PWCM

SEC source: 0000897069-23-000441 · form4.xml · derivative · entry 2

Duran Ryan H · CIK 0001742160 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 250,000

Underlying: Common Stock · 250,000 shares

Expires 2033-04-20

F2 · derivative.exercise_price: This amendment is filed to correct the exercise price of the stock option which was originally reported as $0.714. The correct exercise price is $0.751 as set forth in this amendment.

F3 · derivative.exercise_date: Options were granted under the Plan. Options will vest as to one-half of the option shares on April 20, 2024, and as to one-half of the option shares on April 20, 2025 subject to acceleration of vesting upon a Change of Control (as defined in the Plan) or upon the Issuer attaining certain performance milestones.

SEC source: 0000897069-23-000441 · form4.xml · nonDerivative · entry 1

Duran Ryan H · CIK 0001742160 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 162,500

F1 · shares: Award of restricted stock granted to reporting person under the 2021 Omnibus Incentive Plan (the "Plan"). The shares of restricted stock shall vest monthly over a period of twelve (12) months.

SEC source: 0000897069-23-000439 · form4.xml · derivative · entry 2

Russell Richard D. · CIK 0001634290 · Vice President of Operations

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,000,000

Underlying: Common Stock · 1,000,000 shares

Expires 2033-04-20

F2 · derivative.exercise_price: This amendment is filed to correct the exercise price of the stock option which was originally reported as $0.714. The correct exercise price is $0.751 as set forth in this amendment.

F3 · derivative.exercise_date: Options were granted under the Plan. Options will vest as to one-half of the option shares on April 20, 2024, and as to one-half of the option shares on April 20, 2025 subject to acceleration of vesting upon a Change of Control (as defined in the Plan) or upon the Issuer attaining certain performance milestones.

SEC source: 0000897069-23-000439 · form4.xml · nonDerivative · entry 1

Russell Richard D. · CIK 0001634290 · Vice President of Operations

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 675,279

F1 · shares: Award of restricted stock granted to reporting person under the 2021 Omnibus Incentive Plan (the "Plan"). The shares of restricted stock shall vest monthly over a period of twelve (12) months.

SEC source: 0000897069-23-000437 · form4.xml · derivative · entry 6

Rodgers Bruce M. · CIK 0001653727 · Director · Chairman, CEO and President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,000,000

Underlying: Common Stock · 1,000,000 shares

Expires 2033-04-20

F4 · derivative.exercise_price: This amendment is filed to correct the exercise price of the stock option which was originally reported as $0.714. The correct exercise price is $0.751 as set forth in this amendment.

F5 · derivative.exercise_date: Options were granted under the Plan. Options will vest as to one-half of the option shares on April 20, 2024, and as to one-half of the option shares on April 20, 2025 subject to acceleration of vesting upon a Change of Control (as defined in the Plan) or upon the Issuer attaining certain performance milestones.

SEC source: 0000897069-23-000437 · form4.xml · nonDerivative · entry 1

Rodgers Bruce M. · CIK 0001653727 · Director · Chairman, CEO and President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 650,000

F1 · balance_after: Award of restricted stock granted to reporting person under the 2021 Omnibus Incentive Plan (the "Plan"). The shares of restricted stock shall vest monthly over a period of twelve (12) months.

SEC source: 0000897069-23-000276 · form4.xml · nonDerivative · entry 1

Graham Andrew L. · CIK 0001458737 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 43,816

SEC source: 0001567619-23-000055 · doc1.xml · derivative · entry 4

Graham Andrew L. · CIK 0001458737 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 167,797

Underlying: Common Stock · 167,797 shares

Expires 2032-12-29

F3 · derivative.exercise_date: Option awards to purchase shares of common stock were granted under the Non-Employee Director Compensation Plan, as amended on November 18, 2022 (the "Plan"). Shares subject to the options will vest as to one-half on the 180th day after the grant date and as to one-half on the date that is the first anniversary of the grant date. Unvested awards will become fully vested upon a Change of Control, as that term is used in the Plan.

SEC source: 0001567619-23-000053 · doc1.xml · derivative · entry 7

Gould Carollinn · CIK 0001653728 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 111,865

Underlying: Common Stock · 111,865 shares

Expires 2032-12-29

F3 · derivative.exercise_date: Option awards to purchase shares of common stock were granted under the Non-Employee Director Compensation Plan, as amended on November 18, 2022 (the "Plan"). Shares subject to the options will vest as to one-half on the 180th day after the grant date and as to one-half on the date that is the first anniversary of the grant date. Unvested awards will become fully vested upon a Change of Control, as that term is used in the Plan.

SEC source: 0001567619-23-000051 · doc1.xml · derivative · entry 3

Mills Frederick J · CIK 0001751906 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 167,797

Underlying: Common Stock · 167,797 shares

Expires 2032-12-29

F2 · derivative.exercise_date: Option awards to purchase shares of common stock were granted under the Non-Employee Director Compensation Plan, as amended on November 18, 2022 (the "Plan"). Shares subject to the options will vest as to one-half on the 180th day after the grant date and as to one-half on the date that is the first anniversary of the grant date. Unvested awards will become fully vested upon a Change of Control, as that term is used in the Plan.

SEC source: 0001567619-23-000049 · doc1.xml · derivative · entry 4

McCree Douglas I. · CIK 0001653720 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 167,797

Underlying: Common Stock · 167,797 shares

Expires 2032-12-29

F3 · derivative.exercise_date: Option awards to purchase shares of common stock were granted under the Non-Employee Director Compensation Plan, as amended on November 18, 2022 (the "Plan"). Shares subject to the options will vest as to one-half on the 180th day after the grant date and as to one-half on the date that is the first anniversary of the grant date. Unvested awards will become fully vested upon a Change of Control, as that term is used in the Plan.

SEC source: 0001567619-23-000047 · doc1.xml · derivative · entry 3

Silcox Frank Charles · CIK 0001844012 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 111,865

Underlying: Common Stock · 111,865 shares

Expires 2032-12-29

F2 · derivative.exercise_date: Option awards to purchase shares of common stock were granted under the Non-Employee Director Compensation Plan, as amended on November 18, 2022 (the "Plan"). Shares subject to the options will vest as to one-half on the 180th day after the grant date and as to one-half on the date that is the first anniversary of the grant date. Unvested awards will become fully vested upon a Change of Control, as that term is used in the Plan.

SEC source: 0001567619-22-021254 · doc1.xml · derivative · entry 1

Zhang Tian · CIK 0001955833 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,314

Underlying: Common Stock · 37,314 shares

Expires 2032-12-01

F1 · derivative.exercise_date: Option awards to purchase shares of common stock were granted under the Non-Employee Director Compensation Plan, as amended on November 18, 2022 (the "Plan"). Shares subject to the options will vest as to one-half on May 30, 2023 and as to the remaining one-half on December 1, 2023. Unvested awards will become fully vested upon a Change of Control, as that term is used in the Plan.

SEC source: 0001567619-22-020743 · doc1.xml · derivative · entry 2

Russell Richard D. · CIK 0001634290 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,800,000 shares

Expires 2031-10-28

F1 · derivative.exercise_date: Options to purchase shares of common stock were granted to Mr. Russell under the LM Funding America, Inc. 2021 Omnibus Incentive Plan on October 28, 2021. On November 18, 2022, Mr. Russell and the company mutually agreed to terminate the options, and Mr. Russell did not receive any consideration in exchange for such cancellation.

SEC source: 0001567619-22-020741 · doc1.xml · derivative · entry 6

Rodgers Bruce M. · CIK 0001653727 · Director · Chairman, CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,800,000 shares

Expires 2031-10-28

F2 · price: Options to purchase shares of common stock were granted to Mr. Rodgers under the LM Funding America, Inc. 2021 Omnibus Incentive Plan on October 28, 2021. On November 18, 2022, Mr. Rodgers and the company mutually agreed to terminate the options, and Mr. Rodgers did not receive any consideration in exchange for such cancellation.

F2 · derivative.exercise_date: Options to purchase shares of common stock were granted to Mr. Rodgers under the LM Funding America, Inc. 2021 Omnibus Incentive Plan on October 28, 2021. On November 18, 2022, Mr. Rodgers and the company mutually agreed to terminate the options, and Mr. Rodgers did not receive any consideration in exchange for such cancellation.

SEC source: 0001567619-23-002935 · doc1.xml · nonDerivative · entry 2

Rodgers Bruce M. · CIK 0001653727 · Director · Chairman, CEO and President

10b5-1 filing: Not disclosed

Ownership: Indirect · By Carolinn Gould Revocable Trust through CGR63, LLC

Disclosed balance after: 15,338

F1 · kind: Represents indirect transfer of beneficial ownership by gift through transfer of equity interest in CGR63, LLC.

F1 · price: Represents indirect transfer of beneficial ownership by gift through transfer of equity interest in CGR63, LLC.

SEC source: 0001567619-23-002935 · doc1.xml · nonDerivative · entry 1

Rodgers Bruce M. · CIK 0001653727 · Director · Chairman, CEO and President

10b5-1 filing: Not disclosed

Ownership: Indirect · By Bruce M. Rodgers Revocable Trust through CGR63, LLC

Disclosed balance after: 63,999

F1 · kind: Represents indirect transfer of beneficial ownership by gift through transfer of equity interest in CGR63, LLC.

F1 · price: Represents indirect transfer of beneficial ownership by gift through transfer of equity interest in CGR63, LLC.

SEC source: 0001567619-22-013115 · doc1.xml · nonDerivative · entry 1

McCree Douglas I. · CIK 0001653720 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,410

SEC source: 0001567619-22-012723 · doc1.xml · nonDerivative · entry 1

Graham Andrew L. · CIK 0001458737 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,916

SEC source: 0001567619-22-011525 · doc1.xml · nonDerivative · entry 2

Graham Andrew L. · CIK 0001458737 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,716

SEC source: 0001567619-22-011525 · doc1.xml · nonDerivative · entry 1

Graham Andrew L. · CIK 0001458737 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,036

SEC source: 0001567619-22-004716 · doc1.xml · nonDerivative · entry 1

Rodgers Bruce M. · CIK 0001653727 · Director · Chairman, CEO and President · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,662

F1 · shares: Shares were issued under employment agreement as described in Form 8-K filed by LM Funding America, Inc. on November 1, 2021.

SEC source: 0001567619-22-004718 · doc1.xml · nonDerivative · entry 1

Russell Richard D. · CIK 0001634290 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,279

F1 · shares: Shares were issued under employment agreement as described in Form 8-K filed by LM Funding America, Inc. on November 1, 2021.

SEC source: 0001567619-21-019092 · doc1.xml · derivative · entry 1

Duran Ryan H · CIK 0001742160 · VP Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 175,000

Underlying: Common Stock · 175,000 shares

Expires 2031-10-28

F1 · derivative.exercise_date: Options were granted under the LM Funding America, Inc. 2021 Omnibus Incentive Plan ("Plan"). Options will vest as to one-third of option shares on October 28, 2022 and as to 1/36 of the options shares on a monthly basis thereafter until vested in full, subject to acceleration of vesting upon a Change of Control (as defined in the Plan) or upon the Issuer's common stock achieving a closing price of greater than $12.00 for 10 consecutive trading days. Notwithstanding, the options will not be exercisable unless and until the Plan is approved by the Issuer's stockholders within one year of grant date.

SEC source: 0001567619-21-019090 · doc1.xml · derivative · entry 2

McCree Douglas I. · CIK 0001653720 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,605

Underlying: Common Stock · 12,605 shares

Expires 2031-10-28

F1 · derivative.exercise_date: Options were granted under the LM Funding America, Inc. 2021 Omnibus Incentive Plan ("Plan"). Options will vest as to one-half of the option shares on April 26, 2022, and as to one-half of the option shares on October 28, 2022, subject to acceleration of vesting upon a Change of Control (as defined in the Plan) or upon the Issuer's common stock achieving a closing price of greater than $12.00 for 10 consecutive trading days. Notwithstanding, the options will not be exercisable unless and until the Plan is approved by the Issuer's stockholders within one year of grant date.

SEC source: 0001567619-21-019088 · doc1.xml · derivative · entry 1

Russell Richard D. · CIK 0001634290 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,800,000

Underlying: Common Stock · 1,800,000 shares

Expires 2031-10-28

F1 · derivative.exercise_date: Options were granted under the LM Funding America, Inc. 2021 Omnibus Incentive Plan ("Plan"). Options will vest as to one-third of option shares on October 28, 2022 and as to 1/36 of the options shares on a monthly basis thereafter until vested in full, subject to acceleration of vesting upon a Change of Control (as defined in the Plan) or upon the Issuer's common stock achieving a closing price of greater than $12.00 for 10 consecutive trading days. Notwithstanding, the options will not be exercisable unless and until the Plan is approved by the Issuer's stockholders within one year of grant date.

SEC source: 0001567619-21-019084 · doc1.xml · derivative · entry 6

Rodgers Bruce M. · CIK 0001653727 · Director · Chairman, CEO and President · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,800,000

Underlying: Common Stock · 1,800,000 shares

Expires 2031-10-28

F2 · derivative.exercise_date: Options were granted under the LM Funding America, Inc. 2021 Omnibus Incentive Plan ("Plan"). Options will vest as to one-third of option shares on October 28, 2022 and as to 1/36 of the options shares on a monthly basis thereafter until vested in full, subject to acceleration of vesting upon a Change of Control (as defined in the Plan) or upon the Issuer's common stock achieving a closing price of greater than $12.00 for 10 consecutive trading days. Notwithstanding, the options will not be exercisable unless and until the Plan is approved by the Issuer's stockholders within one year of grant date.

SEC source: 0001567619-21-019086 · doc1.xml · derivative · entry 6

Gould Carollinn · CIK 0001653728 · Director · VP and Secretary · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,084

Underlying: Common Stock · 10,084 shares

Expires 2031-10-28

F2 · derivative.exercise_date: Options were granted under the LM Funding America, Inc. 2021 Omnibus Incentive Plan ("Plan"). Options will vest as to one-half of the option shares on April 26, 2022, and as to one-half of the option shares on October 28, 2022, subject to acceleration of vesting upon a Change of Control (as defined in the Plan) or upon the Issuer's common stock achieving a closing price of greater than $12.00 for 10 consecutive trading days. Notwithstanding, the options will not be exercisable unless and until the Plan is approved by the Issuer's stockholders within one year of grant date.

SEC source: 0001567619-21-019081 · doc1.xml · derivative · entry 2

Graham Andrew L. · CIK 0001458737 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,605

Underlying: Common Stock · 12,605 shares

Expires 2031-10-28

F1 · derivative.exercise_date: Options were granted under the LM Funding America, Inc. 2021 Omnibus Incentive Plan ("Plan"). Options will vest as to one-half of the option shares on April 26, 2022, and as to one-half of the option shares on October 28, 2022, subject to acceleration of vesting upon a Change of Control (as defined in the Plan) or upon the Issuer's common stock achieving a closing price of greater than $12.00 for 10 consecutive trading days. Notwithstanding, the options will not be exercisable unless and until the Plan is approved by the Issuer's stockholders within one year of grant date.

SEC source: 0001567619-21-019078 · doc1.xml · derivative · entry 2

Mills Frederick J · CIK 0001751906 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,605

Underlying: Common Stock · 12,605 shares

Expires 2031-10-28

F1 · derivative.exercise_date: Options were granted under the LM Funding America, Inc. 2021 Omnibus Incentive Plan ("Plan"). Options will vest as to one-half of the option shares on April 26, 2022, and as to one-half of the option shares on October 28, 2022, subject to acceleration of vesting upon a Change of Control (as defined in the Plan) or upon the Issuer's common stock achieving a closing price of greater than $12.00 for 10 consecutive trading days. Notwithstanding, the options will not be exercisable unless and until the Plan is approved by the Issuer's stockholders within one year of grant date.

SEC source: 0001567619-21-019076 · doc1.xml · derivative · entry 2

Silcox Frank Charles · CIK 0001844012 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,084

Underlying: Common Stock · 10,084 shares

Expires 2031-10-28

F1 · derivative.exercise_date: Options were granted under the LM Funding America, Inc. 2021 Omnibus Incentive Plan ("Plan"). Options will vest as to one-half of the option shares on April 26, 2022, and as to one-half of the option shares on October 28, 2022, subject to acceleration of vesting upon a Change of Control (as defined in the Plan) or upon the Issuer's common stock achieving a closing price of greater than $12.00 for 10 consecutive trading days. Notwithstanding, the options will not be exercisable unless and until the Plan is approved by the Issuer's stockholders within one year of grant date.

SEC source: 0001567619-21-019074 · doc1.xml · derivative · entry 2

Rodgers Joel E. Sr. · CIK 0001654681 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,084

Underlying: Common Stock · 10,084 shares

Expires 2031-10-28

F1 · derivative.exercise_date: Options were granted under the LM Funding America, Inc. 2021 Omnibus Incentive Plan ("Plan"). Options will vest as to one-half of the option shares on April 26, 2022, and as to one-half of the option shares on October 28, 2022, subject to acceleration of vesting upon a Change of Control (as defined in the Plan) or upon the Issuer's common stock achieving a closing price of greater than $12.00 for 10 consecutive trading days. Notwithstanding, the options will not be exercisable unless and until the Plan is approved by the Issuer's stockholders within one year of grant date.

SEC source: 0001062993-19-003563 · form4.xml · nonDerivative · entry 3

Craven House Capital North America LLC · CIK 0001758919 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 818,675

SEC source: 0001062993-19-003563 · form4.xml · nonDerivative · entry 2

Craven House Capital North America LLC · CIK 0001758919 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 803,908

SEC source: 0001062993-19-003563 · form4.xml · nonDerivative · entry 1

Craven House Capital North America LLC · CIK 0001758919 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 785,309

SEC source: 0000899243-19-022098 · doc4.xml · nonDerivative · entry 1

McCree Douglas I. · CIK 0001653720 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,050

SEC source: 0001062993-19-002541 · form4.xml · nonDerivative · entry 2

Craven House Capital North America LLC · CIK 0001758919 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 774,309

SEC source: 0001062993-19-002541 · form4.xml · nonDerivative · entry 1

Craven House Capital North America LLC · CIK 0001758919 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 723,954

SEC source: 0000899243-18-030060 · doc4.xml · nonDerivative · entry 1

Mills Frederick J · CIK 0001751906 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,000

SEC source: 0001062993-19-002541 · form4.xml · derivative · entry 3

Craven House Capital North America LLC · CIK 0001758919 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 640,000

Underlying: Common Shares · 640,000 shares

Expires 2023-11-01

SEC source: 0001062993-19-003563 · form4.xml · derivative · entry 4

Craven House Capital North America LLC · CIK 0001758919 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 640,000

Underlying: Common shares · 640,000 shares

Expires 2023-11-01

SEC source: 0000899243-18-018276 · doc4.xml · nonDerivative · entry 2

McCree Douglas I. · CIK 0001653720 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

SEC source: 0000899243-18-018276 · doc4.xml · nonDerivative · entry 1

McCree Douglas I. · CIK 0001653720 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,200

SEC source: 0000899243-18-014422 · doc4.xml · derivative · entry 1

Duran Ryan H · CIK 0001742160 · VP Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,133

Underlying: Common Stock · 25,000 shares

Expires 2028-05-29

F1 · derivative.exercise_date: Represents on option to purchase 25,000 common shares of LM Funding. The option vests in equal one-third installments on each of the first, second and third anniversaries of the grant date.

SEC source: 0000899243-18-014414 · doc4.xml · derivative · entry 1

Russell Richard D. · CIK 0001634290 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 75,000 shares

Expires 2028-05-29

F1 · derivative.exercise_date: Represent an option to purchase 75,000 common shares of LM Funding. The option vests in equal one-third installments on each of the first, second and third anniversaries of the grant date.

SEC source: 0001209191-17-037643 · doc4.xml · nonDerivative · entry 2

Graham Andrew L. · CIK 0001458737 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By IRA

Disclosed balance after: 800

SEC source: 0001209191-17-037643 · doc4.xml · nonDerivative · entry 1

Graham Andrew L. · CIK 0001458737 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By IRA

Disclosed balance after: 600

SEC source: 0001209191-16-143115 · doc4.xml · nonDerivative · entry 2

Gould Carollinn · CIK 0001653728 · Director · Vice President · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Spouse Bruce M. Rodgers IRA

Disclosed balance after: 5,900

SEC source: 0001209191-16-143112 · doc4.xml · nonDerivative · entry 2

Rodgers Bruce M. · CIK 0001653727 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Bruce M. Rodgers IRA

Disclosed balance after: 5,900

SEC source: 0001209191-16-143115 · doc4.xml · nonDerivative · entry 1

Gould Carollinn · CIK 0001653728 · Director · Vice President · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Spouse Bruce M. Rodgers IRA

Disclosed balance after: 5,704