Caragol William J

SEC source: 0001213900-26-088447 · ownership.xml · derivative · entry 1

Caragol William J · CIK 0001380465 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 212,500

Underlying: Ordinary Shares · 212,500 shares

Expires 2036-08-11

F1 · derivative.exercise_date: The Stock Options will vest in eighteen substantially equal installments on each monthly anniversary of the date of grant, provided that the Reporting Person is providing services to the Issuer through the applicable vesting dates.

SEC source: 0001213900-26-085335 · ownership.xml · derivative · entry 1

Caragol William J · CIK 0001380465 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 212,500

Underlying: Ordinary Shares · 212,500 shares

Expires 2036-08-03

F1 · derivative.exercise_date: The Stock Options will vest in eighteen substantially equal installments on each monthly anniversary of the date of grant, provided that the Reporting Person is providing services to the Issuer through the applicable vesting dates.

SEC source: 0001213900-26-086312 · ownership.xml · derivative · entry 1

Caragol William J · CIK 0001380465 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 212,500

Underlying: Ordinary Shares · 212,500 shares

Expires 2036-08-03

F1 · date: The purpose of this Form 4/A is to correct the date of the reported transaction.

F2 · derivative.exercise_date: The Stock Options will vest in eighteen substantially equal installments on each monthly anniversary of the date of grant, provided that the Reporting Person is providing services to the Issuer through the applicable vesting dates.

SEC source: 0001213900-26-039353 · ownership.xml · derivative · entry 1

Caragol William J · CIK 0001380465 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 16,795

Underlying: Common Stock · 16,795 shares

Expires 2028-01-21

F1 · shares: The option was granted as an adjustment to outstanding equity awards in connection with the warrant dividend distributed by DeFi Development Corp. to its holders of common stock on October 27, 2025.

F2 · derivative.exercise_date: This option is fully vested and exercisable on the date of grant.

SEC source: 0001213900-26-018425 · ownership.xml · nonDerivative · entry 1

Caragol William J · CIK 0001380465 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 54,500

F1 · shares: Represents a grant of restricted stock units ("RSUs"), of which one-twelfth (1/12th) of the total number of shares subject to the RSUs shall vest each month following the grant date, such that 100% of the shares subject to the RSUs will be vested on the one (1) year anniversary of the grant date, subject to the reporting person's continued service through each applicable vesting date.

F2 · balance_after: Includes unvested RSUs for 21,875 shares (on a 7 for 1 forward stock split basis) granted to the reporting person on April 9, 2025, and initially reported in Table II of the reporting person's Form 4 filed with the Securities and Exchange Commission on April 11, 2025.

SEC source: 0001213900-26-018504 · ownership.xml · nonDerivative · entry 1

Caragol William J · CIK 0001380465 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 367,899

F1 · price: Grant of restricted shares under Mainz Biomed N.V. 2025 Omnibus Incentive Plan; no cash consideration paid.

F2 · balance_after: 77,899 employee stock options were granted and previously reported on a Form 3 filed January 26, 2026.

SEC source: 0001493152-26-005865 · ownership.xml · derivative · entry 1

Caragol William J · CIK 0001380465 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 101,752

Underlying: Common Stock · 25,002 shares

Expires not disclosed

F1 · derivative.exercise_date: Granted pursuant to the Issuer's 2022 Equity Incentive Plan, the options vest in three (3) equal annual installments of 8,334 options beginning on the first anniversary of the grant date and expire in accordance with the terms of the 2022 Equity Incentive Plan and the applicable award agreement.

F1 · derivative.expiration_date: Granted pursuant to the Issuer's 2022 Equity Incentive Plan, the options vest in three (3) equal annual installments of 8,334 options beginning on the first anniversary of the grant date and expire in accordance with the terms of the 2022 Equity Incentive Plan and the applicable award agreement.

SEC source: 0001213900-25-097491 · ownership.xml · nonDerivative · entry 2

Caragol William J · CIK 0001380465 · Former Director, CFO, and COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 580,000

F3 · shares: Includes 500,000 shares of common stock of the Issuer that Mr. Caragol received as a consideration of his providing certain post-closing services to the Issuer, pursuant to a Consulting Agreement by and between himself and the Issuer.

F4 · price: Based on the closing price of the common stock of $10.10 on the Nasdaq Stock Market LLC on September 26, 2025.

SEC source: 0001213900-25-097491 · ownership.xml · nonDerivative · entry 1

Caragol William J · CIK 0001380465 · Former Director, CFO, and COO

10b5-1 filing: No plan indicated

Ownership: Indirect · Through Bengochea SPAC Sponsors I LLC

Disclosed balance after: 80,000

F1 · kind: Pursuant to the Business Combination Agreement (as amended), dated September 27, 2024, by and among Iron Horse Acquisition Corp., a Delaware corporation (the "Company") and Rosey Sea Holdings Limited, a company incorporated and existing under the laws of the British Virgin Islands ("Rosey Sea"), the parties effected a business combination transaction ("Business Combination") on September 30, 2025. In connection with the Business Combination, the Company changed its name to "CN Healthy Food Tech Group Corp." (the "New CFI"). In connection with the consummation of the Business Combination and the name change, William Caragol's 80,000 shares of common stock, par value $0.0001, of the Company, converted into 80,000 shares of common stock, par value $0.0001, of New CFI, on a one-for-one basis, in connection with the closing of the Business Combination.

F2 · shares: Includes 30,000 shares held by Bengochea SPAC Sponsors I LLC (the "Sponsor") on behalf of Mr. Caragol for his service as an officer of the Company as well as 50,000 shares held by the Sponsor on behalf of Mr. Caragol on the basis of funds invested by Mr. Caragol in the Sponsor.

SEC source: 0001641172-25-019792 · ownership.xml · derivative · entry 1

Caragol William J · CIK 0001380465 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 76,750

Underlying: Common Stock · 50,000 shares

Expires 2035-07-12

F1 · security: Effective July 12, 2025, the Board of Directors ("Board") of Worksport Ltd. (the "Company"), at the recommendation of the Compensation Committee of the Board, approved a non-plan stock option grant to Mr. Caragol in the amount of 50,000 stock options to purchase shares of the Company's common stock. The vesting of the 50,000 options are contingent on the Company completing any merger, acquisition, or strategic crypto focuses transaction.

F1 · derivative.exercise_date: Effective July 12, 2025, the Board of Directors ("Board") of Worksport Ltd. (the "Company"), at the recommendation of the Compensation Committee of the Board, approved a non-plan stock option grant to Mr. Caragol in the amount of 50,000 stock options to purchase shares of the Company's common stock. The vesting of the 50,000 options are contingent on the Company completing any merger, acquisition, or strategic crypto focuses transaction.

F2 · balance_after: The beneficial ownership set forth in Column 8 includes the 50,000 stock options underlying the grant described above and includes 26,750 stock option grants previously issued to Mr. Caragol, even though they are not all expected to settle or vest within 60 days of this Form 4.

SEC source: 0001213900-25-031250 · ownership.xml · derivative · entry 2

Caragol William J · CIK 0001380465 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,125

Underlying: Common Stock · 3,125 shares

Expires 2029-01-01

F1 · derivative.exercise_price: Each restricted stock unit is the economic equivalent of one share of Janover Inc. (the "Issuer") Common Stock.

F2 · derivative.exercise_date: Twenty-five percent of this restricted stock unit grant will vest on the first year anniversary of the grant, and thereafter the one thirty sixth (1/36th) of the remainder number of RSUs are scheduled to vest on each of the thirty-six (36) consecutive monthly vesting dates that occur after April 9, 2026.

SEC source: 0001641172-25-002877 · ownership.xml · derivative · entry 1

Caragol William J · CIK 0001380465 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,000

Underlying: Common Stock · 7,000 shares

Expires 2035-04-04

F1 · security: The reported transaction reflects stock options granted by the Compensation Committee on April 4, 2025.

F1 · derivative.exercise_date: The reported transaction reflects stock options granted by the Compensation Committee on April 4, 2025.

SEC source: 0001213900-26-002189 · ownership.xml · derivative · entry 1

Caragol William J · CIK 0001380465 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 87,500

Underlying: Common Stock · 87,500 shares

Expires 2035-02-10

F1 · derivative.exercise_price: Reflects a 7-for-1 forward stock split effective on May 19, 2025.

F1 · shares: Reflects a 7-for-1 forward stock split effective on May 19, 2025.

F2 · derivative.exercise_date: The options became fully vested on April 4, 2025 upon a change in control of the Issuer.

SEC source: 0001493152-24-029131 · ownership.xml · derivative · entry 9

Caragol William J · CIK 0001380465 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2034-07-23

F7 · derivative.exercise_price: Non-qualified stock option granted under the Worksport Ltd 2022 Equity Incentive Plan (the "2022 Plan"). Option vests in eight quarterly installments, commencing on the date of grant

F7 · derivative.exercise_date: Non-qualified stock option granted under the Worksport Ltd 2022 Equity Incentive Plan (the "2022 Plan"). Option vests in eight quarterly installments, commencing on the date of grant

SEC source: 0001493152-24-029131 · ownership.xml · derivative · entry 8

Caragol William J · CIK 0001380465 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,500

Underlying: Common Stock · 7,500 shares

Expires 2028-07-21

F2 · derivative.exercise_price: On July 23, 2024, the Issuer's Board of Directors approved an option repricing (the "Repricing") whereby the Reporting Person's options were repriced to an exercise price of $0.7042 per share. All of the other terms of the options remain unchanged. Such transactions were exempt pursuant to Rule 16b-6(d) and Rule 16b-3 of the Exchange Act, as applicable.

F6 · derivative.exercise_date: 50% of option vests on the first anniversary of the date of grant and 50% of option vests on the second anniversary of the date of grant.

SEC source: 0001493152-24-029131 · ownership.xml · derivative · entry 7

Caragol William J · CIK 0001380465 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 7,500 shares

Expires 2028-07-21

F6 · derivative.exercise_date: 50% of option vests on the first anniversary of the date of grant and 50% of option vests on the second anniversary of the date of grant.

SEC source: 0001493152-24-029131 · ownership.xml · derivative · entry 6

Caragol William J · CIK 0001380465 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 120,000

Underlying: Common Stock · 120,000 shares

Expires not disclosed

F2 · derivative.exercise_price: On July 23, 2024, the Issuer's Board of Directors approved an option repricing (the "Repricing") whereby the Reporting Person's options were repriced to an exercise price of $0.7042 per share. All of the other terms of the options remain unchanged. Such transactions were exempt pursuant to Rule 16b-6(d) and Rule 16b-3 of the Exchange Act, as applicable.

F4 · derivative.exercise_date: Non-qualified stock option granted under the Worksport Ltd 2022 Equity Incentive Plan (the "2022 Plan"). Option vests in six equal installments, commencing on the date of grant and each anniversary of the date of grant.

F5 · derivative.expiration_date: Option expires on 01/30/33 subject to the terms of the 2022 Plan.

SEC source: 0001493152-24-029131 · ownership.xml · derivative · entry 5

Caragol William J · CIK 0001380465 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 120,000 shares

Expires not disclosed

F4 · derivative.exercise_date: Non-qualified stock option granted under the Worksport Ltd 2022 Equity Incentive Plan (the "2022 Plan"). Option vests in six equal installments, commencing on the date of grant and each anniversary of the date of grant.

F5 · derivative.expiration_date: Option expires on 01/30/33 subject to the terms of the 2022 Plan.

SEC source: 0001493152-24-029131 · ownership.xml · derivative · entry 4

Caragol William J · CIK 0001380465 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires 2026-12-29

F3 · security: The Reporting Person was granted Non-Qualified Stock Options ("NQSOs") which represent a contingent right to receive one share of Common Stock for each NQSO at a price of $2.51. The NQSOs vest 1/3 on December 29, 2022, 1/3 December 29, 2023 and 1/3 December 29, 2024. These NQSOs expire on December 29, 2026. The right of exercise shall be cumulative so that to the extent this Option is not exercised in any period to the maximum extent permissible it shall continue to be exercisable, in whole or in part, with respect to all Shares Subject to Option for which it is vested until the earlier of the date on which this Option is fully exercised and the Expiration Date.

F2 · derivative.exercise_price: On July 23, 2024, the Issuer's Board of Directors approved an option repricing (the "Repricing") whereby the Reporting Person's options were repriced to an exercise price of $0.7042 per share. All of the other terms of the options remain unchanged. Such transactions were exempt pursuant to Rule 16b-6(d) and Rule 16b-3 of the Exchange Act, as applicable.

F3 · derivative.exercise_date: The Reporting Person was granted Non-Qualified Stock Options ("NQSOs") which represent a contingent right to receive one share of Common Stock for each NQSO at a price of $2.51. The NQSOs vest 1/3 on December 29, 2022, 1/3 December 29, 2023 and 1/3 December 29, 2024. These NQSOs expire on December 29, 2026. The right of exercise shall be cumulative so that to the extent this Option is not exercised in any period to the maximum extent permissible it shall continue to be exercisable, in whole or in part, with respect to all Shares Subject to Option for which it is vested until the earlier of the date on which this Option is fully exercised and the Expiration Date.

SEC source: 0001493152-24-029131 · ownership.xml · derivative · entry 3

Caragol William J · CIK 0001380465 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 30,000 shares

Expires 2026-12-29

F3 · security: The Reporting Person was granted Non-Qualified Stock Options ("NQSOs") which represent a contingent right to receive one share of Common Stock for each NQSO at a price of $2.51. The NQSOs vest 1/3 on December 29, 2022, 1/3 December 29, 2023 and 1/3 December 29, 2024. These NQSOs expire on December 29, 2026. The right of exercise shall be cumulative so that to the extent this Option is not exercised in any period to the maximum extent permissible it shall continue to be exercisable, in whole or in part, with respect to all Shares Subject to Option for which it is vested until the earlier of the date on which this Option is fully exercised and the Expiration Date.

F3 · derivative.exercise_date: The Reporting Person was granted Non-Qualified Stock Options ("NQSOs") which represent a contingent right to receive one share of Common Stock for each NQSO at a price of $2.51. The NQSOs vest 1/3 on December 29, 2022, 1/3 December 29, 2023 and 1/3 December 29, 2024. These NQSOs expire on December 29, 2026. The right of exercise shall be cumulative so that to the extent this Option is not exercised in any period to the maximum extent permissible it shall continue to be exercisable, in whole or in part, with respect to all Shares Subject to Option for which it is vested until the earlier of the date on which this Option is fully exercised and the Expiration Date.

SEC source: 0001493152-24-029131 · ownership.xml · derivative · entry 2

Caragol William J · CIK 0001380465 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2026-08-06

F1 · security: The Reporting Person was granted Non-Qualified Stock Options ("NQSOs") which represent a contingent right to receive one share of Common Stock for each NQSO at a price of $5.50. The NQSOs vest entirely on January 1st of 2022. These NQSOs expire on August 6th, 2026. The right of exercise shall be cumulative so that to the extent this Option is not exercised in any period to the maximum extent permissible it shall continue to be exercisable, in whole or in part, with respect to all Shares Subject to Option for which it is vested until the earlier of the date on which this Option is fully exercised and the Expiration Date.

F2 · derivative.exercise_price: On July 23, 2024, the Issuer's Board of Directors approved an option repricing (the "Repricing") whereby the Reporting Person's options were repriced to an exercise price of $0.7042 per share. All of the other terms of the options remain unchanged. Such transactions were exempt pursuant to Rule 16b-6(d) and Rule 16b-3 of the Exchange Act, as applicable.

F1 · derivative.exercise_date: The Reporting Person was granted Non-Qualified Stock Options ("NQSOs") which represent a contingent right to receive one share of Common Stock for each NQSO at a price of $5.50. The NQSOs vest entirely on January 1st of 2022. These NQSOs expire on August 6th, 2026. The right of exercise shall be cumulative so that to the extent this Option is not exercised in any period to the maximum extent permissible it shall continue to be exercisable, in whole or in part, with respect to all Shares Subject to Option for which it is vested until the earlier of the date on which this Option is fully exercised and the Expiration Date.

SEC source: 0001493152-24-029131 · ownership.xml · derivative · entry 1

Caragol William J · CIK 0001380465 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 15,000 shares

Expires 2026-08-06

F1 · security: The Reporting Person was granted Non-Qualified Stock Options ("NQSOs") which represent a contingent right to receive one share of Common Stock for each NQSO at a price of $5.50. The NQSOs vest entirely on January 1st of 2022. These NQSOs expire on August 6th, 2026. The right of exercise shall be cumulative so that to the extent this Option is not exercised in any period to the maximum extent permissible it shall continue to be exercisable, in whole or in part, with respect to all Shares Subject to Option for which it is vested until the earlier of the date on which this Option is fully exercised and the Expiration Date.

F1 · derivative.exercise_date: The Reporting Person was granted Non-Qualified Stock Options ("NQSOs") which represent a contingent right to receive one share of Common Stock for each NQSO at a price of $5.50. The NQSOs vest entirely on January 1st of 2022. These NQSOs expire on August 6th, 2026. The right of exercise shall be cumulative so that to the extent this Option is not exercised in any period to the maximum extent permissible it shall continue to be exercisable, in whole or in part, with respect to all Shares Subject to Option for which it is vested until the earlier of the date on which this Option is fully exercised and the Expiration Date.

SEC source: 0001213900-23-075800 · ownership.xml · nonDerivative · entry 1

Caragol William J · CIK 0001380465 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,000

F1 · price: The reported price is a weighted average price. These shares were purchased in multiple transactions ranging from $1.36 to $1.42, inclusive. The reporting person undertakes to provide Janover Inc., any security holder of Janover Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares bought at each separate price within the range set forth in this footnote to this Form 4.

SEC source: 0001213900-23-059914 · ownership.xml · derivative · entry 1

Caragol William J · CIK 0001380465 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2033-07-24

SEC source: 0001213900-23-075800 · ownership.xml · derivative · entry 2

Caragol William J · CIK 0001380465 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2033-07-24

SEC source: 0001493152-23-025379 · ownership.xml · derivative · entry 1

Caragol William J · CIK 0001380465 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,500

Underlying: Common Stock · 7,500 shares

Expires 2028-07-21

F1 · derivative.exercise_date: 50% of option vests on the first anniversary of the date of grant and 50% of option vests on the second anniversary of the date of grant.

SEC source: 0001493152-23-003277 · ownership.xml · derivative · entry 1

Caragol William J · CIK 0001380465 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 120,000

Underlying: Common Stock · 120,000 shares

Expires not disclosed

F1 · derivative.exercise_date: Non-qualified stock option granted under the Worksport Ltd 2022 Equity Incentive Plan (the "2022 Plan"). Option vests in six equal installments, commencing on the date of grant and each anniversary of the date of grant.

F2 · derivative.expiration_date: Option expires on 01/30/33 subject to the terms of the 2022 Plan.

SEC source: 0001185185-22-001199 · ownership.xml · nonDerivative · entry 1

Caragol William J · CIK 0001380465 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,444

F1 · security: Mr. Caragol earns $5,000 worth of shares of Common Stock monthly, issuable on the 15th day of each month in the number based on the closing price of our common stock on that date or the next trading day.

F2 · security: On October 17th 2022, as part of his quarterly compensation as a director of the Company, the Board of Directors of the Company granted Mr. Caragol 14,283 shares of common Stock pursuant to the Company's 2021 Restricted Stock Plan, whereby 1/3 of the shares granted shall vest in 6 months, and an additional 1/3 of the shares shall vest each month thereafter. All shares will vest fully on June 14th, 2023.

SEC source: 0001185185-22-000848 · ownership.xml · nonDerivative · entry 1

Caragol William J · CIK 0001380465 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,161

F1 · security: Mr. Caragol earns $5,000 worth of shares of Common Stock monthly, issuable on the 15th day of each month in the number based on the closing price of our common stock on that date or the next trading day.

F2 · security: On July 15th 2022, as part of his quarterly compensation as a director of the Company, the Board of Directors of the Company granted Mr. Caragol 17,646 shares of common Stock pursuant to the Company's 2021 Restricted Stock Plan, whereby 1/3 of the shares granted shall vest in 6 months, and an additional 1/3 of the shares shall vest each month thereafter. All shares will vest fully on March 15th, 2023.

SEC source: 0001185185-22-000549 · ownership.xml · nonDerivative · entry 1

Caragol William J · CIK 0001380465 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,515

F1 · security: Mr. Caragol earns $5,000 worth of shares of Common Stock monthly, issuable on the 15th day of each month in the number based on the closing price of our common stock on that date or the next trading day.

F2 · security: On April 27th 2022, as part of his quarterly compensation as a director of the Company, the Board of Directors of the Company granted Mr. Caragol 3,354 shares of common Stock pursuant to the Company's 2021 Restricted Stock Plan, whereby 1/3 of the shares granted shall vest in 6 months, and an additional 1/3 of the shares shall vest each month thereafter. All shares will vest fully on December 15, 2022.

SEC source: 0001185185-22-000296 · ownership.xml · nonDerivative · entry 1

Caragol William J · CIK 0001380465 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,161

F1 · security: Mr. Caragol earns $5,000 worth of shares of Common Stock monthly, issuable on the 15th day of each month in the number based on the closing price of our Common stock on that date or the next trading day. As part of his quarterly compensation as a director of the Company, the Board of Directors of the Company granted shares valued at $3,600 in a March issuance that will be applied against Q2 issuances.

SEC source: 0001185185-22-000117 · ownership.xml · nonDerivative · entry 3

Caragol William J · CIK 0001380465 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,680

F2 · security: On January 21, 2022, as part of his quarterly compensation as a director of the Company, the Board of Directors of the Company granted Mr. Caragol 3,513 shares of common stock pursuant to the Company's 2021 Restricted Stock Plan, whereby 1/3 of the shares granted vest immediately upon issuance, an additional 1/3 of the shares shall vest each month thereafter, and all shares vest fully on March 15th, 2022.

SEC source: 0001185185-22-000117 · ownership.xml · nonDerivative · entry 2

Caragol William J · CIK 0001380465 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,167

SEC source: 0001185185-22-000117 · ownership.xml · nonDerivative · entry 1

Caragol William J · CIK 0001380465 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,159

F1 · security: Mr. Caragol earns $5,000 worth of shares of Common Stock monthly, issuable on the 15th day of each month in the number based on the closing price of our Common stock on that date or the next trading day. The issuances for November and December 2021 were delayed and consolidated in one issuance.

SEC source: 0001493152-21-032881 · ownership.xml · derivative · entry 2

Caragol William J · CIK 0001380465 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,000

Underlying: Common Stock · 30,000 shares

Expires 2026-12-29

F1 · derivative.exercise_date: The Reporting Person was granted Non-Qualified Stock Options ("NQSOs") which represent a contingent right to receive one share of Common Stock for each NQSO at a price of $2.51. The NQSOs vest 1/3 on December 29, 2022, 1/3 December 29, 2023 and 1/3 December 29, 2024. These NQSOs expire on December 29, 2026. The right of exercise shall be cumulative so that to the extent this Option is not exercised in any period to the maximum extent permissible it shall continue to be exercisable, in whole or in part, with respect to all Shares Subject to Option for which it is vested until the earlier of the date on which this Option is fully exercised and the Expiration Date.

SEC source: 0001185185-21-001495 · ownership.xml · nonDerivative · entry 1

Caragol William J · CIK 0001380465 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,401

F1 · shares: Mr. Caragol earns $5,000 worth of shares of Common Stock monthly, issuable on the 15th day of each month in the number based on the closing price of our Common stock on that date or the next trading day.

SEC source: 0001185185-21-001365 · ownership.xml · nonDerivative · entry 1

Caragol William J · CIK 0001380465 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,742

F1 · shares: Mr. Caragol earns $5,000 worth of shares of Common Stock monthly, issuable on the 15th day of each month in the number based on the closing price of our Common stock on that date or the next trading day.

SEC source: 0001185185-21-001317 · ownership.xml · nonDerivative · entry 7

Caragol William J · CIK 0001380465 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,246

SEC source: 0001493152-21-026968 · ownership.xml · derivative · entry 2

Caragol William J · CIK 0001380465 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2026-08-06

F2 · derivative.exercise_price: The Reporting Person was granted Non-Qualified Stock Options ("NQSOs") which represent a contingent right to receive one share of Common Stock for each NQSO at a price of $5.50. The NQSOs vest entirely on January 1st of 2022. These NQSOs expire on August 6th, 2026. The right of exercise shall be cumulative so that to the extent this Option is not exercised in any period to the maximum extent permissible it shall continue to be exercisable, in whole or in part, with respect to all Shares Subject to Option for which it is vested until the earlier of the date on which this Option is fully exercised and the Expiration Date.

SEC source: 0001493152-21-026968 · ownership.xml · nonDerivative · entry 1

Caragol William J · CIK 0001380465 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

F1 · deemedExecutionDate: The Reporting Person was granted restricted stock units ("RSUs") which represent a contingent right to receive one share of Common Stock for each RSU priced at the stock's price on the date the agreement was signed. The RSUs vest entirely on January 1st of 2022. Unless otherwise provided, on the vesting date, shares of Common Stock will automatically be sold to satisfy the Reporting Person's tax withholding obligations in a non-discretionary transaction.

SEC source: 0001185185-21-001317 · ownership.xml · nonDerivative · entry 6

Caragol William J · CIK 0001380465 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,599

SEC source: 0001185185-21-001317 · ownership.xml · nonDerivative · entry 5

Caragol William J · CIK 0001380465 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,117

SEC source: 0001185185-21-001317 · ownership.xml · nonDerivative · entry 4

Caragol William J · CIK 0001380465 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,774

SEC source: 0001185185-21-001317 · ownership.xml · nonDerivative · entry 3

Caragol William J · CIK 0001380465 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,232

SEC source: 0001185185-21-001317 · ownership.xml · nonDerivative · entry 2

Caragol William J · CIK 0001380465 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 737

SEC source: 0001185185-21-001317 · ownership.xml · nonDerivative · entry 1

Caragol William J · CIK 0001380465 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 348

F1 · shares: Mr. Caragol earns $5,000 worth of shares of Common Stock monthly, issuable on the 15th day of each month in the number based on the closing price of our Common stock on that date or the next trading day.

SEC source: 0001493152-17-003191 · form4.xml · derivative · entry 1

Caragol William J · CIK 0001380465 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,327

Underlying: Common Stock · 1,388,888,889 shares

Expires not disclosed

F1 · security: On March 29, 2017, PositiveID Corporation granted to Mr. Caragol 250 shares of Series II Convertible Preferred Stock ("Series II") as compensation for 2016. The Series II granted to Mr. Caragol have a stated value of $1,000 per share and are convertible into 1,388,888,889 shares of common stock, par value $0.0001 ("Common Stock"), at a conversion price of $0.00018 per share. The Series II will vest on January 1, 2019. Each share of Series II holds 25 votes per share for a total of 34,722,222,222 votes.

F3 · security: As of March 29, 2017, Mr. Caragol owns (i) 44,668 shares of common stock and 170,000 options to purchase shares of Common Stock; and (ii) 1,327 shares of Series II, which were convertible as of March 29, 2017 into 7,598,441,400 shares of Common Stock. Each share of Series II holds 25 votes per share for a total of 189,961,035,008 votes. The shares of Series II constitute the majority of his beneficial ownership in the Company.

F1 · derivative.exercise_price: On March 29, 2017, PositiveID Corporation granted to Mr. Caragol 250 shares of Series II Convertible Preferred Stock ("Series II") as compensation for 2016. The Series II granted to Mr. Caragol have a stated value of $1,000 per share and are convertible into 1,388,888,889 shares of common stock, par value $0.0001 ("Common Stock"), at a conversion price of $0.00018 per share. The Series II will vest on January 1, 2019. Each share of Series II holds 25 votes per share for a total of 34,722,222,222 votes.

F1 · shares: On March 29, 2017, PositiveID Corporation granted to Mr. Caragol 250 shares of Series II Convertible Preferred Stock ("Series II") as compensation for 2016. The Series II granted to Mr. Caragol have a stated value of $1,000 per share and are convertible into 1,388,888,889 shares of common stock, par value $0.0001 ("Common Stock"), at a conversion price of $0.00018 per share. The Series II will vest on January 1, 2019. Each share of Series II holds 25 votes per share for a total of 34,722,222,222 votes.

F1 · price: On March 29, 2017, PositiveID Corporation granted to Mr. Caragol 250 shares of Series II Convertible Preferred Stock ("Series II") as compensation for 2016. The Series II granted to Mr. Caragol have a stated value of $1,000 per share and are convertible into 1,388,888,889 shares of common stock, par value $0.0001 ("Common Stock"), at a conversion price of $0.00018 per share. The Series II will vest on January 1, 2019. Each share of Series II holds 25 votes per share for a total of 34,722,222,222 votes.

F1 · derivative.exercise_date: On March 29, 2017, PositiveID Corporation granted to Mr. Caragol 250 shares of Series II Convertible Preferred Stock ("Series II") as compensation for 2016. The Series II granted to Mr. Caragol have a stated value of $1,000 per share and are convertible into 1,388,888,889 shares of common stock, par value $0.0001 ("Common Stock"), at a conversion price of $0.00018 per share. The Series II will vest on January 1, 2019. Each share of Series II holds 25 votes per share for a total of 34,722,222,222 votes.

F2 · derivative.expiration_date: No expiration date.

F3 · derivative.underlying: As of March 29, 2017, Mr. Caragol owns (i) 44,668 shares of common stock and 170,000 options to purchase shares of Common Stock; and (ii) 1,327 shares of Series II, which were convertible as of March 29, 2017 into 7,598,441,400 shares of Common Stock. Each share of Series II holds 25 votes per share for a total of 189,961,035,008 votes. The shares of Series II constitute the majority of his beneficial ownership in the Company.

F1 · derivative.underlying_shares: On March 29, 2017, PositiveID Corporation granted to Mr. Caragol 250 shares of Series II Convertible Preferred Stock ("Series II") as compensation for 2016. The Series II granted to Mr. Caragol have a stated value of $1,000 per share and are convertible into 1,388,888,889 shares of common stock, par value $0.0001 ("Common Stock"), at a conversion price of $0.00018 per share. The Series II will vest on January 1, 2019. Each share of Series II holds 25 votes per share for a total of 34,722,222,222 votes.

F1 · balance_after: On March 29, 2017, PositiveID Corporation granted to Mr. Caragol 250 shares of Series II Convertible Preferred Stock ("Series II") as compensation for 2016. The Series II granted to Mr. Caragol have a stated value of $1,000 per share and are convertible into 1,388,888,889 shares of common stock, par value $0.0001 ("Common Stock"), at a conversion price of $0.00018 per share. The Series II will vest on January 1, 2019. Each share of Series II holds 25 votes per share for a total of 34,722,222,222 votes.