RCAT

SEC source: 0001554795-24-000378 · ownership.xml · nonDerivative · entry 4

Thompson Jeffrey M · CIK 0001397565 · Director · Chairman of the Board, CEO · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 13,514,449

SEC source: 0001554795-24-000378 · ownership.xml · nonDerivative · entry 3

Thompson Jeffrey M · CIK 0001397565 · Director · Chairman of the Board, CEO · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 13,546,232

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.

SEC source: 0001554795-24-000378 · ownership.xml · nonDerivative · entry 2

Thompson Jeffrey M · CIK 0001397565 · Director · Chairman of the Board, CEO · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 13,223,905

SEC source: 0001554795-24-000378 · ownership.xml · nonDerivative · entry 1

Thompson Jeffrey M · CIK 0001397565 · Director · Chairman of the Board, CEO · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 13,398,324

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.

SEC source: 0001554795-24-000376 · ownership.xml · derivative · entry 4

Hitchcock Geoffrey Wayne · CIK 0002047162 · Chief Revenue Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 31,686 shares

Expires 2031-09-01

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.

SEC source: 0001554795-24-000376 · ownership.xml · nonDerivative · entry 3

Hitchcock Geoffrey Wayne · CIK 0002047162 · Chief Revenue Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 558,325

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $11.22 to $11.24. The reporting person undertakes to provide Red Cat Holdings, Inc., any security holder of Red Cat Holdings, Inc., 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 ranges set forth in this footnote.

SEC source: 0001554795-24-000376 · ownership.xml · nonDerivative · entry 2

Hitchcock Geoffrey Wayne · CIK 0002047162 · Chief Revenue Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 590,011

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.

SEC source: 0001554795-24-000376 · ownership.xml · nonDerivative · entry 1

Hitchcock Geoffrey Wayne · CIK 0002047162 · Chief Revenue Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 558,325

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.06 to $10.18. The reporting person undertakes to provide Red Cat Holdings, Inc., any security holder of Red Cat Holdings, Inc., 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 ranges set forth in this footnote.

SEC source: 0001554795-24-000370 · ownership.xml · nonDerivative · entry 2

Lunger Leah · CIK 0002011457 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Indirect · By Spouse

Disclosed balance after: 0

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $9.52 to $9.58. The reporting person undertakes to provide Red Cat Holdings, Inc., any security holder of Red Cat Holdings, Inc., 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 ranges set forth in this footnote.

SEC source: 0001554795-24-000370 · ownership.xml · nonDerivative · entry 1

Lunger Leah · CIK 0002011457 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 322,458

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $9.00 to $9.93. The reporting person undertakes to provide Red Cat Holdings, Inc., any security holder of Red Cat Holdings, Inc., 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 ranges set forth in this footnote.

SEC source: 0001554795-24-000368 · ownership.xml · derivative · entry 4

Liuzza Nicholas Reyland JR · CIK 0001264473 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 100,000 shares

Expires 2029-10-08

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.

SEC source: 0001554795-24-000368 · ownership.xml · nonDerivative · entry 3

Liuzza Nicholas Reyland JR · CIK 0001264473 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 681,072

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $8.12 to $8.97. The reporting person undertakes to provide Red Cat Holdings, Inc., any security holder of Red Cat Holdings, Inc., 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 ranges set forth in this footnote.

SEC source: 0001554795-24-000368 · ownership.xml · nonDerivative · entry 2

Liuzza Nicholas Reyland JR · CIK 0001264473 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 910,000

SEC source: 0001554795-24-000368 · ownership.xml · nonDerivative · entry 1

Liuzza Nicholas Reyland JR · CIK 0001264473 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,010,000

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: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $8.12 to $8.97. The reporting person undertakes to provide Red Cat Holdings, Inc., any security holder of Red Cat Holdings, Inc., 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 ranges set forth in this footnote.

SEC source: 0001554795-24-000364 · ownership.xml · nonDerivative · entry 2

Freedman Joseph David · CIK 0001840083 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 685,190.46

SEC source: 0001554795-24-000364 · ownership.xml · nonDerivative · entry 1

Freedman Joseph David · CIK 0001840083 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By son

Disclosed balance after: 0

SEC source: 0001554795-24-000362 · ownership.xml · nonDerivative · entry 1

Matus George Michael · CIK 0001883137 · CTO, Red Cat Holdings

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 973,103

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $8.94 to $9.50. The reporting person undertakes to provide Red Cat Holdings, Inc., any security holder of Red Cat Holdings, Inc., 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 ranges set forth in this footnote.

SEC source: 0001554795-24-000350 · ownership.xml · derivative · entry 10

Lunger Leah · CIK 0002011457 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Indirect · By Spouse

Disclosed balance after: 35,417

Underlying: Common Stock · 21,000 shares

Expires 2033-04-29

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.

F4 · security: Exercise of 21,000 options exercised on a cashless basis resulting in the net issuance of 19,134 shares of common stock.

SEC source: 0001554795-24-000350 · ownership.xml · derivative · entry 9

Lunger Leah · CIK 0002011457 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Indirect · By Spouse

Disclosed balance after: 56,417

Underlying: Common Stock · 50,000 shares

Expires 2031-06-07

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: Exercise of 50,000 options exercised on a cashless basis resulting in the net issuance of 37,025 shares of common stock.

SEC source: 0001554795-24-000350 · ownership.xml · derivative · entry 8

Lunger Leah · CIK 0002011457 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 106,417

Underlying: Common Stock · 25,000 shares

Expires 2033-04-29

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 · security: Exercise of 25,000 options exercised on a cashless basis resulting in the net issuance of 22,779 shares of common stock.

SEC source: 0001554795-24-000350 · ownership.xml · derivative · entry 7

Lunger Leah · CIK 0002011457 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 131,417

Underlying: Common Stock · 49,583 shares

Expires 2033-02-08

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 · security: Exercise of 49,583 options exercised on a cashless basis resulting in the net issuance of 43,298 shares of common stock.

SEC source: 0001554795-24-000350 · ownership.xml · derivative · entry 6

Lunger Leah · CIK 0002011457 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 181,000

Underlying: Common Stock · 50,000 shares

Expires 2031-06-07

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: Exercise of 50,000 options exercised on a cashless basis resulting in the net issuance of 37,025 shares of common stock.

SEC source: 0001554795-24-000350 · ownership.xml · nonDerivative · entry 5

Lunger Leah · CIK 0002011457 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Indirect · By Spouse

Disclosed balance after: 847,256

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.

F4 · security: Exercise of 21,000 options exercised on a cashless basis resulting in the net issuance of 19,134 shares of common stock.

SEC source: 0001554795-24-000350 · ownership.xml · nonDerivative · entry 4

Lunger Leah · CIK 0002011457 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Indirect · By Spouse

Disclosed balance after: 828,122

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: Exercise of 50,000 options exercised on a cashless basis resulting in the net issuance of 37,025 shares of common stock.

SEC source: 0001554795-24-000350 · ownership.xml · nonDerivative · entry 3

Lunger Leah · CIK 0002011457 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 791,097

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 · security: Exercise of 25,000 options exercised on a cashless basis resulting in the net issuance of 22,779 shares of common stock.

SEC source: 0001554795-24-000350 · ownership.xml · nonDerivative · entry 2

Lunger Leah · CIK 0002011457 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 768,318

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 · security: Exercise of 49,583 options exercised on a cashless basis resulting in the net issuance of 43,298 shares of common stock.

SEC source: 0001554795-24-000350 · ownership.xml · nonDerivative · entry 1

Lunger Leah · CIK 0002011457 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 725,020

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: Exercise of 50,000 options exercised on a cashless basis resulting in the net issuance of 37,025 shares of common stock.

SEC source: 0001554795-24-000337 · ownership.xml · nonDerivative · entry 2

Hitchcock Geoffrey Wayne · CIK 0002047162 · Chief Revenue Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 640,462

F2 · security: Represents shares that have been withheld by the Company to satisfy tax withholding obligations in connection with the vesting of 50,000 restricted stock units from the award granted on 11/24/2024 for a total of 575,000 shares, of which 262,500 are scheduled to vest annually through October 1, 2026.

SEC source: 0001554795-24-000337 · ownership.xml · nonDerivative · entry 1

Hitchcock Geoffrey Wayne · CIK 0002047162 · Chief Revenue Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 658,137

F1 · security: Represents shares awarded in connection with Employment Agreement on 11/24/2024.

SEC source: 0001554795-24-000341 · ownership.xml · nonDerivative · entry 2

Hitchcock Geoffrey Wayne · CIK 0002047162 · Chief Revenue Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 640,462

F2 · security: Represents shares that have been withheld by the Company to satisfy tax withholding obligations in connection with the vesting of 50,000 restricted stock units from the award granted on 11/24/2024 for a total of 575,000 shares, of which 262,500 are scheduled to vest annually through October 1, 2026.

SEC source: 0001554795-24-000341 · ownership.xml · nonDerivative · entry 1

Hitchcock Geoffrey Wayne · CIK 0002047162 · Chief Revenue Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 658,137

F1 · security: Represents shares awarded in connection with Employment Agreement on 11/24/2024, issued under the 2024 Omnibus Incentive Plan.

SEC source: 0001554795-24-000323 · ownership.xml · nonDerivative · entry 1

Matus George Michael · CIK 0001883137 · CTO, Red Cat Holdings

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,085,789

F1 · security: The reported shares represent a portion of the restricted stock unit award granted on May 13, 2024, that has been withheld by the Issuer to satisfy tax withholding obligations in connection with the vesting of 300,000 restricted stock units in connection with the recipient's employment agreement.

SEC source: 0001554795-24-000292 · ownership.xml · nonDerivative · entry 1

Matus George Michael · CIK 0001883137 · CTO, Red Cat Holdings

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,092,839

F1 · security: The reported shares represent the portion of a restricted stock unit award granted on May 13, 2024, that has been withheld by the Issuer to satisfy tax withholding obligations in connection with the vesting of 75,000 restricted stock units in connection with the close of the quarter ended October 31, 2024.

SEC source: 0001554795-24-000290 · ownership.xml · nonDerivative · entry 1

Lunger Leah · CIK 0002011457 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 687,995

F1 · security: The reported shares represent the portion of a restricted stock unit award granted on June 10, 2024, that has been withheld by the Issuer to satisfy tax withholding obligations in connection with the vesting of 64,286 restricted stock units in connection with the close of the quarter ended October 31, 2024.

SEC source: 0001554795-24-000229 · ownership.xml · nonDerivative · entry 1

Matus George Michael · CIK 0001883137 · CTO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,084,602

F1 · security: The reported shares represent the portion of a restricted stock unit award granted on September 1, 2021, that has been withheld by the Issuer to satisfy tax withholding obligations in connection with the vesting of 25,000 restricted stock units on September 1, 2024.

SEC source: 0001554795-24-000202 · ownership.xml · nonDerivative · entry 2

Lunger Leah · CIK 0002011457 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 640,573

F2 · security: Represents shares that have been withheld by the Company to satisfy tax withholding obligations in connection with the vesting of 64,286 restricted stock units from the award granted on 6/10/2024for a total of 900,000 shares, of which 385,714 are scheduled to vest quarterly through May 10, 2025.

SEC source: 0001554795-24-000211 · ownership.xml · nonDerivative · entry 2

Lunger Leah · CIK 0002011457 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 722,473

F2 · security: The reported shares represent the portion of a restricted stock unit award granted on June 10, 2024, that has been withheld by the Issuer to satisfy tax withholding obligations in connection with the vesting of 64,286 restricted stock units in connection with the close of the quarter ended July 31, 2024.

SEC source: 0001554795-24-000209 · ownership.xml · nonDerivative · entry 1

Matus George Michael · CIK 0001883137 · CTO, Red Cat Holdings

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,094,602

F1 · security: The reported shares represent the portion of a restricted stock unit award granted on May 13, 2024, that has been withheld by the Issuer to satisfy tax withholding obligations in connection with the vesting of 75,000 restricted stock units in connection with the close of the quarter ended July 31, 2024.

SEC source: 0001554795-24-000202 · ownership.xml · nonDerivative · entry 1

Lunger Leah · CIK 0002011457 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 665,158

F1 · security: Represents shares that have been withheld by the Company to satisfy tax withholding obligations in connection with the vesting of 300,000 restricted stock units from the award granted on 6/10/2024for a total of 900,000 shares, of which 450,000 are scheduled to vest quarterly through May 10, 2025.

SEC source: 0001554795-24-000211 · ownership.xml · nonDerivative · entry 1

Lunger Leah · CIK 0002011457 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 747,058

F1 · security: The reported shares represent the portion of a restricted stock unit award granted on June 10, 2024, that has been withheld by the Issuer to satisfy tax withholding obligations in connection with the vesting of 300,000 restricted stock units upon satisfaction of certain performance conditions.

SEC source: 0001554795-24-000160 · ownership.xml · nonDerivative · entry 2

Lunger Leah · CIK 0002011457 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 856,108

F2 · security: Represents shares that have been withheld by the Company to satisfy tax withholding obligations in connection with the vesting of 150,000 restricted stock units from the award granted on 6/10/2024for a total of 900,000 shares, of which 450,000 are scheduled to vest quarterly through May 10, 2025 and 300,000 will vest contingent upon the completion of performance obligations.

SEC source: 0001554795-24-000160 · ownership.xml · nonDerivative · entry 1

Lunger Leah · CIK 0002011457 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 901,030

F1 · security: On 6/10/2024, the reporting person was granted 900,000 restricted stock units, with 150,000 shares vesting on the date of grant, 64,286 shares vesting on the 10th day following each of the successive six fiscal quarters, 64,284 shares vesting on the seventh successive fiscal quarter, and 300,000 shares vesting upon timely filing of the Company's Form 10-K for the year ended 4/30/2024.

SEC source: 0001554795-24-000156 · ownership.xml · nonDerivative · entry 3

Matus George Michael · CIK 0001883137 · Chief Technology Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,124,602

F3 · security: Represents shares that have been withheld by the Company to satisfy tax withholding obligations in connection with the vesting of 25,000 restricted stock units from the award granted on 9/1/2021for a total of 400,000 shares, of which 375,000 shares have vested and 25,000 are scheduled to vest on 9/1/2024.

SEC source: 0001554795-24-000156 · ownership.xml · nonDerivative · entry 2

Matus George Michael · CIK 0001883137 · Chief Technology Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,133,852

F2 · security: Represents shares that have been withheld by the Company to satisfy tax withholding obligations in connection with the vesting of 150,000 restricted stock units from the award granted on 5/13/2024for a total of 900,000 shares, of which 450,000 are scheduled to vest quarterly through November 10, 2025 and 300,000 will vest contingent upon the completion of performance obligations.

SEC source: 0001554795-24-000156 · ownership.xml · nonDerivative · entry 1

Matus George Michael · CIK 0001883137 · Chief Technology Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,191,620

F1 · security: On 5/13/2024, the reporting person was granted 900,000 restricted stock units, with 150,000 shares vesting on the date of grant, 75,000 shares vesting on the 10th day following each of the successive six fiscal quarters and 300,000 shares vesting upon written notice of a production award from a client.

SEC source: 0001554795-24-000130 · ownership.xml · nonDerivative · entry 2

Liuzza Nicholas Reyland JR · CIK 0001264473 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 760,092

F2 · shares: 15,000 shares of common stock were transferred as an origination fee under a promissory note issued by the reporting person.

SEC source: 0001554795-24-000130 · ownership.xml · nonDerivative · entry 1

Liuzza Nicholas Reyland JR · CIK 0001264473 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 775,092

F1 · shares: 100,000 shares of common stock were transferred as an extension fee under promissory notes issued by the reporting person.

SEC source: 0001554795-24-000128 · ownership.xml · nonDerivative · entry 1

Freedman Joseph David · CIK 0001840083 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By Fluid Capital LLC

Disclosed balance after: 525,411

F1 · shares: 15,000 shares of common stock were acquired by Fluid Capital LLC ("Fluid") as an origination fee under a promissory note issued to Fluid. The reporting person, together with his spouse, controls Fluid.

SEC source: 0001554795-24-000148 · ownership.xml · nonDerivative · entry 1

Liuzza Nicholas Reyland JR · CIK 0001264473 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 910,000

F1 · shares: Consists of 150,000 restricted shares of common stock granted under the Issuer's equity compensation plan, vesting in their entirety on May 6, 2026.

SEC source: 0001554795-24-000146 · ownership.xml · nonDerivative · entry 1

Moe Christopher R. · CIK 0001930171 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 283,074

F1 · shares: Consists of 170,000 restricted shares of common stock granted under the Issuer's equity compensation plan, vesting in their entirety on May 6, 2026