XPON

SEC source: 0001903596-26-000338 · ownership.xml · nonDerivative · entry 1

WINSPEAR ROBERT L · CIK 0001108565 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 30,000

F1 · shares: Reflects a grant of restricted stock units ("RSUs") made to the Reporting Person. Each RSU represents a contingent right to receive one share of the Issuer's common stock, par value $0.001 per share. Twenty-five percent of the RSUs will vest on the first anniversary of the grant date, and the remainder will vest in 12 equal quarterly installments thereafter, in each case subject to the Reporting Person's continued service through the vesting date.

SEC source: 0001903596-26-000318 · ownership.xml · derivative · entry 2

Hammer Joseph D · CIK 0001576484 · Director · Former Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 1,058,609

Underlying: Common Stock · 1,058,609 shares

Expires 2031-08-21

F1 · date: The Reporting Person served as the Chief Executive Officer of Expion Energy, Inc. (the "Company") through the Transaction Date, and continues to serve as the Chairman of the Board of Directors of the Company.

F5 · shares: The Common Stock Purchase Warrant (the "Warrant") is exercisable for an aggregate of up to 1,058,609 shares of Common Stock based on an initial exercise price of $4.25 per share, subject to adjustment as set forth in the Warrant. The Warrant is subject to a beneficial ownership limitation of 9.99% of the outstanding shares of Common Stock.

F6 · derivative.exercise_date: The Warrant was immediately exercisable on the date of issuance and expires on the five year anniversary of the date of issuance.

F6 · derivative.expiration_date: The Warrant was immediately exercisable on the date of issuance and expires on the five year anniversary of the date of issuance.

F5 · derivative.underlying_shares: The Common Stock Purchase Warrant (the "Warrant") is exercisable for an aggregate of up to 1,058,609 shares of Common Stock based on an initial exercise price of $4.25 per share, subject to adjustment as set forth in the Warrant. The Warrant is subject to a beneficial ownership limitation of 9.99% of the outstanding shares of Common Stock.

F5 · balance_after: The Common Stock Purchase Warrant (the "Warrant") is exercisable for an aggregate of up to 1,058,609 shares of Common Stock based on an initial exercise price of $4.25 per share, subject to adjustment as set forth in the Warrant. The Warrant is subject to a beneficial ownership limitation of 9.99% of the outstanding shares of Common Stock.

F4 · ownership.nature: The Derivative Securities are held by Five Narrow Lane LP ("FNL"). The Reporting Person may be deemed to beneficially own the Derivative Securities for purposes of Rule 13d-3 under the Securities Exchange Act of 1934.

SEC source: 0001903596-26-000318 · ownership.xml · derivative · entry 1

Hammer Joseph D · CIK 0001576484 · Director · Former Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 4,500

Underlying: Series A-1 8% Convertible Preferred Stock · 4,500 shares

Expires 2029-08-21

F1 · date: The Reporting Person served as the Chief Executive Officer of Expion Energy, Inc. (the "Company") through the Transaction Date, and continues to serve as the Chairman of the Board of Directors of the Company.

F2 · shares: Subject to the Company receiving shareholder approval and filing the Certificate of Designation, the 8% Convertible Debenture Due August 21, 2029 (the "Convertible Debenture") will automatically convert into shares of the Company's Series A-1 8% Convertible Preferred Stock (the "Preferred Conversion Shares") based on a stated value of $1,000 per share, resulting in the issuance of up to 4,500 Preferred Conversion Shares. The Preferred Conversion Shares may subsequently be converted into 1,058,609 shares of the Company's common stock, par value $0.001 per share ("Common Stock"), based on an initial conversion price of $4.25 per share, subject to adjustment as set forth in the Certificate of Designation. The Convertible Debenture, as well as the Preferred Conversion Shares issuable upon conversion thereof, is subject to a beneficial ownership limitation of 9.99% of the outstanding shares of Common Stock.

F2 · derivative.exercise_date: Subject to the Company receiving shareholder approval and filing the Certificate of Designation, the 8% Convertible Debenture Due August 21, 2029 (the "Convertible Debenture") will automatically convert into shares of the Company's Series A-1 8% Convertible Preferred Stock (the "Preferred Conversion Shares") based on a stated value of $1,000 per share, resulting in the issuance of up to 4,500 Preferred Conversion Shares. The Preferred Conversion Shares may subsequently be converted into 1,058,609 shares of the Company's common stock, par value $0.001 per share ("Common Stock"), based on an initial conversion price of $4.25 per share, subject to adjustment as set forth in the Certificate of Designation. The Convertible Debenture, as well as the Preferred Conversion Shares issuable upon conversion thereof, is subject to a beneficial ownership limitation of 9.99% of the outstanding shares of Common Stock.

F3 · derivative.expiration_date: The maturity date of the Convertible Debenture is August 21, 2029.

F2 · derivative.underlying: Subject to the Company receiving shareholder approval and filing the Certificate of Designation, the 8% Convertible Debenture Due August 21, 2029 (the "Convertible Debenture") will automatically convert into shares of the Company's Series A-1 8% Convertible Preferred Stock (the "Preferred Conversion Shares") based on a stated value of $1,000 per share, resulting in the issuance of up to 4,500 Preferred Conversion Shares. The Preferred Conversion Shares may subsequently be converted into 1,058,609 shares of the Company's common stock, par value $0.001 per share ("Common Stock"), based on an initial conversion price of $4.25 per share, subject to adjustment as set forth in the Certificate of Designation. The Convertible Debenture, as well as the Preferred Conversion Shares issuable upon conversion thereof, is subject to a beneficial ownership limitation of 9.99% of the outstanding shares of Common Stock.

F2 · derivative.underlying_shares: Subject to the Company receiving shareholder approval and filing the Certificate of Designation, the 8% Convertible Debenture Due August 21, 2029 (the "Convertible Debenture") will automatically convert into shares of the Company's Series A-1 8% Convertible Preferred Stock (the "Preferred Conversion Shares") based on a stated value of $1,000 per share, resulting in the issuance of up to 4,500 Preferred Conversion Shares. The Preferred Conversion Shares may subsequently be converted into 1,058,609 shares of the Company's common stock, par value $0.001 per share ("Common Stock"), based on an initial conversion price of $4.25 per share, subject to adjustment as set forth in the Certificate of Designation. The Convertible Debenture, as well as the Preferred Conversion Shares issuable upon conversion thereof, is subject to a beneficial ownership limitation of 9.99% of the outstanding shares of Common Stock.

F2 · balance_after: Subject to the Company receiving shareholder approval and filing the Certificate of Designation, the 8% Convertible Debenture Due August 21, 2029 (the "Convertible Debenture") will automatically convert into shares of the Company's Series A-1 8% Convertible Preferred Stock (the "Preferred Conversion Shares") based on a stated value of $1,000 per share, resulting in the issuance of up to 4,500 Preferred Conversion Shares. The Preferred Conversion Shares may subsequently be converted into 1,058,609 shares of the Company's common stock, par value $0.001 per share ("Common Stock"), based on an initial conversion price of $4.25 per share, subject to adjustment as set forth in the Certificate of Designation. The Convertible Debenture, as well as the Preferred Conversion Shares issuable upon conversion thereof, is subject to a beneficial ownership limitation of 9.99% of the outstanding shares of Common Stock.

F4 · ownership.nature: The Derivative Securities are held by Five Narrow Lane LP ("FNL"). The Reporting Person may be deemed to beneficially own the Derivative Securities for purposes of Rule 13d-3 under the Securities Exchange Act of 1934.

SEC source: 0001903596-26-000337 · ownership.xml · nonDerivative · entry 1

Sellers Kevin · CIK 0002152858 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 50,000

F1 · shares: Reflects a grant of restricted stock units ("RSUs") made to the Reporting Person. Each RSU represents a contingent right to receive one share of the Issuer's common stock, par value $0.001 per share. Twenty-five percent of the RSUs will vest on the first anniversary of the grant date, and the remainder will vest in 12 equal quarterly installments thereafter, in each case subject to the Reporting Person's continued service through the vesting date.

SEC source: 0001903596-26-000319 · ownership.xml · nonDerivative · entry 1

Bowin Shawna Lee · CIK 0002088860 · VP, Finance

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 19,615

F1 · shares: Reflects a grant of restricted stock units ("RSUs") made to the Reporting Person under the Issuer's 2021 Incentive Award Plan. Each RSU represents a contingent right to receive one share of the Issuer's common stock, par value $0.001 per share. The RSUs vested in full on the grant date.

F2 · balance_after: Includes (i) 19,211 shares of Common Stock, and (ii) 404 shares of Common Stock, which the Reporting Person has the right to acquire upon the exercise of stock options exercisable within 60 days of August 25, 2026.

SEC source: 0001903596-26-000324 · ownership.xml · nonDerivative · entry 1

Schaffner Brian Paul · CIK 0001921639 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 18,379

F1 · shares: Reflects a grant of restricted stock units ("RSUs") made to the Reporting Person under the Issuer's 2021 Incentive Award Plan. Each RSU represents a contingent right to receive one share of the Issuer's common stock, par value $0.001 per share. The RSUs vested in full on the grant date.

F2 · balance_after: Includes (i) 14,588 shares of Common Stock, and (ii) 3,791 shares of Common Stock which the Reporting Person has the right to acquire upon the exercise of stock options exercisable within 60 days of August 25, 2026.

SEC source: 0001903596-26-000323 · ownership.xml · nonDerivative · entry 1

Shum Steve · CIK 0001578898 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,876

F1 · shares: Reflects a grant of restricted stock units ("RSUs") made to the Reporting Person under the Issuer's 2021 Incentive Award Plan. Each RSU represents a contingent right to receive one share of the Issuer's common stock, par value $0.001 per share. The RSUs vested in full on the grant date.

F2 · balance_after: Includes (i) 5,427 shares of Common Stock, and (ii) 449 shares of Common Stock which the Reporting Person has the right to acquire upon the exercise of stock options exercisable within 60 days of August 25, 2026.

SEC source: 0001903596-26-000322 · ownership.xml · nonDerivative · entry 1

Lefevre George · CIK 0001289143 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,868

F1 · shares: Reflects a grant of restricted stock units ("RSUs") made to the Reporting Person under the Issuer's 2021 Incentive Award Plan. Each RSU represents a contingent right to receive one share of the Issuer's common stock, par value $0.001 per share. The RSUs vested in full on the grant date

F2 · balance_after: Includes (i) 5,427 shares of Common Stock, and (ii) 441 shares of Common Stock, which the Reporting Person has the right to acquire upon the exercise of stock options exercisable within 60 days of August 25, 2026.

SEC source: 0001903596-26-000321 · ownership.xml · nonDerivative · entry 1

Nguyen Tien Quoc · CIK 0001991527 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,843

F1 · shares: Reflects a grant of restricted stock units ("RSUs") made to the Reporting Person under the Issuer's 2021 Incentive Award Plan. Each RSU represents a contingent right to receive one share of the Issuer's common stock, par value $0.001 per share. The RSUs vested in full on the grant date.

F2 · balance_after: Includes (i) 5,427 shares of Common Stock, and (ii) 416 shares of Common Stock which the Reporting Person has the right to acquire upon the exercise of stock options exercisable within 60 days of August 25, 2026.

SEC source: 0001903596-26-000320 · ownership.xml · nonDerivative · entry 1

Burell Scott R · CIK 0001399318 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,333

F1 · shares: Reflects a grant of restricted stock units ("RSUs") made to the Reporting Person under the Issuer's 2021 Incentive Award Plan. Each RSU represents a contingent right to receive one share of the Issuer's common stock, par value $0.001 per share. The RSUs vested in full on the grant date.

F2 · balance_after: Includes (i) 5,000 shares of Common Stock, and (ii) 3,333 RSUs which are subject to vesting as previously reported.

SEC source: 0001903596-25-000495 · ownership.xml · nonDerivative · entry 1

Bowin Shawna Lee · CIK 0002088860 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 104,370

F1 · shares: Reflects a grant of restricted stock units ("RSUs") made to the Reporting Person under the Issuer's 2021 Incentive Award Plan. Each RSU represents a contingent right to receive one share of the Issuer's common stock, par value $0.001 per share. The RSUs vested in full on October 17, 2025.

SEC source: 0001903596-25-000498 · ownership.xml · nonDerivative · entry 1

Bowin Shawna Lee · CIK 0002088860 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 104,370

F1 · date: On October 21, 2025, the Reporting Person filed a Form 4 reporting a grant of restricted stock units ("RSUs") made to the Reporting Person on October 17, 2025 that occurred on October 16, 2025 due to an administrative error. This amendment is being filed to correct the transaction date.

F2 · shares: Reflects a grant of RSUs made to the Reporting Person under the Issuer's 2021 Incentive Award Plan. Each RSU represents a contingent right to receive one share of the Issuer's common stock, par value $0.001 per share. The RSUs vested in full on the grant date.

SEC source: 0001903596-25-000497 · ownership.xml · nonDerivative · entry 1

Burell Scott R · CIK 0001399318 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,000

F1 · shares: Reflects a grant of restricted stock units ("RSUs") made to the Reporting Person under the Issuer's Non-Employee Director Compensation Program. Each RSU represents a contingent right to receive one share of the Issuer's common stock, par value $0.001 per share ("Common Stock"). The number of RSUs granted is equal to approximately $60,000 of shares of Common Stock as determined by the closing price on the grant date, October 16, 2025. The RSUs shall vest in full on October 16, 2026, subject to the Reporting Person's continued service as a director on the Company's board of directors through the vesting date.

SEC source: 0001903596-25-000554 · ownership.xml · nonDerivative · entry 1

Heagen Carson E. · CIK 0002064217 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 148,925

F1 · shares: Reflects a grant of restricted stock units ("RSUs") made to the Reporting Person under the Issuer's 2021 Incentive Award Plan. Each RSU represents a contingent right to receive one share of the Issuer's common stock, par value $0.001 per share ("Common Stock"). The RSUs vested in full on October 16, 2025.

F2 · balance_after: Includes (i) 115,000 shares of Common Stock, and (ii) 33,925 shares of Common Stock, which the Reporting Person has the right to acquire upon the exercise of stock options exercisable within 60 days of November 20, 2025.

SEC source: 0001903596-25-000553 · ownership.xml · nonDerivative · entry 1

Schaffner Brian Paul · CIK 0001921639 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 160,493

F1 · shares: Reflects a grant of restricted stock units ("RSUs") made to the Reporting Person under the Issuer's 2021 Incentive Award Plan. Each RSU represents a contingent right to receive one share of the Issuer's common stock, par value $0.001 per share ("Common Stock"). The RSUs vested in full on October 16, 2025.

F2 · balance_after: Includes (i) 115,057 shares of Common Stock, and (ii) 45,436 shares of Common Stock, which the Reporting Person has the right to acquire upon the exercise of stock options exercisable within 60 days of November 20, 2025.

SEC source: 0001903596-25-000377 · ownership.xml · derivative · entry 1

Heagen Carson E. · CIK 0002064217 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 32,966

Underlying: Common Stock · 32,966 shares

Expires 2035-07-31

F1 · derivative.exercise_price: The exercise price of the Options (as defined below) was determined based on the closing price of the Issuer's common stock, par value $0.001 per share, on the date the Options were conditionally approved by the compensation committee of the board of directors.

F2 · shares: Reflects a grant of stock options (the "Options") made to the Reporting Person under the Issuer's 2021 Incentive Award Plan (the "Plan"). The Options were approved by the compensation committee of the board of directors on April 9, 2025, subject to stockholder approval of an increase in the number of shares available for issuance under the Plan under which the Options were granted (the "Plan Amendment"). The Plan Amendment was approved by stockholders on July 31, 2025. The Options vested in full and became immediately exercisable on July 31, 2025.

SEC source: 0001903596-25-000376 · ownership.xml · derivative · entry 1

Schaffner Brian Paul · CIK 0001921639 · Director · CEO and Interim CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 43,519

Underlying: Common Stock · 43,519 shares

Expires 2035-07-31

F1 · derivative.exercise_price: The exercise price of the Options (as defined below) was determined based on the closing price of the Issuer's common stock, par value $0.001 per share, on the date the Options were conditionally approved by the compensation committee of the board of directors.

F2 · shares: Reflects a grant of stock options (the "Options") made to the Reporting Person under the Issuer's 2021 Incentive Award Plan (the "Plan"). The Options were approved by the compensation committee of the board of directors on April 9, 2025, subject to stockholder approval of an increase in the number of shares available for issuance under the Plan under which the Options were granted (the "Plan Amendment"). The Plan Amendment was approved by stockholders on July 31, 2025. The Options vested in full and became immediately exercisable on July 31, 2025.

SEC source: 0001903596-25-000381 · ownership.xml · derivative · entry 2

Nguyen Tien Quoc · CIK 0001991527 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,000

Underlying: Common Stock · 5,000 shares

Expires 2035-07-31

F3 · derivative.exercise_price: The exercise price of the Options (as defined below) was determined based on the closing price of the Common Stock on the date the Options were conditionally approved by the board of directors.

F4 · shares: Reflects a grant of stock options (the "Options") made to the Reporting Person under the Plan. The Options were approved by the board of directors on April 28, 2025, subject to stockholder approval of an increase in the number of shares available for issuance under the Plan under which the Options were granted (the "Plan Amendment"). The Plan Amendment was approved by stockholders on July 31, 2025. The Options vested in full and became immediately exercisable on July 31, 2025.

SEC source: 0001903596-25-000381 · ownership.xml · nonDerivative · entry 1

Nguyen Tien Quoc · CIK 0001991527 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,122

F1 · shares: Reflects a grant of restricted stock units ("RSUs") made to the Reporting Person under the Issuer's 2021 Incentive Award Plan (the "Plan"). Each RSU represents a contingent right to receive one share of the Issuer's common stock, par value $0.001 per share ("Common Stock"). The RSUs vested in full on July 31, 2025.

F2 · balance_after: Includes (i) 122 shares of Common Stock, (ii) 5,000 RSUs, which were granted to the Reporting Person on July 31, 2025 as reported herein, and (iii) 5,000 shares of Common Stock, which the Reporting Person has the right to acquire upon the exercise of stock options exercisable within 60 days of July 31, 2025.

SEC source: 0001903596-25-000380 · ownership.xml · derivative · entry 2

Shum Steve · CIK 0001578898 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,000

Underlying: Common Stock · 5,000 shares

Expires 2035-07-31

F3 · derivative.exercise_price: The exercise price of the Options (as defined below) was determined based on the closing price of the Common Stock on the date the Options were conditionally approved by the board of directors.

F4 · shares: Reflects a grant of stock options (the "Options") made to the Reporting Person under the Plan. The Options were approved by the board of directors on April 28, 2025, subject to stockholder approval of an increase in the number of shares available for issuance under the Plan under which the Options were granted (the "Plan Amendment"). The Plan Amendment was approved by stockholders on July 31, 2025. The Options vested in full and became immediately exercisable on July 31, 2025.

SEC source: 0001903596-25-000380 · ownership.xml · nonDerivative · entry 1

Shum Steve · CIK 0001578898 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,522

F1 · shares: Reflects a grant of restricted stock units ("RSUs") made to the Reporting Person under the Issuer's 2021 Incentive Award Plan (the "Plan"). Each RSU represents a contingent right to receive one share of the Issuer's common stock, par value $0.001 per share ("Common Stock"). The RSUs vested in full on July 31, 2025.

F2 · balance_after: Includes (i) 122 shares of Common Stock, (ii) 5,000 RSUs, which were granted to the Reporting Person on July 31, 2025 as reported herein, and (iii) 5,400 shares of Common Stock, which the Reporting Person has the right to acquire upon the exercise of stock options exercisable within 60 days of July 31, 2025.

SEC source: 0001903596-25-000379 · ownership.xml · derivative · entry 1

Shoun Paul Thomas · CIK 0001921734 · Director · President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 46,281

Underlying: Common Stock · 46,281 shares

Expires 2035-07-31

F1 · derivative.exercise_price: The exercise price of the Options (as defined below) was determined based on the closing price of the Issuer's common stock, par value $0.001 per share, on the date the Options were conditionally approved by the compensation committee of the board of directors.

F2 · shares: Reflects a grant of stock options (the "Options") made to the Reporting Person under the Issuer's 2021 Incentive Award Plan (the "Plan"). The Options were approved by the compensation committee of the board of directors on April 9, 2025, subject to stockholder approval of an increase in the number of shares available for issuance under the Plan under which the Options were granted (the "Plan Amendment"). The Plan Amendment was approved by stockholders on July 31, 2025. The Options vested in full and became immediately exercisable on July 31, 2025.

SEC source: 0001903596-25-000378 · ownership.xml · derivative · entry 2

Lefevre George · CIK 0001289143 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,000

Underlying: Common Stock · 5,000 shares

Expires 2035-07-31

F3 · derivative.exercise_price: The exercise price of the Options (as defined below) was determined based on the closing price of the Common Stock on the date the Options were conditionally approved by the board of directors.

F4 · shares: Reflects a grant of stock options (the "Options") made to the Reporting Person under the Plan. The Options were approved by the board of directors on April 28, 2025, subject to stockholder approval of an increase in the number of shares available for issuance under the Plan under which the Options were granted (the "Plan Amendment"). The Plan Amendment was approved by stockholders on July 31, 2025. The Options vested in full and became immediately exercisable on July 31, 2025.

SEC source: 0001903596-25-000378 · ownership.xml · nonDerivative · entry 1

Lefevre George · CIK 0001289143 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,422

F1 · shares: Reflects a grant of restricted stock units ("RSUs") made to the Reporting Person under the Issuer's 2021 Incentive Award Plan (the "Plan"). Each RSU represents a contingent right to receive one share of the Issuer's common stock, par value $0.001 per share ("Common Stock"). The RSUs vested in full on July 31, 2025.

F2 · balance_after: Includes (i) 122 shares of Common Stock, (ii) 5,000 RSUs, which were granted to the Reporting Person on July 31, 2025 as reported herein, and (iii) 5,300 shares of Common Stock, which the Reporting Person has the right to acquire upon the exercise of stock options exercisable within 60 days of July 31, 2025.

SEC source: 0001903596-25-000181 · ownership.xml · nonDerivative · entry 1

Heagen Carson E. · CIK 0002064217 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 15,897

F1 · shares: Reflects a grant of restricted stock units ("RSUs") made to the Reporting Person under the Issuer's 2021 Incentive Award Plan. Each RSU represents a contingent right to receive one share of the Issuer's common stock, par value $0.001 per share ("Common Stock"). The RSUs vested in full on April 9, 2025.

F2 · balance_after: Includes (i) 15,000 RSUs, which were granted to the Reporting Person on April 9, 2025 as reported herein, and (ii) 897 shares of Common Stock, which the Reporting Person has the right to acquire upon the exercise of stock options exercisable within 60 days of April 10, 2025.

SEC source: 0001903596-25-000182 · ownership.xml · nonDerivative · entry 1

Schaffner Brian Paul · CIK 0001921639 · Director · CEO and Interim CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 16,850

F1 · shares: Reflects a grant of restricted stock units ("RSUs") made to the Reporting Person under the Issuer's 2021 Incentive Award Plan. Each RSU represents a contingent right to receive one share of the Issuer's common stock, par value $0.001 per share ("Common Stock"). The RSUs vested in full on April 9, 2025.

F2 · balance_after: Includes (i) 57 shares of Common Stock, (ii) 15,000 RSUs, which were granted to the Reporting Person on April 9, 2025 as reported herein, and (iii) 1,793 shares of Common Stock, which the Reporting Person has the right to acquire upon the exercise of stock options exercisable within 60 days of April 10, 2025.

SEC source: 0001903596-25-000183 · ownership.xml · nonDerivative · entry 1

Shoun Paul Thomas · CIK 0001921734 · Director · President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 18,725

F1 · shares: Reflects a grant of restricted stock units ("RSUs") made to the Reporting Person under the Issuer's 2021 Incentive Award Plan. Each RSU represents a contingent right to receive one share of the Issuer's common stock, par value $0.001 per share ("Common Stock"). The RSUs vested in full on April 9, 2025.

F2 · balance_after: Includes (i) 1,432 shares of Common Stock, (ii) 15,000 RSUs, which were granted to the Reporting Person on April 9, 2025 as reported herein, and (iii) 2,293 shares of Common Stock, which the Reporting Person has the right to acquire upon the exercise of stock options exercisable within 60 days of April 10, 2025.

SEC source: 0001903596-24-000378 · ownership.xml · nonDerivative · entry 2

Yozamp John Henry · CIK 0001921762 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,692,182

F2 · price: Reflects the weighted average price at which the shares of Common Stock, were sold. The shares were sold in multiple transactions at prices ranging from $1.53 to $1.62, 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.

F3 · balance_after: Includes 1,442,182 shares of Common Stock and 250,000 shares of Common Stock issuable upon exercise of vested options issued to the Reporting Person under the Issuer's 2021 Incentive Award Plan.

SEC source: 0001903596-24-000378 · ownership.xml · nonDerivative · entry 1

Yozamp John Henry · CIK 0001921762 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,721,909

F1 · price: Reflects the weighted average price at which the shares of the Issuer's common stock, par value $0.001 per share ("Common Stock"), were sold. The shares were sold in multiple transactions at prices ranging from $1.64 to $1.71, 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.

SEC source: 0001903596-24-000017 · ownership.xml · nonDerivative · entry 2

Aydelott Gregory Scott · CIK 0001929418 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 65,740

F2 · shares: Reflects a grant of RSUs made to the Reporting Person under the Plan. The number of RSUs granted is equal to $9,000 divided by the closing price of the Common Stock on the grant date, which was January 16, 2024. The RSUs vested in full on January 16, 2024.

F3 · balance_after: Includes (i) 4,625 RSUs granted to the Reporting Person on January 16, 2024 under the Plan, which are subject to vesting as reported above, (ii) 58,332 shares of Common Stock issuable upon exercise of vested options issued to the Reporting Person under the Plan, and (iii) 2,783 shares of Common Stock owned directly by the Reporting Person.

SEC source: 0001903596-24-000017 · ownership.xml · nonDerivative · entry 1

Aydelott Gregory Scott · CIK 0001929418 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 63,758

F1 · shares: Reflects a grant of restricted stock units ("RSUs") made to the Reporting Person under the Issuer's 2021 Incentive Award Plan (the "Plan"). Each RSU represents a contingent right to receive one share of the Issuer's common stock, par value $0.001 per share ("Common Stock"). The number of RSUs granted is equal to $12,000 divided by the closing price of the Common Stock on the grant date, which was January 16, 2024. The RSUs shall vest in four equal installments on January 16, 2024, April 1, 2024, July 1, 2024 and October 1, 2024, subject to the Reporting Person's continued service to the Issuer through each vesting date.

SEC source: 0001903596-24-000018 · ownership.xml · nonDerivative · entry 2

Schaffner Brian Paul · CIK 0001921639 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 163,952

F2 · shares: Reflects a grant of RSUs made to the Reporting Person under the Plan. The number of RSUs granted is equal to $13,520 divided by the closing price of the Common Stock on the grant date, which was January 16, 2024. The RSUs vested in full on January 16, 2024.

F3 · balance_after: Includes (i) 5,620 RSUs granted to the Reporting Person on January 16, 2024 under the Plan, which are subject to vesting as reported above, and (ii) 158,332 shares of Common Stock issuable upon exercise of vested options issued to the Reporting Person under the Plan.

SEC source: 0001903596-24-000018 · ownership.xml · nonDerivative · entry 1

Schaffner Brian Paul · CIK 0001921639 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 160,975

F1 · shares: Reflects a grant of restricted stock units ("RSUs") made to the Reporting Person under the Issuer's 2021 Incentive Award Plan (the "Plan"). Each RSU represents a contingent right to receive one share of the Issuer's common stock, par value $0.001 per share ("Common Stock"). The number of RSUs granted is equal to $12,000 divided by the closing price of the Common Stock on the grant date, which was January 16, 2024. The RSUs shall vest in four equal installments on January 16, 2024, April 1, 2024, July 1, 2024 and October 1, 2024, subject to the Reporting Person's continued service to the Issuer through each vesting date.

SEC source: 0001903596-24-000020 · ownership.xml · nonDerivative · entry 1

Yozamp John Henry · CIK 0001921762 · 10% owner

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 1,727,182

F1 · price: Reflects the weighted average price at which the shares of the Issuer's common stock, par value $0.001 per share ("Common Stock"), were sold. The shares were sold in multiple transactions at prices ranging from $4.52 to $5.00, 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. The shares were sold pursuant to a Rule 10b5-1 trading plan.

F2 · balance_after: Reflects 1,477,182 shares of Common Stock and 250,000 shares of Common Stock issuable upon exercise of vested options issued to the Reporting Person under the Issuer's 2021 Incentive Award Plan.

SEC source: 0001903596-24-000019 · ownership.xml · nonDerivative · entry 2

Shoun Paul Thomas · CIK 0001921734 · Director · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 351,423

F2 · shares: Reflects a grant of RSUs made to the Reporting Person under the Plan. The number of RSUs granted is equal to $13,520 divided by the closing price of the Common Stock on the grant date, which was January 16, 2024. The RSUs vested in full on January 16, 2024.

F3 · balance_after: Includes (i) 5,620 RSUs granted to the Reporting Person on January 16, 2024 under the Plan, which are subject to vesting as reported above, (ii) 208,332 shares of Common Stock issuable upon exercise of vested options issued to the Reporting Person under the Plan, and (iii) 137,471 shares of Common Stock owned directly by the Reporting Person.

SEC source: 0001903596-24-000019 · ownership.xml · nonDerivative · entry 1

Shoun Paul Thomas · CIK 0001921734 · Director · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 348,446

F1 · shares: Reflects a grant of restricted stock units ("RSUs") made to the Reporting Person under the Issuer's 2021 Incentive Award Plan (the "Plan"). Each RSU represents a contingent right to receive one share of the Issuer's common stock, par value $0.001 per share ("Common Stock"). The number of RSUs granted is equal to $12,000 divided by the closing price of the Common Stock on the grant date, which was January 16, 2024. The RSUs shall vest in four equal installments on January 16, 2024, April 1, 2024, July 1, 2024 and October 1, 2024, subject to the Reporting Person's continued service to the Issuer through each vesting date.

SEC source: 0001903596-23-000961 · ownership.xml · nonDerivative · entry 1

Yozamp John Henry · CIK 0001921762 · Business Development Officer · 10% owner

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 1,685,552

F1 · shares: Reflects the weighted average price at which the shares of the Issuer's common stock, par value $0.001 per share ("Common Stock"), were sold. The shares were sold in multiple transactions at prices ranging from $4.50 to $4.70, 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. The shares were sold pursuant to a Rule 10b5-1 trading plan.

F2 · balance_after: Reflects 1,500,177 shares of Common Stock and 185,375 shares of Common Stock issuable upon exercise of vested options issued to the Reporting Person under the Issuer's 2021 Incentive Award Plan.

SEC source: 0001903596-23-000901 · ownership.xml · nonDerivative · entry 1

Yozamp John Henry · CIK 0001921762 · Business Development Officer · 10% owner

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 1,708,587

F1 · shares: Reflects the weighted average price at which the shares of common stock were sold. The shares were sold in multiple transactions at prices ranging from $3.80 to $4.105, 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. The shares were sold pursuant to a Rule 10b5-1 trading plan.

F2 · balance_after: Reflects 1,523,252 shares of common stock and 185,375 shares of common stock issuable upon exercise of vested options issued to the Reporting Person under the Issuer's 2021 Incentive Award Plan.

SEC source: 0001903596-23-000899 · ownership.xml · nonDerivative · entry 1

Yozamp John Henry · CIK 0001921762 · Business Development Officer · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,708,587

F1 · shares: Reflects the weighted average price at which the shares of common stock were sold. The shares were sold in multiple transactions at prices ranging from $3.80 to $4.105, 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. The shares were sold pursuant to a Rule 10b5-1 trading plan.

F2 · balance_after: Reflects 1,523,252 shares of common stock and 185,375 shares of common stock issuable upon exercise of vested options issued to the Reporting Person under the Issuer's 2021 Incentive Award Plan.

SEC source: 0001903596-23-000670 · ownership.xml · derivative · entry 1

Aydelott Gregory Scott · CIK 0001929418 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2033-08-23

F1 · shares: Reflects a grant of stock options ("Options") made to the Reporting Person under the Issuer's 2021 Incentive Award Plan. The Options vest and become exercisable in 12 equal quarterly installments through June 30, 2026, with the first installment vesting commencing on September 30, 2023, subject to the Reporting Person's continued service to the Issuer through each such vesting date.

F1 · derivative.exercise_date: Reflects a grant of stock options ("Options") made to the Reporting Person under the Issuer's 2021 Incentive Award Plan. The Options vest and become exercisable in 12 equal quarterly installments through June 30, 2026, with the first installment vesting commencing on September 30, 2023, subject to the Reporting Person's continued service to the Issuer through each such vesting date.

SEC source: 0001903596-23-000666 · ownership.xml · derivative · entry 1

Schaffner Brian Paul · CIK 0001921639 · Director · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2033-08-23

F1 · shares: Reflects a grant of stock options ("Options") made to the Reporting Person under the Issuer's 2021 Incentive Award Plan. The Options vest and become exercisable in 12 equal quarterly installments through June 30, 2026, with the first installment vesting commencing on September 30, 2023, subject to the Reporting Person's continued service to the Issuer through each such vesting date.

F1 · derivative.exercise_date: Reflects a grant of stock options ("Options") made to the Reporting Person under the Issuer's 2021 Incentive Award Plan. The Options vest and become exercisable in 12 equal quarterly installments through June 30, 2026, with the first installment vesting commencing on September 30, 2023, subject to the Reporting Person's continued service to the Issuer through each such vesting date.

SEC source: 0001903596-23-000677 · ownership.xml · nonDerivative · entry 1

Nguyen Tien Quoc · CIK 0001991527 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 12,195

F1 · shares: Reflects a grant of restricted stock units ("RSUs") made to the Reporting Person under the Issuer's Non-Employee Director Compensation Program. Each RSU represents a contingent right to receive one share of the Issuer's common stock, par value $0.001 per share ("Common Stock"). The number of RSUs granted is equal to approximately $60,000 of shares of Common Stock as determined by the closing price on the grant date, August 23, 2023. The RSUs shall vest in full on August 23, 2024, subject to the Reporting Person's continued service as a director on the Company's board of directors through the vesting date.

SEC source: 0001903596-23-000672 · ownership.xml · derivative · entry 1

Yozamp John Henry · CIK 0001921762 · Business Development Officer · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 70,500

Underlying: Common Stock · 70,500 shares

Expires 2033-08-23

F1 · shares: Reflects a grant of stock options ("Options") made to the Reporting Person under the Issuer's 2021 Incentive Award Plan. The Options vest and become exercisable in 12 equal quarterly installments through June 30, 2026, with the first installment vesting commencing on September 30, 2023, subject to the Reporting Person's continued service to the Issuer through each such vesting date.

F1 · derivative.exercise_date: Reflects a grant of stock options ("Options") made to the Reporting Person under the Issuer's 2021 Incentive Award Plan. The Options vest and become exercisable in 12 equal quarterly installments through June 30, 2026, with the first installment vesting commencing on September 30, 2023, subject to the Reporting Person's continued service to the Issuer through each such vesting date.

SEC source: 0001903596-23-000671 · ownership.xml · nonDerivative · entry 1

Shum Steve · CIK 0001578898 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 12,195

F1 · shares: Reflects a grant of restricted stock units ("RSUs") made to the Reporting Person under the Issuer's Non-Employee Director Compensation Program. Each RSU represents a contingent right to receive one share of the Issuer's common stock, par value $0.001 per share ("Common Stock"). The number of RSUs granted is equal to approximately $60,000 of shares of Common Stock as determined by the closing price on the grant date, August 23, 2023. The RSUs shall vest in full on August 23, 2024, subject to the Reporting Person's continued service as a director on the Company's board of directors through the vesting date.

SEC source: 0001903596-23-000669 · ownership.xml · derivative · entry 1

Shoun Paul Thomas · CIK 0001921734 · Director · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2033-08-23

F1 · shares: Reflects a grant of stock options ("Options") made to the Reporting Person under the Issuer's 2021 Incentive Award Plan. The Options vest and become exercisable in 12 equal quarterly installments through June 30, 2026, with the first installment vesting commencing on September 30, 2023, subject to the Reporting Person's continued service to the Issuer through each such vesting date.

F1 · derivative.exercise_date: Reflects a grant of stock options ("Options") made to the Reporting Person under the Issuer's 2021 Incentive Award Plan. The Options vest and become exercisable in 12 equal quarterly installments through June 30, 2026, with the first installment vesting commencing on September 30, 2023, subject to the Reporting Person's continued service to the Issuer through each such vesting date.

SEC source: 0001903596-23-000667 · ownership.xml · nonDerivative · entry 1

Lefevre George · CIK 0001289143 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 12,195

F1 · shares: Reflects a grant of restricted stock units ("RSUs") made to the Reporting Person under the Issuer's Non-Employee Director Compensation Program. Each RSU represents a contingent right to receive one share of the Issuer's common stock, par value $0.001 per share ("Common Stock"). The number of RSUs granted is equal to approximately $60,000 of shares of Common Stock as determined by the closing price on the grant date, August 23, 2023. The RSUs shall vest in full on August 23, 2024, subject to the Reporting Person's continued service as a director on the Company's board of directors through the vesting date.

SEC source: 0001921639-22-000002 · primary_doc.xml · derivative · entry 1

Schaffner Brian Paul · CIK 0001921639 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,000

Underlying: Options · 150,000 shares

Expires 2032-05-02

SEC source: 0001921983-22-000002 · primary_doc.xml · derivative · entry 1

Hendrickson David Leigh · CIK 0001921983 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires 2032-05-02

SEC source: 0001289143-22-000003 · primary_doc.xml · derivative · entry 1

Lefevre George · CIK 0001289143 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires 2032-05-02

SEC source: 0001921762-22-000002 · primary_doc.xml · nonDerivative · entry 1

Yozamp John Henry · CIK 0001921762 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,796,287

F1 · balance_after: 1,546,287 shares of common stock and options to purchase 250,000 shares of common stock