WRAP

SEC source: 0001437749-24-001666 · rdgdoc.xml · nonDerivative · entry 1

Srinivasan Rajiv · CIK 0001997738 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 13,372

F1 · price: The shares of common stock, par value $0.0001 per share, of the Issuer were granted in connection with the Reporting Person's service on the Issuer's Board of Directors for the quarter ended December 31, 2023.

SEC source: 0001437749-24-001665 · rdgdoc.xml · nonDerivative · entry 1

Szymanski Timothy · CIK 0001997862 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 13,372

F1 · price: The shares of common stock, par value $0.0001 per share, of the Issuer were granted in connection with the Reporting Person's service on the Issuer's Board of Directors for the quarter ended December 31, 2023.

SEC source: 0001437749-24-001663 · rdgdoc.xml · nonDerivative · entry 1

Savas Marc · CIK 0001603170 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 77,924

F1 · price: Represents a grant of Restricted Stock Units ("RSUs"). The RSUs were granted in connection with the Reporting Person's service on the Issuer's Board of Directors for the quarter ended December 31, 2023. On the date of grant, 30% of the RSUs vested and the remainder of RSUs vest ratably in eight monthly tranches beginning February 1, 2024.

SEC source: 0001437749-24-001664 · rdgdoc.xml · nonDerivative · entry 1

Cohen Scot · CIK 0001558913 · Director · Executive Chairman and CEO · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,489,434

F1 · price: Represents a grant of Restricted Stock Units ("RSUs"). The RSUs were granted in connection with the Reporting Person's service on the Issuer's Board of Directors for the quarter ended December 31, 2023. On the date of grant, 30% of the RSUs vested and the remainder of RSUs vest ratably in eight monthly tranches beginning February 1, 2024.

SEC source: 0001437749-24-001662 · rdgdoc.xml · nonDerivative · entry 1

Bernstein Bruce · CIK 0001665472 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 78,024

F1 · price: Represents a grant of Restricted Stock Units ("RSUs"). The RSUs were granted in connection with the Reporting Person's service on the Issuer's Board of Directors for the quarter ended December 31, 2023. On the date of grant, 30% of the RSUs vested and the remainder of RSUs vest ratably in eight monthly tranches beginning February 1, 2024.

SEC source: 0001437749-24-001661 · rdgdoc.xml · nonDerivative · entry 1

Szymanski Timothy · CIK 0001997862 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,586

F1 · price: Represents a grant of Restricted Stock Units ("RSUs"). The RSUs were granted in connection with the Reporting Person's service on the Issuer's Board of Directors for the quarter ended December 31, 2023. On the date of grant, 30% of the RSUs vested and the remainder of RSUs vest ratably in eight monthly tranches beginning February 1, 2024.

SEC source: 0001437749-24-001660 · rdgdoc.xml · nonDerivative · entry 1

Srinivasan Rajiv · CIK 0001997738 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,586

F1 · price: Represents a grant of Restricted Stock Units ("RSUs"). The RSUs were granted in connection with the Reporting Person's service on the Issuer's Board of Directors for the quarter ended December 31, 2023. On the date of grant, 30% of the RSUs vested and the remainder of RSUs vest ratably in eight monthly tranches beginning February 1, 2024.

SEC source: 0001437749-23-035591 · rdgdoc.xml · derivative · entry 1

Novick Jared · CIK 0002006392 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 250,000

Underlying: Common Stock · 250,000 shares

Expires 2033-12-26

F1 · derivative.exercise_date: The stock options in three substantially equal installments at the end of each of the Issuer's first through third fiscal years beginning on December 31, 2024 and ending on December 31, 2026, provided that the Reporting Person is employed by or providing services to the Issuer through the applicable vesting date.

SEC source: 0001437749-24-000913 · rdgdoc.xml · derivative · entry 2

Savas Marc · CIK 0001603170 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2033-12-22

F2 · derivative.exercise_date: The stock options vested 100% on the date of grant.

SEC source: 0001437749-24-000913 · rdgdoc.xml · nonDerivative · entry 1

Savas Marc · CIK 0001603170 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 68,166

F1 · price: Represents a grant of Restricted Stock Units (the "RSUs"). The RUSs will vest in three substantially equal installments at the end of each of the Issuer's fiscal years beginning on December 31, 2024 and ending on December 31, 2026, provided the Reporting Person is employed by or providing services to the Company or an affiliate on the applicable vesting date.

SEC source: 0001437749-24-000912 · rdgdoc.xml · nonDerivative · entry 1

Sherman Kevin Charles · CIK 0001483052 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 105,569

SEC source: 0001437749-24-000914 · rdgdoc.xml · derivative · entry 2

Bernstein Bruce · CIK 0001665472 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2033-12-22

F2 · derivative.exercise_date: The stock options vested 100% on the date of grant.

SEC source: 0001437749-24-000914 · rdgdoc.xml · nonDerivative · entry 1

Bernstein Bruce · CIK 0001665472 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 68,266

F1 · price: Represents a grant of Restricted Stock Units (the "RSUs"). The RUSs will vest in three substantially equal installments at the end of each of the Issuer's fiscal years beginning on December 31, 2024 and ending on December 31, 2026, provided the Reporting Person is employed by or providing services to the Company or an affiliate on the applicable vesting date.

SEC source: 0001437749-24-001038 · rdgdoc.xml · derivative · entry 2

Savas Marc · CIK 0001603170 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2033-12-22

F2 · derivative.exercise_date: The stock options vested 100% on the date of grant.

SEC source: 0001437749-24-001038 · rdgdoc.xml · nonDerivative · entry 1

Savas Marc · CIK 0001603170 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 68,166

F1 · price: Represents a grant of Restricted Stock Units (the "RSUs"). The RUSs will vest in three substantially equal installments at the end of each of the Issuer's fiscal years beginning on December 31, 2024 and ending on December 31, 2026, provided the Reporting Person is employed by or providing services to the Company or an affiliate on the applicable vesting date.

SEC source: 0001437749-24-001040 · rdgdoc.xml · nonDerivative · entry 1

Sherman Kevin Charles · CIK 0001483052 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 105,569

SEC source: 0001437749-24-001036 · rdgdoc.xml · derivative · entry 2

Bernstein Bruce · CIK 0001665472 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2033-12-22

F2 · derivative.exercise_date: The stock options vested 100% on the date of grant.

SEC source: 0001437749-24-001036 · rdgdoc.xml · nonDerivative · entry 1

Bernstein Bruce · CIK 0001665472 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 68,266

F1 · price: Represents a grant of Restricted Stock Units (the "RSUs"). The RUSs will vest in three substantially equal installments at the end of each of the Issuer's fiscal years beginning on December 31, 2024 and ending on December 31, 2026, provided the Reporting Person is employed by or providing services to the Company or an affiliate on the applicable vesting date.

SEC source: 0001415889-23-014300 · form4-10172023_121054.xml · derivative · entry 2

Cohen Scot · CIK 0001558913 · Director · EXECUTIVE CHAIRMAN · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,290,166

Underlying: Common Stock · 1,290,166 shares

Expires 2033-10-12

F2 · shares: Represents nonqualified stock options issued in connection with the Reporting Person's appointment as Executive Chairman, and represents 2.25% of the fully diluted issued and outstanding shares of the Issuer's Common Stock on the grant date. The stock options will vest, subject to Reporting Person's continued employment with the Issuer through each vesting date, as follows: (i) 1/3rd on the date on which the Issuer's market capitalization meets or exceeds $100 million for each trading day during 2 consecutive months; (ii) 1/3rd on the date on which the Issuer's market capitalization meets or exceeds $150 million for each trading day during 2 consecutive months; and (ii) 1/3rd on the date on which the Issuer's market capitalization meets or exceeds $200 million for each trading day during 2 consecutive months, subject to accelerated vesting upon the occurrence of certain events.

F2 · derivative.exercise_date: Represents nonqualified stock options issued in connection with the Reporting Person's appointment as Executive Chairman, and represents 2.25% of the fully diluted issued and outstanding shares of the Issuer's Common Stock on the grant date. The stock options will vest, subject to Reporting Person's continued employment with the Issuer through each vesting date, as follows: (i) 1/3rd on the date on which the Issuer's market capitalization meets or exceeds $100 million for each trading day during 2 consecutive months; (ii) 1/3rd on the date on which the Issuer's market capitalization meets or exceeds $150 million for each trading day during 2 consecutive months; and (ii) 1/3rd on the date on which the Issuer's market capitalization meets or exceeds $200 million for each trading day during 2 consecutive months, subject to accelerated vesting upon the occurrence of certain events.

SEC source: 0001415889-23-014300 · form4-10172023_121054.xml · nonDerivative · entry 1

Cohen Scot · CIK 0001558913 · Director · EXECUTIVE CHAIRMAN · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,477,654

F1 · shares: Represents grant of restricted shares of common stock, par value $0.0001 per share ("Common Stock") of Wrap Technologies, Inc. (the "Issuer") issued in connection with the Reporting Person's appointment as Executive Chairman. Shares will be issued upon vesting and shall vest, subject to Reporting Person's continued employment, (i) 1/3rd on the date on which the Issuer's market capitalization meets or exceeds $100 million for each trading day during 2 consecutive months; (ii) 1/3rd on the date on which the Issuer's market capitalization meets or exceeds $150 million for each trading day during 2 consecutive months; and (iii) 1/3rd on the date on which the Issuer's market capitalization meets or exceeds $200 million for each trading day during 2 consecutive months. The RSAs are subject to accelerated vesting upon the occurrence of certain events.

SEC source: 0001415889-23-014441 · form4-10192023_081033.xml · nonDerivative · entry 2

WALKER WAYNE REMELL · CIK 0001428761 · PRIOR DIRECTOR

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 134,575

F2 · price: Represents shares of Restricted Stock issued in connection with the Reporting Person's resignation from the Issuer's Board of Directors.

SEC source: 0001415889-23-014451 · form4-10192023_101048.xml · derivative · entry 1

Srinivasan Rajiv · CIK 0001997738 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires 2033-10-12

F1 · derivative.exercise_date: Represents stock options issued in connection with the Reporting Person's appointment as a member of the Board of Directors of the Issuer. The stock options will vest (i) 50% on October 12, 2023, and (ii) the remaining 50% in four equal quarterly installments thereafter.

SEC source: 0001415889-23-014443 · form4-10192023_081049.xml · nonDerivative · entry 2

Parris Michael · CIK 0001723737 · PRIOR DIRECTOR

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 309,218

F2 · price: Represents shares of Restricted Stock issued in connection with the Reporting Person's resignation from the Issuer's Board of Directors.

SEC source: 0001415889-23-014507 · form4-10252023_121007.xml · derivative · entry 1

Szymanski Timothy · CIK 0001997862 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires 2033-10-12

F1 · derivative.exercise_date: Represents stock options issued in connection with the Reporting Person's appointment as a member of the Board of Directors of the Issuer. The stock options will vest (i) 50% on October 12, 2023, and (ii) the remaining 50% in four equal quarterly installments thereafter.

SEC source: 0001415889-23-014436 · form4-10192023_081007.xml · nonDerivative · entry 1

Savas Marc · CIK 0001603170 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 18,166

F1 · price: Represents shares of Restricted Stock (the "Shares") issued in connection with the Reporting Person's service on the Issuer's Board of Directors for the quarter ended September 30, 2023. The number of Shares was calculated based on the amount due the Reporting Person at the end of the quarter, or $15,125, divided by the closing price of the Company's Common Stock on such date. 30% of the Shares were vested as of the date of the grant, with the remainder vesting ratably in eight monthly tranches beginning November 1, 2023.

SEC source: 0001415889-23-014438 · form4-10192023_081033.xml · nonDerivative · entry 1

Sherman Kevin Charles · CIK 0001483052 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 73,419

F1 · price: Represents shares of Restricted Stock (the "Shares") issued in connection with the Reporting Person's service on the Issuer's Board of Directors for the quarter ended September 30, 2023. The number of Shares was calculated based on the amount due the Reporting Person at the end of the quarter, or $15,125, divided by the closing price of the Company's Common Stock on such date. 30% of the Shares were vested as of the date of the grant, with the remainder vesting ratably in eight monthly tranches beginning November 1, 2023.

SEC source: 0001415889-23-014441 · form4-10192023_081033.xml · nonDerivative · entry 1

WALKER WAYNE REMELL · CIK 0001428761 · PRIOR DIRECTOR

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 112,968

F1 · price: Represents shares of Restricted Stock (the "Shares") issued in connection with the Reporting Person's service on the Issuer's Board of Directors for the quarter ended September 30, 2023. The number of Shares was calculated based on the amount due the Reporting Person at the end of the quarter, or $15,125, divided by the closing price of the Company's Common Stock on such date. 30% of the Shares were vested as of the date of the grant, with the remainder vesting ratably in eight monthly tranches beginning November 1, 2023.

SEC source: 0001415889-23-014433 · form4-10192023_081051.xml · nonDerivative · entry 1

Cohen Scot · CIK 0001558913 · Director · EXECUTIVE CHAIRMAN · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,487,737

F1 · price: Represents shares of Restricted Stock (the "Shares") issued in connection with the Reporting Person's service on the Issuer's Board of Directors for the quarter ended September 30, 2023. The number of Shares was calculated based on the amount due the Reporting Person at the end of the quarter, or $15,125, divided by the closing price of the Company's Common Stock on such date. 30% of the Shares were vested as of the date of the grant, with the remainder vesting ratably in eight monthly tranches beginning November 1, 2023.

SEC source: 0001415889-23-014431 · form4-10192023_081010.xml · nonDerivative · entry 1

Bernstein Bruce · CIK 0001665472 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 18,266

F1 · price: Represents shares of Restricted Stock (the "Shares") issued in connection with the Reporting Person's service on the Issuer's Board of Directors for the quarter ended September 30, 2023. The number of Shares was calculated based on the amount due the Reporting Person at the end of the quarter, or $15,125, divided by the closing price of the Company's Common Stock on such date. 30% of the Shares were vested as of the date of the grant, with the remainder vesting ratably in eight monthly tranches beginning November 1, 2023.

SEC source: 0001415889-23-014443 · form4-10192023_081049.xml · nonDerivative · entry 1

Parris Michael · CIK 0001723737 · PRIOR DIRECTOR

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 287,611

F1 · price: Represents shares of Restricted Stock (the "Shares") issued in connection with the Reporting Person's service on the Issuer's Board of Directors for the quarter ended September 30, 2023. The number of Shares was calculated based on the amount due the Reporting Person at the end of the quarter, or $15,125, divided by the closing price of the Company's Common Stock on such date. 30% of the Shares were vested as of the date of the grant, with the remainder vesting ratably in eight monthly tranches beginning November 1, 2023.

SEC source: 0001415889-23-012398 · form4-08182023_050803.xml · nonDerivative · entry 1

Mullins Kevin W · CIK 0001923390 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 496,151

F1 · price: Represents shares of common stock issued to the Reporting Person pursuant to the terms of a Membership Interest Purchase Agreement dated August 9, 2023, by and between the Issuer and Intrensic, LLC, of which the Reporting Person was a member.

SEC source: 0001415889-23-011559 · form4-07282023_040701.xml · nonDerivative · entry 1

DeAlmeida Christopher James · CIK 0001578001 · CHIEF FINANCIAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 156,601

F1 · kind: The shares were sold to satisfy income tax withholding obligations relating to the vesting of previously reported restricted stock units. This sale is a result of the default provision under the Company's equity incentive plan and does not represent a discretionary trade by the Reporting Person.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.85 to $1.87, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote 1 to this Form 4.

SEC source: 0001415889-23-010977 · form4-07102023_050702.xml · nonDerivative · entry 1

Savas Marc · CIK 0001603170 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,083

F1 · price: Represents shares of Restricted Stock (the "Shares") issued in connection with the Reporting Person's service on the Issuer's Board of Directors for the quarter ended June 30, 2023. The number of Shares was calculated based on the amount due the Reporting Person at the end of the quarter, or $11,800, divided by the closing price of the Company's Common Stock on such date. 30% of the Shares were vested as of the date of the grant, with the remainder vesting ratably in eight monthly tranches beginning August 1, 2023.

SEC source: 0001415889-23-010980 · form4-07102023_050729.xml · nonDerivative · entry 1

Sherman Kevin Charles · CIK 0001483052 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 63,336

F1 · price: Represents shares of Restricted Stock (the "Shares") issued in connection with the Reporting Person's service on the Issuer's Board of Directors for the quarter ended June 30, 2023. The number of Shares was calculated based on the amount due the Reporting Person at the end of the quarter, or $15,125, divided by the closing price of the Company's Common Stock on such date. 30% of the Shares were vested as of the date of the grant, with the remainder vesting ratably in eight monthly tranches beginning August 1, 2023.

SEC source: 0001415889-23-010973 · form4-07102023_050752.xml · nonDerivative · entry 1

WALKER WAYNE REMELL · CIK 0001428761 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 102,885

F1 · price: Represents shares of Restricted Stock (the "Shares") issued in connection with the Reporting Person's service on the Issuer's Board of Directors for the quarter ended June 30, 2023. The number of Shares was calculated based on the amount due the Reporting Person at the end of the quarter, or $15,125, divided by the closing price of the Company's Common Stock on such date. 30% of the Shares were vested as of the date of the grant, with the remainder vesting ratably in eight monthly tranches beginning August 1, 2023.

SEC source: 0001415889-23-010981 · form4-07102023_050713.xml · nonDerivative · entry 1

Cohen Scot · CIK 0001558913 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,995,511

F1 · price: Represents shares of Restricted Stock (the "Shares") issued in connection with the Reporting Person's service on the Issuer's Board of Directors for the quarter ended June 30, 2023. The number of Shares was calculated based on the amount due the Reporting Person at the end of the quarter, or $15,125, divided by the closing price of the Company's Common Stock on such date. 30% of the Shares were vested as of the date of the grant, with the remainder vesting ratably in eight monthly tranches beginning August 1, 2023.

SEC source: 0001415889-23-010979 · form4-07102023_050750.xml · nonDerivative · entry 1

Bernstein Bruce · CIK 0001665472 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,183

F1 · price: Represents shares of Restricted Stock (the "Shares") issued in connection with the Reporting Person's service on the Issuer's Board of Directors for the quarter ended June 30, 2023. The number of Shares was calculated based on the amount due the Reporting Person at the end of the quarter, or $11,800, divided by the closing price of the Company's Common Stock on such date. 30% of the Shares were vested as of the date of the grant, with the remainder vesting ratably in eight monthly tranches beginning August 1, 2023.

SEC source: 0001415889-23-010975 · form4-07102023_050742.xml · nonDerivative · entry 1

Parris Michael · CIK 0001723737 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 277,528

F1 · price: Represents shares of Restricted Stock (the "Shares") issued in connection with the Reporting Person's service on the Issuer's Board of Directors for the quarter ended June 30, 2023. The number of Shares was calculated based on the amount due the Reporting Person at the end of the quarter, or $15,125, divided by the closing price of the Company's Common Stock on such date. 30% of the Shares were vested as of the date of the grant, with the remainder vesting ratably in eight monthly tranches beginning August 1, 2023.

SEC source: 0001415889-23-010942 · form4-07072023_060747.xml · derivative · entry 5

Cohen Scot · CIK 0001558913 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By V4 Global LLC

Disclosed balance after: 1,208,647

Underlying: Common Stock · 1,206,897 shares

Expires 2028-07-05

F5 · derivative.exercise_price: The conversion price of the Warrants is subject to adjustment in the event of any issuances of Common Stock, or securities convertible, exercisable or exchangeable for Common Stock, at a price below $1.45.

F4 · price: The Preferred Shares and Warrants reported herein were acquired pursuant to a Securities Purchase Agreement by and between the Reporting Person and the Issuer, which transaction was approved by the Board of Directors of the Issuer, whereby the Reporting Person acquired each Preferred Share and associated Warrant at a purchase price of $1,000 per Preferred Share.

F6 · derivative.exercise_date: The Warrants will become exercisable on January 3, 2024, subject to stockholder approval in compliance with the rules and regulations of the Nasdaq Capital Market.

SEC source: 0001415889-23-010942 · form4-07072023_060747.xml · derivative · entry 4

Cohen Scot · CIK 0001558913 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By V4 Global LLC

Disclosed balance after: 1,750

Underlying: Common Stock · 1,206,897 shares

Expires not disclosed

F1 · derivative.exercise_price: The Series A Convertible Preferred Stock ("Preferred Shares") conversion price is subject to adjustment in the event of any issuances of shares of the Issuer's common stock ("Common Stock"), or securities convertible, exercisable or exchangeable for Common Stock, at a price below $1.45.

F4 · price: The Preferred Shares and Warrants reported herein were acquired pursuant to a Securities Purchase Agreement by and between the Reporting Person and the Issuer, which transaction was approved by the Board of Directors of the Issuer, whereby the Reporting Person acquired each Preferred Share and associated Warrant at a purchase price of $1,000 per Preferred Share.

F2 · derivative.exercise_date: The Reporting Person's ability to convert the Preferred Shares is conditioned on stockholder approval in compliance with the rules and regulations of The Nasdaq Capital Market.

F3 · derivative.expiration_date: Shares of Series A Convertible Preferred Stock do not expire.

SEC source: 0001415889-23-010942 · form4-07072023_060747.xml · derivative · entry 3

Cohen Scot · CIK 0001558913 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 862,069

Underlying: Common Stock · 862,069 shares

Expires 2028-07-05

F5 · derivative.exercise_price: The conversion price of the Warrants is subject to adjustment in the event of any issuances of Common Stock, or securities convertible, exercisable or exchangeable for Common Stock, at a price below $1.45.

F4 · price: The Preferred Shares and Warrants reported herein were acquired pursuant to a Securities Purchase Agreement by and between the Reporting Person and the Issuer, which transaction was approved by the Board of Directors of the Issuer, whereby the Reporting Person acquired each Preferred Share and associated Warrant at a purchase price of $1,000 per Preferred Share.

F6 · derivative.exercise_date: The Warrants will become exercisable on January 3, 2024, subject to stockholder approval in compliance with the rules and regulations of the Nasdaq Capital Market.

SEC source: 0001415889-23-010942 · form4-07072023_060747.xml · derivative · entry 2

Cohen Scot · CIK 0001558913 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,250

Underlying: Common Stock · 862,069 shares

Expires not disclosed

F1 · derivative.exercise_price: The Series A Convertible Preferred Stock ("Preferred Shares") conversion price is subject to adjustment in the event of any issuances of shares of the Issuer's common stock ("Common Stock"), or securities convertible, exercisable or exchangeable for Common Stock, at a price below $1.45.

F4 · price: The Preferred Shares and Warrants reported herein were acquired pursuant to a Securities Purchase Agreement by and between the Reporting Person and the Issuer, which transaction was approved by the Board of Directors of the Issuer, whereby the Reporting Person acquired each Preferred Share and associated Warrant at a purchase price of $1,000 per Preferred Share.

F2 · derivative.exercise_date: The Reporting Person's ability to convert the Preferred Shares is conditioned on stockholder approval in compliance with the rules and regulations of The Nasdaq Capital Market.

F3 · derivative.expiration_date: Shares of Series A Convertible Preferred Stock do not expire.

SEC source: 0001415889-23-008997 · form4-06012023_050608.xml · nonDerivative · entry 1

Mullins Kevin W · CIK 0001923390 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 246,151

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.04 to $1.0799, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote 1 to this Form 4.

SEC source: 0001415889-23-008889 · form4-05302023_120553.xml · nonDerivative · entry 1

DeAlmeida Christopher James · CIK 0001578001 · CHIEF FINANCIAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 166,968

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.03 to $1.035, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote 1 to this Form 4.

SEC source: 0001415889-23-008333 · form4-05192023_020507.xml · nonDerivative · entry 1

Mullins Kevin W · CIK 0001923390 · Director · CEO AND PRESIDENT

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 226,151

F1 · kind: The shares were disposed to satisfy income tax withholding obligations relating to the vesting of previously reported restricted stock units. This transaction is a result of the default provision under the Company's equity incentive plan and does not represent a discretionary trade by the Reporting Person.

SEC source: 0001239811-23-000001 · primary_doc.xml · nonDerivative · entry 5

NORRIS ELWOOD G · CIK 0001239811 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Family Trust

Disclosed balance after: 5,471,553

SEC source: 0001415889-23-006935 · form4-04272023_120457.xml · nonDerivative · entry 2

Mullins Kevin W · CIK 0001923390 · Director · CEO AND PRESIDENT

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 248,023

F2 · price: The shares were sold to satisfy income tax withholding obligations relating to the vesting of previously reported restricted stock units. This sale is a result of the default provision under the Company's equity incentive plan and does not represent a discretionary trade by the Reporting Person.

SEC source: 0001415889-23-006937 · form4-04272023_120403.xml · nonDerivative · entry 2

DeAlmeida Christopher James · CIK 0001578001 · CHIEF FINANCIAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 159,668

F2 · price: The shares were sold to satisfy income tax withholding obligations relating to the vesting of previously reported restricted stock units. This sale is a result of the default provision under the Company's equity incentive plan and does not represent a discretionary trade by the Reporting Person.

SEC source: 0001239811-23-000001 · primary_doc.xml · nonDerivative · entry 4

NORRIS ELWOOD G · CIK 0001239811 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Family Trust

Disclosed balance after: 5,462,454

SEC source: 0001239811-23-000001 · primary_doc.xml · nonDerivative · entry 3

NORRIS ELWOOD G · CIK 0001239811 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Family Trust

Disclosed balance after: 5,462,054