NXPL

SEC source: 0001493152-22-035962 · ownership.xml · nonDerivative · entry 1

Phipps David · CIK 0001635266 · Director · President/CEO of Global Ops

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 421,788

F1 · shares: On December 14, 2022, David Phipps purchased 28,500 units from the Issuer in a private placement for $1.75 per unit. Each unit consists of one share of common stock and one warrant to purchase one share of common stock of the Issuer. The warrants underlying units are immediately exercisable.

SEC source: 0001493152-22-035960 · ownership.xml · derivative · entry 2

Barreto Rodney · CIK 0001901402 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Held by RLB Market Investments, LLC

Disclosed balance after: 1,085,714

Underlying: Common Stock · 1,085,714 shares

Expires 2025-12-14

F1 · shares: On December 14, 2022, RLB Market Investments, LLC purchased 1,085,714 units from the Issuer in a private placement for $1.75 per unit. Each unit consists of one share of common stock and one warrant to purchase one share of common stock of the Issuer. The warrants underlying units are immediately exercisable.

F1 · price: On December 14, 2022, RLB Market Investments, LLC purchased 1,085,714 units from the Issuer in a private placement for $1.75 per unit. Each unit consists of one share of common stock and one warrant to purchase one share of common stock of the Issuer. The warrants underlying units are immediately exercisable.

F2 · ownership.nature: Mr. Barreto is the president of RLB Market Investments, LLC

SEC source: 0001493152-22-035960 · ownership.xml · nonDerivative · entry 1

Barreto Rodney · CIK 0001901402 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Held by RLB Market Investments, LLC

Disclosed balance after: 1,476,085

F1 · shares: On December 14, 2022, RLB Market Investments, LLC purchased 1,085,714 units from the Issuer in a private placement for $1.75 per unit. Each unit consists of one share of common stock and one warrant to purchase one share of common stock of the Issuer. The warrants underlying units are immediately exercisable.

F2 · ownership.nature: Mr. Barreto is the president of RLB Market Investments, LLC

SEC source: 0001493152-22-034419 · ownership.xml · derivative · entry 1

Munnik Cecile · CIK 0001901022 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2027-11-14

F2 · price: The options were granted as an inducement for Ms. Munnik to enter into her employment agreement with the Issuer.

F1 · derivative.underlying_shares: On December 5, 2022, Ms. Munnik entered into a Stock Option Agreement with the Issuer with an effective date of November 14, 2022 pursuant to which Ms. Munnik was granted an option to purchase 50,000 shares of Issuer's common stock, of which options to purchase 25,000 shares of common stock vest immediately on the Grant Date, with options to purchase an additional 10,000 shares of common stock vesting on the one-year anniversary of the Grant Date, and options to purchase the remaining 15,000 shares of common stock vesting on the second-year anniversary of the Grant Date.

SEC source: 0001493152-22-034626 · ownership.xml · derivative · entry 1

Bedwell Robert Phillip Jr. · CIK 0001957196 · Chief Compliance Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2027-11-07

F2 · price: The options were granted as an inducement for Mr. Bedwell to enter into his employment agreement with the Issuer.

F1 · derivative.underlying_shares: On December 5, 2022, Mr. Bedwell entered into a Stock Option Agreement with the Issuer with an effective date of November 7, 2022 pursuant to which Mr. Bedwell was granted an option to purchase 50,000 shares of Issuer's common stock, of which options to purchase 25,000 shares of common stock vest immediately on the Grant Date, with options to purchase an additional 10,000 shares of common stock vesting on the one-year anniversary of the Grant Date, and options to purchase the remaining 15,000 shares of common stock vesting on the second-year anniversary of the Grant Date.

SEC source: 0001493152-22-027769 · ownership.xml · nonDerivative · entry 2

Fernandez Charles M. · CIK 0001509529 · Director · Chairman & CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Shares held by eApeiron Partners, LLC

Disclosed balance after: 1,865,453

F3 · balance_after: Includes 316,000 shares of restricted common stock held by eApeiron Partners LLC, of which Mr. Fernandez is sole and managing partner.

F1 · ownership.nature: Mr. Fernandez is the sole member and managing partner of eApeiron Partners LLC.

SEC source: 0001493152-22-027769 · ownership.xml · nonDerivative · entry 1

Fernandez Charles M. · CIK 0001509529 · Director · Chairman & CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Shares held by eApeiron Partners, LLC.

Disclosed balance after: 1,749,453

F2 · balance_after: Includes 200,000 shares of common stock held by eApeiron Partners LLC, of which Mr. Fernandez is sole member and managing partner.

F1 · ownership.nature: Mr. Fernandez is the sole member and managing partner of eApeiron Partners LLC.

SEC source: 0001493152-22-027769 · ownership.xml · derivative · entry 3

Fernandez Charles M. · CIK 0001509529 · Director · Chairman & CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 707,500

Underlying: Common Stock · 70,000 shares

Expires 2032-07-01

F5 · price: The stock options were granted as an equity incentive award.

F4 · derivative.underlying_shares: On July 1, 2022, Mr. Fernandez was granted an option to purchase 70,000 shares of common stock. The option was fully vested, issued outside of any equity compensation plan, with an exercise price of $2.13, and a term of ten years.

SEC source: 0001493152-22-035971 · ownership.xml · nonDerivative · entry 1

Miller John Edward · CIK 0001868017 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,000

F1 · shares: On January 28, 2022, Mr. Miller purchased 3,000 shares of the Company's common stock in the open market at a price of $3.2584 per share.

SEC source: 0001493152-22-001820 · ownership.xml · nonDerivative · entry 2

Barreto Rodney · CIK 0001901402 · Director · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 390,371

F1 · shares: Represents a restricted stock award that was effective 1/20/2022 (the "Award Date"). One half of the award (10,000 shares) will be fully vested and issued on the Award Date and the remaining half (10,000 shares) will vest and be issued on the one-year anniversary of the Award Date. The award was granted pursuant to the Issuer's 2021 Incentive Award Plan.

SEC source: 0001493152-22-000575 · ownership.xml · nonDerivative · entry 1

THOMSON PAUL R · CIK 0001067976 · Exec VP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,433

F1 · kind: Represents 15,433 shares of the Issuer's common stock acquired by the Reporting Person from the Issuer in a private placement transaction that closed on January 5, 2022, pursuant to a Securities Purchase Agreement dated December 31, 2021. The purchase price for the acquired shares was $3.24 per share, which is the closing transaction price of the Issuer's common stock reported by Nasdaq on December 31, 2021.

F1 · shares: Represents 15,433 shares of the Issuer's common stock acquired by the Reporting Person from the Issuer in a private placement transaction that closed on January 5, 2022, pursuant to a Securities Purchase Agreement dated December 31, 2021. The purchase price for the acquired shares was $3.24 per share, which is the closing transaction price of the Issuer's common stock reported by Nasdaq on December 31, 2021.

F1 · price: Represents 15,433 shares of the Issuer's common stock acquired by the Reporting Person from the Issuer in a private placement transaction that closed on January 5, 2022, pursuant to a Securities Purchase Agreement dated December 31, 2021. The purchase price for the acquired shares was $3.24 per share, which is the closing transaction price of the Issuer's common stock reported by Nasdaq on December 31, 2021.

SEC source: 0001493152-22-000594 · ownership.xml · nonDerivative · entry 2

ELLENOFF DOUGLAS · CIK 0001208497 · Director · Chief Business Development

10b5-1 filing: Not disclosed

Ownership: Indirect · By Spouse

Disclosed balance after: 46,297

F2 · kind: Represents 46,297 shares of the Issuer's common stock acquired by the Reporting Person from the Issuer in a private placement transaction that closed on January 5, 2022, pursuant to a Securities Purchase Agreement dated December 31, 2021. The purchase price for the acquired shares was $3.24 per share, which is the closing transaction price of the Issuer's common stock reported by Nasdaq on December 31, 2021.

F2 · shares: Represents 46,297 shares of the Issuer's common stock acquired by the Reporting Person from the Issuer in a private placement transaction that closed on January 5, 2022, pursuant to a Securities Purchase Agreement dated December 31, 2021. The purchase price for the acquired shares was $3.24 per share, which is the closing transaction price of the Issuer's common stock reported by Nasdaq on December 31, 2021.

F2 · price: Represents 46,297 shares of the Issuer's common stock acquired by the Reporting Person from the Issuer in a private placement transaction that closed on January 5, 2022, pursuant to a Securities Purchase Agreement dated December 31, 2021. The purchase price for the acquired shares was $3.24 per share, which is the closing transaction price of the Issuer's common stock reported by Nasdaq on December 31, 2021.

SEC source: 0001493152-22-000581 · ownership.xml · nonDerivative · entry 1

Cusimano Louis · CIK 0001872864 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,433

F1 · kind: Represents 15,433 shares of the Issuer's common stock acquired by the Reporting Person from the Issuer in a private placement transaction that closed on January 5, 2022, pursuant to a Securities Purchase Agreement dated December 31, 2021. The purchase price for the acquired shares was $3.24 per share, which is the closing transaction price of the Issuer's common stock reported by Nasdaq on December 31, 2021.

F1 · shares: Represents 15,433 shares of the Issuer's common stock acquired by the Reporting Person from the Issuer in a private placement transaction that closed on January 5, 2022, pursuant to a Securities Purchase Agreement dated December 31, 2021. The purchase price for the acquired shares was $3.24 per share, which is the closing transaction price of the Issuer's common stock reported by Nasdaq on December 31, 2021.

F1 · price: Represents 15,433 shares of the Issuer's common stock acquired by the Reporting Person from the Issuer in a private placement transaction that closed on January 5, 2022, pursuant to a Securities Purchase Agreement dated December 31, 2021. The purchase price for the acquired shares was $3.24 per share, which is the closing transaction price of the Issuer's common stock reported by Nasdaq on December 31, 2021.

F2 · balance_after: Includes a restricted stock award that was effective 12/16/21 (the "Grant Date"). One half of the award (10,000 shares) was fully vested and issued on Grant Date and the remaining half (10,000 shares) will vest and be issued on the one year anniversary of the Grant Date. The award was granted pursuant to the Orbsat Corp 2021 Incentive Award Plan.

SEC source: 0001493152-22-000550 · ownership.xml · nonDerivative · entry 1

Phipps David · CIK 0001635266 · Director · President/ CEO of Global Ops

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 393,288

F1 · kind: Represents 46,297 shares of the Issuer's common stock acquired by the Reporting Person from the Issuer in a private placement transaction that closed on January 5, 2022, pursuant to a Securities Purchase Agreement dated December 31, 2021. The purchase price for the acquired shares was $3.24 per share, which is the closing transaction price of the Issuer's common stock reported by Nasdaq on December 31, 2021.

F1 · shares: Represents 46,297 shares of the Issuer's common stock acquired by the Reporting Person from the Issuer in a private placement transaction that closed on January 5, 2022, pursuant to a Securities Purchase Agreement dated December 31, 2021. The purchase price for the acquired shares was $3.24 per share, which is the closing transaction price of the Issuer's common stock reported by Nasdaq on December 31, 2021.

F1 · price: Represents 46,297 shares of the Issuer's common stock acquired by the Reporting Person from the Issuer in a private placement transaction that closed on January 5, 2022, pursuant to a Securities Purchase Agreement dated December 31, 2021. The purchase price for the acquired shares was $3.24 per share, which is the closing transaction price of the Issuer's common stock reported by Nasdaq on December 31, 2021.

SEC source: 0001493152-22-000548 · ownership.xml · nonDerivative · entry 1

Fernandez Charles M. · CIK 0001509529 · Director · Chairman & CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,686,953

F1 · shares: Represents 679,013 shares of the Issuer's common stock acquired by the Reporting Person from the Issuer in a private placement transaction that closed on January 5, 2022, pursuant to a Securities Purchase Agreement dated December 31, 2021. The purchase price for the acquired shares was $3.24 per share, which is the closing transaction price of the Issuer's common stock reported by Nasdaq on December 31, 2021.

F2 · balance_after: Includes a restricted stock award for 275,000 shares of common stock that was effective 12/16/21 (the "Grant Date"). One half of the award (137,500 shares) was fully vested and issued on Grant Date and the remaining half (137,500 shares) will vest and be issued on the one year anniversary of the Grant Date. The award was granted pursuant to the Orbsat Corp 2021 Incentive Award Plan.

SEC source: 0001493152-21-032044 · ownership.xml · derivative · entry 2

THOMSON PAUL R · CIK 0001067976 · Exec VP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2031-12-16

F2 · derivative.exercise_date: The grant of these options was effective 12/16/2021 (the "Grant Date"), the date Company's stockholders approved the Company's 2021 Incentive Award Plan. The award was granted pursuant to the Company's 2021 Incentive Award Plan. One half of the award will be fully vested on Grant Date and the remaining half will vest on the one year anniversary of the Grant Date.

SEC source: 0001493152-21-032044 · ownership.xml · nonDerivative · entry 1

THOMSON PAUL R · CIK 0001067976 · Exec VP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

F1 · shares: Represents a restricted stock award effective 12/16/2021, the date Company's stockholders approved the Company's 2021 Incentive Award Plan. The award was granted pursuant to the Company's 2021 Incentive Award Plan.

SEC source: 0001493152-21-032022 · ownership.xml · derivative · entry 2

CARLISE THERESA · CIK 0001086391 · Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2031-12-16

F2 · derivative.exercise_date: The grant of these options was effective 12/16/2021 (the "Grant Date"), the date Company's stockholders approved the Company's 2021 Incentive Award Plan. The award was granted pursuant to the Company's 2021 Incentive Award Plan. One half of the award will be fully vested on Grant Date and the remaining half will vest on the one year anniversary of the Grant Date.

SEC source: 0001493152-21-032022 · ownership.xml · nonDerivative · entry 1

CARLISE THERESA · CIK 0001086391 · Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,437

F1 · shares: Represents a restricted stock award effective 12/16/2021, the date Company's stockholders approved the Company's 2021 Incentive Award Plan. The award was granted pursuant to the Company's 2021 Incentive Award Plan.

SEC source: 0001493152-21-032089 · ownership.xml · nonDerivative · entry 1

Phipps David · CIK 0001635266 · Director · President/CEO Global Ops

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 346,991

F1 · shares: Represents a fully vested restricted stock award that was effective 12/16/2021, the date the Issuer's stockholders approved the Orbsat Corp 2021 Incentive Award Plan. The award was granted pursuant to the Orbsat Corp 2021 Incentive Award Plan.

SEC source: 0001493152-21-032086 · ownership.xml · nonDerivative · entry 1

Carpenter Kendall W. · CIK 0001867926 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

F1 · shares: Represents a restricted stock award that was effective 12/16/21 (the "Grant Date"), the date Issuer's stockholders approved the Orbsat Corp 2021 Incentive Award Plan. One half of the award, (10,000 shares), will be fully vested and issued on Grant Date and the remaining half (10,000 shares) will vest and be issued on the one year anniversary of the Grant Date. The award was granted pursuant to the Orbsat Corp 2021 Incentive Award Plan.

SEC source: 0001493152-21-032071 · ownership.xml · nonDerivative · entry 1

Cusimano Louis · CIK 0001872864 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

F1 · shares: Represents a restricted stock award that was effective 12/16/21 (the "Grant Date"), the date Issuer's stockholders approved the Orbsat Corp 2021 Incentive Award Plan. One half of the award, (10,000 shares), will be fully vested and issued on Grant Date and the remaining half (10,000 shares) will vest and be issued on the one year anniversary of the Grant Date. The award was granted pursuant to the Orbsat Corp 2021 Incentive Award Plan.

SEC source: 0001493152-21-032067 · ownership.xml · derivative · entry 4

Fernandez Charles M. · CIK 0001509529 · Director · Chairman & CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,000

Underlying: Common Stock · 75,000 shares

Expires 2031-12-16

F4 · date: The grant of these options was effective 12/16/2021 (the "Grant Date"), the date Issuer's stockholders approved the Orbsat Corp 2021 Incentive Award Plan. The award was granted pursuant to the Orbsat Corp 2021 Incentive Award Plan. One half of the award will be fully vested on Grant Date and the remaining half will vest on the one year anniversary of the Grant Date.

F4 · derivative.exercise_date: The grant of these options was effective 12/16/2021 (the "Grant Date"), the date Issuer's stockholders approved the Orbsat Corp 2021 Incentive Award Plan. The award was granted pursuant to the Orbsat Corp 2021 Incentive Award Plan. One half of the award will be fully vested on Grant Date and the remaining half will vest on the one year anniversary of the Grant Date.

SEC source: 0001493152-21-032067 · ownership.xml · nonDerivative · entry 2

Fernandez Charles M. · CIK 0001509529 · Director · Chairman & CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,007,940

F2 · shares: Represents a restricted stock award that was effective 12/16/21 (the "Grant Date"), the date Issuer's stockholders approved the Orbsat Corp 2021 Incentive Award Plan. One half of the award, (137,500 shares), will be fully vested and issued on Grant Date and the remaining half (137,500 shares) will vest and be issued on the one year anniversary of the Grant Date. The award was granted pursuant to the Orbsat Corp 2021 Incentive Award Plan.

SEC source: 0001493152-21-032067 · ownership.xml · nonDerivative · entry 1

Fernandez Charles M. · CIK 0001509529 · Director · Chairman & CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 732,940

F1 · shares: Represents a fully vested restricted stock award that was effective 12/16/2021, the date the Issuer's stockholders approved the Orbsat Corp 2020 Equity Incentive Plan. The award was granted pursuant to the Orbsat Corp 2020 Equity Incentive Plan.

SEC source: 0001493152-21-032063 · ownership.xml · nonDerivative · entry 1

Delgado Hector · CIK 0001635681 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,360

F1 · shares: Represents a restricted stock award that was effective 12/16/21 (the "Grant Date"), the date Issuer's stockholders approved the Orbsat Corp 2021 Incentive Award Plan. One half of the award, (10,000 shares), will be fully vested and issued on Grant Date and the remaining half (10,000 shares) will vest and be issued on the one year anniversary of the Grant Date. The award was granted pursuant to the Orbsat Corp 2021 Incentive Award Plan.

SEC source: 0001493152-21-032066 · ownership.xml · nonDerivative · entry 1

Miller John Edward · CIK 0001868017 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

F1 · shares: Represents a restricted stock award that was effective 12/16/21 (the "Grant Date"), the date Issuer's stockholders approved the Orbsat Corp 2021 Incentive Award Plan. One half of the award, (10,000 shares), will be fully vested and issued on Grant Date and the remaining half (10,000 shares) will vest and be issued on the one year anniversary of the Grant Date. The award was granted pursuant to the Orbsat Corp 2021 Incentive Award Plan.

SEC source: 0001493152-21-023594 · ownership.xml · derivative · entry 5

CARLISE THERESA · CIK 0001086391 · Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 14,200 shares

Expires 2030-08-20

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 · date: This Form 4 Amendment is being submitted to correct the disclosure regarding the options granted on 8/21/2020. On May 28, 2021, the Issuer effected a 1-for-5 reverse stock split of its common stock (the "Reverse Stock Split"). The amount of securities reported on this Form 4 have been adjusted to reflect the Reverse Stock Split.

F4 · deemedExecutionDate: The grant of these options was approved by the Registrants Board of Directors on 8/21/2020 and subject to the Company's 2020 Equity Incentive Plan. All options vested immediately upon grant date.

F4 · derivative.exercise_date: The grant of these options was approved by the Registrants Board of Directors on 8/21/2020 and subject to the Company's 2020 Equity Incentive Plan. All options vested immediately upon grant date.

SEC source: 0001493152-21-023594 · ownership.xml · nonDerivative · entry 3

CARLISE THERESA · CIK 0001086391 · Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,437

F3 · kind: On September 23, 2021, the reporting person exercised options to purchase 14,200 shares at $1.00 per share. The Reporting Person paid the exercise price on a cashless basis (a "net exercise"), resulting in the Issuer withholding 2,763 of the option shares to pay the exercise price and issuing to the Reporting Persons the remaining 11,437 shares.

F3 · balance_after: On September 23, 2021, the reporting person exercised options to purchase 14,200 shares at $1.00 per share. The Reporting Person paid the exercise price on a cashless basis (a "net exercise"), resulting in the Issuer withholding 2,763 of the option shares to pay the exercise price and issuing to the Reporting Persons the remaining 11,437 shares.

SEC source: 0001493152-21-023594 · ownership.xml · nonDerivative · entry 2

CARLISE THERESA · CIK 0001086391 · Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,200

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 · date: This Form 4 Amendment is being submitted to correct the disclosure regarding the options granted on 8/21/2020. On May 28, 2021, the Issuer effected a 1-for-5 reverse stock split of its common stock (the "Reverse Stock Split"). The amount of securities reported on this Form 4 have been adjusted to reflect the Reverse Stock Split.

F3 · kind: On September 23, 2021, the reporting person exercised options to purchase 14,200 shares at $1.00 per share. The Reporting Person paid the exercise price on a cashless basis (a "net exercise"), resulting in the Issuer withholding 2,763 of the option shares to pay the exercise price and issuing to the Reporting Persons the remaining 11,437 shares.

SEC source: 0001493152-21-000451 · ownership.xml · derivative · entry 1

Phipps David · CIK 0001635266 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,508,333

Underlying: Common Stock par value $0.0001 · 1,500,000 shares

Expires 2030-12-30

F1 · deemedExecutionDate: The grant of these non-qualified options was approved by the Registrant's Board of Directors on December 31, 2020 and granted pursuant to the 2020 Equity Incentive Plan (the "Plan"), subject to shareholder approval of the Plan. The options vested immediately and were exercised in full upon grant, as reporting Table I of this Form.

F1 · price: The grant of these non-qualified options was approved by the Registrant's Board of Directors on December 31, 2020 and granted pursuant to the 2020 Equity Incentive Plan (the "Plan"), subject to shareholder approval of the Plan. The options vested immediately and were exercised in full upon grant, as reporting Table I of this Form.

F1 · derivative.exercise_date: The grant of these non-qualified options was approved by the Registrant's Board of Directors on December 31, 2020 and granted pursuant to the 2020 Equity Incentive Plan (the "Plan"), subject to shareholder approval of the Plan. The options vested immediately and were exercised in full upon grant, as reporting Table I of this Form.

SEC source: 0001493152-21-000449 · ownership.xml · derivative · entry 1

Delgado Hector · CIK 0001635681 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 76,644

Underlying: Common Stock · 50,000 shares

Expires 2030-12-30

F1 · deemedExecutionDate: The grant of these non-qualified options was approved by the Registrant's Board of Directors on December 31, 2020 and granted pursuant to the 2020 Equity Incentive Plan (the "Plan"), subject to shareholder approval of the Plan. The options vested immediately and were exercised in full upon grant, as reporting Table I of this Form.

F1 · price: The grant of these non-qualified options was approved by the Registrant's Board of Directors on December 31, 2020 and granted pursuant to the 2020 Equity Incentive Plan (the "Plan"), subject to shareholder approval of the Plan. The options vested immediately and were exercised in full upon grant, as reporting Table I of this Form.

F1 · derivative.exercise_date: The grant of these non-qualified options was approved by the Registrant's Board of Directors on December 31, 2020 and granted pursuant to the 2020 Equity Incentive Plan (the "Plan"), subject to shareholder approval of the Plan. The options vested immediately and were exercised in full upon grant, as reporting Table I of this Form.

SEC source: 0001493152-20-017079 · ownership.xml · derivative · entry 4

CARLISE THERESA · CIK 0001086391 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,556

Underlying: Common Stock · 71,000 shares

Expires 2030-08-20

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.

F3 · deemedExecutionDate: The grant of these non-qualified options was approved by the Registrant's Board of Directors on August 21, 2020 and granted pursuant to the 2020 Equity Incentive Plan (the "Plan"), subject to shareholder approval of the Plan. The options vested immediately and were exercised in full upon grant, as reporting Table I of this Form.

F3 · price: The grant of these non-qualified options was approved by the Registrant's Board of Directors on August 21, 2020 and granted pursuant to the 2020 Equity Incentive Plan (the "Plan"), subject to shareholder approval of the Plan. The options vested immediately and were exercised in full upon grant, as reporting Table I of this Form.

F3 · derivative.exercise_date: The grant of these non-qualified options was approved by the Registrant's Board of Directors on August 21, 2020 and granted pursuant to the 2020 Equity Incentive Plan (the "Plan"), subject to shareholder approval of the Plan. The options vested immediately and were exercised in full upon grant, as reporting Table I of this Form.

SEC source: 0001493152-20-017079 · ownership.xml · derivative · entry 3

CARLISE THERESA · CIK 0001086391 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 84,556

Underlying: Common Stock · 71,000 shares

Expires 2030-08-20

F3 · deemedExecutionDate: The grant of these non-qualified options was approved by the Registrant's Board of Directors on August 21, 2020 and granted pursuant to the 2020 Equity Incentive Plan (the "Plan"), subject to shareholder approval of the Plan. The options vested immediately and were exercised in full upon grant, as reporting Table I of this Form.

F3 · price: The grant of these non-qualified options was approved by the Registrant's Board of Directors on August 21, 2020 and granted pursuant to the 2020 Equity Incentive Plan (the "Plan"), subject to shareholder approval of the Plan. The options vested immediately and were exercised in full upon grant, as reporting Table I of this Form.

F3 · derivative.exercise_date: The grant of these non-qualified options was approved by the Registrant's Board of Directors on August 21, 2020 and granted pursuant to the 2020 Equity Incentive Plan (the "Plan"), subject to shareholder approval of the Plan. The options vested immediately and were exercised in full upon grant, as reporting Table I of this Form.

SEC source: 0001493152-20-017079 · ownership.xml · nonDerivative · entry 2

CARLISE THERESA · CIK 0001086391 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,800

F2 · security: Represents a restricted stock award approved by the Board of Directors on August 21, 2020 granted pursuant to the 2020 Equity Incentive Plan (the "Plan"), subject to shareholder approval of the Plan.

SEC source: 0001493152-20-017079 · ownership.xml · nonDerivative · entry 1

CARLISE THERESA · CIK 0001086391 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,800

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 · security: Represents the Reporting Person's exercise of 71,000 non-qualified options as reported in Table II of this Form. Following such exercise in full, the Reporting Person received 56,800 shares of common stock of the Company, with 14,200 shares of common stock withheld by the Company to cover the payment of the exercise price.

SEC source: 0001493152-20-017078 · ownership.xml · derivative · entry 4

Delgado Hector · CIK 0001635681 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,644

Underlying: Common Stock · 21,000 shares

Expires 2030-08-20

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.

F3 · deemedExecutionDate: The grant of these non-qualified options was approved by the Registrant's Board of Directors on August 21, 2020 and granted pursuant to the 2020 Equity Incentive Plan (the "Plan"), subject to shareholder approval of the Plan. The options vested immediately and were exercised in full upon grant, as reporting Table I of this Form.

F3 · price: The grant of these non-qualified options was approved by the Registrant's Board of Directors on August 21, 2020 and granted pursuant to the 2020 Equity Incentive Plan (the "Plan"), subject to shareholder approval of the Plan. The options vested immediately and were exercised in full upon grant, as reporting Table I of this Form.

F3 · derivative.exercise_date: The grant of these non-qualified options was approved by the Registrant's Board of Directors on August 21, 2020 and granted pursuant to the 2020 Equity Incentive Plan (the "Plan"), subject to shareholder approval of the Plan. The options vested immediately and were exercised in full upon grant, as reporting Table I of this Form.

SEC source: 0001493152-20-017078 · ownership.xml · derivative · entry 3

Delgado Hector · CIK 0001635681 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,644

Underlying: Common Stock · 21,000 shares

Expires 2030-08-20

F3 · deemedExecutionDate: The grant of these non-qualified options was approved by the Registrant's Board of Directors on August 21, 2020 and granted pursuant to the 2020 Equity Incentive Plan (the "Plan"), subject to shareholder approval of the Plan. The options vested immediately and were exercised in full upon grant, as reporting Table I of this Form.

F3 · price: The grant of these non-qualified options was approved by the Registrant's Board of Directors on August 21, 2020 and granted pursuant to the 2020 Equity Incentive Plan (the "Plan"), subject to shareholder approval of the Plan. The options vested immediately and were exercised in full upon grant, as reporting Table I of this Form.

F3 · derivative.exercise_date: The grant of these non-qualified options was approved by the Registrant's Board of Directors on August 21, 2020 and granted pursuant to the 2020 Equity Incentive Plan (the "Plan"), subject to shareholder approval of the Plan. The options vested immediately and were exercised in full upon grant, as reporting Table I of this Form.

SEC source: 0001493152-20-017078 · ownership.xml · nonDerivative · entry 2

Delgado Hector · CIK 0001635681 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,800

F2 · security: Represents a restricted stock award approved by the Board of Directors on August 21, 2020 granted pursuant to the 2020 Equity Incentive Plan (the "Plan"), subject to shareholder approval of the Plan.

SEC source: 0001493152-20-017078 · ownership.xml · nonDerivative · entry 1

Delgado Hector · CIK 0001635681 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,800

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 · security: Represents the Reporting Person's exercise of 21,000 non-qualified options as reported in Table II of this Form. Following such exercise in full, the Reporting Person received 16,800 shares of common stock of the Company, with 4,200 shares of common stock withheld by the Company to cover the payment of the exercise price.

SEC source: 0001493152-20-017077 · ownership.xml · derivative · entry 3

Phipps David · CIK 0001635266 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,333

Underlying: Common Stock · 400,000 shares

Expires 2030-08-20

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

F2 · deemedExecutionDate: The grant of these non-qualified options was approved by the Registrant's Board of Directors on August 21, 2020 and granted pursuant to the 2020 Equity Incentive Plan (the "Plan"), subject to shareholder approval of the Plan. The options vested immediately and were exercised in full upon grant, as reporting Table I of this Form.

F2 · price: The grant of these non-qualified options was approved by the Registrant's Board of Directors on August 21, 2020 and granted pursuant to the 2020 Equity Incentive Plan (the "Plan"), subject to shareholder approval of the Plan. The options vested immediately and were exercised in full upon grant, as reporting Table I of this Form.

F2 · derivative.exercise_date: The grant of these non-qualified options was approved by the Registrant's Board of Directors on August 21, 2020 and granted pursuant to the 2020 Equity Incentive Plan (the "Plan"), subject to shareholder approval of the Plan. The options vested immediately and were exercised in full upon grant, as reporting Table I of this Form.

SEC source: 0001493152-20-017077 · ownership.xml · derivative · entry 2

Phipps David · CIK 0001635266 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 408,333

Underlying: Common Stock par value $0.0001 · 400,000 shares

Expires 2030-08-20

F2 · deemedExecutionDate: The grant of these non-qualified options was approved by the Registrant's Board of Directors on August 21, 2020 and granted pursuant to the 2020 Equity Incentive Plan (the "Plan"), subject to shareholder approval of the Plan. The options vested immediately and were exercised in full upon grant, as reporting Table I of this Form.

F2 · price: The grant of these non-qualified options was approved by the Registrant's Board of Directors on August 21, 2020 and granted pursuant to the 2020 Equity Incentive Plan (the "Plan"), subject to shareholder approval of the Plan. The options vested immediately and were exercised in full upon grant, as reporting Table I of this Form.

F2 · derivative.exercise_date: The grant of these non-qualified options was approved by the Registrant's Board of Directors on August 21, 2020 and granted pursuant to the 2020 Equity Incentive Plan (the "Plan"), subject to shareholder approval of the Plan. The options vested immediately and were exercised in full upon grant, as reporting Table I of this Form.

SEC source: 0001493152-20-017077 · ownership.xml · nonDerivative · entry 1

Phipps David · CIK 0001635266 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 439,952

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 · security: Represents the Reporting Person's common stock held of 39,952 and exercise of 400,000 non-qualified options as reported in Table II of this Form. Following such exercise in full, the Reporting Person received 320,000 shares of common stock of the Company, with 80,000 shares of common stock withheld by the Company to cover the payment of the exercise price.

F1 · balance_after: Represents the Reporting Person's common stock held of 39,952 and exercise of 400,000 non-qualified options as reported in Table II of this Form. Following such exercise in full, the Reporting Person received 320,000 shares of common stock of the Company, with 80,000 shares of common stock withheld by the Company to cover the payment of the exercise price.

SEC source: 0001493152-21-023594 · ownership.xml · derivative · entry 4

CARLISE THERESA · CIK 0001086391 · Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,200

Underlying: Common Stock · 14,200 shares

Expires 2030-08-20

F4 · derivative.exercise_date: The grant of these options was approved by the Registrants Board of Directors on 8/21/2020 and subject to the Company's 2020 Equity Incentive Plan. All options vested immediately upon grant date.

SEC source: 0001493152-21-023594 · ownership.xml · nonDerivative · entry 1

CARLISE THERESA · CIK 0001086391 · Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,000

F1 · security: This Form 4 Amendment is being submitted to correct the disclosure regarding the options granted on 8/21/2020. On May 28, 2021, the Issuer effected a 1-for-5 reverse stock split of its common stock (the "Reverse Stock Split"). The amount of securities reported on this Form 4 have been adjusted to reflect the Reverse Stock Split.

F2 · security: Represents restricted stock awarded by the Board of Directors on 8/21/2020 and granted pursuant to the Company's 2020 Equity Incentive Plan.

F2 · shares: Represents restricted stock awarded by the Board of Directors on 8/21/2020 and granted pursuant to the Company's 2020 Equity Incentive Plan.

SEC source: 0001493152-19-008154 · ownership.xml · derivative · entry 2

Phipps David · CIK 0001635266 · Director · CEO, President & Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 342,691 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.

F2 · derivative.expiration_date: The Series E Preferred Stock has no expiration date.

SEC source: 0001493152-19-008154 · ownership.xml · nonDerivative · entry 1

Phipps David · CIK 0001635266 · Director · CEO, President & Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 599,277

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 · shares: 342,691 shares of common stock were issued upon conversion of 5,140,360 shares of Series E Preferred Stock.

SEC source: 0001493152-19-000802 · ownership.xml · derivative · entry 3

Phipps James · CIK 0001708676 · 6.88% Owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 85,417

Underlying: Common Stock, par value $0.0001 · 137,500 shares

Expires 2023-12-17

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.

F3 · derivative.exercise_date: The subject options are fully vested as of grant date.

SEC source: 0001493152-19-000802 · ownership.xml · nonDerivative · entry 2

Phipps James · CIK 0001708676 · 6.88% Owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 83,371

F2 · kind: Represents a "net exercise" of outstanding stock options. The reporting person received 78,571 shares of common stock on net exercise of option to purchase 137,500 shares of common stock. The Company withheld 58,929 shares of common stock underlying the option for payment of the exercise price, using the closing stock price on January 17, 2019 of $0.35, pursuant to the terms of the 2018 Incentive Plan.

SEC source: 0001493152-19-000802 · ownership.xml · nonDerivative · entry 1

Phipps James · CIK 0001708676 · 6.88% Owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 142,300

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 · balance_after: Represents common stock held of 4,800 and exercise of 137,500 options to common shares.