LVO

SEC source: 0001213900-23-017904 · ownership.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 71,815

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.

SEC source: 0001213900-23-017904 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 74,445

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.

SEC source: 0001213900-23-009075 · ownership.xml · derivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 6,177

Underlying: Common Stock, $0.001 par value · 2,945,454 shares

Expires not disclosed

F3 · derivative.exercise_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. The reported number of shares of Issuer's common stock represents the number of shares of common stock issuable upon conversion of the Series A Preferred Stock as of February 7, 2023 and includes the dividend to be paid in kind and accrued as of February 7, 2023.

F1 · shares: Effective as of February 3, 2023, Issuer entered into the Exchange Agreement with Trinad Capital Master Fund Ltd. ("Trinad Capital"), pursuant to which Trinad Capital exchanged all of its promissory notes in the aggregate principal and interest amount of $6,177,218 issued by Issuer (the "Notes") for 6,177 shares of Issuer's newly designated and issued Series A Perpetual Convertible Preferred Stock, par value $0.001 per share (the "Series A Preferred Stock"), having the terms as set forth in Issuer's Certificate of Designation of Preferences, Rights and Limitations of Series A Perpetual Convertible Preferred Stock, dated as of February 2, 2023 (the "Certificate of Designation"). The Notes and accrued and unpaid interest on the Notes were convertible at any time at $3.00 per share as a result of Issuer's public offering completed on December 27, 2017.

F3 · 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. The reported number of shares of Issuer's common stock represents the number of shares of common stock issuable upon conversion of the Series A Preferred Stock as of February 7, 2023 and includes the dividend to be paid in kind and accrued as of February 7, 2023.

F1 · price: Effective as of February 3, 2023, Issuer entered into the Exchange Agreement with Trinad Capital Master Fund Ltd. ("Trinad Capital"), pursuant to which Trinad Capital exchanged all of its promissory notes in the aggregate principal and interest amount of $6,177,218 issued by Issuer (the "Notes") for 6,177 shares of Issuer's newly designated and issued Series A Perpetual Convertible Preferred Stock, par value $0.001 per share (the "Series A Preferred Stock"), having the terms as set forth in Issuer's Certificate of Designation of Preferences, Rights and Limitations of Series A Perpetual Convertible Preferred Stock, dated as of February 2, 2023 (the "Certificate of Designation"). The Notes and accrued and unpaid interest on the Notes were convertible at any time at $3.00 per share as a result of Issuer's public offering completed on December 27, 2017.

F3 · 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. The reported number of shares of Issuer's common stock represents the number of shares of common stock issuable upon conversion of the Series A Preferred Stock as of February 7, 2023 and includes the dividend to be paid in kind and accrued as of February 7, 2023.

F3 · 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. The reported number of shares of Issuer's common stock represents the number of shares of common stock issuable upon conversion of the Series A Preferred Stock as of February 7, 2023 and includes the dividend to be paid in kind and accrued as of February 7, 2023.

F3 · 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. The reported number of shares of Issuer's common stock represents the number of shares of common stock issuable upon conversion of the Series A Preferred Stock as of February 7, 2023 and includes the dividend to be paid in kind and accrued as of February 7, 2023.

F3 · derivative.underlying_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. The reported number of shares of Issuer's common stock represents the number of shares of common stock issuable upon conversion of the Series A Preferred Stock as of February 7, 2023 and includes the dividend to be paid in kind and accrued as of February 7, 2023.

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.

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.

SEC source: 0001213900-23-009075 · ownership.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 0

Underlying: Common Stock, $0.001 par value · Not disclosed shares

Expires not disclosed

F1 · derivative.exercise_price: Effective as of February 3, 2023, Issuer entered into the Exchange Agreement with Trinad Capital Master Fund Ltd. ("Trinad Capital"), pursuant to which Trinad Capital exchanged all of its promissory notes in the aggregate principal and interest amount of $6,177,218 issued by Issuer (the "Notes") for 6,177 shares of Issuer's newly designated and issued Series A Perpetual Convertible Preferred Stock, par value $0.001 per share (the "Series A Preferred Stock"), having the terms as set forth in Issuer's Certificate of Designation of Preferences, Rights and Limitations of Series A Perpetual Convertible Preferred Stock, dated as of February 2, 2023 (the "Certificate of Designation"). The Notes and accrued and unpaid interest on the Notes were convertible at any time at $3.00 per share as a result of Issuer's public offering completed on December 27, 2017.

F1 · reported_value: Effective as of February 3, 2023, Issuer entered into the Exchange Agreement with Trinad Capital Master Fund Ltd. ("Trinad Capital"), pursuant to which Trinad Capital exchanged all of its promissory notes in the aggregate principal and interest amount of $6,177,218 issued by Issuer (the "Notes") for 6,177 shares of Issuer's newly designated and issued Series A Perpetual Convertible Preferred Stock, par value $0.001 per share (the "Series A Preferred Stock"), having the terms as set forth in Issuer's Certificate of Designation of Preferences, Rights and Limitations of Series A Perpetual Convertible Preferred Stock, dated as of February 2, 2023 (the "Certificate of Designation"). The Notes and accrued and unpaid interest on the Notes were convertible at any time at $3.00 per share as a result of Issuer's public offering completed on December 27, 2017.

F1 · price: Effective as of February 3, 2023, Issuer entered into the Exchange Agreement with Trinad Capital Master Fund Ltd. ("Trinad Capital"), pursuant to which Trinad Capital exchanged all of its promissory notes in the aggregate principal and interest amount of $6,177,218 issued by Issuer (the "Notes") for 6,177 shares of Issuer's newly designated and issued Series A Perpetual Convertible Preferred Stock, par value $0.001 per share (the "Series A Preferred Stock"), having the terms as set forth in Issuer's Certificate of Designation of Preferences, Rights and Limitations of Series A Perpetual Convertible Preferred Stock, dated as of February 2, 2023 (the "Certificate of Designation"). The Notes and accrued and unpaid interest on the Notes were convertible at any time at $3.00 per share as a result of Issuer's public offering completed on December 27, 2017.

F1 · derivative.exercise_date: Effective as of February 3, 2023, Issuer entered into the Exchange Agreement with Trinad Capital Master Fund Ltd. ("Trinad Capital"), pursuant to which Trinad Capital exchanged all of its promissory notes in the aggregate principal and interest amount of $6,177,218 issued by Issuer (the "Notes") for 6,177 shares of Issuer's newly designated and issued Series A Perpetual Convertible Preferred Stock, par value $0.001 per share (the "Series A Preferred Stock"), having the terms as set forth in Issuer's Certificate of Designation of Preferences, Rights and Limitations of Series A Perpetual Convertible Preferred Stock, dated as of February 2, 2023 (the "Certificate of Designation"). The Notes and accrued and unpaid interest on the Notes were convertible at any time at $3.00 per share as a result of Issuer's public offering completed on December 27, 2017.

F1 · derivative.expiration_date: Effective as of February 3, 2023, Issuer entered into the Exchange Agreement with Trinad Capital Master Fund Ltd. ("Trinad Capital"), pursuant to which Trinad Capital exchanged all of its promissory notes in the aggregate principal and interest amount of $6,177,218 issued by Issuer (the "Notes") for 6,177 shares of Issuer's newly designated and issued Series A Perpetual Convertible Preferred Stock, par value $0.001 per share (the "Series A Preferred Stock"), having the terms as set forth in Issuer's Certificate of Designation of Preferences, Rights and Limitations of Series A Perpetual Convertible Preferred Stock, dated as of February 2, 2023 (the "Certificate of Designation"). The Notes and accrued and unpaid interest on the Notes were convertible at any time at $3.00 per share as a result of Issuer's public offering completed on December 27, 2017.

F1 · derivative.underlying_shares: Effective as of February 3, 2023, Issuer entered into the Exchange Agreement with Trinad Capital Master Fund Ltd. ("Trinad Capital"), pursuant to which Trinad Capital exchanged all of its promissory notes in the aggregate principal and interest amount of $6,177,218 issued by Issuer (the "Notes") for 6,177 shares of Issuer's newly designated and issued Series A Perpetual Convertible Preferred Stock, par value $0.001 per share (the "Series A Preferred Stock"), having the terms as set forth in Issuer's Certificate of Designation of Preferences, Rights and Limitations of Series A Perpetual Convertible Preferred Stock, dated as of February 2, 2023 (the "Certificate of Designation"). The Notes and accrued and unpaid interest on the Notes were convertible at any time at $3.00 per share as a result of Issuer's public offering completed on December 27, 2017.

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.

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.

SEC source: 0001213900-23-009075 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 18,686,046

F1 · kind: Effective as of February 3, 2023, Issuer entered into the Exchange Agreement with Trinad Capital Master Fund Ltd. ("Trinad Capital"), pursuant to which Trinad Capital exchanged all of its promissory notes in the aggregate principal and interest amount of $6,177,218 issued by Issuer (the "Notes") for 6,177 shares of Issuer's newly designated and issued Series A Perpetual Convertible Preferred Stock, par value $0.001 per share (the "Series A Preferred Stock"), having the terms as set forth in Issuer's Certificate of Designation of Preferences, Rights and Limitations of Series A Perpetual Convertible Preferred Stock, dated as of February 2, 2023 (the "Certificate of Designation"). The Notes and accrued and unpaid interest on the Notes were convertible at any time at $3.00 per share as a result of Issuer's public offering completed on December 27, 2017.

F2 · kind: In consideration for entry into the Exchange Agreement, Issuer issued to Trinad Capital 200,000 shares of Issuer's common stock. Trinad Capital is a fund controlled by the Reporting Person, Issuer's Chief Executive Officer, Chairman, director and principal stockholder.

F2 · price: In consideration for entry into the Exchange Agreement, Issuer issued to Trinad Capital 200,000 shares of Issuer's common stock. Trinad Capital is a fund controlled by the Reporting Person, Issuer's Chief Executive Officer, Chairman, director and principal stockholder.

F4 · ownership.nature: Includes (i) 7,539,899 shares of Issuer's common stock owned by Trinad Capital as of February 7, 2023, 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 February 7, 2023, 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 February 7, 2023, 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 2,945,454 shares of Issuer's common stock issuable as of February 7, 2023 upon conversion of the Series A Preferred Stock held by Trinad Capital (including the dividend to be paid in kind and accrued as of February 7, 2023), 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, 2023, subject to earlier vesting in the event of a change in control or the Reporting Person's departure from Issuer.

SEC source: 0001213900-22-077745 · ownership.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,250

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. The remaining unvested RSUs shall vest as previously reported on the Reporting Person's Form 3 filed with the U.S. Securities and Exchange Commission on September 9, 2022.

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. The remaining unvested RSUs shall vest as previously reported on the Reporting Person's Form 3 filed with the U.S. Securities and Exchange Commission on September 9, 2022.

SEC source: 0001213900-22-077745 · ownership.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 68,195

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.

SEC source: 0001213900-22-077745 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,541

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.

SEC source: 0001213900-22-074345 · ownership.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,089,666

F2 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.6776 to $0.6822, 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 purchased at each separate price within the range set forth in this footnote 2.

SEC source: 0001213900-22-074345 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,079,666

F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.6598 to $0.675, 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 purchased at each separate price within the range set forth in this footnote 1.

SEC source: 0001213900-22-073292 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,054,666

F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.7187 to $0.73, 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 purchased at each separate price within the range set forth in this footnote 1.

SEC source: 0001213900-22-072941 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,039,666

F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.7751 to $0.7879, 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 purchased at each separate price within the range set forth in this footnote 1.

SEC source: 0001213900-22-073600 · 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 · 12,500 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 12,500 vested Restricted Stock Units ("RSUs") that were settled on the reported date granted to the Reporting Person pursuant to Amendment No. 1 to his employment agreement, dated as of October 25, 2020 and effective as October 1, 2020. 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 12,500 vested Restricted Stock Units ("RSUs") that were settled on the reported date granted to the Reporting Person pursuant to Amendment No. 1 to his employment agreement, dated as of October 25, 2020 and effective as October 1, 2020. Each vested RSU was settled by Issuer by delivery to the Reporting Person of one share of Issuer's common stock.

SEC source: 0001213900-22-073600 · ownership.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 64,291

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.

SEC source: 0001213900-22-073600 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 69,073

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.

SEC source: 0001213900-22-062612 · ownership.xml · derivative · entry 1

Wright Kristopher · CIK 0001860931 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 85,714

Underlying: Common Stock, $0.001 par value · 85,714 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, 2021 to September 30, 2023. The RSUs shall vest on October 31, 2023 (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, 2021 to September 30, 2023. The RSUs shall vest on October 31, 2023 (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, 2021 to September 30, 2023. The RSUs shall vest on October 31, 2023 (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.

SEC source: 0001213900-22-062614 · ownership.xml · derivative · entry 1

Wachsberger Patrick D · CIK 0001765520 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 90,476

Underlying: Common Stock, $0.001 par value · 90,476 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, 2021 to September 30, 2023. The RSUs shall vest on October 31, 2023 (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, 2021 to September 30, 2023. The RSUs shall vest on October 31, 2023 (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, 2021 to September 30, 2023. The RSUs shall vest on October 31, 2023 (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.

SEC source: 0001213900-22-062613 · ownership.xml · derivative · entry 1

Garrido Maria D · CIK 0001839155 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 85,714

Underlying: Common Stock, $0.001 par value · 85,714 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, 2021 to September 30, 2023. The RSUs shall vest on October 31, 2023 (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, 2021 to September 30, 2023. The RSUs shall vest on October 31, 2023 (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, 2021 to September 30, 2023. The RSUs shall vest on October 31, 2023 (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.

SEC source: 0001213900-22-062615 · ownership.xml · derivative · entry 1

Arani Ramin · CIK 0001764185 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 95,238

Underlying: Common Stock, $0.001 par value · 95,238 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, 2021 to September 30, 2023. The RSUs shall vest on October 31, 2023 (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, 2021 to September 30, 2023. The RSUs shall vest on October 31, 2023 (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, 2021 to September 30, 2023. The RSUs shall vest on October 31, 2023 (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.

SEC source: 0001213900-22-062610 · ownership.xml · derivative · entry 1

Baker Bridget · CIK 0001584004 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 90,476

Underlying: Common Stock, $0.001 par value · 90,476 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, 2021 to September 30, 2023. The RSUs shall vest on October 31, 2023 (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, 2021 to September 30, 2023. The RSUs shall vest on October 31, 2023 (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, 2021 to September 30, 2023. The RSUs shall vest on October 31, 2023 (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.

SEC source: 0001213900-22-062611 · ownership.xml · derivative · entry 1

Foster Craig L · CIK 0001572394 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 109,524

Underlying: Common Stock, $0.001 par value · 109,524 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, 2021 to September 30, 2023. The RSUs shall vest on October 31, 2023 (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, 2021 to September 30, 2023. The RSUs shall vest on October 31, 2023 (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, 2021 to September 30, 2023. The RSUs shall vest on October 31, 2023 (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.

SEC source: 0001213900-22-062904 · ownership.xml · derivative · entry 1

Krigsman Jay E. · CIK 0001480034 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock, $0.001 par value · 100,000 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, 2021 to September 30, 2023. The RSUs shall vest on October 31, 2023 (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, 2021 to September 30, 2023. The RSUs shall vest on October 31, 2023 (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, 2021 to September 30, 2023. The RSUs shall vest on October 31, 2023 (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.

SEC source: 0001213900-22-062900 · ownership.xml · derivative · entry 1

Solomon Kenneth A · CIK 0001781934 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 95,238

Underlying: Common Stock, $0.001 par value · 95,238 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, 2021 to September 30, 2023. The RSUs shall vest on October 31, 2023 (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, 2021 to September 30, 2023. The RSUs shall vest on October 31, 2023 (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, 2021 to September 30, 2023. The RSUs shall vest on October 31, 2023 (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.

SEC source: 0001213900-22-060832 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,029,666

F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.7345 to $0.749, 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 purchased at each separate price within the range set forth in this footnote 1.

SEC source: 0001213900-22-055173 · ownership.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,250

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. Each vested RSU was settled by Issuer by delivery to the Reporting Person of one share of Issuer's common stock. The remaining unvested RSUs shall vest as previously reported on the Reporting Person's Form 3 filed with the U.S. Securities and Exchange Commission on August 16, 2022.

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. Each vested RSU was settled by Issuer by delivery to the Reporting Person of one share of Issuer's common stock. The remaining unvested RSUs shall vest as previously reported on the Reporting Person's Form 3 filed with the U.S. Securities and Exchange Commission on August 16, 2022.

SEC source: 0001213900-22-055173 · ownership.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,573

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.

SEC source: 0001213900-22-055173 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,695

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.

SEC source: 0001213900-22-053372 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,004,666

F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.9148 to $0.9149, 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 purchased at each separate price within the range set forth in this footnote 1.

SEC source: 0001213900-22-051213 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,994,666

F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.933 to $0.95, 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 purchased at each separate price within the range set forth in this footnote 1.

SEC source: 0001213900-22-050875 · ownership.xml · nonDerivative · entry 1

Wright Kristopher · CIK 0001860931 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 11,000

F1 · ownership.nature: Represents 11,000 shares of Issuer's common stock purchased by K&J Investment LLC ("K&J Investment") on August 24, 2022, as the Reporting Person, the owner and President of K&J Investment, is deemed to have sole voting and dispositive power over such shares.

SEC source: 0001213900-22-050216 · ownership.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,984,666

F2 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.9808 to $0.99, inclusive. The Reporting Person undertakes to provide to Issuer or the staff of the SEC, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote 2.

SEC source: 0001213900-22-050216 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,974,666

F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.9706 to $0.99, inclusive. The Reporting Person undertakes to provide to Issuer or the staff of the U.S. Securities and Exchange Commission (the "SEC"), upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote 1.

SEC source: 0001213900-22-049465 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,964,666

F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.07 to $1.09, 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 purchased at each separate price within the range set forth in this footnote 1.

SEC source: 0001213900-22-049067 · ownership.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,954,666

F7 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.05 to $1.065, inclusive. The Reporting Person undertakes to provide to Issuer or the staff of the SEC, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote 7.

SEC source: 0001213900-22-049067 · ownership.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,944,666

F6 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.03 to $1.04, inclusive. The Reporting Person undertakes to provide to Issuer or the staff of the U.S. Securities and Exchange Commission (the "SEC"), upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote 6.

SEC source: 0001213900-22-049467 · ownership.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,500

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 (the "Employment Agreement"). Each vested RSU was settled by Issuer by delivery to the Reporting Person of one share of Issuer's common stock. The remaining unvested RSUs shall vest as previously reported on the Reporting Person's Form 3 filed with the U.S. Securities and Exchange Commission on August 16, 2022.

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 (the "Employment Agreement"). Each vested RSU was settled by Issuer by delivery to the Reporting Person of one share of Issuer's common stock. The remaining unvested RSUs shall vest as previously reported on the Reporting Person's Form 3 filed with the U.S. Securities and Exchange Commission on August 16, 2022.

SEC source: 0001213900-22-049467 · ownership.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 49,408

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.

SEC source: 0001213900-22-049467 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,445

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.

SEC source: 0001213900-22-049067 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 17,613,714

F1 · kind: Effective as of July 8, 2022, Issuer entered into the Amendment of Notes Agreement with Trinad Capital Master Fund Ltd. ("Trinad Capital"), pursuant to which the maturity date of all of Issuer's unsecured convertible notes issued to Trinad Capital was extended to July 1, 2024, and in consideration of such extension, Issuer issued to Trinad Capital 500,000 shares of Issuer's common stock.

F1 · price: Effective as of July 8, 2022, Issuer entered into the Amendment of Notes Agreement with Trinad Capital Master Fund Ltd. ("Trinad Capital"), pursuant to which the maturity date of all of Issuer's unsecured convertible notes issued to Trinad Capital was extended to July 1, 2024, and in consideration of such extension, Issuer issued to Trinad Capital 500,000 shares of Issuer's common stock.

F2 · ownership.nature: Includes (i) 7,339,899 shares of Issuer's common stock owned by Trinad Capital as of August 15, 2022, 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 August 15, 2022, 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 August 15, 2022, 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 3)

F3 · ownership.nature: (continued from footnote 2), (iv) approximately 1,984,462 shares of Issuer's common stock issuable as of August 15, 2022 upon conversion of Issuer's convertible notes held by Trinad Capital, which Trinad Capital has the right to convert at the conversion price of $3.00 per share as a result of Issuer's public offering completed on December 27, 2017, 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.

F4 · 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.

F5 · 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, 2022, subject to earlier vesting in the event of a change in control or the Reporting Person's departure from Issuer.

SEC source: 0001213900-22-022311 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,934,666

F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.6768 to $0.7114, inclusive. The Reporting Person undertakes to provide to LiveOne, Inc. ("Issuer") or the staff of the U.S. Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote 1.

SEC source: 0001213900-22-020865 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,909,666

F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.78 to $0.8468, inclusive. The Reporting Person undertakes to provide to LiveOne, Inc. ("Issuer") or the staff of the U.S. Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote 1.

SEC source: 0001213900-22-014951 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,884,666

F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.7324 to $0.76, inclusive. The Reporting Person undertakes to provide to LiveOne, Inc. ("Issuer") or the staff of the U.S. Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote 1.

SEC source: 0001213900-22-010817 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,859,666

F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.7794 to $0.80, inclusive. The Reporting Person undertakes to provide to LiveOne, Inc. ("Issuer") or the staff of the U.S. Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote 1.

SEC source: 0001213900-22-010446 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,834,666

F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.83 to $0.883, inclusive. The Reporting Person undertakes to provide to LiveOne, Inc. ("Issuer") or the staff of the U.S. Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote 1.

SEC source: 0001213900-22-008771 · ownership.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,809,666

F2 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.823 to $0.8678, inclusive. The Reporting Person undertakes to provide to Issuer or the staff of the SEC, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote 2.

SEC source: 0001213900-22-008771 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,784,666

F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.925 to $0.9482, inclusive. The Reporting Person undertakes to provide to LiveOne, Inc. ("Issuer") or the staff of the U.S. Securities and Exchange Commission (the "SEC"), upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote 1.

SEC source: 0001213900-22-007974 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,759,666

F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.925 to $0.9486, inclusive. The Reporting Person undertakes to provide to LiveOne, Inc. ("Issuer") or the staff of the U.S. Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote 1.

SEC source: 0001213900-21-064282 · ownership.xml · nonDerivative · entry 2

QUARTIERI MICHAEL · CIK 0001441431 · CFO, EVP & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 203,177

F3 · shares: On the reported date these shares were sold by the 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 as reported in this footnote. 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 the 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 as reported in this footnote. 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.

SEC source: 0001213900-21-064282 · ownership.xml · derivative · entry 3

QUARTIERI MICHAEL · CIK 0001441431 · CFO, EVP & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 250,000

Underlying: Common Stock, $0.001 par value · 250,000 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: These Restricted Stock Units (the "RSUs") were granted pursuant to the Reporting Person's Employment Agreement, dated as of November 16, 2020 (the "EA"), and collectively represent the first portion of the unvested RSUs that vested as of November 2021. Each vested RSU was settled by the Issuer on the reported date by delivery to the Reporting Person of one share of the Issuer's common stock. The remaining restricted stock units granted pursuant to the EA vest as provided therein and previously reported on the Reporting Person's Form 3 filed with the U.S. Securities and Exchange Commission on December 7, 2020.

F2 · derivative.expiration_date: These Restricted Stock Units (the "RSUs") were granted pursuant to the Reporting Person's Employment Agreement, dated as of November 16, 2020 (the "EA"), and collectively represent the first portion of the unvested RSUs that vested as of November 2021. Each vested RSU was settled by the Issuer on the reported date by delivery to the Reporting Person of one share of the Issuer's common stock. The remaining restricted stock units granted pursuant to the EA vest as provided therein and previously reported on the Reporting Person's Form 3 filed with the U.S. Securities and Exchange Commission on December 7, 2020.

SEC source: 0001213900-21-064282 · ownership.xml · nonDerivative · entry 1

QUARTIERI MICHAEL · CIK 0001441431 · CFO, EVP & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 269,255

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.