issuer by delivery to the Reporting Person of one share of Issuer's common stock.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.