NICHOL GARETH

SEC source: 0001667071-26-000004 · form4-09032026_060901.xml · derivative · entry 2

NICHOL GARETH · CIK 0001667071 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,000,000

Underlying: Common Stock · 2,000,000 shares

Expires not disclosed

F1 · price: On September 1, 2026, the Reporting Person purchased 2,000,000 units of securities of the Issuer (each, a "Unit" and collectively, the "Units") at a purchase price of $0.45 per Unit. The Units are comprised of 2,000,000 shares of Common Stock and a warrant to purchase 2,000,000 shares of Common Stock at an exercise price of $0.51 per share.

F2 · derivative.exercise_date: The exercise of the Warrant is conditioned upon the Issuer obtaining stockholder approval and filing with the Delaware Secretary of State of an amendment to its Amended and Restated Certificate of Incorporation to either (i) increase the Issuer's authorized shares of Common Stock or (ii) effect a reverse stock split of the Common Stock such that the Issuer has sufficient authorized shares of Common Stock to accommodate the exercise of the Warrant and satisfy its existing share reserve requirements under the Issuer's outstanding derivative securities, equity awards, and equity incentive plans (the "Authorized Shares Condition"). Consistent with the foregoing, the Warrant is exercisable commencing on the date of satisfaction of the Authorized Shares Condition and continuing until the later of 180 days from the issuance date and 30 days after the date the Authorized Shares Condition is satisfied.

F2 · derivative.expiration_date: The exercise of the Warrant is conditioned upon the Issuer obtaining stockholder approval and filing with the Delaware Secretary of State of an amendment to its Amended and Restated Certificate of Incorporation to either (i) increase the Issuer's authorized shares of Common Stock or (ii) effect a reverse stock split of the Common Stock such that the Issuer has sufficient authorized shares of Common Stock to accommodate the exercise of the Warrant and satisfy its existing share reserve requirements under the Issuer's outstanding derivative securities, equity awards, and equity incentive plans (the "Authorized Shares Condition"). Consistent with the foregoing, the Warrant is exercisable commencing on the date of satisfaction of the Authorized Shares Condition and continuing until the later of 180 days from the issuance date and 30 days after the date the Authorized Shares Condition is satisfied.

SEC source: 0001667071-26-000004 · form4-09032026_060901.xml · nonDerivative · entry 1

NICHOL GARETH · CIK 0001667071 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,425,768

F1 · price: On September 1, 2026, the Reporting Person purchased 2,000,000 units of securities of the Issuer (each, a "Unit" and collectively, the "Units") at a purchase price of $0.45 per Unit. The Units are comprised of 2,000,000 shares of Common Stock and a warrant to purchase 2,000,000 shares of Common Stock at an exercise price of $0.51 per share.

SEC source: 0000950170-24-116222 · ownership.xml · nonDerivative · entry 2

NICHOL GARETH · CIK 0001667071 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,425,768

SEC source: 0000950170-24-116222 · ownership.xml · derivative · entry 5

NICHOL GARETH · CIK 0001667071 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 500,000

Underlying: Common Stock · 500,000 shares

Expires not disclosed

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.

F2 · derivative.exercise_date: The Series D Preferred Stock is convertible into shares of the issuer's common stock at any time on a one-for-one basis.

F2 · derivative.expiration_date: The Series D Preferred Stock is convertible into shares of the issuer's common stock at any time on a one-for-one basis.

SEC source: 0000950170-24-116222 · ownership.xml · derivative · entry 4

NICHOL GARETH · CIK 0001667071 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Series D Preferred Stock · 500,000 shares

Expires 2022-05-14

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: 0000950170-24-116222 · ownership.xml · derivative · entry 3

NICHOL GARETH · CIK 0001667071 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 313,589 shares

Expires 2030-05-20

F1 · shares: Individual inadvertently reported 313,591 warrants to purchase Common Stock on 06/08/2020 when he should have reported 313,589 warrants.

SEC source: 0000950170-24-116222 · ownership.xml · nonDerivative · entry 1

NICHOL GARETH · CIK 0001667071 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,646,922

SEC source: 0001667071-20-000001 · primary_doc.xml · derivative · entry 2

NICHOL GARETH · CIK 0001667071 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 313,591

Underlying: Common Stock · 313,591 shares

Expires 2030-05-14

F4 · derivative.exercise_price: In connection with the issuance of the Note to Mr. Nichol, the issuer also issued a common stock purchase warrant (the "Warrant") representing the right to purchase 313,591 shares of common stock of the issuer. The Warrant has an exercise price of $0.01 per share, is immediately exercisable, and expires on the 10-year anniversary of the date of issuance. The Warrant is subject to anti-dilution adjustments.

F4 · shares: In connection with the issuance of the Note to Mr. Nichol, the issuer also issued a common stock purchase warrant (the "Warrant") representing the right to purchase 313,591 shares of common stock of the issuer. The Warrant has an exercise price of $0.01 per share, is immediately exercisable, and expires on the 10-year anniversary of the date of issuance. The Warrant is subject to anti-dilution adjustments.

F4 · derivative.exercise_date: In connection with the issuance of the Note to Mr. Nichol, the issuer also issued a common stock purchase warrant (the "Warrant") representing the right to purchase 313,591 shares of common stock of the issuer. The Warrant has an exercise price of $0.01 per share, is immediately exercisable, and expires on the 10-year anniversary of the date of issuance. The Warrant is subject to anti-dilution adjustments.

F4 · derivative.expiration_date: In connection with the issuance of the Note to Mr. Nichol, the issuer also issued a common stock purchase warrant (the "Warrant") representing the right to purchase 313,591 shares of common stock of the issuer. The Warrant has an exercise price of $0.01 per share, is immediately exercisable, and expires on the 10-year anniversary of the date of issuance. The Warrant is subject to anti-dilution adjustments.

F4 · derivative.underlying_shares: In connection with the issuance of the Note to Mr. Nichol, the issuer also issued a common stock purchase warrant (the "Warrant") representing the right to purchase 313,591 shares of common stock of the issuer. The Warrant has an exercise price of $0.01 per share, is immediately exercisable, and expires on the 10-year anniversary of the date of issuance. The Warrant is subject to anti-dilution adjustments.

F4 · balance_after: In connection with the issuance of the Note to Mr. Nichol, the issuer also issued a common stock purchase warrant (the "Warrant") representing the right to purchase 313,591 shares of common stock of the issuer. The Warrant has an exercise price of $0.01 per share, is immediately exercisable, and expires on the 10-year anniversary of the date of issuance. The Warrant is subject to anti-dilution adjustments.

SEC source: 0001667071-20-000001 · primary_doc.xml · derivative · entry 1

NICHOL GARETH · CIK 0001667071 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 500,000

Underlying: Series D Senior Convertible Preferred Stock · 500,000 shares

Expires not disclosed

F1 · derivative.exercise_price: The convertible promissory note (the "Note") is payable by the Issuer to Mr. Nichol in the aggregate principal amount of $1,000,000, bearing an interest rate of 10% per annum, and maturing on the two-year anniversary of the date of issuance. The outstanding principal amount of the Note and any accrued and unpaid interest thereon is immediately convertible, at the option of Mr. Nichol, into shares of Series D Senior Convertible Preferred Stock (the "Series D Preferred"), at a conversion price of $2.00 per share of Series D Preferred.

F2 · derivative.exercise_price: (continued from footnote 1) Any subsequent increase or decrease in the number of shares of Series D Preferred issuable upon conversion of the Note as a result of any subsequent increase or decrease in the outstanding principal amount of indebtedness under the Note and any accrued and unpaid interest thereon,is exempt from Section 16 of the Securities Exchange Act of 1934, pursuant to Rule 16a-9(a) under such Act.

F3 · derivative.exercise_price: Although the Note matures two years from the date of issuance, the Note is convertible into Series D Preferred Stock for so long as there is any principal amount outstanding under the Note. If converted into Series D Preferred, the shares of Series D Preferred are convertible into shares of common stock, at the holder's option, initially on a 1:1 basis. The conversion price of the Series D Preferred and the number of shares of common stock issuable upon conversion, are subject to anti-dilution adjustments.

F1 · shares: The convertible promissory note (the "Note") is payable by the Issuer to Mr. Nichol in the aggregate principal amount of $1,000,000, bearing an interest rate of 10% per annum, and maturing on the two-year anniversary of the date of issuance. The outstanding principal amount of the Note and any accrued and unpaid interest thereon is immediately convertible, at the option of Mr. Nichol, into shares of Series D Senior Convertible Preferred Stock (the "Series D Preferred"), at a conversion price of $2.00 per share of Series D Preferred.

F2 · shares: (continued from footnote 1) Any subsequent increase or decrease in the number of shares of Series D Preferred issuable upon conversion of the Note as a result of any subsequent increase or decrease in the outstanding principal amount of indebtedness under the Note and any accrued and unpaid interest thereon,is exempt from Section 16 of the Securities Exchange Act of 1934, pursuant to Rule 16a-9(a) under such Act.

F3 · shares: Although the Note matures two years from the date of issuance, the Note is convertible into Series D Preferred Stock for so long as there is any principal amount outstanding under the Note. If converted into Series D Preferred, the shares of Series D Preferred are convertible into shares of common stock, at the holder's option, initially on a 1:1 basis. The conversion price of the Series D Preferred and the number of shares of common stock issuable upon conversion, are subject to anti-dilution adjustments.

F1 · price: The convertible promissory note (the "Note") is payable by the Issuer to Mr. Nichol in the aggregate principal amount of $1,000,000, bearing an interest rate of 10% per annum, and maturing on the two-year anniversary of the date of issuance. The outstanding principal amount of the Note and any accrued and unpaid interest thereon is immediately convertible, at the option of Mr. Nichol, into shares of Series D Senior Convertible Preferred Stock (the "Series D Preferred"), at a conversion price of $2.00 per share of Series D Preferred.

F2 · price: (continued from footnote 1) Any subsequent increase or decrease in the number of shares of Series D Preferred issuable upon conversion of the Note as a result of any subsequent increase or decrease in the outstanding principal amount of indebtedness under the Note and any accrued and unpaid interest thereon,is exempt from Section 16 of the Securities Exchange Act of 1934, pursuant to Rule 16a-9(a) under such Act.

F3 · price: Although the Note matures two years from the date of issuance, the Note is convertible into Series D Preferred Stock for so long as there is any principal amount outstanding under the Note. If converted into Series D Preferred, the shares of Series D Preferred are convertible into shares of common stock, at the holder's option, initially on a 1:1 basis. The conversion price of the Series D Preferred and the number of shares of common stock issuable upon conversion, are subject to anti-dilution adjustments.

F1 · derivative.exercise_date: The convertible promissory note (the "Note") is payable by the Issuer to Mr. Nichol in the aggregate principal amount of $1,000,000, bearing an interest rate of 10% per annum, and maturing on the two-year anniversary of the date of issuance. The outstanding principal amount of the Note and any accrued and unpaid interest thereon is immediately convertible, at the option of Mr. Nichol, into shares of Series D Senior Convertible Preferred Stock (the "Series D Preferred"), at a conversion price of $2.00 per share of Series D Preferred.

F2 · derivative.exercise_date: (continued from footnote 1) Any subsequent increase or decrease in the number of shares of Series D Preferred issuable upon conversion of the Note as a result of any subsequent increase or decrease in the outstanding principal amount of indebtedness under the Note and any accrued and unpaid interest thereon,is exempt from Section 16 of the Securities Exchange Act of 1934, pursuant to Rule 16a-9(a) under such Act.

F3 · derivative.exercise_date: Although the Note matures two years from the date of issuance, the Note is convertible into Series D Preferred Stock for so long as there is any principal amount outstanding under the Note. If converted into Series D Preferred, the shares of Series D Preferred are convertible into shares of common stock, at the holder's option, initially on a 1:1 basis. The conversion price of the Series D Preferred and the number of shares of common stock issuable upon conversion, are subject to anti-dilution adjustments.

F1 · derivative.expiration_date: The convertible promissory note (the "Note") is payable by the Issuer to Mr. Nichol in the aggregate principal amount of $1,000,000, bearing an interest rate of 10% per annum, and maturing on the two-year anniversary of the date of issuance. The outstanding principal amount of the Note and any accrued and unpaid interest thereon is immediately convertible, at the option of Mr. Nichol, into shares of Series D Senior Convertible Preferred Stock (the "Series D Preferred"), at a conversion price of $2.00 per share of Series D Preferred.

F2 · derivative.expiration_date: (continued from footnote 1) Any subsequent increase or decrease in the number of shares of Series D Preferred issuable upon conversion of the Note as a result of any subsequent increase or decrease in the outstanding principal amount of indebtedness under the Note and any accrued and unpaid interest thereon,is exempt from Section 16 of the Securities Exchange Act of 1934, pursuant to Rule 16a-9(a) under such Act.

F3 · derivative.expiration_date: Although the Note matures two years from the date of issuance, the Note is convertible into Series D Preferred Stock for so long as there is any principal amount outstanding under the Note. If converted into Series D Preferred, the shares of Series D Preferred are convertible into shares of common stock, at the holder's option, initially on a 1:1 basis. The conversion price of the Series D Preferred and the number of shares of common stock issuable upon conversion, are subject to anti-dilution adjustments.

F1 · derivative.underlying_shares: The convertible promissory note (the "Note") is payable by the Issuer to Mr. Nichol in the aggregate principal amount of $1,000,000, bearing an interest rate of 10% per annum, and maturing on the two-year anniversary of the date of issuance. The outstanding principal amount of the Note and any accrued and unpaid interest thereon is immediately convertible, at the option of Mr. Nichol, into shares of Series D Senior Convertible Preferred Stock (the "Series D Preferred"), at a conversion price of $2.00 per share of Series D Preferred.

F2 · derivative.underlying_shares: (continued from footnote 1) Any subsequent increase or decrease in the number of shares of Series D Preferred issuable upon conversion of the Note as a result of any subsequent increase or decrease in the outstanding principal amount of indebtedness under the Note and any accrued and unpaid interest thereon,is exempt from Section 16 of the Securities Exchange Act of 1934, pursuant to Rule 16a-9(a) under such Act.

F3 · derivative.underlying_shares: Although the Note matures two years from the date of issuance, the Note is convertible into Series D Preferred Stock for so long as there is any principal amount outstanding under the Note. If converted into Series D Preferred, the shares of Series D Preferred are convertible into shares of common stock, at the holder's option, initially on a 1:1 basis. The conversion price of the Series D Preferred and the number of shares of common stock issuable upon conversion, are subject to anti-dilution adjustments.

F1 · balance_after: The convertible promissory note (the "Note") is payable by the Issuer to Mr. Nichol in the aggregate principal amount of $1,000,000, bearing an interest rate of 10% per annum, and maturing on the two-year anniversary of the date of issuance. The outstanding principal amount of the Note and any accrued and unpaid interest thereon is immediately convertible, at the option of Mr. Nichol, into shares of Series D Senior Convertible Preferred Stock (the "Series D Preferred"), at a conversion price of $2.00 per share of Series D Preferred.

F2 · balance_after: (continued from footnote 1) Any subsequent increase or decrease in the number of shares of Series D Preferred issuable upon conversion of the Note as a result of any subsequent increase or decrease in the outstanding principal amount of indebtedness under the Note and any accrued and unpaid interest thereon,is exempt from Section 16 of the Securities Exchange Act of 1934, pursuant to Rule 16a-9(a) under such Act.

F3 · balance_after: Although the Note matures two years from the date of issuance, the Note is convertible into Series D Preferred Stock for so long as there is any principal amount outstanding under the Note. If converted into Series D Preferred, the shares of Series D Preferred are convertible into shares of common stock, at the holder's option, initially on a 1:1 basis. The conversion price of the Series D Preferred and the number of shares of common stock issuable upon conversion, are subject to anti-dilution adjustments.

SEC source: 0001214659-17-007163 · marketforms-40421.xml · nonDerivative · entry 1

NICHOL GARETH · CIK 0001667071 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,333,333

F1 · kind: These shares were conveyed to the Reporting Person by a subsidiary of DynaResource, Inc., in consideration of the August 23, 2017 exercise by the Reporting Person of common stock purchase warrants issued by DynaResource, Inc. at $2.50 per share.

F1 · price: These shares were conveyed to the Reporting Person by a subsidiary of DynaResource, Inc., in consideration of the August 23, 2017 exercise by the Reporting Person of common stock purchase warrants issued by DynaResource, Inc. at $2.50 per share.