REKR

SEC source: 0001209191-21-015983 · doc4.xml · nonDerivative · entry 2

Nathan Richard A · CIK 0001711769 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · kind: On February 12, 2021, as a result of the closing of the public offering by Rekor Systems, Inc., each issued and outstanding share of Series A Preferred Stock automatically converted into 1.79 shares of Common Stock.

F1 · price: On February 12, 2021, as a result of the closing of the public offering by Rekor Systems, Inc., each issued and outstanding share of Series A Preferred Stock automatically converted into 1.79 shares of Common Stock.

SEC source: 0001209191-21-015983 · doc4.xml · nonDerivative · entry 1

Nathan Richard A · CIK 0001711769 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,629,590

F1 · kind: On February 12, 2021, as a result of the closing of the public offering by Rekor Systems, Inc., each issued and outstanding share of Series A Preferred Stock automatically converted into 1.79 shares of Common Stock.

F1 · price: On February 12, 2021, as a result of the closing of the public offering by Rekor Systems, Inc., each issued and outstanding share of Series A Preferred Stock automatically converted into 1.79 shares of Common Stock.

F2 · balance_after: Includes 18,670 RSUs as previously reported, which vest in two equal installments on March 15, 2021 and March 15, 2022.

SEC source: 0001209191-21-013279 · doc4.xml · nonDerivative · entry 1

Kadoch Christopher · CIK 0001802401 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,969

F1 · shares: Consists of 8,031 shares withheld for tax purposes in connection with the vesting of 25,000 Restricted Stock Units ("RSUs") on February 3, 2021.

F2 · balance_after: Includes the remaining 25,000 RSUs which shall vest on the second anniversary of the grant date.

SEC source: 0001209191-21-003819 · doc4.xml · nonDerivative · entry 1

Crandall Susan · CIK 0001807631 · Chief Marketing Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

SEC source: 0001209191-21-002775 · doc4.xml · nonDerivative · entry 1

DEBARY PAUL · CIK 0001170786 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,670

F1 · shares: Consists of 18,670 Restricted Stock Units ("RSUs") which vest in two equal installments on March 15, 2021 and March 15, 2022.

F2 · balance_after: Includes 18,670 RSUs as set forth in Footnote 1.

SEC source: 0001209191-21-002774 · doc4.xml · nonDerivative · entry 1

Croxton Steven D · CIK 0001781099 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,670

F1 · shares: Consists of 18,670 Restricted Stock Units ("RSUs") which vest in two equal installments on March 15, 2021 and March 15, 2022.

F1 · balance_after: Consists of 18,670 Restricted Stock Units ("RSUs") which vest in two equal installments on March 15, 2021 and March 15, 2022.

SEC source: 0001209191-21-002782 · doc4.xml · nonDerivative · entry 1

Harada Christine J · CIK 0001715279 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,670

F1 · shares: Consists of 18,670 Restricted Stock Units ("RSUs") which vest in two equal installments on March 15, 2021 and March 15, 2022.

F1 · balance_after: Consists of 18,670 Restricted Stock Units ("RSUs") which vest in two equal installments on March 15, 2021 and March 15, 2022.

SEC source: 0001209191-21-002778 · doc4.xml · nonDerivative · entry 1

Goord Glenn S · CIK 0001712931 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 104,670

F1 · shares: Consists of 18,670 Restricted Stock Units ("RSUs") which vest in two equal installments on March 15, 2021 and March 15, 2022.

F2 · balance_after: Includes 18,670 RSUs as set forth in Footnote 1.

SEC source: 0001209191-21-002783 · doc4.xml · nonDerivative · entry 1

Nathan Richard A · CIK 0001711769 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,611,690

F1 · shares: Consists of 18,670 Restricted Stock Units ("RSUs") which vest in two equal installments on March 15, 2021 and March 15, 2022.

F2 · balance_after: Includes 18,670 RSUs as set forth in Footnote 1.

SEC source: 0001209191-21-002779 · doc4.xml · nonDerivative · entry 1

HANLON DAVID PATRICK · CIK 0001259471 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,670

F1 · shares: Consists of 18,670 Restricted Stock Units ("RSUs") which vest in two equal installments on March 15, 2021 and March 15, 2022.

F1 · balance_after: Consists of 18,670 Restricted Stock Units ("RSUs") which vest in two equal installments on March 15, 2021 and March 15, 2022.

SEC source: 0001209191-20-064578 · doc4.xml · derivative · entry 3

Hillman Rodney · CIK 0001618171 · COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2027-11-09

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

F2 · derivative.exercise_date: The options vested in three equal installments on the first (11/9/2018), second (11/9/2019), and third (11/9/2020) anniversaries of the grant date.

SEC source: 0001209191-20-064578 · doc4.xml · nonDerivative · entry 2

Hillman Rodney · CIK 0001618171 · COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,233

F1 · balance_after: Includes 25,000 Restricted Stock Units ("RSUs") which vest in three installments on the next three anniversaries of the grant date beginning on February 21, 2021 and ending on February 21, 2023.

SEC source: 0001209191-20-064578 · doc4.xml · nonDerivative · entry 1

Hillman Rodney · CIK 0001618171 · COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,233

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

F1 · balance_after: Includes 25,000 Restricted Stock Units ("RSUs") which vest in three installments on the next three anniversaries of the grant date beginning on February 21, 2021 and ending on February 21, 2023.

SEC source: 0000921895-20-003270 · form412578001_12182020.xml · nonDerivative · entry 2

BERMAN ROBERT ALAN · CIK 0001169337 · Director · Chief Executive Officer · 10% owner

Avon Road Partners, L.P. · CIK 0001513361 · 10% owner

Rekor Holdings LLC · CIK 0001824501 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Avon Road Partners, L.P.

Disclosed balance after: 2,940,104

F1 · security: Each of the reporting persons disclaims beneficial ownership of the Common Stock (as defined below) reported herein, except to the extent of his or its pecuniary interest therein.

F2 · price: Avon Road Partners, L.P. ("Avon Road") transferred 375,000 shares of common stock of Rekor Systems, Inc. (the "Common Stock") to a trust of which Avon Road is a beneficiary, but has no investment control over the securities held by the trust. The reporting persons no longer have a beneficial ownership in the transferred shares.

F3 · ownership.direct: Mr. Berman is the general partner of Avon Road Partners, L.P.

SEC source: 0001209191-20-059858 · doc4.xml · nonDerivative · entry 1

DEBARY PAUL · CIK 0001170786 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

SEC source: 0001209191-20-059552 · doc4.xml · nonDerivative · entry 1

Goord Glenn S · CIK 0001712931 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 86,000

F1 · price: The reported price in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $4.08 to $4.05 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or to 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 set forth in this footnote.

SEC source: 0001209191-20-059551 · doc4.xml · nonDerivative · entry 1

Hen Eyal · CIK 0001777158 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 51,225

F1 · balance_after: Includes 50,000 Restricted Stock Units ("RSUs") which vest in three installments on the next three anniversaries of the grant date beginning on February 21, 2021 and ending on February 21, 2023.

SEC source: 0000921895-20-002415 · form412578003_09162020.xml · nonDerivative · entry 1

BERMAN ROBERT ALAN · CIK 0001169337 · Director · Chief Executive Officer · 10% owner

Avon Road Partners, L.P. · CIK 0001513361 · 10% owner

Rekor Holdings LLC · CIK 0001824501 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,000

F1 · kind: On September 16, 2020, Robert A. Berman (the "Reporting Person") transferred his right to purchase 2,725,836 shares of common stock of Rekor Systems Inc. (the "Common Stock"), pursuant to a Stock Purchase Agreement (the "Agreement") with James K. McCarthy (the "Seller"), to Rekor Holdings LLC for no consideration. Pursuant to the terms of the Agreement, Rekor Holdings LLC purchased the shares of Common Stock from the Seller.

F1 · price: On September 16, 2020, Robert A. Berman (the "Reporting Person") transferred his right to purchase 2,725,836 shares of common stock of Rekor Systems Inc. (the "Common Stock"), pursuant to a Stock Purchase Agreement (the "Agreement") with James K. McCarthy (the "Seller"), to Rekor Holdings LLC for no consideration. Pursuant to the terms of the Agreement, Rekor Holdings LLC purchased the shares of Common Stock from the Seller.

SEC source: 0001209191-20-050952 · doc4.xml · derivative · entry 2

Hill Matthew Anthony · CIK 0001770697 · Chief Science Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By ClosedRPLA Holdings, Inc.

Disclosed balance after: 0

Underlying: Common Stock · 625,000 shares

Expires 2024-03-12

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: As previously disclosed, the warrants were issued on March 12, 2019 as partial consideration for the acquisition of OpenALPR Technology, Inc. by the Issuer.

SEC source: 0001209191-20-050952 · doc4.xml · nonDerivative · entry 1

Hill Matthew Anthony · CIK 0001770697 · Chief Science Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By ClosedRPLA Holdings, Inc.

Disclosed balance after: 1,586,669

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: 0001209191-20-048955 · doc4.xml · derivative · entry 3

Hillman Rodney · CIK 0001618171 · COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 15,000 shares

Expires 2027-11-09

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

F2 · derivative.exercise_date: The options vest in three equal installments on the first (11/9/2018), second (11/9/2019), and third (11/9/2020) anniversaries of the grant date.

SEC source: 0001209191-20-048955 · doc4.xml · nonDerivative · entry 2

Hillman Rodney · CIK 0001618171 · COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,233

F1 · balance_after: Includes 25,000 Restricted Stock Units ("RSUs") which vest in three installments on the next three anniversaries of the grant date beginning on February 21, 2021 and ending on February 21, 2023.

SEC source: 0001209191-20-048955 · doc4.xml · nonDerivative · entry 1

Hillman Rodney · CIK 0001618171 · COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,233

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

F1 · balance_after: Includes 25,000 Restricted Stock Units ("RSUs") which vest in three installments on the next three anniversaries of the grant date beginning on February 21, 2021 and ending on February 21, 2023.

SEC source: 0000921895-20-002101 · form412578003_07272020.xml · nonDerivative · entry 1

BERMAN ROBERT ALAN · CIK 0001169337 · Director · Chief Executive Officer · 10% owner

Avon Road Partners, L.P. · CIK 0001513361 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,747,836

F1 · kind: On August 5, 2020, Robert A. Berman (the "Reporting Person") entered into a Stock Purchase Agreement (the "Agreement") with James K. McCarthy (the "Seller") to purchase 2,725,836 shares of common stock of Rekor Systems Inc. (the "Common Stock") at a price of approximately $2.57 per share. The closing of the transaction is conditioned upon the Reporting Person's payment of: (i) $200,000 which amount has been received as of the date of the Agreement; and (ii) $6,800,000 no later than forty-five days from the date of the Agreement (the "Purchase Price"). Upon payment of the Purchase Price, the Seller shall transfer ownership of the Common Stock to the Reporting Person.

SEC source: 0001209191-20-045121 · doc4.xml · nonDerivative · entry 1

McCarthy James K · CIK 0001711644 · Director · Chief Strategy Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · kind: On August 5, 2020, Mr. James K. McCarthy entered into a privately negotiated Stock Purchase Agreement (the "SPA") with Mr. Robert A. Berman, the current CEO, President, and Executive Chairman of Rekor Systems, Inc. (the "Company"), to sell to Mr. Berman 2,725,836 shares of Common Stock of the Company held by Mr. McCarthy, at a price per share of approximately $2.57. The closing of the transaction is conditioned upon Mr. Berman's payment of: (i) $200,000 no later than two business days from the date of the SPA; and (ii) $6,800,000 no later than forty-five days from the date of the SPA (the "Purchase Price"). Upon payment of the Purchase Price, Mr. McCarthy shall transfer ownership of the Common Stock to Mr. Berman.

SEC source: 0001209191-20-042656 · doc4.xml · nonDerivative · entry 1

Hill Matthew Anthony · CIK 0001770697 · Chief Science Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By ClosedRPLA Holdings, Inc.

Disclosed balance after: 961,669

F1 · price: ClosedRPLA Holdings, Inc., an entity which Mr. Hill controls, participated in the 2019 Note Exchange previously disclosed by Rekor Systems, Inc. in its Current Reports on Form 8-K as filed with the SEC on July 6, 2020 and July 16, 2020. As a result, Mr. Hill indirectly acquired beneficial ownership of an additional 431,669 shares of Common Stock.

SEC source: 0001193805-20-000722 · form412578002_06192020.xml · nonDerivative · entry 1

BERMAN ROBERT ALAN · CIK 0001169337 · Director · Chief Executive Officer · 10% owner

Avon Road Partners, L.P. · CIK 0001513361 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Avon Road Partners, L.P.

Disclosed balance after: 3,337,104

F1 · security: Each of the reporting persons disclaims beneficial ownership of the Common Stock (as defined below) reported herein, except to the extent of his or its pecuniary interest therein.

F2 · price: Avon Road Partners, L.P. ("Avon Road") transferred 1,125,000 shares of common stock of Rekor Systems, Inc. (the "Common Stock") to a trust to which Avon Road is a beneficiary, but has no investment control over the securities held by the trust. The reporting persons no longer have a beneficial ownership in the transferred shares.

F3 · ownership.direct: Mr. Berman is the general partner of Avon Road.

SEC source: 0001209191-20-020969 · doc4.xml · nonDerivative · entry 1

Crandall Susan · CIK 0001807631 · Chief Marketing Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

F1 · shares: Consists of 50,000 Restricted Stock Units ("RSUs") which vest in two equal installments on the next two anniversaries of the grant date on March 19, 2021 and March 19, 2022, respectively.

F1 · balance_after: Consists of 50,000 Restricted Stock Units ("RSUs") which vest in two equal installments on the next two anniversaries of the grant date on March 19, 2021 and March 19, 2022, respectively.

SEC source: 0001209191-20-012568 · doc4.xml · nonDerivative · entry 1

Hen Eyal · CIK 0001777158 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

F1 · shares: Consists of 50,000 Restricted Stock Units ("RSUs") which vest in three installments on the next three anniversaries of the grant date beginning on February 21, 2021 and ending on February 21, 2023.

F1 · balance_after: Consists of 50,000 Restricted Stock Units ("RSUs") which vest in three installments on the next three anniversaries of the grant date beginning on February 21, 2021 and ending on February 21, 2023.

SEC source: 0001209191-20-012567 · doc4.xml · nonDerivative · entry 1

Hillman Rodney · CIK 0001618171 · COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,233

F1 · shares: Includes 25,000 Restricted Stock Units ("RSUs") which vest in three installments on the next three anniversaries of the grant date beginning on February 21, 2021 and ending on February 21, 2023.

F1 · balance_after: Includes 25,000 Restricted Stock Units ("RSUs") which vest in three installments on the next three anniversaries of the grant date beginning on February 21, 2021 and ending on February 21, 2023.

SEC source: 0001209191-20-007185 · doc4.xml · nonDerivative · entry 1

Kadoch Christopher · CIK 0001802401 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

F1 · shares: Consists of 50,000 Restricted Stock Units ("RSUs") which vest as follows: 25,000 RSUs shall vest on the first anniversary of the grant date, and the remaining 25,000 RSUs shall vest on the second anniversary of the grant date.

F1 · balance_after: Consists of 50,000 Restricted Stock Units ("RSUs") which vest as follows: 25,000 RSUs shall vest on the first anniversary of the grant date, and the remaining 25,000 RSUs shall vest on the second anniversary of the grant date.

SEC source: 0001209191-19-041441 · doc4.xml · derivative · entry 1

Croxton Steven D · CIK 0001781099 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,499

Underlying: Common Stock · 48,499 shares

Expires 2029-06-19

SEC source: 0001209191-19-032324 · doc4.xml · derivative · entry 1

Hen Eyal · CIK 0001777158 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2029-05-15

F1 · derivative.exercise_date: The options vest in three equal installments on the first (5/15/2020), second (5/15/2021), and third (5/15/2022) anniversaries of the grant date.

SEC source: 0001209191-19-032349 · doc4.xml · derivative · entry 2

BERMAN ROBERT ALAN · CIK 0001169337 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2029-05-08

F1 · derivative.exercise_date: The options vest in three equal installments on the first (5/8/2020), second (5/8/2021), and third (5/8/2022) anniversaries of the grant date.

SEC source: 0001209191-19-032349 · doc4.xml · derivative · entry 1

BERMAN ROBERT ALAN · CIK 0001169337 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2029-05-08

F1 · derivative.exercise_date: The options vest in three equal installments on the first (5/8/2020), second (5/8/2021), and third (5/8/2022) anniversaries of the grant date.

SEC source: 0001209191-19-032318 · doc4.xml · derivative · entry 1

DEBARY PAUL · CIK 0001170786 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2029-05-08

SEC source: 0001209191-19-032321 · doc4.xml · derivative · entry 1

Harada Christine J · CIK 0001715279 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,500

Underlying: Common Stock · 12,500 shares

Expires 2029-05-08

SEC source: 0001209191-19-032319 · doc4.xml · derivative · entry 1

Goord Glenn S · CIK 0001712931 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,500

Underlying: Common Stock · 12,500 shares

Expires 2029-05-08

SEC source: 0001209191-19-032346 · doc4.xml · derivative · entry 1

Latifullah Riaz · CIK 0001612404 · EVP - Corporate Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2029-05-08

F1 · derivative.exercise_date: The options vest in three equal installments on the first (5/8/2020), second (5/8/2021), and third (5/8/2022) anniversaries of the grant date.

SEC source: 0001209191-19-032320 · doc4.xml · derivative · entry 1

HANLON DAVID PATRICK · CIK 0001259471 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,500

Underlying: Common Stock · 12,500 shares

Expires 2029-05-08

SEC source: 0001654954-19-003491 · section16.xml · derivative · entry 1

DEBARY PAUL · CIK 0001170786 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2029-03-26

SEC source: 0001654954-19-003490 · section16.xml · derivative · entry 1

Harada Christine J · CIK 0001715279 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2029-03-26

SEC source: 0001654954-19-003487 · section16.xml · derivative · entry 1

Goord Glenn S · CIK 0001712931 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2029-03-26

SEC source: 0001654954-19-003561 · section16.xml · derivative · entry 1

HANLON DAVID PATRICK · CIK 0001259471 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2029-03-26

SEC source: 0001654954-19-002767 · section16.xml · derivative · entry 2

Hill Matthew Anthony · CIK 0001770697 · Chief Science Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 625,000

Underlying: Common Stock · 625,000 shares

Expires 2024-03-12

F1 · price: In exchange for the acquisition of substantially all of the assets of OpenALPR Technology, Inc. ("OpenALPR"), the Issuer issued to OpenALPR 600,000 shares of the Issuer's common stock, warrants to purchase an additional 625,000 shares of the Issuer's common stock, as well as certain other consideration.

F2 · ownership.nature: Represents shares held by OpenALPR, of which the reporting person is the controlling stockholder.

SEC source: 0001654954-19-002767 · section16.xml · nonDerivative · entry 1

Hill Matthew Anthony · CIK 0001770697 · Chief Science Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 600,000

F1 · price: In exchange for the acquisition of substantially all of the assets of OpenALPR Technology, Inc. ("OpenALPR"), the Issuer issued to OpenALPR 600,000 shares of the Issuer's common stock, warrants to purchase an additional 625,000 shares of the Issuer's common stock, as well as certain other consideration.

F2 · ownership.nature: Represents shares held by OpenALPR, of which the reporting person is the controlling stockholder.

SEC source: 0001654954-18-013832 · section16.xml · derivative · entry 4

BERMAN ROBERT ALAN · CIK 0001169337 · Director · Chief Executive Officer · 10% owner

Avon Road Partners, L.P. · CIK 0001513361 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Avon Road Partners, L.P.

Disclosed balance after: 0

Underlying: Common Stock · 1,593,021 shares

Expires 2019-03-21

F3 · price: Pursuant to the terms of the Option Agreement, Avon Road paid the stockholders $10,000 each (a total of $20,000) for the right to purchase, on a simultaneous and pro-rata basis, up to 4,318,857 shares of Novume's common stock owned by the shareholders at a purchase price of $0.5155 per share.

SEC source: 0001654954-18-013832 · section16.xml · derivative · entry 3

BERMAN ROBERT ALAN · CIK 0001169337 · Director · Chief Executive Officer · 10% owner

Avon Road Partners, L.P. · CIK 0001513361 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Avon Road Partners, L.P.

Disclosed balance after: 0

Underlying: Common Stock · 2,725,836 shares

Expires 2019-03-21

F3 · price: Pursuant to the terms of the Option Agreement, Avon Road paid the stockholders $10,000 each (a total of $20,000) for the right to purchase, on a simultaneous and pro-rata basis, up to 4,318,857 shares of Novume's common stock owned by the shareholders at a purchase price of $0.5155 per share.

SEC source: 0001654954-18-013832 · section16.xml · nonDerivative · entry 2

BERMAN ROBERT ALAN · CIK 0001169337 · Director · Chief Executive Officer · 10% owner

Avon Road Partners, L.P. · CIK 0001513361 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Avon Road Partners, L.P.

Disclosed balance after: 4,462,104

F1 · shares: The shares were acquired pursuant to Avon Road Partners, L.P.'s ("Avon Road") exercise of options (the "Options") to purchase shares of common stock of Novume Solutions, Inc. ("Novume") from James McCarthy and Richard Nathan. The Options were granted to Avon Road pursuant to the Option Agreement, dated March 16, 2016, amended as of September 7, 2017, by and among James McCarthy and Richard Nathan as grantors and Avon Road as the option holder (the "Option Agreement").

F2 · ownership.direct: Represents shares acquired by Avon Road, of which Mr. Berman is the general partner. As a result, Mr. Berman may be deemed to beneficially own the Issuer's securities held by Avon Road.

SEC source: 0001654954-18-013832 · section16.xml · nonDerivative · entry 1

BERMAN ROBERT ALAN · CIK 0001169337 · Director · Chief Executive Officer · 10% owner

Avon Road Partners, L.P. · CIK 0001513361 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Avon Road Partners, L.P.

Disclosed balance after: 2,869,083

F1 · shares: The shares were acquired pursuant to Avon Road Partners, L.P.'s ("Avon Road") exercise of options (the "Options") to purchase shares of common stock of Novume Solutions, Inc. ("Novume") from James McCarthy and Richard Nathan. The Options were granted to Avon Road pursuant to the Option Agreement, dated March 16, 2016, amended as of September 7, 2017, by and among James McCarthy and Richard Nathan as grantors and Avon Road as the option holder (the "Option Agreement").

F2 · ownership.direct: Represents shares acquired by Avon Road, of which Mr. Berman is the general partner. As a result, Mr. Berman may be deemed to beneficially own the Issuer's securities held by Avon Road.