Shetty Mahesh S

SEC source: 0001213900-20-008417 · ownership.xml · nonDerivative · entry 1

Shetty Mahesh S · CIK 0001362346 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,729

SEC source: 0001213900-19-006694 · ownership.xml · nonDerivative · entry 3

Shetty Mahesh S · CIK 0001362346 · Director · CFO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 139,575

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: 0001213900-19-006694 · ownership.xml · nonDerivative · entry 2

Shetty Mahesh S · CIK 0001362346 · Director · CFO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 99,999

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: 0001213900-19-006694 · ownership.xml · nonDerivative · entry 1

Shetty Mahesh S · CIK 0001362346 · Director · CFO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,777

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: 0001213900-18-011483 · ownership.xml · nonDerivative · entry 1

Shetty Mahesh S · CIK 0001362346 · Director · CFO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

SEC source: 0001213900-18-011304 · ownership.xml · nonDerivative · entry 1

Shetty Mahesh S · CIK 0001362346 · Director · CFO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,500

SEC source: 0001213900-18-003870 · f4033018shetty_sgblocksinc.xml · derivative · entry 1

Shetty Mahesh S · CIK 0001362346 · Director · CFO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 81,342

Underlying: Common Stock · 81,342 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: 0001213900-17-006982 · f4062717shetty_sgblocks.xml · nonDerivative · entry 1

Shetty Mahesh S · CIK 0001362346 · Director · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

F1 · shares: The Reporting Person purchased the shares in connection with the public offering of the issuer's common stock pursuant to the prospectus, dated June 21, 2017, and accompanying registration statement on Form S-1/A, dated June 16, 2017.

SEC source: 0001213900-17-002304 · f4031017shetty_sgblocks.xml · derivative · entry 2

Shetty Mahesh S · CIK 0001362346 · Director · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,978

Underlying: Common Stock · 52,978 shares

Expires 2027-03-10

F2 · derivative.exercise_price: The options, issued under the issuer's stock incentive plan, will have an exercise price equal to 120% of the price per share at which the public purchases shares of common stock in the offering pursuant to which a registration statement on Form S-1 was filed with the Securities and Exchange Commission on February 6, 2017.

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 will vest and become exercisable in three tranches, with 1/3 of each option vesting upon the achievement of any one of three performance targets, as specified in the stock option agreement.

SEC source: 0001213900-17-002304 · f4031017shetty_sgblocks.xml · derivative · entry 1

Shetty Mahesh S · CIK 0001362346 · Director · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 79,468

Underlying: Common Stock · 79,468 shares

Expires 2027-03-10

F1 · derivative.exercise_price: The options, issued under the issuer's stock incentive plan, will have an exercise price equal to the price per share at which the public purchases shares of common stock in the offering pursuant to which a registration statement on Form S-1 was filed with the Securities and Exchange Commission on February 6, 2017.

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 will vest and become exercisable in three tranches, with 1/3 of each option vesting upon the achievement of any one of three performance targets, as specified in the stock option agreement.

SEC source: 0001213900-17-000906 · f4013117shetty_sgblocks.xml · derivative · entry 2

Shetty Mahesh S · CIK 0001362346 · Director · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 104,211

Underlying: Common Stock · 55,838 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: 0001213900-17-000906 · f4013117shetty_sgblocks.xml · derivative · entry 1

Shetty Mahesh S · CIK 0001362346 · Director · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,373

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: 0001213900-16-017965 · f4110116shetty_sgblocks.xml · derivative · entry 2

Shetty Mahesh S · CIK 0001362346 · Director · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,515

Underlying: Common Stock · 65,515 shares

Expires 2026-10-31

F4 · derivative.exercise_price: The options are exercisable at the greater of $0.01 and the fair market value, which will be determined within 90 days of the date of grant.

F5 · kind: The options were issued 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 and under the Issuer's Stock Option Plan.

F6 · derivative.exercise_date: 32,578 of the underlying shares of common stock have vested as of the date of grant and 32,577 shares will vest, subject to the Reporting Person's continued employment, on the date on which the Company files its annual report on Form 10-K for the year ended December 31, 2016 with the U.S. Securities and Exchange Commission.

SEC source: 0001213900-16-017965 · f4110116shetty_sgblocks.xml · derivative · entry 1

Shetty Mahesh S · CIK 0001362346 · Director · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2026-10-31

F1 · derivative.exercise_price: The options are exercisable at the greater of $1.00 and fair market value, which will be determined within 90 days of the date of the date of grant.

F2 · kind: The options were issued pursuant to the Issuer's Stock Option Plan.

F3 · derivative.exercise_date: The options vest, subject to the Reporting Person's continued role as director, in equal installments of 10,000 underlying shares on the last day of each fiscal quarter following the date of grant until the options are 100% vested.