OLOX

SEC source: 0001213900-19-006694 · ownership.xml · nonDerivative · entry 1

Shetty Mahesh S · CIK 0001362346 · Director · CFO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,777

F1 · balance_after: Represents a grant of restricted stock units ("RSUs") under the SG Blocks, Inc. Stock Incentive Plan. Each RSU represents the right to receive, upon vesting, one share of the issuer's common stock, par value $0.01. The number of RSUs was determined using the closing price of the issuer's common stock on February 26, 2019.

F2 · balance_after: The RSUs will vest in full on December 31, 2019, subject to the reporting person's continued service as an employee of the issuer through such date, and are deliverable January 1, 2020.

SEC source: 0001213900-19-006769 · ownership.xml · nonDerivative · entry 2

Armstrong Stevan · CIK 0001533029 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,432

F1 · balance_after: Represents a grant of restricted stock units ("RSUs") under the SG Blocks, Inc. Stock Incentive Plan. Each RSU represents the right to receive, upon vesting, one share of the issuer's common stock, par value $0.01. The number of RSUs was determined using the closing price of the issuer's common stock on February 26, 2019.

F3 · balance_after: The RSUs will vest in three equal annual installments, beginning on December 31, 2020, subject to the reporting person's continued service as an employee of the issuer through such date, and will be delivered within 90 days of when the reporting person is no longer employed by the issuer.

SEC source: 0001213900-19-006769 · ownership.xml · nonDerivative · entry 1

Armstrong Stevan · CIK 0001533029 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,321

F1 · balance_after: Represents a grant of restricted stock units ("RSUs") under the SG Blocks, Inc. Stock Incentive Plan. Each RSU represents the right to receive, upon vesting, one share of the issuer's common stock, par value $0.01. The number of RSUs was determined using the closing price of the issuer's common stock on February 26, 2019.

F2 · balance_after: The RSUs will vest in full on December 31, 2019, subject to the reporting person's continued service as an employee of the issuer through such date, and are deliverable January 1, 2020.

SEC source: 0001213900-19-006690 · ownership.xml · nonDerivative · entry 1

Potts James C · CIK 0001763513 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,428

F1 · shares: Represents a grant of restricted stock units ("RSUs") under the SG Blocks, Inc. Stock Incentive Plan as director compensation. Each RSU represents the right to receive, upon vesting, one share of the issuer's common stock, par value $0.01. The RSUs will vest in full on the earlier of (i) the one-year anniversary of the grant date and (ii) the date of the 2019 annual meeting of stockholders, subject to the reporting person's continued service as a director of the issuer through such date, and are payable six months after the termination of the reporting person from the issuer's board of directors or death or disability. The number of RSUs was determined by dividing $15,000 by the average closing price of the issuer's common stock as listed on the Nasdaq Capital Market for the ten trading days immediately preceding and including the RSU grant date (rounded down to the nearest number of whole shares).

SEC source: 0001144204-19-004877 · tv512387_4.xml · nonDerivative · entry 2

Hillair Capital Investments LP · CIK 0001536125 · 10% owner

Hillair Capital Management LLC · CIK 0001642616 · 10% owner

McAvoy Sean M · CIK 0001642615 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 407,998

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.00 to $3.06, inclusive. The reporting person undertakes to provide to the registrant, any security holder of the registrant, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range.

F2 · ownership.direct: The securities reported herein are owned directly by Hillair Capital Investments L.P., a Cayman Islands limited partnership ("Hillair Investments"), and indirectly by Hillair Capital Management LLC ("Hillair Management"), as the investment advisor of Hillair Investments, and Sean M. McAvoy ("Mr. McAvoy"), as the manager of Hillair Management. Hillair Management and Mr. McAvoy disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein.

SEC source: 0001144204-19-004877 · tv512387_4.xml · nonDerivative · entry 1

Hillair Capital Investments LP · CIK 0001536125 · 10% owner

Hillair Capital Management LLC · CIK 0001642616 · 10% owner

McAvoy Sean M · CIK 0001642615 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 434,397

F2 · ownership.direct: The securities reported herein are owned directly by Hillair Capital Investments L.P., a Cayman Islands limited partnership ("Hillair Investments"), and indirectly by Hillair Capital Management LLC ("Hillair Management"), as the investment advisor of Hillair Investments, and Sean M. McAvoy ("Mr. McAvoy"), as the manager of Hillair Management. Hillair Management and Mr. McAvoy disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein.

SEC source: 0001213900-19-000871 · ownership.xml · nonDerivative · entry 1

Blumenfeld Yaniv · CIK 0001738621 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,109

F1 · shares: Represents a grant of restricted stock units ("RSUs") under the SG Blocks, Inc. Stock Incentive Plan. Each RSU represents the right to receive, upon vesting, one share of the issuer's common stock, par value $0.01. The RSUs will vest in full on January 15, 2020, subject to the reporting person's continued service as a director of the issuer through such date, and are payable six months after the termination of the reporting person from the issuer's board of directors or death or disability. The number of RSUs was determined by dividing $15,000 by the average closing price of the issuer's common stock as listed on the Nasdaq Capital Market for the ten trading days immediately preceding and including the RSU grant date (rounded down to the nearest number of whole shares).

SEC source: 0001144204-19-001703 · tv511054_4.xml · nonDerivative · entry 2

Hillair Capital Investments LP · CIK 0001536125 · 10% owner

Hillair Capital Management LLC · CIK 0001642616 · 10% owner

McAvoy Sean M · CIK 0001642615 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 434,497

F1 · ownership.direct: The securities reported herein are owned directly by Hillair Capital Investments L.P., a Cayman Islands limited partnership ("Hillair Investments"), and indirectly by Hillair Capital Management LLC ("Hillair Management"), as the investment advisor of Hillair Investments, and Sean M. McAvoy ("Mr. McAvoy"), as the manager of Hillair Management. Hillair Management and Mr. McAvoy disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein.

SEC source: 0001144204-19-001703 · tv511054_4.xml · nonDerivative · entry 1

Hillair Capital Investments LP · CIK 0001536125 · 10% owner

Hillair Capital Management LLC · CIK 0001642616 · 10% owner

McAvoy Sean M · CIK 0001642615 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 444,297

F1 · ownership.direct: The securities reported herein are owned directly by Hillair Capital Investments L.P., a Cayman Islands limited partnership ("Hillair Investments"), and indirectly by Hillair Capital Management LLC ("Hillair Management"), as the investment advisor of Hillair Investments, and Sean M. McAvoy ("Mr. McAvoy"), as the manager of Hillair Management. Hillair Management and Mr. McAvoy disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein.

SEC source: 0001144204-19-001454 · tv510931_4.xml · nonDerivative · entry 1

Hillair Capital Investments LP · CIK 0001536125 · 10% owner

Hillair Capital Management LLC · CIK 0001642616 · 10% owner

McAvoy Sean M · CIK 0001642615 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 445,058

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.01 to $3.05, inclusive. The reporting person undertakes to provide to the registrant, any security holder of the registrant, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range.

F2 · ownership.direct: The securities reported herein are owned directly by Hillair Capital Investments L.P., a Cayman Islands limited partnership ("Hillair Investments"), and indirectly by Hillair Capital Management LLC ("Hillair Management"), as the investment advisor of Hillair Investments, and Sean M. McAvoy ("Mr. McAvoy"), as the manager of Hillair Management. Hillair Management and Mr. McAvoy disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein.

SEC source: 0001144204-18-063418 · tv508610_4.xml · nonDerivative · entry 2

Hillair Capital Investments LP · CIK 0001536125 · 10% owner

Hillair Capital Management LLC · CIK 0001642616 · 10% owner

McAvoy Sean M · CIK 0001642615 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 470,058

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.52 to $3.68, inclusive. The reporting person undertakes to provide to the registrant, any security holder of the registrant, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range.

F3 · ownership.direct: The securities reported herein are owned directly by Hillair Capital Investments L.P., a Cayman Islands limited partnership ("Hillair Investments"), and indirectly by Hillair Capital Management LLC ("Hillair Management"), as the investment advisor of Hillair Investments, and Sean M. McAvoy ("Mr. McAvoy"), as the manager of Hillair Management. Hillair Management and Mr. McAvoy disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein.

SEC source: 0001144204-18-063418 · tv508610_4.xml · nonDerivative · entry 1

Hillair Capital Investments LP · CIK 0001536125 · 10% owner

Hillair Capital Management LLC · CIK 0001642616 · 10% owner

McAvoy Sean M · CIK 0001642615 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 519,558

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.55 to $3.85, inclusive. The reporting person undertakes to provide to the registrant, any security holder of the registrant, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range.

F3 · ownership.direct: The securities reported herein are owned directly by Hillair Capital Investments L.P., a Cayman Islands limited partnership ("Hillair Investments"), and indirectly by Hillair Capital Management LLC ("Hillair Management"), as the investment advisor of Hillair Investments, and Sean M. McAvoy ("Mr. McAvoy"), as the manager of Hillair Management. Hillair Management and Mr. McAvoy disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein.

SEC source: 0001144204-18-056946 · tv506086_form4.xml · nonDerivative · entry 1

Hillair Capital Investments LP · CIK 0001536125 · 10% owner

Hillair Capital Management LLC · CIK 0001642616 · 10% owner

McAvoy Sean M · CIK 0001642615 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 604,857

F1 · ownership.direct: The securities reported herein are owned directly by Hillair Capital Investments L.P., a Cayman Islands limited partnership ("Hillair Investments"), and indirectly by Hillair Capital Management LLC ("Hillair Management"), as the investment advisor of Hillair Investments, and Sean M. McAvoy ("Mr. McAvoy"), as the manager of Hillair Management. Hillair Management and Mr. McAvoy disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein.

SEC source: 0001144204-18-051181 · tv503658_form4.xml · nonDerivative · entry 1

Hillair Capital Investments LP · CIK 0001536125 · 10% owner

Hillair Capital Management LLC · CIK 0001642616 · 10% owner

McAvoy Sean M · CIK 0001642615 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 605,501

F1 · ownership.direct: The securities reported herein are owned directly by Hillair Capital Investments L.P., a Cayman Islands limited partnership ("Hillair Investments"), and indirectly by Hillair Capital Management LLC ("Hillair Management"), as the investment advisor of Hillair Investments, and Sean M. McAvoy ("Mr. McAvoy"), as the manager of Hillair Management. Hillair Management and Mr. McAvoy disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein.

SEC source: 0001144204-18-050892 · tv503560_form4.xml · nonDerivative · entry 1

Hillair Capital Investments LP · CIK 0001536125 · 10% owner

Hillair Capital Management LLC · CIK 0001642616 · 10% owner

McAvoy Sean M · CIK 0001642615 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 610,307

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.22 to $4.32, inclusive. The reporting person undertakes to provide to the registrant, any security holder of the registrant, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range.

F2 · ownership.direct: The securities reported herein are owned directly by Hillair Capital Investments L.P., a Cayman Islands limited partnership ("Hillair Investments"), and indirectly by Hillair Capital Management LLC ("Hillair Management"), as the investment advisor of Hillair Investments, and Sean M. McAvoy ("Mr. McAvoy"), as the manager of Hillair Management. Hillair Management and Mr. McAvoy disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein.

SEC source: 0001144204-18-049605 · tv502933_form4.xml · nonDerivative · entry 1

Hillair Capital Investments LP · CIK 0001536125 · 10% owner

Hillair Capital Management LLC · CIK 0001642616 · 10% owner

McAvoy Sean M · CIK 0001642615 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 617,927

F1 · ownership.direct: The securities reported herein are owned directly by Hillair Capital Investments L.P., a Cayman Islands limited partnership ("Hillair Investments"), and indirectly by Hillair Capital Management LLC ("Hillair Management"), as the investment advisor of Hillair Investments, and Sean M. McAvoy ("Mr. McAvoy"), as the manager of Hillair Management. Hillair Management and Mr. McAvoy disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein.

SEC source: 0001144204-18-049445 · tv502868_form4.xml · nonDerivative · entry 1

Hillair Capital Investments LP · CIK 0001536125 · 10% owner

Hillair Capital Management LLC · CIK 0001642616 · 10% owner

McAvoy Sean M · CIK 0001642615 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 624,807

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.02 to $4.22, inclusive. The reporting person undertakes to provide to the registrant, any security holder of the registrant, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range.

F2 · ownership.direct: The securities reported herein are owned directly by Hillair Capital Investments L.P., a Cayman Islands limited partnership ("Hillair Investments"), and indirectly by Hillair Capital Management LLC ("Hillair Management"), as the investment advisor of Hillair Investments, and Sean M. McAvoy ("Mr. McAvoy"), as the manager of Hillair Management. Hillair Management and Mr. McAvoy disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein.

SEC source: 0001213900-18-012150 · ownership.xml · nonDerivative · entry 3

Blumenfeld Yaniv · CIK 0001738621 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,023

SEC source: 0001213900-18-012150 · ownership.xml · nonDerivative · entry 2

Blumenfeld Yaniv · CIK 0001738621 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,023

F2 · price: Represents the weighted average purchase price of multiple transactions with a range of prices between $3.60 and $3.63. The reporting person hereby undertakes to provide, upon request by the Securities and Exchange Commission staff, the issuer or a stockholder of the issuer, full information regarding the number of shares purchased at each separate price.

SEC source: 0001213900-18-012150 · ownership.xml · nonDerivative · entry 1

Blumenfeld Yaniv · CIK 0001738621 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,591

F1 · price: Represents the weighted average purchase price of multiple transactions with a range of prices between $3.54 and $3.80. The reporting person hereby undertakes to provide, upon request by the Securities and Exchange Commission staff, the issuer or a stockholder of the issuer, full information regarding the number of shares purchased at each separate price.

SEC source: 0001213900-18-011483 · ownership.xml · nonDerivative · entry 1

Shetty Mahesh S · CIK 0001362346 · Director · CFO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

SEC source: 0001213900-18-011479 · ownership.xml · nonDerivative · entry 1

Galvin Paul M. · CIK 0001532974 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

SEC source: 0001213900-18-011514 · ownership.xml · nonDerivative · entry 2

Blumenfeld Yaniv · CIK 0001738621 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,591

F2 · price: Represents the weighted average purchase price of multiple transactions with a range of prices between $4.07 and $4.20. The reporting person hereby undertakes to provide, upon request by the Securities and Exchange Commission staff, the issuer or a stockholder of the issuer, full information regarding the number of shares purchased at each separate price.

SEC source: 0001213900-18-011304 · ownership.xml · nonDerivative · entry 1

Shetty Mahesh S · CIK 0001362346 · Director · CFO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,500

SEC source: 0001213900-18-011302 · ownership.xml · nonDerivative · entry 1

Galvin Paul M. · CIK 0001532974 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,500

SEC source: 0001213900-18-011514 · ownership.xml · nonDerivative · entry 1

Blumenfeld Yaniv · CIK 0001738621 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,591

F1 · price: Represents the weighted average purchase price of multiple transactions with a range of prices between $4.12 and $4.1906. The reporting person hereby undertakes to provide, upon request by the Securities and Exchange Commission staff, the issuer or a stockholder of the issuer, full information regarding the number of shares purchased at each separate price.

SEC source: 0001213900-18-009874 · ownership.xml · nonDerivative · entry 1

Ayyar Balan R · CIK 0001697760 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,591

F1 · shares: Represents a grant of restricted stock units ("RSUs") under the SG Blocks, Inc. Stock Incentive Plan. Each RSU represents the right to receive, upon vesting, one share of the issuer's common stock, par value $0.01. The RSUs will vest in full on the earlier of (i) July 26, 2019 and (ii) the date of the 2019 annual meeting of stockholders, subject to the reporting person's continued service as a director of the issuer through such date, and are payable six months after the termination of the reporting person from the issuer's board of directors or death or disability. The number of RSUs was determined by dividing $30,000 by the average closing price of the issuer's common stock as listed on the Nasdaq Capital Market for the ten trading days immediately preceding and including the RSU grant date (rounded down to the nearest number of whole shares).

SEC source: 0001213900-18-009871 · ownership.xml · nonDerivative · entry 1

Blumenfeld Yaniv · CIK 0001738621 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,591

F1 · shares: Represents a grant of restricted stock units ("RSUs") under the SG Blocks, Inc. Stock Incentive Plan. Each RSU represents the right to receive, upon vesting, one share of the issuer's common stock, par value $0.01. The RSUs will vest in full on the earlier of (i) July 26, 2019 and (ii) the date of the 2019 annual meeting of stockholders, subject to the reporting person's continued service as a director of the issuer through such date, and are payable six months after the termination of the reporting person from the issuer's board of directors or death or disability. The number of RSUs was determined by dividing $30,000 by the average closing price of the issuer's common stock as listed on the Nasdaq Capital Market for the ten trading days immediately preceding and including the RSU grant date (rounded down to the nearest number of whole shares).

SEC source: 0001213900-18-009868 · ownership.xml · nonDerivative · entry 1

McAvoy Sean M · CIK 0001642615 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,591

F1 · shares: Represents a grant of restricted stock units ("RSUs") under the SG Blocks, Inc. Stock Incentive Plan. Each RSU represents the right to receive, upon vesting, one share of the issuer's common stock, par value $0.01. The RSUs will vest in full on the earlier of (i) July 26, 2019 and (ii) the date of the 2019 annual meeting of stockholders, subject to the reporting person's continued service as a director of the issuer through such date, and are payable six months after the termination of the reporting person from the issuer's board of directors or death or disability. The number of RSUs was determined by dividing $30,000 by the average closing price of the issuer's common stock as listed on the Nasdaq Capital Market for the ten trading days immediately preceding and including the RSU grant date (rounded down to the nearest number of whole shares).

SEC source: 0001213900-18-009867 · ownership.xml · nonDerivative · entry 1

Melton Christopher · CIK 0001533552 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,137

F1 · shares: Represents a grant of restricted stock units ("RSUs") under the SG Blocks, Inc. Stock Incentive Plan. Each RSU represents the right to receive, upon vesting, one share of the issuer's common stock, par value $0.01. The RSUs will vest in full on the earlier of (i) July 26, 2019 and (ii) the date of the 2019 annual meeting of stockholders, subject to the reporting person's continued service as a director of the issuer through such date, and are payable six months after the termination of the reporting person from the issuer's board of directors or death or disability. The number of RSUs was determined by dividing $30,000 by the average closing price of the issuer's common stock as listed on the Nasdaq Capital Market for the ten trading days immediately preceding and including the RSU grant date (rounded down to the nearest number of whole shares).

SEC source: 0001213900-18-009863 · ownership.xml · nonDerivative · entry 1

Moore A Richard JR · CIK 0001697761 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,591

F1 · shares: Represents a grant of restricted stock units ("RSUs") under the SG Blocks, Inc. Stock Incentive Plan. Each RSU represents the right to receive, upon vesting, one share of the issuer's common stock, par value $0.01. The RSUs will vest in full on the earlier of (i) July 26, 2019 and (ii) the date of the 2019 annual meeting of stockholders, subject to the reporting person's continued service as a director of the issuer through such date, and are payable six months after the termination of the reporting person from the issuer's board of directors or death or disability. The number of RSUs was determined by dividing $30,000 by the average closing price of the issuer's common stock as listed on the Nasdaq Capital Market for the ten trading days immediately preceding and including the RSU grant date (rounded down to the nearest number of whole shares).

SEC source: 0001213900-18-003870 · f4033018shetty_sgblocksinc.xml · derivative · entry 1

Shetty Mahesh S · CIK 0001362346 · Director · CFO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 81,342

Underlying: Common Stock · 81,342 shares

Expires 2028-03-30

F1 · derivative.exercise_price: Reflects the closing price of the issuer's common stock, as quoted on the Nasdaq Stock Market, on March 29, 2018, the last trading day prior to March 30, 2018.

F2 · derivative.exercise_date: The options were issued under the issuer's stock incentive plan as an award for the performance of the issuer during 2017 and vest over a two-year period in eight equal quarterly installments, beginning March 31, 2018.

SEC source: 0001213900-18-003869 · f4033018galvin_sgblock.xml · derivative · entry 1

Galvin Paul M. · CIK 0001532974 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 82,154

Underlying: Common Stock · 82,154 shares

Expires 2028-03-30

F1 · derivative.exercise_price: Reflects the closing price of the issuer's common stock, as quoted on the Nasdaq Stock Market, on March 29, 2018, the last trading day prior to March 30, 2018.

F2 · derivative.exercise_date: The options were issued under the issuer's stock incentive plan as an award for the performance of the issuer during 2017 and vest over a two-year period in eight equal quarterly installments, beginning March 31, 2018.

SEC source: 0001213900-18-003867 · f4033018armstrong_sgblock.xml · derivative · entry 1

Armstrong Stevan · CIK 0001533029 · Director · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,842

Underlying: Common Stock · 14,842 shares

Expires 2028-03-30

F1 · derivative.exercise_price: Reflects the closing price of the issuer's common stock, as quoted on the Nasdaq Stock Market, on March 29, 2018, the last trading day prior to March 30, 2018.

F2 · derivative.exercise_date: The options were issued under the issuer's stock incentive plan as an award for the performance of the issuer during 2017 and vest over a two-year period in eight equal quarterly installments, beginning March 31, 2018.

SEC source: 0001676319-18-000003 · primary_doc.xml · nonDerivative · entry 1

Titan Advisors, LLC · CIK 0001676319 · 10% owner

HSPL Holdings, LLC · CIK 0001727083 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 325,008

F1 · balance_after: Remaining shares that are still owned post transaction.

SEC source: 0001213900-17-012194 · f4111317melton_sgblocks.xml · nonDerivative · entry 1

Melton Christopher · CIK 0001533552 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Owned in Individual Retirement Account

Disclosed balance after: 4,000

F1 · price: Represents the weighted average purchase price of multiple transactions with a range of prices between $5.44 and $5.4496. The reporting person hereby undertakes to provide, upon request by the Securities and Exchange Commission staff, the issuer or a shareholder of the issuer, full information regarding the number of shares purchased at each separate price.

F2 · balance_after: As adjusted for a 1-for-3 reverse stock split of the issuer's common stock, par value $0.01, effected on February 28, 2017.

SEC source: 0001213900-18-000162 · f4083117hillaircap_sgblock.xml · derivative · entry 2

Hillair Capital Investments LP · CIK 0001536125 · 10% owner

Hillair Capital Management LLC · CIK 0001642616 · 10% owner

McAvoy Sean M · CIK 0001642615 · Director · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,131

Underlying: Common Stock · 11,203 shares

Expires 2026-10-31

F1 · kind: Pursuant to a Participation Agreement, dated August 31, 2017, between Hillair Capital Investments L.P., a Cayman Islands limited partnership ("Hillair Investments"), acting through its general partner, Hillair Capital Advisors LLC, and HSPL Holdings, LLC ("HSPL"), Hillair Investments agreed to transfer to HSPL (i) 315,238 shares of the issuer's common stock and (ii) options to purchase 11,203 shares of the issuer's common stock, as soon as reasonably practicable after certain lock-up restrictions on such shares expire, in exchange for HSPL's withdrawal of participation in the master fund managed by Hillair Investments.

F2 · price: The shares and options were distributed in-kind from Hillair Investments to HSPL in partial satisfaction of a withdrawal from the master fund managed by Hillair Investments.

F5 · derivative.exercise_date: The options have vested in their entirety and are fully exercisable.

F4 · ownership.direct: The securities reported herein are owned directly by Hillair Investments, and indirectly by Hillair Capital Management LLC ("Hillair Management"), as the investment advisor of Hillair Capital, and Sean M. McAvoy, as the manager of Hillair Management. Hillair Management disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein.

SEC source: 0001213900-18-000162 · f4083117hillaircap_sgblock.xml · nonDerivative · entry 1

Hillair Capital Investments LP · CIK 0001536125 · 10% owner

Hillair Capital Management LLC · CIK 0001642616 · 10% owner

McAvoy Sean M · CIK 0001642615 · Director · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 622,726

F1 · kind: Pursuant to a Participation Agreement, dated August 31, 2017, between Hillair Capital Investments L.P., a Cayman Islands limited partnership ("Hillair Investments"), acting through its general partner, Hillair Capital Advisors LLC, and HSPL Holdings, LLC ("HSPL"), Hillair Investments agreed to transfer to HSPL (i) 315,238 shares of the issuer's common stock and (ii) options to purchase 11,203 shares of the issuer's common stock, as soon as reasonably practicable after certain lock-up restrictions on such shares expire, in exchange for HSPL's withdrawal of participation in the master fund managed by Hillair Investments.

F2 · price: The shares and options were distributed in-kind from Hillair Investments to HSPL in partial satisfaction of a withdrawal from the master fund managed by Hillair Investments.

F3 · balance_after: Increase in share number due to the inadvertent omission of 345 shares held by the reporting persons from prior reports.

F4 · ownership.direct: The securities reported herein are owned directly by Hillair Investments, and indirectly by Hillair Capital Management LLC ("Hillair Management"), as the investment advisor of Hillair Capital, and Sean M. McAvoy, as the manager of Hillair Management. Hillair Management disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein.

SEC source: 0001213900-17-006982 · f4062717shetty_sgblocks.xml · nonDerivative · entry 1

Shetty Mahesh S · CIK 0001362346 · Director · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

F1 · shares: The Reporting Person purchased the shares in connection with the public offering of the issuer's common stock pursuant to the prospectus, dated June 21, 2017, and accompanying registration statement on Form S-1/A, dated June 16, 2017.

SEC source: 0001213900-17-006980 · f4062717hillair_sgblocks.xml · nonDerivative · entry 1

Hillair Capital Investments LP · CIK 0001536125 · 10% owner

Hillair Capital Management LLC · CIK 0001642616 · 10% owner

McAvoy Sean M · CIK 0001642615 · Director · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 937,619

F1 · shares: The Reporting Persons purchased the shares in connection with the public offering of the issuer's common stock pursuant to the prospectus, dated June 21, 2017, and accompanying registration statement on Form S-1/A, dated June 16, 2017.

F2 · ownership.direct: The securities reported herein are owned directly by Hillair Capital Investments L.P., a Cayman Islands limited partnership ("Hillair Capital"), and indirectly by Hillair Capital Management LLC ("Hillair Management"), as the investment advisor of Hillair Capital, and Sean M. McAvoy, as the manager of Hillair Management. Hillair Management disclaims beneficial ownership of the reported securities except to the extent of their pecuniary interest therein.

SEC source: 0001213900-17-006977 · f4062717galvin_sgblocks.xml · nonDerivative · entry 1

Galvin Paul M. · CIK 0001532974 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,144

F1 · shares: The Reporting Person purchased the shares in connection with the public offering of the issuer's common stock pursuant to the prospectus, dated June 21, 2017, and accompanying registration statement on Form S-1/A, dated June 16, 2017.

SEC source: 0001213900-17-006812 · f4111716hillaircap_sgblocks.xml · derivative · entry 7

Hillair Capital Investments LP · CIK 0001536125 · 10% owner

Hillair Capital Management LLC · CIK 0001642616 · 10% owner

McAvoy Sean M · CIK 0001642615 · Director · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,117,480 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.

F6 · derivative.exercise_date: As previously reported by Hillair Capital, the Series A Convertible Preferred Stock became convertible on June 30, 2016 and had a perpetual duration. In connection with the issuer's public offering of common stock, the Series A Convertible Preferred Stock converted into common stock at a conversion ratio of 1:1.

F6 · derivative.expiration_date: As previously reported by Hillair Capital, the Series A Convertible Preferred Stock became convertible on June 30, 2016 and had a perpetual duration. In connection with the issuer's public offering of common stock, the Series A Convertible Preferred Stock converted into common stock at a conversion ratio of 1:1.

SEC source: 0001213900-17-006812 · f4111716hillaircap_sgblocks.xml · derivative · entry 6

Hillair Capital Investments LP · CIK 0001536125 · 10% owner

Hillair Capital Management LLC · CIK 0001642616 · 10% owner

McAvoy Sean M · CIK 0001642615 · Director · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 290,909

Underlying: Common Stock · 375,758 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.

F5 · derivative.exercise_date: As previously reported by Hillair Capital, the June 2016 Senior Convertible Secured Debenture became convertible on June 30, 2016 and expires on June 30, 2018, in the amount of $2,500,000 in principal amount plus any accrued and unpaid interest.

F5 · derivative.expiration_date: As previously reported by Hillair Capital, the June 2016 Senior Convertible Secured Debenture became convertible on June 30, 2016 and expires on June 30, 2018, in the amount of $2,500,000 in principal amount plus any accrued and unpaid interest.

SEC source: 0001213900-17-006812 · f4111716hillaircap_sgblocks.xml · derivative · entry 5

Hillair Capital Investments LP · CIK 0001536125 · 10% owner

Hillair Capital Management LLC · CIK 0001642616 · 10% owner

McAvoy Sean M · CIK 0001642615 · Director · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 109,091

Underlying: Common Stock · 140,909 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.

F3 · derivative.exercise_date: The November 2016 Senior Convertible Secured Debenture became convertible on November 17, 2016 and expires on June 30, 2018, in the amount of $937,500 in principal amount plus any accrued and unpaid interest.

F3 · derivative.expiration_date: The November 2016 Senior Convertible Secured Debenture became convertible on November 17, 2016 and expires on June 30, 2018, in the amount of $937,500 in principal amount plus any accrued and unpaid interest.

SEC source: 0001213900-17-006812 · f4111716hillaircap_sgblocks.xml · nonDerivative · entry 3

Hillair Capital Investments LP · CIK 0001536125 · 10% owner

Hillair Capital Management LLC · CIK 0001642616 · 10% owner

McAvoy Sean M · CIK 0001642615 · Director · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 827,619

F9 · price: On June 21, 2017, Hillair Capital transferred 815,000 shares to certain non-affiliate limited partners as a distribution in kind.

SEC source: 0001213900-17-006812 · f4111716hillaircap_sgblocks.xml · nonDerivative · entry 2

Hillair Capital Investments LP · CIK 0001536125 · 10% owner

Hillair Capital Management LLC · CIK 0001642616 · 10% owner

McAvoy Sean M · CIK 0001642615 · Director · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,642,619

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.

F6 · price: As previously reported by Hillair Capital, the Series A Convertible Preferred Stock became convertible on June 30, 2016 and had a perpetual duration. In connection with the issuer's public offering of common stock, the Series A Convertible Preferred Stock converted into common stock at a conversion ratio of 1:1.

SEC source: 0001213900-17-006812 · f4111716hillaircap_sgblocks.xml · nonDerivative · entry 1

Hillair Capital Investments LP · CIK 0001536125 · 10% owner

Hillair Capital Management LLC · CIK 0001642616 · 10% owner

McAvoy Sean M · CIK 0001642615 · Director · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 525,139

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: In connection with the issuer's public offering of common stock, a portion of each of the June 2016 and November 2016 Senior Convertible Secured Debentures, as described herein, were converted into common stock at a conversion ratio of 3.75:1 in an aggregate amount of 516,667 shares.

F2 · ownership.direct: The securities reported herein are owned directly by Hillair Capital Investments L.P., a Cayman Islands limited partnership ("Hillair Capital"), and indirectly by Hillair Capital Management LLC ("Hillair Management"), as the investment advisor of Hillair Capital, and Sean M. McAvoy, as the manager of Hillair Management. Hillair Management disclaims beneficial ownership of the reported securities except to the extent of their pecuniary interest therein.

SEC source: 0001213900-17-002302 · f4031017moore_sgblocks.xml · derivative · entry 1

Moore A Richard JR · CIK 0001697761 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,667

Underlying: Common Stock · 16,667 shares

Expires 2027-03-10

F2 · price: The options were granted under the issuer's stock incentive plan and without payment of consideration in connection with the reporting person's service as a director.

F1 · derivative.exercise_date: The options vest, subject to the reporting person's continued role as director, as to 25% of the underlying shares on the last day of each fiscal quarter following the date of grant until the options are 100% vested.

SEC source: 0001213900-17-002304 · f4031017shetty_sgblocks.xml · derivative · entry 2

Shetty Mahesh S · CIK 0001362346 · Director · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,978

Underlying: Common Stock · 52,978 shares

Expires 2027-03-10

F2 · derivative.exercise_price: The options, issued under the issuer's stock incentive plan, will have an exercise price equal to 120% of the price per share at which the public purchases shares of common stock in the offering pursuant to which a registration statement on Form S-1 was filed with the Securities and Exchange Commission on February 6, 2017.

F4 · price: The options were granted under the issuer's stock incentive plan and without payment of consideration in connection with the reporting person's employment with the issuer.

F3 · derivative.exercise_date: The options will vest and become exercisable in three tranches, with 1/3 of each option vesting upon the achievement of any one of three performance targets, as specified in the stock option agreement.

SEC source: 0001213900-17-002304 · f4031017shetty_sgblocks.xml · derivative · entry 1

Shetty Mahesh S · CIK 0001362346 · Director · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 79,468

Underlying: Common Stock · 79,468 shares

Expires 2027-03-10

F1 · derivative.exercise_price: The options, issued under the issuer's stock incentive plan, will have an exercise price equal to the price per share at which the public purchases shares of common stock in the offering pursuant to which a registration statement on Form S-1 was filed with the Securities and Exchange Commission on February 6, 2017.

F4 · price: The options were granted under the issuer's stock incentive plan and without payment of consideration in connection with the reporting person's employment with the issuer.

F3 · derivative.exercise_date: The options will vest and become exercisable in three tranches, with 1/3 of each option vesting upon the achievement of any one of three performance targets, as specified in the stock option agreement.