YHGJ

SEC source: 0001437749-20-012730 · rdgdoc.xml · derivative · entry 1

LF International Pte. Ltd. · CIK 0001794579 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 500,000

Underlying: Common Stock · 500,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Pursuant to that certain Stock Purchase Agreement by and between Yunhong CTI Ltd. (formerly known as CTI Industries Corporation, the "Company") and LF International Pte. Ltd. ("LF") dated January 3, 2020, as amended, the Company agreed to issue and sell up to 500,000 shares of Series A Convertible Preferred Stock ("Series A Preferred Stock") of the Company to LF. The parties conducted the first and two interim closings for an aggregate 450,000 shares of Series A Preferred Stock and 400,000 shares of the Company's common stock ("Common Stock") on January 13, February 28 and April 13, 2020, respectively.

F2 · derivative.exercise_price: On June 5, 2020, the parties completed a final closing by which the Company issued to LF 50,000 shares of Series A Preferred Stock. Each share of Series A Preferred Stock of the Company is initially convertible into ten (10) shares of Common Stock, subject to certain conditions, and has no expiration date. Mr. Yubao Li has 95% voting and dispositive control over the shares held by the LF and may be deemed the beneficial owner of such Series A Preferred Stock and Common Stock.

F3 · derivative.exercise_price: Each holder of Series A Preferred Stock shall have the right to convert the stated value of such shares, as well as accrued but unpaid declared dividends thereon (collectively the "Conversion Amount") into Common Stock. The number of shares of Common Stock issuable upon conversion of the Conversion Amount shall equal the Conversion Amount divided by the conversion price of $1.00, subject to certain customary adjustments, such that each share of Series A Preferred Stock is initially convertible into ten (10) shares of Common Stock.

F4 · derivative.exercise_price: The Series A Preferred Stock is convertible at any time, except that it may not be converted into shares of Common Stock to the extent such conversion would result in the holder beneficially owning more than 4.99% ("Maximum Percentage") of the Company's outstanding Common Stock. In connection with the additional interim closing on April 13, 2020, LF waived such Maximum Percentage.

F1 · date: Pursuant to that certain Stock Purchase Agreement by and between Yunhong CTI Ltd. (formerly known as CTI Industries Corporation, the "Company") and LF International Pte. Ltd. ("LF") dated January 3, 2020, as amended, the Company agreed to issue and sell up to 500,000 shares of Series A Convertible Preferred Stock ("Series A Preferred Stock") of the Company to LF. The parties conducted the first and two interim closings for an aggregate 450,000 shares of Series A Preferred Stock and 400,000 shares of the Company's common stock ("Common Stock") on January 13, February 28 and April 13, 2020, respectively.

F2 · date: On June 5, 2020, the parties completed a final closing by which the Company issued to LF 50,000 shares of Series A Preferred Stock. Each share of Series A Preferred Stock of the Company is initially convertible into ten (10) shares of Common Stock, subject to certain conditions, and has no expiration date. Mr. Yubao Li has 95% voting and dispositive control over the shares held by the LF and may be deemed the beneficial owner of such Series A Preferred Stock and Common Stock.

F4 · date: The Series A Preferred Stock is convertible at any time, except that it may not be converted into shares of Common Stock to the extent such conversion would result in the holder beneficially owning more than 4.99% ("Maximum Percentage") of the Company's outstanding Common Stock. In connection with the additional interim closing on April 13, 2020, LF waived such Maximum Percentage.

F5 · date: Holders of Series A Preferred Stock shall vote together with the holders of the Common Stock on an as-if-converted basis, whereby each share of the Series A Preferred Stock will be entitled to ten (10) votes, subject to adjustment.

F4 · derivative.exercise_date: The Series A Preferred Stock is convertible at any time, except that it may not be converted into shares of Common Stock to the extent such conversion would result in the holder beneficially owning more than 4.99% ("Maximum Percentage") of the Company's outstanding Common Stock. In connection with the additional interim closing on April 13, 2020, LF waived such Maximum Percentage.

F2 · derivative.expiration_date: On June 5, 2020, the parties completed a final closing by which the Company issued to LF 50,000 shares of Series A Preferred Stock. Each share of Series A Preferred Stock of the Company is initially convertible into ten (10) shares of Common Stock, subject to certain conditions, and has no expiration date. Mr. Yubao Li has 95% voting and dispositive control over the shares held by the LF and may be deemed the beneficial owner of such Series A Preferred Stock and Common Stock.

SEC source: 0001437749-20-012729 · rdgdoc.xml · derivative · entry 1

Li Yubao · CIK 0001795255 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By LF International Pte. Ltd.

Disclosed balance after: 500,000

Underlying: Common Stock · 500,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Pursuant to that certain Stock Purchase Agreement by and between Yunhong CTI Ltd. (formerly known as CTI Industries Corporation, the "Company") and LF International Pte. Ltd. ("LF") dated January 3, 2020, as amended, the Company agreed to issue and sell up to 500,000 shares of Series A Convertible Preferred Stock ("Series A Preferred Stock") of the Company to LF. The parties conducted the first and two interim closings for an aggregate 450,000 shares of Series A Preferred Stock and 400,000 shares of the Company's common stock ("Common Stock") on January 13, February 28 and April 13, 2020, respectively.

F2 · derivative.exercise_price: On June 5, 2020, the parties completed a final closing by which the Company issued to LF 50,000 shares of Series A Preferred Stock. Each share of Series A Preferred Stock of the Company is initially convertible into ten (10) shares of Common Stock, subject to certain conditions, and has no expiration date. Mr. Yubao Li has 95% voting and dispositive control over the shares held by the LF and may be deemed the beneficial owner of such Series A Preferred Stock and Common Stock.

F3 · derivative.exercise_price: Each holder of Series A Preferred Stock shall have the right to convert the stated value of such shares, as well as accrued but unpaid declared dividends thereon (collectively the "Conversion Amount") into Common Stock. The number of shares of Common Stock issuable upon conversion of the Conversion Amount shall equal the Conversion Amount divided by the conversion price of $1.00, subject to certain customary adjustments, such that each share of Series A Preferred Stock is initially convertible into ten (10) shares of Common Stock.

F4 · derivative.exercise_price: The Series A Preferred Stock is convertible at any time, except that it may not be converted into shares of Common Stock to the extent such conversion would result in the holder beneficially owning more than 4.99% ("Maximum Percentage") of the Company's outstanding Common Stock. In connection with the additional interim closing on April 13, 2020, LF waived such Maximum Percentage.

F1 · date: Pursuant to that certain Stock Purchase Agreement by and between Yunhong CTI Ltd. (formerly known as CTI Industries Corporation, the "Company") and LF International Pte. Ltd. ("LF") dated January 3, 2020, as amended, the Company agreed to issue and sell up to 500,000 shares of Series A Convertible Preferred Stock ("Series A Preferred Stock") of the Company to LF. The parties conducted the first and two interim closings for an aggregate 450,000 shares of Series A Preferred Stock and 400,000 shares of the Company's common stock ("Common Stock") on January 13, February 28 and April 13, 2020, respectively.

F2 · date: On June 5, 2020, the parties completed a final closing by which the Company issued to LF 50,000 shares of Series A Preferred Stock. Each share of Series A Preferred Stock of the Company is initially convertible into ten (10) shares of Common Stock, subject to certain conditions, and has no expiration date. Mr. Yubao Li has 95% voting and dispositive control over the shares held by the LF and may be deemed the beneficial owner of such Series A Preferred Stock and Common Stock.

F4 · date: The Series A Preferred Stock is convertible at any time, except that it may not be converted into shares of Common Stock to the extent such conversion would result in the holder beneficially owning more than 4.99% ("Maximum Percentage") of the Company's outstanding Common Stock. In connection with the additional interim closing on April 13, 2020, LF waived such Maximum Percentage.

F5 · date: Holders of Series A Preferred Stock shall vote together with the holders of the Common Stock on an as-if-converted basis, whereby each share of the Series A Preferred Stock will be entitled to ten (10) votes, subject to adjustment.

F4 · derivative.exercise_date: The Series A Preferred Stock is convertible at any time, except that it may not be converted into shares of Common Stock to the extent such conversion would result in the holder beneficially owning more than 4.99% ("Maximum Percentage") of the Company's outstanding Common Stock. In connection with the additional interim closing on April 13, 2020, LF waived such Maximum Percentage.

F2 · derivative.expiration_date: On June 5, 2020, the parties completed a final closing by which the Company issued to LF 50,000 shares of Series A Preferred Stock. Each share of Series A Preferred Stock of the Company is initially convertible into ten (10) shares of Common Stock, subject to certain conditions, and has no expiration date. Mr. Yubao Li has 95% voting and dispositive control over the shares held by the LF and may be deemed the beneficial owner of such Series A Preferred Stock and Common Stock.

SEC source: 0001437749-20-007798 · rdgdoc.xml · derivative · entry 2

Li Yubao · CIK 0001795255 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By LF International Pte. Ltd.

Disclosed balance after: 450,000

Underlying: Common Stock · 1,300,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Pursuant to the Amendment No. 2 to that certain Stock Purchase Agreement (the "Amendment No. 2") by and between Yunhong CTI Ltd. (formerly known as CTI Industries Corporation, the "Company") and LF International Pte. Ltd. ("LF") dated April 13, 2020, the Company agreed to issue and sell 130,000 shares of Series A Convertible Preferred Stock ("Series A Preferred Stock") of the Company to LF (the "Additional Interim Closing"). As an inducement to enter into the Amendment No. 2, the Company (i) granted to LF the right to appoint and elect a third member to the Company's Board of Directors at the Company's next annual meeting of stockholders and (ii) agreed to issue to LF 260,000 shares of the Company's common stock ("Common Stock"), valued at $1 per share.

F2 · derivative.exercise_price: On April 13, 2020, the parties completed the Additional Interim Closing by which the Company issued to LF 130,000 shares of Series A Preferred Stock and 260,000 shares of Common Stock. Each share of Series A Preferred Stock of the Company is initially convertible into ten (10) shares of the Company's common stock, subject to certain conditions, and has no expiration date. Mr. Li has 95% voting and dispositive control over the shares held by the LF and may be deemed the beneficial owner of such Series A Preferred Stock and Common Stock.

F3 · derivative.exercise_price: Each holder of Series A Preferred Stock shall have the right to convert the stated value of such shares, as well as accrued but unpaid declared dividends thereon (collectively the "Conversion Amount") into Common Stock. The number of shares of Common Stock issuable upon conversion of the Conversion Amount shall equal the Conversion Amount divided by the conversion price of $1.00, subject to certain customary adjustments, such that each share of Series A Preferred Stock is initially convertible into ten (10) shares of Common Stock.

F4 · derivative.exercise_price: The Series A Preferred Stock is convertible at any time, except that it may not be converted into shares of Common Stock to the extent such conversion would result in the holder beneficially owning more than 4.99% ("Maximum Percentage") of the Company's outstanding Common Stock. In connection with the Additional Interim Closing on April 13, 2020, LF waived such Maximum Percentage.

F1 · date: Pursuant to the Amendment No. 2 to that certain Stock Purchase Agreement (the "Amendment No. 2") by and between Yunhong CTI Ltd. (formerly known as CTI Industries Corporation, the "Company") and LF International Pte. Ltd. ("LF") dated April 13, 2020, the Company agreed to issue and sell 130,000 shares of Series A Convertible Preferred Stock ("Series A Preferred Stock") of the Company to LF (the "Additional Interim Closing"). As an inducement to enter into the Amendment No. 2, the Company (i) granted to LF the right to appoint and elect a third member to the Company's Board of Directors at the Company's next annual meeting of stockholders and (ii) agreed to issue to LF 260,000 shares of the Company's common stock ("Common Stock"), valued at $1 per share.

F2 · date: On April 13, 2020, the parties completed the Additional Interim Closing by which the Company issued to LF 130,000 shares of Series A Preferred Stock and 260,000 shares of Common Stock. Each share of Series A Preferred Stock of the Company is initially convertible into ten (10) shares of the Company's common stock, subject to certain conditions, and has no expiration date. Mr. Li has 95% voting and dispositive control over the shares held by the LF and may be deemed the beneficial owner of such Series A Preferred Stock and Common Stock.

F4 · date: The Series A Preferred Stock is convertible at any time, except that it may not be converted into shares of Common Stock to the extent such conversion would result in the holder beneficially owning more than 4.99% ("Maximum Percentage") of the Company's outstanding Common Stock. In connection with the Additional Interim Closing on April 13, 2020, LF waived such Maximum Percentage.

F5 · date: Holders of Series A Preferred Stock shall vote together with the holders of the Common Stock on an as-if-converted basis, whereby each share of the Series A Preferred Stock will be entitled to ten (10) votes, subject to adjustment.

F4 · derivative.exercise_date: The Series A Preferred Stock is convertible at any time, except that it may not be converted into shares of Common Stock to the extent such conversion would result in the holder beneficially owning more than 4.99% ("Maximum Percentage") of the Company's outstanding Common Stock. In connection with the Additional Interim Closing on April 13, 2020, LF waived such Maximum Percentage.

F2 · derivative.expiration_date: On April 13, 2020, the parties completed the Additional Interim Closing by which the Company issued to LF 130,000 shares of Series A Preferred Stock and 260,000 shares of Common Stock. Each share of Series A Preferred Stock of the Company is initially convertible into ten (10) shares of the Company's common stock, subject to certain conditions, and has no expiration date. Mr. Li has 95% voting and dispositive control over the shares held by the LF and may be deemed the beneficial owner of such Series A Preferred Stock and Common Stock.

SEC source: 0001437749-20-007798 · rdgdoc.xml · nonDerivative · entry 1

Li Yubao · CIK 0001795255 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By LF International Pte. Ltd.

Disclosed balance after: 400,000

F1 · date: Pursuant to the Amendment No. 2 to that certain Stock Purchase Agreement (the "Amendment No. 2") by and between Yunhong CTI Ltd. (formerly known as CTI Industries Corporation, the "Company") and LF International Pte. Ltd. ("LF") dated April 13, 2020, the Company agreed to issue and sell 130,000 shares of Series A Convertible Preferred Stock ("Series A Preferred Stock") of the Company to LF (the "Additional Interim Closing"). As an inducement to enter into the Amendment No. 2, the Company (i) granted to LF the right to appoint and elect a third member to the Company's Board of Directors at the Company's next annual meeting of stockholders and (ii) agreed to issue to LF 260,000 shares of the Company's common stock ("Common Stock"), valued at $1 per share.

F2 · date: On April 13, 2020, the parties completed the Additional Interim Closing by which the Company issued to LF 130,000 shares of Series A Preferred Stock and 260,000 shares of Common Stock. Each share of Series A Preferred Stock of the Company is initially convertible into ten (10) shares of the Company's common stock, subject to certain conditions, and has no expiration date. Mr. Li has 95% voting and dispositive control over the shares held by the LF and may be deemed the beneficial owner of such Series A Preferred Stock and Common Stock.

F1 · price: Pursuant to the Amendment No. 2 to that certain Stock Purchase Agreement (the "Amendment No. 2") by and between Yunhong CTI Ltd. (formerly known as CTI Industries Corporation, the "Company") and LF International Pte. Ltd. ("LF") dated April 13, 2020, the Company agreed to issue and sell 130,000 shares of Series A Convertible Preferred Stock ("Series A Preferred Stock") of the Company to LF (the "Additional Interim Closing"). As an inducement to enter into the Amendment No. 2, the Company (i) granted to LF the right to appoint and elect a third member to the Company's Board of Directors at the Company's next annual meeting of stockholders and (ii) agreed to issue to LF 260,000 shares of the Company's common stock ("Common Stock"), valued at $1 per share.

SEC source: 0001437749-20-005574 · rdgdoc.xml · derivative · entry 2

Li Yubao · CIK 0001795255 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By LF International Pte. Ltd.

Disclosed balance after: 320,000

Underlying: Common Stock · 700,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Pursuant to the Amendment No. 1 to that certain Securities Purchase Agreement (the "Amendment No. 1") by and between Yunhong CTI Ltd. (formerly known as CTI Industries Corporation, the "Company") and LF International Pte. Ltd. ("LF") dated February 24, 2020, the Company agreed to issue and sell 70,000 shares of Series A Convertible Preferred Stock ("Series A Preferred Stock") of the Company to LF (the "Interim Closing"). As an inducement to enter into the Amendment No. 1, the Company (i) granted to LF the right to appoint and elect a second member to the Company's Board of Directors and (ii) agreed to issue to LF 140,000 shares of the Company's common stock ("Common Stock"), valued at $1 per share.

F2 · derivative.exercise_price: On February 28, 2020, the parties completed the Interim Closing by which the Company issued to LF 70,000 shares of Series A Preferred Stock and 140,000 shares of Common Stock. Each share of Series A Preferred Stock of the Company is initially convertible into ten (10) shares of the Company's common stock, subject to certain conditions, and has no expiration date. Mr. Li has 95% voting and dispositive control over the shares held by the LF and may be deemed the beneficial owner of such Series A Preferred Stock and Common Stock.

F3 · derivative.exercise_price: Each holder of Series A Preferred Stock shall have the right to convert the stated value of such shares, as well as accrued but unpaid declared dividends thereon (collectively the "Conversion Amount") into Common Stock. The number of shares of Common Stock issuable upon conversion of the Conversion Amount shall equal the Conversion Amount divided by the conversion price of $1.00, subject to certain customary adjustments, such that each share of Series A Preferred Stock is initially convertible into ten (10) shares of Common Stock.

F4 · derivative.exercise_price: The Series A Preferred Stock is convertible at any time, except that it may not be converted to the shares of Common Stock to the extent such conversion would result in the holder beneficially owning more than 4.99% of the Company's outstanding Common Stock.

F1 · date: Pursuant to the Amendment No. 1 to that certain Securities Purchase Agreement (the "Amendment No. 1") by and between Yunhong CTI Ltd. (formerly known as CTI Industries Corporation, the "Company") and LF International Pte. Ltd. ("LF") dated February 24, 2020, the Company agreed to issue and sell 70,000 shares of Series A Convertible Preferred Stock ("Series A Preferred Stock") of the Company to LF (the "Interim Closing"). As an inducement to enter into the Amendment No. 1, the Company (i) granted to LF the right to appoint and elect a second member to the Company's Board of Directors and (ii) agreed to issue to LF 140,000 shares of the Company's common stock ("Common Stock"), valued at $1 per share.

F2 · date: On February 28, 2020, the parties completed the Interim Closing by which the Company issued to LF 70,000 shares of Series A Preferred Stock and 140,000 shares of Common Stock. Each share of Series A Preferred Stock of the Company is initially convertible into ten (10) shares of the Company's common stock, subject to certain conditions, and has no expiration date. Mr. Li has 95% voting and dispositive control over the shares held by the LF and may be deemed the beneficial owner of such Series A Preferred Stock and Common Stock.

F4 · date: The Series A Preferred Stock is convertible at any time, except that it may not be converted to the shares of Common Stock to the extent such conversion would result in the holder beneficially owning more than 4.99% of the Company's outstanding Common Stock.

F5 · date: Holders of Series A Preferred Stock shall vote together with the holders of the Common Stock on an as-if-converted basis, whereby each share of the Series A Preferred Stock will be entitled to ten (10) votes, subject to adjustment. Notwithstanding the foregoing, holders of Series A Preferred Stock may not vote shares of the Series A Preferred Stock to the extent the shares of Common Stock issuable upon conversion of such Series A Preferred Stock would exceed the conversion limitations described above.

F4 · derivative.exercise_date: The Series A Preferred Stock is convertible at any time, except that it may not be converted to the shares of Common Stock to the extent such conversion would result in the holder beneficially owning more than 4.99% of the Company's outstanding Common Stock.

F2 · derivative.expiration_date: On February 28, 2020, the parties completed the Interim Closing by which the Company issued to LF 70,000 shares of Series A Preferred Stock and 140,000 shares of Common Stock. Each share of Series A Preferred Stock of the Company is initially convertible into ten (10) shares of the Company's common stock, subject to certain conditions, and has no expiration date. Mr. Li has 95% voting and dispositive control over the shares held by the LF and may be deemed the beneficial owner of such Series A Preferred Stock and Common Stock.

SEC source: 0001437749-20-005574 · rdgdoc.xml · nonDerivative · entry 1

Li Yubao · CIK 0001795255 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By LF International Pte. Ltd.

Disclosed balance after: 140,000

F1 · date: Pursuant to the Amendment No. 1 to that certain Securities Purchase Agreement (the "Amendment No. 1") by and between Yunhong CTI Ltd. (formerly known as CTI Industries Corporation, the "Company") and LF International Pte. Ltd. ("LF") dated February 24, 2020, the Company agreed to issue and sell 70,000 shares of Series A Convertible Preferred Stock ("Series A Preferred Stock") of the Company to LF (the "Interim Closing"). As an inducement to enter into the Amendment No. 1, the Company (i) granted to LF the right to appoint and elect a second member to the Company's Board of Directors and (ii) agreed to issue to LF 140,000 shares of the Company's common stock ("Common Stock"), valued at $1 per share.

F2 · date: On February 28, 2020, the parties completed the Interim Closing by which the Company issued to LF 70,000 shares of Series A Preferred Stock and 140,000 shares of Common Stock. Each share of Series A Preferred Stock of the Company is initially convertible into ten (10) shares of the Company's common stock, subject to certain conditions, and has no expiration date. Mr. Li has 95% voting and dispositive control over the shares held by the LF and may be deemed the beneficial owner of such Series A Preferred Stock and Common Stock.

F1 · price: Pursuant to the Amendment No. 1 to that certain Securities Purchase Agreement (the "Amendment No. 1") by and between Yunhong CTI Ltd. (formerly known as CTI Industries Corporation, the "Company") and LF International Pte. Ltd. ("LF") dated February 24, 2020, the Company agreed to issue and sell 70,000 shares of Series A Convertible Preferred Stock ("Series A Preferred Stock") of the Company to LF (the "Interim Closing"). As an inducement to enter into the Amendment No. 1, the Company (i) granted to LF the right to appoint and elect a second member to the Company's Board of Directors and (ii) agreed to issue to LF 140,000 shares of the Company's common stock ("Common Stock"), valued at $1 per share.

SEC source: 0001437749-20-000673 · rdgdoc.xml · derivative · entry 1

Li Yubao · CIK 0001795255 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By LF International Pte. Ltd.

Disclosed balance after: 250,000

Underlying: Common Stock · 2,500,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Pursuant to the Stock Purchase Agreement by and between CTI Industries Corporation ("Company") and LF International Pte. Ltd. ("LF") dated January 3, 2020, LF agreed to purchase, in multiple closings, up to 500,000 shares of Series A Convertible Preferred Stock ("Series A Preferred Stock") of the Company. On January 13, 2020, the parties completed an initial closing by which LF purchased 250,000 Series A Preferred Stock. Each share of Series A Preferred Stock of the Company is initially convertible into ten (10) shares of the Company's common stock, subject to certain conditions, and has no expiration date. Mr. Li has 95% voting and dispositive control over the shares held by the LF and may be deemed the beneficial owner of such Series A Preferred Stock.

F2 · derivative.exercise_price: Each holder of Series A Preferred Stock shall have the right to convert the stated value of such shares, as well as accrued but unpaid declared dividends thereon (collectively the "Conversion Amount") into shares of the Company's common stock. The number of shares of common stock issuable upon conversion of the Conversion Amount shall equal the Conversion Amount divided by the conversion price of $1.00, subject to certain customary adjustments, such that each share of Series A Preferred Stock is initially convertible into ten (10) shares of the Company's common stock.

F3 · derivative.exercise_price: The Series A Preferred Stock is convertible at any time, except that it may not be converted to the shares of the Company's common stock to the extent such conversion would result in the holder beneficially owning more than 4.99% of the Company's outstanding common stock. Additionally, until the Company obtains shareholder approval for the issuance of the common stock underlying the Series A Preferred Stock, as may be required by the applicable rules and regulations of the Nasdaq Stock Market, the Company may not issue, upon conversion of the Series A Preferred Stock, a number of shares of common stock which, when aggregated with any shares of common stock previously issued upon conversion of the Series A Preferred Stock, would equal 20% or more of the common stock of 20% or more of the voting power of the Company.

F1 · date: Pursuant to the Stock Purchase Agreement by and between CTI Industries Corporation ("Company") and LF International Pte. Ltd. ("LF") dated January 3, 2020, LF agreed to purchase, in multiple closings, up to 500,000 shares of Series A Convertible Preferred Stock ("Series A Preferred Stock") of the Company. On January 13, 2020, the parties completed an initial closing by which LF purchased 250,000 Series A Preferred Stock. Each share of Series A Preferred Stock of the Company is initially convertible into ten (10) shares of the Company's common stock, subject to certain conditions, and has no expiration date. Mr. Li has 95% voting and dispositive control over the shares held by the LF and may be deemed the beneficial owner of such Series A Preferred Stock.

F3 · date: The Series A Preferred Stock is convertible at any time, except that it may not be converted to the shares of the Company's common stock to the extent such conversion would result in the holder beneficially owning more than 4.99% of the Company's outstanding common stock. Additionally, until the Company obtains shareholder approval for the issuance of the common stock underlying the Series A Preferred Stock, as may be required by the applicable rules and regulations of the Nasdaq Stock Market, the Company may not issue, upon conversion of the Series A Preferred Stock, a number of shares of common stock which, when aggregated with any shares of common stock previously issued upon conversion of the Series A Preferred Stock, would equal 20% or more of the common stock of 20% or more of the voting power of the Company.

F4 · date: Holders of Series A Preferred Stock shall vote together with the holders of the Company's common stock on an as-if-converted basis, whereby each share of the Series A Preferred Stock will be entitled to ten (10) votes, subject to adjustment. Notwithstanding the foregoing, holders of Series A Preferred Stock may not vote shares of the Series A Preferred Stock to the extent the shares of common stock issuable upon conversion of such Series A Preferred Stock would exceed the conversion limitations described above.

F3 · derivative.exercise_date: The Series A Preferred Stock is convertible at any time, except that it may not be converted to the shares of the Company's common stock to the extent such conversion would result in the holder beneficially owning more than 4.99% of the Company's outstanding common stock. Additionally, until the Company obtains shareholder approval for the issuance of the common stock underlying the Series A Preferred Stock, as may be required by the applicable rules and regulations of the Nasdaq Stock Market, the Company may not issue, upon conversion of the Series A Preferred Stock, a number of shares of common stock which, when aggregated with any shares of common stock previously issued upon conversion of the Series A Preferred Stock, would equal 20% or more of the common stock of 20% or more of the voting power of the Company.

F1 · derivative.expiration_date: Pursuant to the Stock Purchase Agreement by and between CTI Industries Corporation ("Company") and LF International Pte. Ltd. ("LF") dated January 3, 2020, LF agreed to purchase, in multiple closings, up to 500,000 shares of Series A Convertible Preferred Stock ("Series A Preferred Stock") of the Company. On January 13, 2020, the parties completed an initial closing by which LF purchased 250,000 Series A Preferred Stock. Each share of Series A Preferred Stock of the Company is initially convertible into ten (10) shares of the Company's common stock, subject to certain conditions, and has no expiration date. Mr. Li has 95% voting and dispositive control over the shares held by the LF and may be deemed the beneficial owner of such Series A Preferred Stock.

SEC source: 0001437749-19-001671 · rdgdoc.xml · derivative · entry 2

Hyland Jeffrey S · CIK 0001724319 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 340,000

Underlying: Common Stock · 5,000 shares

Expires 2022-12-01

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

SEC source: 0001437749-19-001671 · rdgdoc.xml · nonDerivative · entry 1

Hyland Jeffrey S · CIK 0001724319 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

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

SEC source: 0001437749-19-001208 · rdgdoc.xml · nonDerivative · entry 1

SCHWAN JOHN H · CIK 0001056661 · Director · Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,003,439

SEC source: 0001437749-18-021734 · rdgdoc.xml · nonDerivative · entry 1

KOMAR SAMUEL · CIK 0001244314 · Vice President Marketing

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,500

SEC source: 0001437749-18-000835 · rdgdoc.xml · derivative · entry 2

Hyland Jeffrey S · CIK 0001724319 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 345,000

Underlying: Common Stock · 5,000 shares

Expires 2022-12-01

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

SEC source: 0001437749-18-000835 · rdgdoc.xml · nonDerivative · entry 1

Hyland Jeffrey S · CIK 0001724319 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

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

SEC source: 0001437749-18-000816 · rdgdoc.xml · nonDerivative · entry 1

CESARIO FRANK · CIK 0001267497 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,000

SEC source: 0001724319-17-000002 · edgar.xml · derivative · entry 17

Hyland Jeffrey S · CIK 0001724319 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 350,000

Underlying: Common Stock · 43,290 shares

Expires 2022-12-01

SEC source: 0001724319-17-000002 · edgar.xml · derivative · entry 16

Hyland Jeffrey S · CIK 0001724319 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 306,710

Underlying: Common Stock · 43,342 shares

Expires 2022-12-01

SEC source: 0001724319-17-000002 · edgar.xml · derivative · entry 15

Hyland Jeffrey S · CIK 0001724319 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 263,368

Underlying: Common Stock · 43,342 shares

Expires 2022-12-01

SEC source: 0001724319-17-000002 · edgar.xml · derivative · entry 14

Hyland Jeffrey S · CIK 0001724319 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 220,026

Underlying: Common Stock · 43,342 shares

Expires 2022-12-01

SEC source: 0001724319-17-000002 · edgar.xml · derivative · entry 13

Hyland Jeffrey S · CIK 0001724319 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 176,684

Underlying: Common Stock · 43,342 shares

Expires 2022-12-01

SEC source: 0001724319-17-000002 · edgar.xml · derivative · entry 12

Hyland Jeffrey S · CIK 0001724319 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 133,342

Underlying: Common Stock · 43,342 shares

Expires 2022-12-01

SEC source: 0001724319-17-000002 · edgar.xml · derivative · entry 11

Hyland Jeffrey S · CIK 0001724319 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 90,000

Underlying: Common Stock · 10,830 shares

Expires 2022-12-01

SEC source: 0001724319-17-000002 · edgar.xml · derivative · entry 10

Hyland Jeffrey S · CIK 0001724319 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 79,170

Underlying: Common Stock · 10,834 shares

Expires 2022-12-01

SEC source: 0001724319-17-000002 · edgar.xml · derivative · entry 9

Hyland Jeffrey S · CIK 0001724319 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 68,336

Underlying: Common Stock · 10,834 shares

Expires 2022-12-01

SEC source: 0001724319-17-000002 · edgar.xml · derivative · entry 8

Hyland Jeffrey S · CIK 0001724319 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 57,502

Underlying: Common Stock · 10,834 shares

Expires 2022-12-01

SEC source: 0001724319-17-000002 · edgar.xml · derivative · entry 7

Hyland Jeffrey S · CIK 0001724319 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,668

Underlying: Common Stock · 10,834 shares

Expires 2022-12-01

SEC source: 0001724319-17-000002 · edgar.xml · derivative · entry 6

Hyland Jeffrey S · CIK 0001724319 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,834

Underlying: Common Stock · 10,834 shares

Expires 2022-12-01

SEC source: 0001724319-17-000002 · edgar.xml · derivative · entry 5

Hyland Jeffrey S · CIK 0001724319 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 5,000 shares

Expires 2022-12-01

SEC source: 0001724319-17-000002 · edgar.xml · derivative · entry 4

Hyland Jeffrey S · CIK 0001724319 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 5,000 shares

Expires 2022-12-01

SEC source: 0001724319-17-000002 · edgar.xml · derivative · entry 3

Hyland Jeffrey S · CIK 0001724319 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 5,000 shares

Expires 2022-12-01

SEC source: 0001724319-17-000002 · edgar.xml · derivative · entry 2

Hyland Jeffrey S · CIK 0001724319 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 5,000 shares

Expires 2022-12-01

SEC source: 0001724319-17-000002 · edgar.xml · derivative · entry 1

Hyland Jeffrey S · CIK 0001724319 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

Underlying: Common Stock · 5,000 shares

Expires 2022-12-01

SEC source: 0001437749-18-000821 · rdgdoc.xml · derivative · entry 17

Hyland Jeffrey S · CIK 0001724319 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 350,000

Underlying: Common Stock · 43,290 shares

Expires 2022-12-01

SEC source: 0001437749-18-000821 · rdgdoc.xml · derivative · entry 16

Hyland Jeffrey S · CIK 0001724319 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 306,710

Underlying: Common Stock · 43,342 shares

Expires 2022-12-01

SEC source: 0001437749-18-000821 · rdgdoc.xml · derivative · entry 15

Hyland Jeffrey S · CIK 0001724319 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 263,368

Underlying: Common Stock · 43,342 shares

Expires 2022-12-01

SEC source: 0001437749-18-000821 · rdgdoc.xml · derivative · entry 14

Hyland Jeffrey S · CIK 0001724319 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 220,026

Underlying: Common Stock · 43,342 shares

Expires 2022-12-01

SEC source: 0001437749-18-000821 · rdgdoc.xml · derivative · entry 13

Hyland Jeffrey S · CIK 0001724319 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 176,684

Underlying: Common Stock · 43,342 shares

Expires 2022-12-01

SEC source: 0001437749-18-000821 · rdgdoc.xml · derivative · entry 12

Hyland Jeffrey S · CIK 0001724319 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 133,342

Underlying: Common Stock · 43,342 shares

Expires 2022-12-01

SEC source: 0001437749-18-000821 · rdgdoc.xml · derivative · entry 11

Hyland Jeffrey S · CIK 0001724319 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 90,000

Underlying: Common Stock · 10,830 shares

Expires 2022-12-01

SEC source: 0001437749-18-000821 · rdgdoc.xml · derivative · entry 10

Hyland Jeffrey S · CIK 0001724319 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 79,170

Underlying: Common Stock · 10,834 shares

Expires 2022-12-01

SEC source: 0001437749-18-000821 · rdgdoc.xml · derivative · entry 9

Hyland Jeffrey S · CIK 0001724319 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 68,336

Underlying: Common Stock · 10,834 shares

Expires 2022-12-01

SEC source: 0001437749-18-000821 · rdgdoc.xml · derivative · entry 8

Hyland Jeffrey S · CIK 0001724319 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 57,502

Underlying: Common Stock · 10,834 shares

Expires 2022-12-01

SEC source: 0001437749-18-000821 · rdgdoc.xml · derivative · entry 7

Hyland Jeffrey S · CIK 0001724319 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,668

Underlying: Common Stock · 10,834 shares

Expires 2022-12-01

SEC source: 0001437749-18-000821 · rdgdoc.xml · derivative · entry 6

Hyland Jeffrey S · CIK 0001724319 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,834

Underlying: Common Stock · 10,834 shares

Expires 2022-12-01

SEC source: 0001437749-18-000821 · rdgdoc.xml · derivative · entry 5

Hyland Jeffrey S · CIK 0001724319 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 5,000 shares

Expires 2022-12-01

F1 · derivative.exercise_price: The restricted stock units permit exercise upon vesting without payment.

SEC source: 0001437749-18-000821 · rdgdoc.xml · derivative · entry 4

Hyland Jeffrey S · CIK 0001724319 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 5,000 shares

Expires 2022-12-01

F1 · derivative.exercise_price: The restricted stock units permit exercise upon vesting without payment.

SEC source: 0001437749-18-000821 · rdgdoc.xml · derivative · entry 3

Hyland Jeffrey S · CIK 0001724319 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 5,000 shares

Expires 2022-12-01

F1 · derivative.exercise_price: The restricted stock units permit exercise upon vesting without payment.

SEC source: 0001437749-18-000821 · rdgdoc.xml · derivative · entry 2

Hyland Jeffrey S · CIK 0001724319 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 5,000 shares

Expires 2022-12-01

F1 · derivative.exercise_price: The restricted stock units permit exercise upon vesting without payment.

SEC source: 0001437749-18-000821 · rdgdoc.xml · derivative · entry 1

Hyland Jeffrey S · CIK 0001724319 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

Underlying: Common Stock · 5,000 shares

Expires 2022-12-01

F1 · derivative.exercise_price: The restricted stock units permit exercise upon vesting without payment.

SEC source: 0001240143-17-000001 · edgar.xml · derivative · entry 8

BROWN STANLEY M · CIK 0001240143 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,719

Underlying: Common Stock · 1,000 shares

Expires 2017-11-30

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

SEC source: 0001240143-17-000001 · edgar.xml · derivative · entry 7

BROWN STANLEY M · CIK 0001240143 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,719

Underlying: Common Stock · 1,000 shares

Expires 2017-11-30

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.