SMTK

SEC source: 0000921895-25-002616 · form400322001_09252025.xml · nonDerivative · entry 1

Lizzio Joseph Christopher · CIK 0002087723 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 419,000

SEC source: 0001104659-25-087925 · tm2525173-3_4seq1.xml · derivative · entry 1

Jenks Ian · CIK 0001846030 · Director · Chairman & CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 160,005

Underlying: Common Stock · 160,005 shares

Expires 2035-09-03

F1 · derivative.exercise_date: The option vests as follows: 25% on the date of grant with the remaining shares to vest in equal monthly installments over a period of 36 months commencing on September 3, 2025 and on the 3rd date of each month thereafter.

SEC source: 0001104659-25-087927 · tm2525173-5_4seq1.xml · derivative · entry 1

Denis Melisa · CIK 0001834132 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 22,466

Underlying: Common Stock · 22,466 shares

Expires 2035-09-03

F1 · derivative.exercise_date: The option vests as follows: 25% on the date of grant with the remaining shares to vest in equal monthly installments over a period of 36 months commencing on September 3, 2025 and on the 3rd date of each month thereafter.

SEC source: 0001104659-25-087926 · tm2525173-4_4seq1.xml · derivative · entry 1

de Boer Klaas · CIK 0001845960 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 22,466

Underlying: Common Stock · 22,466 shares

Expires 2035-09-03

F1 · derivative.exercise_date: The option vests as follows: 25% on the date of grant with the remaining shares to vest in equal monthly installments over a period of 36 months commencing on September 3, 2025 and on the 3rd date of each month thereafter.

SEC source: 0001104659-25-087924 · tm2525173-2_4seq1.xml · derivative · entry 1

Keck Barbra · CIK 0001464238 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 71,077

Underlying: Common Stock · 71,077 shares

Expires 2035-09-03

F1 · derivative.exercise_date: The option vests as follows: 25% on the date of grant with the remaining shares to vest in equal monthly installments over a period of 36 months commencing on September 3, 2025 and on the 3rd date of each month thereafter.

SEC source: 0001104659-25-087923 · tm2525173-1_4seq1.xml · derivative · entry 1

Peruvemba Sriram Krishnamurthy · CIK 0001656093 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 22,466

Underlying: Common Stock · 22,466 shares

Expires 2035-09-03

F1 · derivative.exercise_date: The option vests as follows: 25% on the date of grant with the remaining shares to vest in equal monthly installments over a period of 36 months commencing on September 3, 2025 and on the 3rd date of each month thereafter.

SEC source: 0001104659-25-089527 · tm2525173-6_4seq3.xml · derivative · entry 1

Denbaars Steven · CIK 0001700533 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 22,466

Underlying: Common Stock · 22,466 shares

Expires 2035-09-03

F1 · derivative.exercise_date: The option vests as follows: 25% on the date of grant with the remaining shares to vest in equal monthly installments over a period of 36 months commencing on September 3, 2025 and on the 3rd date of each month thereafter.

SEC source: 0001641172-25-012768 · ownership.xml · derivative · entry 1

Watkins Jonathan · CIK 0002058845 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 131,745

Underlying: Common Stock · 131,745 shares

Expires 2035-04-15

F1 · date: The stock option grant was approved by the Compensation Committee of SmartKem, Inc.'s (the "Company") board of directors on April 15, 2025, subject to stockholder approval of an Amendment to the SmartKem, Inc. 2021 Equity Incentive Plan (the "Amendment"). The Company's stockholders approved the Amendment on May 28, 2025.

F2 · derivative.exercise_date: The option vests as follows: 25% on the date of grant with the remaining shares to vest in equal monthly installments over a period of 36 months commencing on May 15, 2025 and on the 15th date of each month thereafter.

SEC source: 0001641172-25-012769 · ownership.xml · derivative · entry 1

Brown Beverley · CIK 0001846306 · Chief Scientist

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 33,741

Underlying: Common Stock · 33,741 shares

Expires 2035-04-15

F1 · date: The stock option grant was approved by the Compensation Committee of SmartKem, Inc.'s (the "Company") board of directors on April 15, 2025, subject to stockholder approval of an Amendment to the SmartKem, Inc. 2021 Equity Incentive Plan (the "Amendment"). The Company's stockholders approved the Amendment on May 28, 2025.

F2 · derivative.exercise_date: The option vests as follows: 25% on the date of grant with the remaining shares to vest in equal monthly installments over a period of 36 months commencing on May 15, 2025 and on the 15th date of each month thereafter.

SEC source: 0001641172-25-012765 · ownership.xml · derivative · entry 1

Keck Barbra · CIK 0001464238 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 75,660

Underlying: Common Stock · 75,660 shares

Expires 2035-04-15

F1 · date: The stock option grant was approved by the Compensation Committee of SmartKem, Inc.'s (the "Company") board of directors on April 15, 2025, subject to stockholder approval of an Amendment to the SmartKem, Inc. 2021 Equity Incentive Plan (the "Amendment"). The Company's stockholders approved the Amendment on May 28, 2025.

F2 · derivative.exercise_date: The option vests as follows: 25% on the date of grant with the remaining shares to vest in equal monthly installments over a period of 36 months commencing on May 15, 2025 and on the 15th date of each month thereafter.

SEC source: 0001641172-25-012761 · ownership.xml · derivative · entry 1

de Boer Klaas · CIK 0001845960 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 23,915

Underlying: Common Stock · 23,915 shares

Expires 2035-04-15

F1 · date: The stock option grant was approved by the Compensation Committee of SmartKem, Inc.'s (the "Company") board of directors on April 15, 2025, subject to stockholder approval of an Amendment to the SmartKem, Inc. 2021 Equity Incentive Plan (the "Amendment"). The Company's stockholders approved the Amendment on May 28, 2025.

F2 · derivative.exercise_date: The option vests as follows: 25% on the date of grant with the remaining shares to vest in equal monthly installments over a period of 36 months commencing on May 15, 2025 and on the 15th date of each month thereafter.

SEC source: 0001641172-25-012766 · ownership.xml · derivative · entry 1

Ogier Simon · CIK 0001846145 · Chief Technology Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 77,656

Underlying: Common Stock · 77,656 shares

Expires 2035-04-15

F1 · date: The stock option grant was approved by the Compensation Committee of SmartKem, Inc.'s (the "Company") board of directors on April 15, 2025, subject to stockholder approval of an Amendment to the SmartKem, Inc. 2021 Equity Incentive Plan (the "Amendment"). The Company's stockholders approved the Amendment on May 28, 2025.

F2 · derivative.exercise_date: The option vests as follows: 25% on the date of grant with the remaining shares to vest in equal monthly installments over a period of 36 months commencing on May 15, 2025 and on the 15th date of each month thereafter.

SEC source: 0001641172-25-012764 · ownership.xml · derivative · entry 1

Jenks Ian · CIK 0001846030 · Director · Chairman & CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 170,320

Underlying: Common Stock · 170,320 shares

Expires 2035-04-15

F1 · date: The stock option grant was approved by the Compensation Committee of SmartKem, Inc.'s (the "Company') board of directors on April 15, 2025, subject to stockholder approval of an Amendment to the SmartKem, Inc. 2021 Equity Incentive Plan (the "Amendment"). The Company's stockholders approved the Amendment on May 28, 2025.

F2 · derivative.exercise_date: The option vests as follows: 25% on the date of grant with the remaining shares to vest in equal monthly installments over a period of 36 months commencing on May 15, 2025 and on the 15th date of each month thereafter.

SEC source: 0001641172-25-012767 · ownership.xml · derivative · entry 1

Peruvemba Sriram Krishnamurthy · CIK 0001656093 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 23,915

Underlying: Common Stock · 23,915 shares

Expires 2035-04-15

F1 · date: The stock option grant was approved by the Compensation Committee of SmartKem, Inc.'s (the "Company") board of directors on April 15, 2025, subject to stockholder approval of an Amendment to the SmartKem, Inc. 2021 Equity Incentive Plan (the "Amendment"). The Company's stockholders approved the Amendment on May 28, 2025.

F2 · derivative.exercise_date: The option vests as follows: 25% on the date of grant with the remaining shares to vest in equal monthly installments over a period of 36 months commencing on May 15, 2025 and on the 15th date of each month thereafter.

SEC source: 0001641172-25-012762 · ownership.xml · derivative · entry 1

Denbaars Steven · CIK 0001700533 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 23,915

Underlying: Common Stock · 23,915 shares

Expires 2035-04-15

F1 · date: The stock option grant was approved by the Compensation Committee of SmartKem, Inc.'s (the "Company") board of directors on April 15, 2025, subject to stockholder approval of an Amendment to the SmartKem, Inc. 2021 Equity Incentive Plan (the "Amendment"). The Company's stockholders approved the Amendment on May 28, 2025.

F2 · derivative.exercise_date: The option vests as follows: 25% on the date of grant with the remaining shares to vest in equal monthly installments over a period of 36 months commencing on May 15, 2025 and on the 15th date of each month thereafter.

SEC source: 0001641172-25-012763 · ownership.xml · derivative · entry 1

Denis Melisa · CIK 0001834132 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 23,915

Underlying: Common Stock · 23,915 shares

Expires 2035-04-15

F1 · date: The stock option grant was approved by the Compensation Committee of SmartKem, Inc.'s (the "Company") board of directors on April 15, 2025, subject to stockholder approval of an Amendment to the SmartKem, Inc. 2021 Equity Incentive Plan (the "Amendment"). The Company's stockholders approved the Amendment on May 28, 2025.

F2 · derivative.exercise_date: The option vests as follows: 25% on the date of grant with the remaining shares to vest in equal monthly installments over a period of 36 months commencing on May 15, 2025 and on the 15th date of each month thereafter.

SEC source: 0001493152-24-024166 · ownership.xml · derivative · entry 1

Peruvemba Sriram Krishnamurthy · CIK 0001656093 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2034-06-14

F1 · derivative.exercise_date: The options vested as to 25% upon date of grant with the remaining shares to vest in equal monthly installments over a period of 36 months commencing on July 14, 2024.

SEC source: 0001493152-24-024162 · ownership.xml · derivative · entry 1

Ogier Simon · CIK 0001846145 · Chief Technology Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 49,000

Underlying: Common Stock · 49,000 shares

Expires 2034-06-14

F1 · derivative.exercise_date: The options vested as to 25% upon date of grant with the remaining shares to vest in equal monthly installments over a period of 36 months commencing on July 14, 2024.

SEC source: 0001493152-24-024159 · ownership.xml · derivative · entry 1

Keck Barbra · CIK 0001464238 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2034-06-14

F1 · derivative.exercise_date: The options vested as to 25% upon date of grant with the remaining shares to vest in equal monthly installments over a period of 36 months commencing on July 14, 2024.

SEC source: 0001493152-24-024154 · ownership.xml · derivative · entry 2

Jenks Ian · CIK 0001846030 · Director · Chairman & CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 16,000

Underlying: Common Stock · 16,000 shares

Expires 2034-06-14

F2 · derivative.exercise_date: The options vested as to 100% upon date of grant.

SEC source: 0001493152-24-024154 · ownership.xml · derivative · entry 1

Jenks Ian · CIK 0001846030 · Director · Chairman & CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 165,000

Underlying: Common Stock · 165,000 shares

Expires 2034-06-14

F1 · derivative.exercise_date: The options vested as to 25% upon date of grant with the remaining shares to vest in equal monthly installments over a period of 36 months commencing on July 14, 2024.

SEC source: 0001493152-24-024150 · ownership.xml · derivative · entry 1

Denis Melisa · CIK 0001834132 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2034-06-14

F1 · derivative.exercise_date: The options vested as to 25% upon date of grant with the remaining shares to vest in equal monthly installments over a period of 36 months commencing on July 14, 2024.

SEC source: 0001493152-24-024146 · ownership.xml · derivative · entry 1

Denbaars Steven · CIK 0001700533 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2034-06-14

F1 · derivative.exercise_date: The options vested as to 25% upon date of grant with the remaining shares to vest in equal monthly installments over a period of 36 months commencing on July 14, 2024.

SEC source: 0001493152-24-024143 · ownership.xml · derivative · entry 1

de Boer Klaas · CIK 0001845960 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2034-06-14

F1 · derivative.exercise_date: The options vested as to 25% upon date of grant with the remaining shares to vest in equal monthly installments over a period of 36 months commencing on July 14, 2024.

SEC source: 0001493152-24-024140 · ownership.xml · derivative · entry 1

Brown Beverley · CIK 0001846306 · Chief Scientist

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 49,000

Underlying: Common Stock · 49,000 shares

Expires 2034-06-14

F1 · derivative.exercise_date: The options vested as to 25% upon date of grant with the remaining shares to vest in equal monthly installments over a period of 36 months commencing on July 14, 2024.

SEC source: 0001104659-24-068784 · tm2416439-1_4seq1.xml · derivative · entry 3

de Boer Klaas · CIK 0001845960 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By Spouse

Disclosed balance after: 0

Underlying: Common Stock · 5,715 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.

F1 · price: The Series A-2 Convertible Preferred Stock, stated valued equal to $1,000 per share (the "Preferred Stock"), converted automatically into shares of common stock of the Issuer at the conversion price of $8.75 per share on May 30, 2024.

F2 · derivative.exercise_date: The Preferred Stock does not have an expiration date.

F2 · derivative.expiration_date: The Preferred Stock does not have an expiration date.

SEC source: 0001104659-24-068784 · tm2416439-1_4seq1.xml · nonDerivative · entry 1

de Boer Klaas · CIK 0001845960 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By Spouse

Disclosed balance after: 11,430

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: The Series A-2 Convertible Preferred Stock, stated valued equal to $1,000 per share (the "Preferred Stock"), converted automatically into shares of common stock of the Issuer at the conversion price of $8.75 per share on May 30, 2024.

SEC source: 0001104659-24-022453 · tm246141-1_4seq1.xml · nonDerivative · entry 1

Jenks Ian · CIK 0001846030 · Director · Chairman and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,511

SEC source: 0001104659-24-013215 · tm244327-1_4seq1.xml · nonDerivative · entry 1

Jenks Ian · CIK 0001846030 · Director · Chairman and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 11,011

SEC source: 0001104659-24-010141 · tm244327-7_4seq1.xml · nonDerivative · entry 1

de Boer Klaas · CIK 0001845960 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 100

F1 · shares: Reflects a grant of a stock award issued pursuant to the Issuer's 2021 Equity Incentive Plan, which vested in full upon grant.

F1 · price: Reflects a grant of a stock award issued pursuant to the Issuer's 2021 Equity Incentive Plan, which vested in full upon grant.

SEC source: 0001104659-24-010139 · tm244327-9_4seq1.xml · nonDerivative · entry 1

Denbaars Steven · CIK 0001700533 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 815

F1 · shares: Reflects a grant of a stock award issued pursuant to the Issuer's 2021 Equity Incentive Plan, which vested in full upon grant.

F1 · price: Reflects a grant of a stock award issued pursuant to the Issuer's 2021 Equity Incentive Plan, which vested in full upon grant.

F2 · balance_after: Shares reported reflect a 1-for-35 reverse share split effective September 21, 2023.

SEC source: 0001104659-24-010138 · tm244327-6_4seq1.xml · nonDerivative · entry 1

Denis Melisa · CIK 0001834132 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 100

F1 · shares: Reflects a grant of a stock award issued pursuant to the Issuer's 2021 Equity Incentive Plan, which vested in full upon grant.

F1 · price: Reflects a grant of a stock award issued pursuant to the Issuer's 2021 Equity Incentive Plan, which vested in full upon grant.

SEC source: 0001104659-24-010135 · tm244327-5_4seq1.xml · nonDerivative · entry 1

Jenks Ian · CIK 0001846030 · Director · Chairman & CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 18,211

F1 · shares: Reflects a grant of a stock award issued pursuant to the Issuer's 2021 Equity Incentive Plan, which vested in full upon grant.

F1 · price: Reflects a grant of a stock award issued pursuant to the Issuer's 2021 Equity Incentive Plan, which vested in full upon grant.

F2 · balance_after: Shares reported reflect a 1-for-35 reverse share split effective September 21, 2023.

SEC source: 0001104659-24-010136 · tm244327-8_4seq1.xml · nonDerivative · entry 1

Brown Beverley · CIK 0001846306 · Chief Scientist

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 100

F1 · shares: Reflects a grant of a stock award issued pursuant to the Issuer's 2021 Equity Incentive Plan, which vested in full upon grant.

F1 · price: Reflects a grant of a stock award issued pursuant to the Issuer's 2021 Equity Incentive Plan, which vested in full upon grant.

SEC source: 0001104659-24-010133 · tm244327-4_4seq1.xml · nonDerivative · entry 1

Keck Barbra · CIK 0001464238 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 100

F1 · shares: Reflects a grant of a stock award issued pursuant to the Issuer's 2021 Equity Incentive Plan, which vested in full upon grant.

F1 · price: Reflects a grant of a stock award issued pursuant to the Issuer's 2021 Equity Incentive Plan, which vested in full upon grant.

SEC source: 0001104659-24-010126 · tm244327-2_4seq1.xml · nonDerivative · entry 1

Peruvemba Sriram Krishnamurthy · CIK 0001656093 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 100

F1 · shares: Reflects a grant of a stock award issued pursuant to the Issuer's 2021 Equity Incentive Plan, which vested in full upon grant.

F1 · price: Reflects a grant of a stock award issued pursuant to the Issuer's 2021 Equity Incentive Plan, which vested in full upon grant.

SEC source: 0001104659-24-010129 · tm244327-3_4seq1.xml · nonDerivative · entry 1

Ogier Simon · CIK 0001846145 · Chief Technology Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,760

F1 · shares: Reflects a grant of a stock award issued pursuant to the Issuer's 2021 Equity Incentive Plan, which vested in full upon grant.

F1 · price: Reflects a grant of a stock award issued pursuant to the Issuer's 2021 Equity Incentive Plan, which vested in full upon grant.

F2 · balance_after: Shares reported reflect a 1-for-35 reverse share split effective September 21, 2023.

SEC source: 0001104659-23-074416 · tm2319550-1_4.xml · derivative · entry 2

de Boer Klaas · CIK 0001845960 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By Spouse

Disclosed balance after: 200,000

Underlying: Common Stock · 200,000 shares

Expires not disclosed

F3 · derivative.exercise_price: The warrants were included together with the purchase of the Preferred Stock. Each warrant entitles the holder thereof to purchase one share of Common Stock at an exercise price of $0.25 per share, subject to adjustment. The warrants are currently exercisable and will expire on June 22, 2028.

F3 · price: The warrants were included together with the purchase of the Preferred Stock. Each warrant entitles the holder thereof to purchase one share of Common Stock at an exercise price of $0.25 per share, subject to adjustment. The warrants are currently exercisable and will expire on June 22, 2028.

F3 · derivative.exercise_date: The warrants were included together with the purchase of the Preferred Stock. Each warrant entitles the holder thereof to purchase one share of Common Stock at an exercise price of $0.25 per share, subject to adjustment. The warrants are currently exercisable and will expire on June 22, 2028.

F3 · derivative.expiration_date: The warrants were included together with the purchase of the Preferred Stock. Each warrant entitles the holder thereof to purchase one share of Common Stock at an exercise price of $0.25 per share, subject to adjustment. The warrants are currently exercisable and will expire on June 22, 2028.

SEC source: 0001104659-23-074416 · tm2319550-1_4.xml · derivative · entry 1

de Boer Klaas · CIK 0001845960 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By Spouse

Disclosed balance after: 50

Underlying: Common Stock · 200,000 shares

Expires not disclosed

F1 · derivative.exercise_price: The Issuer issued its Series A-2 Convertible Preferred Stock (the "Preferred Stock"), at a stated value equal to $1,000 per share. Pursuant to the terms of the Preferred Stock, each share of Preferred Stock is convertible into shares of the Issuer's common stock, par value $0.0001 per share ("Common Stock"), at the election of the holder, at any time following the original issue date at a price of $0.25 per share, subject to price-based anti-dilution adjustments which, if triggered, would result in additional shares of Common Stock being issued upon conversion of the Preferred Stock. The Preferred Stock does not have an expiration date.

F2 · kind: The purchase was made in a private transaction with the Issuer that closed on June 22, 2023.

F1 · derivative.exercise_date: The Issuer issued its Series A-2 Convertible Preferred Stock (the "Preferred Stock"), at a stated value equal to $1,000 per share. Pursuant to the terms of the Preferred Stock, each share of Preferred Stock is convertible into shares of the Issuer's common stock, par value $0.0001 per share ("Common Stock"), at the election of the holder, at any time following the original issue date at a price of $0.25 per share, subject to price-based anti-dilution adjustments which, if triggered, would result in additional shares of Common Stock being issued upon conversion of the Preferred Stock. The Preferred Stock does not have an expiration date.

F1 · derivative.expiration_date: The Issuer issued its Series A-2 Convertible Preferred Stock (the "Preferred Stock"), at a stated value equal to $1,000 per share. Pursuant to the terms of the Preferred Stock, each share of Preferred Stock is convertible into shares of the Issuer's common stock, par value $0.0001 per share ("Common Stock"), at the election of the holder, at any time following the original issue date at a price of $0.25 per share, subject to price-based anti-dilution adjustments which, if triggered, would result in additional shares of Common Stock being issued upon conversion of the Preferred Stock. The Preferred Stock does not have an expiration date.

SEC source: 0001104659-22-128625 · tm2232726-1_4.xml · derivative · entry 1

Keck Barbra · CIK 0001464238 · Director · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 450,000

Underlying: Common Stock · 450,000 shares

Expires 2032-12-20

F1 · derivative.exercise_date: The option award was made in accordance with the terms of the Issuer's 2021 Equity Incentive Plan. The option vests as to 1/3 of the shares on December 14, 2023 with the remaining shares to vest in equal monthly installments over a period of 24 months commencing January 14, 2024.

SEC source: 0001104659-22-079031 · tm2220038-7_4seq1.xml · derivative · entry 1

Keck Barbra · CIK 0001464238 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,000

Underlying: Common Stock · 6,000 shares

Expires 2032-07-08

F1 · derivative.exercise_date: The option award was made in accordance with the terms of the Issuer's 2021 Equity Incentive Plan. The option vests as to 25% of the shares on July 8, 2023 with the remaining shares to vest in equal monthly installments over a period of 36 months commencing on August 1, 2023.

SEC source: 0001104659-22-079029 · tm2220038-6_4seq1.xml · derivative · entry 1

de Boer Klaas · CIK 0001845960 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,000

Underlying: Common Stock · 6,000 shares

Expires 2032-07-08

F1 · derivative.exercise_date: The option award was made in accordance with the terms of the Issuer's 2021 Equity Incentive Plan. The option vests as to 25% of the shares on July 8, 2023 with the remaining shares to vest in equal monthly installments over a period of 36 months commencing on August 1, 2023.

SEC source: 0001104659-22-079027 · tm2220038-5_4seq1.xml · derivative · entry 1

Denbaars Steven · CIK 0001700533 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,000

Underlying: Common Stock · 18,000 shares

Expires 2032-07-08

F1 · derivative.exercise_date: The option award was made in accordance with the terms of the Issuer's 2021 Equity Incentive Plan. The option vests as to 25% of the shares on July 8, 2023 with the remaining shares to vest in equal monthly installments over a period of 36 months commencing on August 1, 2023.

SEC source: 0001104659-22-079025 · tm2220038-4_4seq1.xml · derivative · entry 1

Brown Beverley · CIK 0001846306 · Chief Scientist

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,000

Underlying: Common Stock · 45,000 shares

Expires 2032-07-08

F1 · derivative.exercise_date: The option award was made in accordance with the terms of the Issuer's 2021 Equity Incentive Plan. The option vests as to 25% of the shares on July 8, 2023 with the remaining shares to vest in (i) monthly installments of 937 shares over a period of 35 months commencing on August 1, 2023 and (ii) one installment of 955 shares on August 1, 2026.

SEC source: 0001104659-22-079023 · tm2220038-3_4seq1.xml · derivative · entry 1

Ogier Simon · CIK 0001846145 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,000

Underlying: Common Stock · 45,000 shares

Expires 2032-07-08

F1 · derivative.exercise_date: The option award was made in accordance with the terms of the Issuer's UK Tax-Advantaged Sub-Plan. The option vests as to 25% of the shares on July 8, 2023 with the remaining shares to vest in (i) monthly installments of 937 shares over a period of 35 months commencing on August 1, 2023 and (ii) one installment of 955 shares on August 1, 2026.

SEC source: 0001104659-22-079021 · tm2220038-2_4seq1.xml · derivative · entry 1

Jenks Ian · CIK 0001846030 · Director · Chairman & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,000

Underlying: Common Stock · 150,000 shares

Expires 2032-07-08

F1 · derivative.exercise_date: The option award was made in accordance with the terms of the Issuer's 2021 Equity Incentive Plan. The option vests as to 25% of the shares on July 8, 2023 with the remaining shares to vest in equal monthly installments over a period of 36 months commencing on August 1, 2023.

SEC source: 0001104659-22-008271 · tm223815-2_4seq1.xml · nonDerivative · entry 2

King Simon P. · CIK 0001845759 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Octopus Investments Nominees Limited

Disclosed balance after: 59,721

F2 · ownership.nature: Reporting person is a partner of Octopus Investments Limited, which is the manager of Octopus Investments Nominees Limited. Through his position with Octopus Investments Limited, the reporting person is deemed to control the voting and disposition of the shares of the common stock held by the Octopus Investments Nominees Limited. The reporting person disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein, if any. This report shall not be deemed an admission that the reporting person, Octopus Investments Nominees Limited or any other person is the beneficial owner of the securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0001104659-22-008271 · tm223815-2_4seq1.xml · nonDerivative · entry 1

King Simon P. · CIK 0001845759 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Octopus Titan VCT Plc

Disclosed balance after: 7,416,307

F1 · ownership.nature: Reporting person is a partner of Octopus Investments Limited, which is the manager of Octopus Titan VCT Plc. Through his position with Octopus Investments Limited, the reporting person is deemed to control the voting and disposition of the shares of the common stock held by the Octopus Titan VCT Plc. The reporting person disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein, if any. This report shall not be deemed an admission that the reporting person, Octopus Titan VCT Plc or any other person is the beneficial owner of the securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0000905718-21-000531 · smartkem_fm4mar312021.xml · derivative · entry 1

Bahns Robert · CIK 0001845541 · Director · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 137,648

Underlying: Common Stock · 137,648 shares

Expires 2031-03-31

F1 · derivative.exercise_date: The option award was made in accordance with the terms of the Issuer's UK Tax-Advantaged Sub-Plan. The option vests as to 25% of the shares on March 31, 2022 with the remaining shares to vest in equal monthly installments over a period of 36 months commencing on April 30, 2022.

SEC source: 0000905718-21-000527 · smartkem_fm4mar312021.xml · derivative · entry 1

Brown Beverley · CIK 0001846306 · Chief Scientist

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 186,601

Underlying: Common Stock · 186,601 shares

Expires 2031-03-31

F1 · derivative.exercise_date: The option award was made in accordance with the terms of the Issuer's 2021 Equity Incentive Plan. The option vests as to 25% of the shares on March 31, 2022 with the remaining shares to vest in equal monthly installments over a period of 36 months commencing on April 30, 2022