Armstrong Stevan

SEC source: 0001013762-21-000109 · ownership.xml · nonDerivative · entry 1

Armstrong Stevan · CIK 0001533029 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 91,772

F1 · shares: Represents a grant of restricted stock units ("RSUs") under the SG Blocks, Inc. Stock Incentive Plan. Each RSU represents the right to receive, upon vesting, one share of the issuer's common stock, par value $0.01. The RSUs will vest pro rata quarterly over 24 months, subject to the reporting person's continued service as an officer/director of the issuer through such date.

SEC source: 0001213900-20-028460 · ownership.xml · nonDerivative · entry 1

Armstrong Stevan · CIK 0001533029 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 51,772

F1 · shares: Represents a grant of restricted stock units ("RSUs") under the SG Blocks, Inc. Stock Incentive Plan. Each RSU represents the right to receive, upon vesting, one share of the issuer's common stock, par value $0.01. The RSUs will vest 1/3 on the date hereof, 1/3 on the one year anniversary of the grant date and 1/3 on the two year anniversary of the grant date, subject to the reporting person's continued service as an officer of the issuer through such date.

SEC source: 0001213900-20-009364 · ownership.xml · nonDerivative · entry 1

Armstrong Stevan · CIK 0001533029 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,772

F1 · shares: Represents a grant of restricted stock units ("RSUs") under the SG Blocks, Inc. Stock Incentive Plan. Each RSU represents the right to receive, upon vesting, one share of the issuer's common stock, par value $0.01. The RSUs will vest in full on the one year anniversary of the grant date, subject to the reporting person's continued service as an officer/director of the issuer through such date.

F2 · balance_after: This amount reflects a 20-for-1 stock split that was effected on February 5, 2020.

SEC source: 0001213900-19-006769 · ownership.xml · nonDerivative · entry 2

Armstrong Stevan · CIK 0001533029 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,432

F1 · balance_after: Represents a grant of restricted stock units ("RSUs") under the SG Blocks, Inc. Stock Incentive Plan. Each RSU represents the right to receive, upon vesting, one share of the issuer's common stock, par value $0.01. The number of RSUs was determined using the closing price of the issuer's common stock on February 26, 2019.

F3 · balance_after: The RSUs will vest in three equal annual installments, beginning on December 31, 2020, subject to the reporting person's continued service as an employee of the issuer through such date, and will be delivered within 90 days of when the reporting person is no longer employed by the issuer.

SEC source: 0001213900-19-006769 · ownership.xml · nonDerivative · entry 1

Armstrong Stevan · CIK 0001533029 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,321

F1 · balance_after: Represents a grant of restricted stock units ("RSUs") under the SG Blocks, Inc. Stock Incentive Plan. Each RSU represents the right to receive, upon vesting, one share of the issuer's common stock, par value $0.01. The number of RSUs was determined using the closing price of the issuer's common stock on February 26, 2019.

F2 · balance_after: The RSUs will vest in full on December 31, 2019, subject to the reporting person's continued service as an employee of the issuer through such date, and are deliverable January 1, 2020.

SEC source: 0001213900-18-003867 · f4033018armstrong_sgblock.xml · derivative · entry 1

Armstrong Stevan · CIK 0001533029 · Director · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,842

Underlying: Common Stock · 14,842 shares

Expires 2028-03-30

F1 · derivative.exercise_price: Reflects the closing price of the issuer's common stock, as quoted on the Nasdaq Stock Market, on March 29, 2018, the last trading day prior to March 30, 2018.

F2 · derivative.exercise_date: The options were issued under the issuer's stock incentive plan as an award for the performance of the issuer during 2017 and vest over a two-year period in eight equal quarterly installments, beginning March 31, 2018.

SEC source: 0001213900-17-000903 · f4013117armstrong_sgblocks.xml · derivative · entry 2

Armstrong Stevan · CIK 0001533029 · President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 78,158

Underlying: Common Stock · 21,281 shares

Expires 2027-01-31

F1 · shares: The securities reported herein are presented to give effect to a 1-for-3 reverse stock split to be completed by the Company after the filing of this report.

F4 · price: The options were granted under the issuer's stock incentive plan and without payment of consideration in connection with the reporting person's employment with the issuer.

F3 · derivative.exercise_date: The options were issued under the issuer's stock incentive plan and will vest in equal quarterly installments over two years from the grant date so long as the reporting person remains an employee of the issuer.

SEC source: 0001213900-17-000903 · f4013117armstrong_sgblocks.xml · derivative · entry 1

Armstrong Stevan · CIK 0001533029 · President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,877

Underlying: Common Stock · 13,200 shares

Expires 2027-01-31

F1 · shares: The securities reported herein are presented to give effect to a 1-for-3 reverse stock split to be completed by the Company after the filing of this report.

F4 · price: The options were granted under the issuer's stock incentive plan and without payment of consideration in connection with the reporting person's employment with the issuer.

F2 · derivative.exercise_date: The options were issued under the issuer's stock incentive plan and vested in full on the grant date.

SEC source: 0001213900-16-017957 · f4063016armstrong_sgblocks.xml · derivative · entry 2

Armstrong Stevan · CIK 0001533029 · President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 131,031

Underlying: Common Stock · 131,031 shares

Expires 2026-10-31

F3 · derivative.exercise_price: The exercise price will be the greater of $0.01 and fair market value, which will be determined within 90 days of the date of the grant.

F4 · kind: The options were issued pursuant to the Plan under the Issuer's Stock Option Plan.

F5 · derivative.exercise_date: 65,515 of the underlying shares of common stock have vested as of the date of grant and the remaining 65,516 underlying shares will vest, subject to the Reporting Person's continued employment, in two equal installments on each of November 1, 2017 and November 1, 2018.

SEC source: 0001213900-16-017957 · f4063016armstrong_sgblocks.xml · nonDerivative · entry 1

Armstrong Stevan · CIK 0001533029 · President and COO

10b5-1 filing: Not disclosed

Ownership: Indirect · By SMA Development Group, LLC

Disclosed balance after: 36,476

F1 · kind: These securities were acquired pursuant to the Issuer's Amended Plan of Reorganization, approved by the U.S. Bankruptcy Court for the Southern District of New York on May 23, 2016 (the "Plan").

F2 · shares: Shares are held by SMA Development Group, LLC, an entity controlled by Mr. Armstrong. Mr. Armstrong specifically disclaims beneficial ownership of the shares of common stock held by SMA Development Group, LLC, except to the extent of his pecuniary interest therein, and this filing shall not be deemed to be an admission that Mr. Armstrong is the beneficial owner of such shares of common stock.

F2 · ownership.direct: Shares are held by SMA Development Group, LLC, an entity controlled by Mr. Armstrong. Mr. Armstrong specifically disclaims beneficial ownership of the shares of common stock held by SMA Development Group, LLC, except to the extent of his pecuniary interest therein, and this filing shall not be deemed to be an admission that Mr. Armstrong is the beneficial owner of such shares of common stock.