Chan Heng Fai Ambrose

SEC source: 0001493152-25-003859 · ownership.xml · nonDerivative · entry 1

Chan Heng Fai Ambrose · CIK 0001261725 · Director · 10% owner · Executive Chairman

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 9,727

F1 · balance_after: On January 23, 2025, Mr. Chan purchased 1,473 shares of the Issuer's common stock at a weighted average purchase price of $2.65 per share. The reporting person hereby undertakes to provide, upon request of the SEC staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001493152-25-003450 · ownership.xml · nonDerivative · entry 2

Chan Heng Fai Ambrose · CIK 0001261725 · Director · 10% owner · Executive Chairman

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,254

F1 · balance_after: On January 21, 2025, Mr. Chan Heng Fai purchased 7,701 shares of the Issuer's common stock at a weighted average purchase price of $1.718 per share. The reporting person hereby undertakes to provide, upon request of the SEC staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares and prices at which the transaction was effected. On January 22, 2025, Mr. Chan Heng Fai purchased 553 shares of the Issuer's common stock at a weighted average purchase price of $1.998 per share. The reporting person hereby undertakes to provide, upon request of the SEC staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001493152-25-003474 · ownership.xml · nonDerivative · entry 1

Chan Heng Fai Ambrose · CIK 0001261725 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,938,438

F1 · price: On January 22, 2025, Mr. Chan acquired 50,000 shares of the Issuer's common stock. This transaction was executed in multiple trades at prices ranging from $0.82 to $0.86. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide, upon request of the SEC staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares and prices at which the transaction was effected.

F2 · balance_after: In addition to the shares of common stock held directly by Mr. Chan, Mr. Chan also indirectly owns 319,000 shares of common stock held by HFE Holdings Limited. Mr. Chan has sole voting and investment power with respect to the shares held by HFE Holdings Limited. Mr. Chan is the beneficial owner of 6,257,438 shares of the common stock of Alset Inc.

SEC source: 0001493152-25-003450 · ownership.xml · nonDerivative · entry 1

Chan Heng Fai Ambrose · CIK 0001261725 · Director · 10% owner · Executive Chairman

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,701

F1 · balance_after: On January 21, 2025, Mr. Chan Heng Fai purchased 7,701 shares of the Issuer's common stock at a weighted average purchase price of $1.718 per share. The reporting person hereby undertakes to provide, upon request of the SEC staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares and prices at which the transaction was effected. On January 22, 2025, Mr. Chan Heng Fai purchased 553 shares of the Issuer's common stock at a weighted average purchase price of $1.998 per share. The reporting person hereby undertakes to provide, upon request of the SEC staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001493152-24-052151 · ownership.xml · nonDerivative · entry 1

Chan Heng Fai Ambrose · CIK 0001261725 · Director · 10% owner

Alset Inc. · CIK 0001750106 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 12,687,954

F1 · price: On December 24, 2024, Alset Inc. entered into a Stock Purchase Agreement with HWH International Inc. (the "Issuer"), pursuant to which Alset Inc. agreed to purchase 1,300,000 newly issued shares of the Issuer's common stock from the Issuer for a price of $0.45 per share.

F2 · balance_after: The Chairman, Chief Executive Officer and majority stockholder of Alset Inc., Chan Heng Fai, may also be deemed to possess beneficial ownership of shares of the Issuer owned by Alset Inc. Alset Inc. now beneficially owns 24,976,456 shares of the Issuer's common stock, including 12,687,954 shares owned directly, 9,958,347 shares owned indirectly through its majority owned subsidiary Alset International Limited, and 2,330,155 shares owned indirectly through another majority owned subsidiary of Alset Inc., Alset Acquisition Sponsor, LLC. Mr. Chan also owns 13,000 shares of the Issuer's common stock personally.

F2 · ownership.nature: The Chairman, Chief Executive Officer and majority stockholder of Alset Inc., Chan Heng Fai, may also be deemed to possess beneficial ownership of shares of the Issuer owned by Alset Inc. Alset Inc. now beneficially owns 24,976,456 shares of the Issuer's common stock, including 12,687,954 shares owned directly, 9,958,347 shares owned indirectly through its majority owned subsidiary Alset International Limited, and 2,330,155 shares owned indirectly through another majority owned subsidiary of Alset Inc., Alset Acquisition Sponsor, LLC. Mr. Chan also owns 13,000 shares of the Issuer's common stock personally.

SEC source: 0001493152-24-049861 · ownership.xml · nonDerivative · entry 2

Chan Heng Fai Ambrose · CIK 0001261725 · Director · 10% owner

Alset Inc. · CIK 0001750106 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,184,475

F1 · shares: On December 10, 2024, Alset Inc. entered into a stock purchase agreement with DSS, Inc. (the "Issuer"), pursuant to which Alset Inc. agreed to purchase 820,597 newly issued shares of the Issuer's common stock for a purchase price of $0.9749 per share. Alset Inc. and its various subsidiaries are collectively the largest shareholder of DSS. Further, on December 10, 2024, Mr. Chan directly entered into a stock purchase agreement with the Issuer, pursuant to which he agreed to purchase 205,149 newly issued shares of the Issuer's common stock for a purchase price of $0.9749 per share. Mr. Chan is the Executive Chairman of DSS.

F1 · price: On December 10, 2024, Alset Inc. entered into a stock purchase agreement with DSS, Inc. (the "Issuer"), pursuant to which Alset Inc. agreed to purchase 820,597 newly issued shares of the Issuer's common stock for a purchase price of $0.9749 per share. Alset Inc. and its various subsidiaries are collectively the largest shareholder of DSS. Further, on December 10, 2024, Mr. Chan directly entered into a stock purchase agreement with the Issuer, pursuant to which he agreed to purchase 205,149 newly issued shares of the Issuer's common stock for a purchase price of $0.9749 per share. Mr. Chan is the Executive Chairman of DSS.

F2 · balance_after: The beneficial ownership of Mr. Chan includes a total of 5,148,664 shares of common stock, consisting of (a) 2,978 shares of common stock held by Heng Fai Holdings Limited, an entity controlled by Heng Fai Chan; (b) 1,184,475 shares of common stock held by Mr. Chan directly; (c) 2,581,268 shares of common stock held by Alset Inc., an entity controlled by Mr. Chan; (d) 1,068,309 shares of common stock held by Alset International Limited, an entity controlled by Mr. Chan and a subsidiary of Alset Inc.; and (e) 311,634 shares of common stock held by Global Biomedical Pte. Ltd., an entity controlled by Mr. Chan and a subsidiary of Alset International Limited (which is a subsidiary of Alset Inc.).

SEC source: 0001493152-24-049861 · ownership.xml · nonDerivative · entry 1

Chan Heng Fai Ambrose · CIK 0001261725 · Director · 10% owner

Alset Inc. · CIK 0001750106 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 3,961,211

F1 · shares: On December 10, 2024, Alset Inc. entered into a stock purchase agreement with DSS, Inc. (the "Issuer"), pursuant to which Alset Inc. agreed to purchase 820,597 newly issued shares of the Issuer's common stock for a purchase price of $0.9749 per share. Alset Inc. and its various subsidiaries are collectively the largest shareholder of DSS. Further, on December 10, 2024, Mr. Chan directly entered into a stock purchase agreement with the Issuer, pursuant to which he agreed to purchase 205,149 newly issued shares of the Issuer's common stock for a purchase price of $0.9749 per share. Mr. Chan is the Executive Chairman of DSS.

F1 · price: On December 10, 2024, Alset Inc. entered into a stock purchase agreement with DSS, Inc. (the "Issuer"), pursuant to which Alset Inc. agreed to purchase 820,597 newly issued shares of the Issuer's common stock for a purchase price of $0.9749 per share. Alset Inc. and its various subsidiaries are collectively the largest shareholder of DSS. Further, on December 10, 2024, Mr. Chan directly entered into a stock purchase agreement with the Issuer, pursuant to which he agreed to purchase 205,149 newly issued shares of the Issuer's common stock for a purchase price of $0.9749 per share. Mr. Chan is the Executive Chairman of DSS.

F2 · balance_after: The beneficial ownership of Mr. Chan includes a total of 5,148,664 shares of common stock, consisting of (a) 2,978 shares of common stock held by Heng Fai Holdings Limited, an entity controlled by Heng Fai Chan; (b) 1,184,475 shares of common stock held by Mr. Chan directly; (c) 2,581,268 shares of common stock held by Alset Inc., an entity controlled by Mr. Chan; (d) 1,068,309 shares of common stock held by Alset International Limited, an entity controlled by Mr. Chan and a subsidiary of Alset Inc.; and (e) 311,634 shares of common stock held by Global Biomedical Pte. Ltd., an entity controlled by Mr. Chan and a subsidiary of Alset International Limited (which is a subsidiary of Alset Inc.).

F2 · ownership.nature: The beneficial ownership of Mr. Chan includes a total of 5,148,664 shares of common stock, consisting of (a) 2,978 shares of common stock held by Heng Fai Holdings Limited, an entity controlled by Heng Fai Chan; (b) 1,184,475 shares of common stock held by Mr. Chan directly; (c) 2,581,268 shares of common stock held by Alset Inc., an entity controlled by Mr. Chan; (d) 1,068,309 shares of common stock held by Alset International Limited, an entity controlled by Mr. Chan and a subsidiary of Alset Inc.; and (e) 311,634 shares of common stock held by Global Biomedical Pte. Ltd., an entity controlled by Mr. Chan and a subsidiary of Alset International Limited (which is a subsidiary of Alset Inc.).

SEC source: 0001493152-24-047868 · ownership.xml · nonDerivative · entry 1

Chan Heng Fai Ambrose · CIK 0001261725 · Director · 10% owner

Alset Inc. · CIK 0001750106 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 11,387,954

F1 · price: On November 25, 2024, Alset Inc. entered into a Stock Purchase Agreement with HWH International Inc. (the "Issuer"), pursuant to which Alset Inc. agreed to purchase 4,411,764 newly issued shares of the Issuer's common stock from the Issuer for a price of $0.68 per share.

F2 · balance_after: The Chairman, Chief Executive Officer and majority stockholder of Alset Inc., Chan Heng Fai, may also be deemed to possess beneficial ownership of shares of the Issuer owned by Alset Inc. Alset Inc. now beneficially owns 23,676,456 shares of the Issuer's common stock, including 11,387,954 shares owned directly, 9,958,347 shares owned indirectly through its majority owned subsidiary Alset International Limited, and 2,330,155 shares owned indirectly through another majority owned subsidiary of Alset Inc., Alset Acquisition Sponsor, LLC. Mr. Chan also owns 13,000 shares of the Issuer's common stock personally.

F2 · ownership.nature: The Chairman, Chief Executive Officer and majority stockholder of Alset Inc., Chan Heng Fai, may also be deemed to possess beneficial ownership of shares of the Issuer owned by Alset Inc. Alset Inc. now beneficially owns 23,676,456 shares of the Issuer's common stock, including 11,387,954 shares owned directly, 9,958,347 shares owned indirectly through its majority owned subsidiary Alset International Limited, and 2,330,155 shares owned indirectly through another majority owned subsidiary of Alset Inc., Alset Acquisition Sponsor, LLC. Mr. Chan also owns 13,000 shares of the Issuer's common stock personally.

SEC source: 0001493152-25-004047 · ownership.xml · derivative · entry 6

Chan Heng Fai Ambrose · CIK 0001261725 · Director · 10% owner · Executive Chairman

Alset Inc. · CIK 0001750106 · 10% owner

HWH International Inc. · CIK 0001897245 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 3,011,906

Underlying: Common Stock · Not disclosed shares

Expires 2026-11-12

F5 · derivative.exercise_price: On November 12, 2024, the Issuer entered into a Convertible Promissory Note (the "November Note") promising to pay Alset Inc., a Texas corporation, $250,000.00. All amounts due under the November Note may be converted into the common stock of the Issuer at the discretion of the holder. The conversion price is fixed at $0.10 per share. The Issuer and Alset Inc. subsequently entered into an amendment to the November Note which set the term of the optional conversion feature of the November Note to be between March 25, 2025, and the maturity of the Note on the second anniversary of its effectiveness, November 12, 2026.

F5 · timeliness: On November 12, 2024, the Issuer entered into a Convertible Promissory Note (the "November Note") promising to pay Alset Inc., a Texas corporation, $250,000.00. All amounts due under the November Note may be converted into the common stock of the Issuer at the discretion of the holder. The conversion price is fixed at $0.10 per share. The Issuer and Alset Inc. subsequently entered into an amendment to the November Note which set the term of the optional conversion feature of the November Note to be between March 25, 2025, and the maturity of the Note on the second anniversary of its effectiveness, November 12, 2026.

F5 · shares: On November 12, 2024, the Issuer entered into a Convertible Promissory Note (the "November Note") promising to pay Alset Inc., a Texas corporation, $250,000.00. All amounts due under the November Note may be converted into the common stock of the Issuer at the discretion of the holder. The conversion price is fixed at $0.10 per share. The Issuer and Alset Inc. subsequently entered into an amendment to the November Note which set the term of the optional conversion feature of the November Note to be between March 25, 2025, and the maturity of the Note on the second anniversary of its effectiveness, November 12, 2026.

F5 · price: On November 12, 2024, the Issuer entered into a Convertible Promissory Note (the "November Note") promising to pay Alset Inc., a Texas corporation, $250,000.00. All amounts due under the November Note may be converted into the common stock of the Issuer at the discretion of the holder. The conversion price is fixed at $0.10 per share. The Issuer and Alset Inc. subsequently entered into an amendment to the November Note which set the term of the optional conversion feature of the November Note to be between March 25, 2025, and the maturity of the Note on the second anniversary of its effectiveness, November 12, 2026.

F5 · derivative.exercise_date: On November 12, 2024, the Issuer entered into a Convertible Promissory Note (the "November Note") promising to pay Alset Inc., a Texas corporation, $250,000.00. All amounts due under the November Note may be converted into the common stock of the Issuer at the discretion of the holder. The conversion price is fixed at $0.10 per share. The Issuer and Alset Inc. subsequently entered into an amendment to the November Note which set the term of the optional conversion feature of the November Note to be between March 25, 2025, and the maturity of the Note on the second anniversary of its effectiveness, November 12, 2026.

F5 · derivative.underlying_shares: On November 12, 2024, the Issuer entered into a Convertible Promissory Note (the "November Note") promising to pay Alset Inc., a Texas corporation, $250,000.00. All amounts due under the November Note may be converted into the common stock of the Issuer at the discretion of the holder. The conversion price is fixed at $0.10 per share. The Issuer and Alset Inc. subsequently entered into an amendment to the November Note which set the term of the optional conversion feature of the November Note to be between March 25, 2025, and the maturity of the Note on the second anniversary of its effectiveness, November 12, 2026.

F5 · balance_after: On November 12, 2024, the Issuer entered into a Convertible Promissory Note (the "November Note") promising to pay Alset Inc., a Texas corporation, $250,000.00. All amounts due under the November Note may be converted into the common stock of the Issuer at the discretion of the holder. The conversion price is fixed at $0.10 per share. The Issuer and Alset Inc. subsequently entered into an amendment to the November Note which set the term of the optional conversion feature of the November Note to be between March 25, 2025, and the maturity of the Note on the second anniversary of its effectiveness, November 12, 2026.

F6 · ownership.nature: Mr. Chan is the Chairman, Chief Executive Officer and majority stockholder of Alset Inc. Mr. Chan, as indirect beneficial owner, has dispositive control over the securities of the Issuer owned by Alset Inc. Mr. Chan is the Chairman of HWH International Inc., which is a majority-owned subsidiary of Alset Inc. Mr. Chan, as indirect beneficial owner, has dispositive control over the securities of the Issuer owned by HWH International Inc.

SEC source: 0001493152-24-038411 · ownership.xml · nonDerivative · entry 2

Chan Heng Fai Ambrose · CIK 0001261725 · Director · Chief Executive Officer · 10% owner

Alset Inc. · CIK 0001750106 · 10% owner

Alset International Ltd · CIK 0001660984 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 19,264,692

F2 · price: On September 24, 2024, Alset Inc. entered into a debt conversion agreement (the "AEI Debt Conversion Agreement") with the Issuer. Under the terms of the AEI Debt Conversion Agreement, Alset Inc. converted $300,000 of debt owed to it by the issuer into 476,190 newly issued shares of the Issuer's common stock.

F3 · balance_after: Alset Inc. may be deemed to possess beneficial ownership of the 16,458,347 shares of the Issuer owned by Alset International Limited as the majority owner of Alset International Limited, in addition to certain other shares held by Alset Inc. and its subsidiaries. Mr. Chan may be deemed to possess beneficial ownership of shares of the Issuer owned by Alset Inc. as the Chairman, Chief Executive Officer and majority stockholder of Alset Inc. The amount of securities beneficially owned by Mr. Chan reported here excludes 13,000 shares of the Issuer's common stock owned by Mr. Chan personally.

F5 · balance_after: Reflects the number of securities beneficially owned by Alset Inc. following the transaction.

SEC source: 0001493152-24-038411 · ownership.xml · nonDerivative · entry 1

Chan Heng Fai Ambrose · CIK 0001261725 · Director · Chief Executive Officer · 10% owner

Alset Inc. · CIK 0001750106 · 10% owner

Alset International Ltd · CIK 0001660984 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 16,458,347

F1 · price: On September 24, 2024, Alset International Limited entered into a debt conversion agreement (the "AIL Debt Conversion Agreement") with the Issuer. Under the terms of the AIL Debt Conversion Agreement, Alset International Limited converted $3,501,759.00 of debt owed to it by the issuer into 5,558,347 newly issued shares of the Issuer's common stock.

F3 · balance_after: Alset Inc. may be deemed to possess beneficial ownership of the 16,458,347 shares of the Issuer owned by Alset International Limited as the majority owner of Alset International Limited, in addition to certain other shares held by Alset Inc. and its subsidiaries. Mr. Chan may be deemed to possess beneficial ownership of shares of the Issuer owned by Alset Inc. as the Chairman, Chief Executive Officer and majority stockholder of Alset Inc. The amount of securities beneficially owned by Mr. Chan reported here excludes 13,000 shares of the Issuer's common stock owned by Mr. Chan personally.

F4 · balance_after: Reflects the number of securities beneficially owned by Alset International Limited following the transaction.

SEC source: 0001493152-24-033904 · ownership.xml · nonDerivative · entry 1

Chan Heng Fai Ambrose · CIK 0001261725 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,888,438

F1 · price: On August 22, 2024, Mr. Chan acquired 12,867 shares of the Issuer's common stock. This transaction was executed in multiple trades at prices ranging from $1.10 to $1.20. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide, upon request of the SEC staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares and prices at which the transaction was effected.

F2 · balance_after: In addition to the shares of common stock held directly by Mr. Chan, Mr. Chan also indirectly owns 319,000 shares of common stock held by HFE Holdings Limited. Mr. Chan has sole voting and investment power with respect to the shares held by HFE Holdings Limited. Mr. Chan is the beneficial owner of 6,207,438 shares of the common stock of Alset Inc.

SEC source: 0001493152-24-033567 · ownership.xml · nonDerivative · entry 1

Chan Heng Fai Ambrose · CIK 0001261725 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,875,571

F1 · price: On August 20, 2024, Mr. Chan acquired 2,983 shares of the Issuer's common stock. This transaction was executed in multiple trades at prices ranging from $0.91 to $0.96. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide, upon request of the SEC staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares and prices at which the transaction was effected.

F2 · balance_after: In addition to the shares of common stock held directly by Mr. Chan, Mr. Chan also indirectly owns 319,000 shares of common stock held by HFE Holdings Limited. Mr. Chan has sole voting and investment power with respect to the shares held by HFE Holdings Limited. Mr. Chan is the beneficial owner of 6,194,571 shares of the common stock of Alset Inc.

SEC source: 0001493152-24-033347 · ownership.xml · nonDerivative · entry 2

Chan Heng Fai Ambrose · CIK 0001261725 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,872,588

F2 · price: On August 19, 2024, Mr. Chan acquired 20,000 shares of the Issuer's common stock. This transaction was executed in multiple trades at prices ranging from $0.94 to $0.97. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide, upon request of the SEC staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares and prices at which the transaction was effected.

F3 · balance_after: In addition to the shares of common stock held directly by Mr. Chan, Mr. Chan also indirectly owns 319,000 shares of common stock held by HFE Holdings Limited. Mr. Chan has sole voting and investment power with respect to the shares held by HFE Holdings Limited. Mr. Chan is the beneficial owner of 6,191,588 shares of the common stock of Alset Inc.

SEC source: 0001493152-24-033347 · ownership.xml · nonDerivative · entry 1

Chan Heng Fai Ambrose · CIK 0001261725 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,852,588

F1 · price: On August 16, 2024, Mr. Chan acquired 7,413 shares of the Issuer's common stock. This transaction was executed in multiple trades at prices ranging from $0.86 to $0.94. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide, upon request of the SEC staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares and prices at which the transaction was effected.

F3 · balance_after: In addition to the shares of common stock held directly by Mr. Chan, Mr. Chan also indirectly owns 319,000 shares of common stock held by HFE Holdings Limited. Mr. Chan has sole voting and investment power with respect to the shares held by HFE Holdings Limited. Mr. Chan is the beneficial owner of 6,191,588 shares of the common stock of Alset Inc.

SEC source: 0001493152-25-004047 · ownership.xml · derivative · entry 5

Chan Heng Fai Ambrose · CIK 0001261725 · Director · 10% owner · Executive Chairman

Alset Inc. · CIK 0001750106 · 10% owner

HWH International Inc. · CIK 0001897245 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 511,906

Underlying: Common Stock · Not disclosed shares

Expires 2027-08-13

F4 · derivative.exercise_price: On August 13, 2024, the Issuer entered into a Convertible Promissory Note (the "August Note") promising to pay HWH $100,000.00. All amounts due under the August Note may be converted into the common stock of the Issuer at the discretion of the holder. The conversion price is fixed at $2.80 per share. The Issuer and HWH subsequently entered into an amendment to the August Note which set the term of the optional conversion feature of the August Note to be between March 25, 2025, and the maturity of the Note on the third anniversary of its effectiveness, August 13, 2027.

F4 · timeliness: On August 13, 2024, the Issuer entered into a Convertible Promissory Note (the "August Note") promising to pay HWH $100,000.00. All amounts due under the August Note may be converted into the common stock of the Issuer at the discretion of the holder. The conversion price is fixed at $2.80 per share. The Issuer and HWH subsequently entered into an amendment to the August Note which set the term of the optional conversion feature of the August Note to be between March 25, 2025, and the maturity of the Note on the third anniversary of its effectiveness, August 13, 2027.

F4 · shares: On August 13, 2024, the Issuer entered into a Convertible Promissory Note (the "August Note") promising to pay HWH $100,000.00. All amounts due under the August Note may be converted into the common stock of the Issuer at the discretion of the holder. The conversion price is fixed at $2.80 per share. The Issuer and HWH subsequently entered into an amendment to the August Note which set the term of the optional conversion feature of the August Note to be between March 25, 2025, and the maturity of the Note on the third anniversary of its effectiveness, August 13, 2027.

F4 · price: On August 13, 2024, the Issuer entered into a Convertible Promissory Note (the "August Note") promising to pay HWH $100,000.00. All amounts due under the August Note may be converted into the common stock of the Issuer at the discretion of the holder. The conversion price is fixed at $2.80 per share. The Issuer and HWH subsequently entered into an amendment to the August Note which set the term of the optional conversion feature of the August Note to be between March 25, 2025, and the maturity of the Note on the third anniversary of its effectiveness, August 13, 2027.

F4 · derivative.exercise_date: On August 13, 2024, the Issuer entered into a Convertible Promissory Note (the "August Note") promising to pay HWH $100,000.00. All amounts due under the August Note may be converted into the common stock of the Issuer at the discretion of the holder. The conversion price is fixed at $2.80 per share. The Issuer and HWH subsequently entered into an amendment to the August Note which set the term of the optional conversion feature of the August Note to be between March 25, 2025, and the maturity of the Note on the third anniversary of its effectiveness, August 13, 2027.

F4 · derivative.underlying_shares: On August 13, 2024, the Issuer entered into a Convertible Promissory Note (the "August Note") promising to pay HWH $100,000.00. All amounts due under the August Note may be converted into the common stock of the Issuer at the discretion of the holder. The conversion price is fixed at $2.80 per share. The Issuer and HWH subsequently entered into an amendment to the August Note which set the term of the optional conversion feature of the August Note to be between March 25, 2025, and the maturity of the Note on the third anniversary of its effectiveness, August 13, 2027.

F4 · balance_after: On August 13, 2024, the Issuer entered into a Convertible Promissory Note (the "August Note") promising to pay HWH $100,000.00. All amounts due under the August Note may be converted into the common stock of the Issuer at the discretion of the holder. The conversion price is fixed at $2.80 per share. The Issuer and HWH subsequently entered into an amendment to the August Note which set the term of the optional conversion feature of the August Note to be between March 25, 2025, and the maturity of the Note on the third anniversary of its effectiveness, August 13, 2027.

F6 · ownership.nature: Mr. Chan is the Chairman, Chief Executive Officer and majority stockholder of Alset Inc. Mr. Chan, as indirect beneficial owner, has dispositive control over the securities of the Issuer owned by Alset Inc. Mr. Chan is the Chairman of HWH International Inc., which is a majority-owned subsidiary of Alset Inc. Mr. Chan, as indirect beneficial owner, has dispositive control over the securities of the Issuer owned by HWH International Inc.

SEC source: 0001493152-24-028176 · ownership.xml · derivative · entry 1

Chan Heng Fai Ambrose · CIK 0001261725 · Director · 10% owner

Hapi Metaverse Inc. · CIK 0001600347 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: Not disclosed

Underlying: Common Stock · Not disclosed shares

Expires 2027-07-15

F1 · reported_value: Please refer to Remarks, below.

F1 · price: Please refer to Remarks, below.

F1 · derivative.underlying_shares: Please refer to Remarks, below.

F1 · valueOwnedAfter: Please refer to Remarks, below.

F2 · ownership.nature: Held by Hapi Metaverse Inc. The majority stockholder of Hapi Metaverse Inc. is Alset Inc. Mr. Chan is, personally and through an entity he controls, the majority shareholder of Alset Inc., and the Chairman and Chief Executive Officer of Alset Inc. The Reporting Person has dispositive control over these securities.

SEC source: 0001493152-24-025611 · ownership.xml · nonDerivative · entry 2

Chan Heng Fai Ambrose · CIK 0001261725 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,845,175

F1 · price: On June 27, 2024, Mr. Chan acquired 120,000 shares of the Issuer's common stock. This transaction was executed in multiple trades at prices ranging from $1.52 to $2.01. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide, upon request of the SEC staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares and prices at which the transaction was effected.

F2 · balance_after: In addition to the shares of common stock held directly by Mr. Chan, Mr. Chan also indirectly owns 319,000 shares of common stock held by HFE Holdings Limited. Mr. Chan has sole voting and investment power with respect to the shares held by HFE Holdings Limited. Mr. Chan is the beneficial owner of 6,164,175 shares of the common stock of Alset Inc.

SEC source: 0001493152-24-025611 · ownership.xml · nonDerivative · entry 1

Chan Heng Fai Ambrose · CIK 0001261725 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,725,175

F2 · balance_after: In addition to the shares of common stock held directly by Mr. Chan, Mr. Chan also indirectly owns 319,000 shares of common stock held by HFE Holdings Limited. Mr. Chan has sole voting and investment power with respect to the shares held by HFE Holdings Limited. Mr. Chan is the beneficial owner of 6,164,175 shares of the common stock of Alset Inc.

SEC source: 0001493152-24-025331 · ownership.xml · nonDerivative · entry 1

Chan Heng Fai Ambrose · CIK 0001261725 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,721,857

F1 · balance_after: In addition to the shares of common stock held directly by Mr. Chan, Mr. Chan also indirectly owns 319,000 shares of common stock held by HFE Holdings Limited. Mr. Chan has sole voting and investment power with respect to the shares held by HFE Holdings Limited. Mr. Chan is the beneficial owner of 6,040,857 shares of the common stock of Alset Inc.

SEC source: 0001493152-24-024955 · ownership.xml · nonDerivative · entry 2

Chan Heng Fai Ambrose · CIK 0001261725 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,720,631

F1 · price: On June 21, 2024, Mr. Chan acquired 47,536 shares of the Issuer's common stock. This transaction was executed in multiple trades at prices ranging from $1.15 to $1.25. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide, upon request of the SEC staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares and prices at which the transaction was effected.

F2 · balance_after: In addition to the shares of common stock held directly by Mr. Chan, Mr. Chan also indirectly owns 319,000 shares of common stock held by HFE Holdings Limited. Mr. Chan has sole voting and investment power with respect to the shares held by HFE Holdings Limited. Mr. Chan is the beneficial owner of 6,039,631 shares of the common stock of Alset Inc.

SEC source: 0001493152-24-024955 · ownership.xml · nonDerivative · entry 1

Chan Heng Fai Ambrose · CIK 0001261725 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,673,095

F2 · balance_after: In addition to the shares of common stock held directly by Mr. Chan, Mr. Chan also indirectly owns 319,000 shares of common stock held by HFE Holdings Limited. Mr. Chan has sole voting and investment power with respect to the shares held by HFE Holdings Limited. Mr. Chan is the beneficial owner of 6,039,631 shares of the common stock of Alset Inc.

SEC source: 0001493152-24-024513 · ownership.xml · nonDerivative · entry 1

Chan Heng Fai Ambrose · CIK 0001261725 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,661,539

F1 · balance_after: In addition to the shares of common stock held directly by Mr. Chan, Mr. Chan also indirectly owns 319,000 shares of common stock held by HFE Holdings Limited. Mr. Chan has sole voting and investment power with respect to the shares held by HFE Holdings Limited. Mr. Chan is the beneficial owner of 5,980,539 shares of the common stock of Alset Inc.

SEC source: 0001493152-24-024282 · ownership.xml · nonDerivative · entry 2

Chan Heng Fai Ambrose · CIK 0001261725 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,611,539

F1 · price: On June 17, 2024, Mr. Chan acquired 42,149 shares of the Issuer's common stock. This transaction was executed in multiple trades at prices ranging from $1.14 to $1.15. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide, upon request of the SEC staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares and prices at which the transaction was effected.

F2 · balance_after: In addition to the shares of common stock held directly by Mr. Chan, Mr. Chan also indirectly owns 319,000 shares of common stock held by HFE Holdings Limited. Mr. Chan has sole voting and investment power with respect to the shares held by HFE Holdings Limited. Mr. Chan is the beneficial owner of 5,930,539 shares of the common stock of Alset Inc.

SEC source: 0001493152-24-024282 · ownership.xml · nonDerivative · entry 1

Chan Heng Fai Ambrose · CIK 0001261725 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,569,390

F2 · balance_after: In addition to the shares of common stock held directly by Mr. Chan, Mr. Chan also indirectly owns 319,000 shares of common stock held by HFE Holdings Limited. Mr. Chan has sole voting and investment power with respect to the shares held by HFE Holdings Limited. Mr. Chan is the beneficial owner of 5,930,539 shares of the common stock of Alset Inc.

SEC source: 0001493152-24-023693 · ownership.xml · nonDerivative · entry 3

Chan Heng Fai Ambrose · CIK 0001261725 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,558,718

F1 · price: On June 12, 2024, Mr. Chan acquired 81,582 shares of the Issuer's common stock. This transaction was executed in multiple trades at prices ranging from $1.04 to $1.10. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide, upon request of the SEC staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares and prices at which the transaction was effected.

F2 · balance_after: In addition to the shares of common stock held directly by Mr. Chan, Mr. Chan also indirectly owns 319,000 shares of common stock held by HFE Holdings Limited. Mr. Chan has sole voting and investment power with respect to the shares held by HFE Holdings Limited. Mr. Chan is the beneficial owner of 5,877,718 shares of the common stock of Alset Inc.

SEC source: 0001493152-24-023693 · ownership.xml · nonDerivative · entry 2

Chan Heng Fai Ambrose · CIK 0001261725 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,477,136

F2 · balance_after: In addition to the shares of common stock held directly by Mr. Chan, Mr. Chan also indirectly owns 319,000 shares of common stock held by HFE Holdings Limited. Mr. Chan has sole voting and investment power with respect to the shares held by HFE Holdings Limited. Mr. Chan is the beneficial owner of 5,877,718 shares of the common stock of Alset Inc.

SEC source: 0001493152-24-023693 · ownership.xml · nonDerivative · entry 1

Chan Heng Fai Ambrose · CIK 0001261725 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,461,154

F2 · balance_after: In addition to the shares of common stock held directly by Mr. Chan, Mr. Chan also indirectly owns 319,000 shares of common stock held by HFE Holdings Limited. Mr. Chan has sole voting and investment power with respect to the shares held by HFE Holdings Limited. Mr. Chan is the beneficial owner of 5,877,718 shares of the common stock of Alset Inc.

SEC source: 0001493152-24-023490 · ownership.xml · nonDerivative · entry 3

Chan Heng Fai Ambrose · CIK 0001261725 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,459,632

F3 · price: On June 10, 2024, Mr. Chan acquired 9,044 shares of the Issuer's common stock. This transaction was executed in multiple trades at prices ranging from $1.01 to $1.02. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide, upon request of the SEC staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares and prices at which the transaction was effected.

F4 · balance_after: In addition to the shares of common stock held directly by Mr. Chan, Mr. Chan also indirectly owns 319,000 shares of common stock held by HFE Holdings Limited. Mr. Chan has sole voting and investment power with respect to the shares held by HFE Holdings Limited. Mr. Chan is the beneficial owner of 5,778,632 shares of the common stock of Alset Inc.

SEC source: 0001493152-24-023490 · ownership.xml · nonDerivative · entry 2

Chan Heng Fai Ambrose · CIK 0001261725 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,450,588

F2 · price: On June 10, 2024, Mr. Chan acquired 7,523 shares of the Issuer's common stock. This transaction was executed in multiple trades at prices ranging from $0.96 to $1.00. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide, upon request of the SEC staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares and prices at which the transaction was effected.

F4 · balance_after: In addition to the shares of common stock held directly by Mr. Chan, Mr. Chan also indirectly owns 319,000 shares of common stock held by HFE Holdings Limited. Mr. Chan has sole voting and investment power with respect to the shares held by HFE Holdings Limited. Mr. Chan is the beneficial owner of 5,778,632 shares of the common stock of Alset Inc.

SEC source: 0001493152-24-023490 · ownership.xml · nonDerivative · entry 1

Chan Heng Fai Ambrose · CIK 0001261725 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,443,065

F1 · price: On June 7, 2024, Mr. Chan acquired 50,000 shares of the Issuer's common stock. This transaction was executed in multiple trades at prices ranging from $1.04 to $1.10. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide, upon request of the SEC staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares and prices at which the transaction was effected.

F4 · balance_after: In addition to the shares of common stock held directly by Mr. Chan, Mr. Chan also indirectly owns 319,000 shares of common stock held by HFE Holdings Limited. Mr. Chan has sole voting and investment power with respect to the shares held by HFE Holdings Limited. Mr. Chan is the beneficial owner of 5,778,632 shares of the common stock of Alset Inc.

SEC source: 0001493152-24-023337 · ownership.xml · nonDerivative · entry 1

Chan Heng Fai Ambrose · CIK 0001261725 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,393,065

F1 · price: On June 6, 2024, Mr. Chan acquired 6,753 shares of the Issuer's common stock. This transaction was executed in multiple trades at prices ranging from $1.00 to $1.30. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide, upon request of the SEC staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares and prices at which the transaction was effected.

F2 · balance_after: In addition to the shares of common stock held directly by Mr. Chan, Mr. Chan also indirectly owns 319,000 shares of common stock held by HFE Holdings Limited. Mr. Chan has sole voting and investment power with respect to the shares held by HFE Holdings Limited. Mr. Chan is the beneficial owner of 5,712,065 shares of the common stock of Alset Inc.

SEC source: 0001493152-25-004047 · ownership.xml · derivative · entry 4

Chan Heng Fai Ambrose · CIK 0001261725 · Director · 10% owner · Executive Chairman

Alset Inc. · CIK 0001750106 · 10% owner

HWH International Inc. · CIK 0001897245 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 476,192

Underlying: Common Stock · Not disclosed shares

Expires 2027-06-06

F3 · derivative.exercise_price: On June 6, 2024, the Issuer entered into a Convertible Promissory Note (the "June Note") promising to pay HWH $250,000.00. All amounts due under the June Note may be converted into the common stock of the Issuer at the discretion of the holder. The conversion price is fixed at $2.80 per share. The Issuer and HWH subsequently entered into an amendment to the June Note which set the term of the optional conversion feature of the June Note to be between March 25, 2025, and the maturity of the Note on the third anniversary of its effectiveness, June 6, 2027.

F3 · timeliness: On June 6, 2024, the Issuer entered into a Convertible Promissory Note (the "June Note") promising to pay HWH $250,000.00. All amounts due under the June Note may be converted into the common stock of the Issuer at the discretion of the holder. The conversion price is fixed at $2.80 per share. The Issuer and HWH subsequently entered into an amendment to the June Note which set the term of the optional conversion feature of the June Note to be between March 25, 2025, and the maturity of the Note on the third anniversary of its effectiveness, June 6, 2027.

F3 · shares: On June 6, 2024, the Issuer entered into a Convertible Promissory Note (the "June Note") promising to pay HWH $250,000.00. All amounts due under the June Note may be converted into the common stock of the Issuer at the discretion of the holder. The conversion price is fixed at $2.80 per share. The Issuer and HWH subsequently entered into an amendment to the June Note which set the term of the optional conversion feature of the June Note to be between March 25, 2025, and the maturity of the Note on the third anniversary of its effectiveness, June 6, 2027.

F3 · price: On June 6, 2024, the Issuer entered into a Convertible Promissory Note (the "June Note") promising to pay HWH $250,000.00. All amounts due under the June Note may be converted into the common stock of the Issuer at the discretion of the holder. The conversion price is fixed at $2.80 per share. The Issuer and HWH subsequently entered into an amendment to the June Note which set the term of the optional conversion feature of the June Note to be between March 25, 2025, and the maturity of the Note on the third anniversary of its effectiveness, June 6, 2027.

F3 · derivative.exercise_date: On June 6, 2024, the Issuer entered into a Convertible Promissory Note (the "June Note") promising to pay HWH $250,000.00. All amounts due under the June Note may be converted into the common stock of the Issuer at the discretion of the holder. The conversion price is fixed at $2.80 per share. The Issuer and HWH subsequently entered into an amendment to the June Note which set the term of the optional conversion feature of the June Note to be between March 25, 2025, and the maturity of the Note on the third anniversary of its effectiveness, June 6, 2027.

F3 · derivative.underlying_shares: On June 6, 2024, the Issuer entered into a Convertible Promissory Note (the "June Note") promising to pay HWH $250,000.00. All amounts due under the June Note may be converted into the common stock of the Issuer at the discretion of the holder. The conversion price is fixed at $2.80 per share. The Issuer and HWH subsequently entered into an amendment to the June Note which set the term of the optional conversion feature of the June Note to be between March 25, 2025, and the maturity of the Note on the third anniversary of its effectiveness, June 6, 2027.

F3 · balance_after: On June 6, 2024, the Issuer entered into a Convertible Promissory Note (the "June Note") promising to pay HWH $250,000.00. All amounts due under the June Note may be converted into the common stock of the Issuer at the discretion of the holder. The conversion price is fixed at $2.80 per share. The Issuer and HWH subsequently entered into an amendment to the June Note which set the term of the optional conversion feature of the June Note to be between March 25, 2025, and the maturity of the Note on the third anniversary of its effectiveness, June 6, 2027.

F6 · ownership.nature: Mr. Chan is the Chairman, Chief Executive Officer and majority stockholder of Alset Inc. Mr. Chan, as indirect beneficial owner, has dispositive control over the securities of the Issuer owned by Alset Inc. Mr. Chan is the Chairman of HWH International Inc., which is a majority-owned subsidiary of Alset Inc. Mr. Chan, as indirect beneficial owner, has dispositive control over the securities of the Issuer owned by HWH International Inc.

SEC source: 0001493152-24-022935 · ownership.xml · nonDerivative · entry 2

Chan Heng Fai Ambrose · CIK 0001261725 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,386,312

F2 · price: On June 5, 2024, Mr. Chan acquired 2,240 shares of the Issuer's common stock. This transaction was executed in multiple trades at prices ranging from $1.22 to $1.28. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide, upon request of the SEC staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares and prices at which the transaction was effected.

F3 · balance_after: In addition to the shares of common stock held directly by Mr. Chan, Mr. Chan also indirectly owns 319,000 shares of common stock held by HFE Holdings Limited. Mr. Chan has sole voting and investment power with respect to the shares held by HFE Holdings Limited. Mr. Chan is the beneficial owner of 5,705,312 shares of the common stock of Alset Inc.

SEC source: 0001493152-24-022935 · ownership.xml · nonDerivative · entry 1

Chan Heng Fai Ambrose · CIK 0001261725 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,384,072

F1 · price: On June 4, 2024, Mr. Chan acquired 26,964 shares of the Issuer's common stock. This transaction was executed in multiple trades at prices ranging from $1.08 to $1.10. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide, upon request of the SEC staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares and prices at which the transaction was effected.

F3 · balance_after: In addition to the shares of common stock held directly by Mr. Chan, Mr. Chan also indirectly owns 319,000 shares of common stock held by HFE Holdings Limited. Mr. Chan has sole voting and investment power with respect to the shares held by HFE Holdings Limited. Mr. Chan is the beneficial owner of 5,705,312 shares of the common stock of Alset Inc.

SEC source: 0001493152-24-022569 · ownership.xml · nonDerivative · entry 2

Chan Heng Fai Ambrose · CIK 0001261725 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,357,108

F2 · price: On June 3, 2024, Mr. Chan acquired 12,337 shares of the Issuer's common stock. This transaction was executed in multiple trades at prices ranging from $0.96 to $0.99. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide, upon request of the SEC staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares and prices at which the transaction was effected.

F3 · balance_after: In addition to the shares of common stock held directly by Mr. Chan, Mr. Chan also indirectly owns 319,000 shares of common stock held by HFE Holdings Limited. Mr. Chan has sole voting and investment power with respect to the shares held by HFE Holdings Limited. Mr. Chan is the beneficial owner of 5,676,108 shares of the common stock of Alset Inc.

SEC source: 0001493152-24-022569 · ownership.xml · nonDerivative · entry 1

Chan Heng Fai Ambrose · CIK 0001261725 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,344,771

F1 · price: On May 31, 2024, Mr. Chan acquired 7,975 shares of the Issuer's common stock at a price of $0.91 per share.

F3 · balance_after: In addition to the shares of common stock held directly by Mr. Chan, Mr. Chan also indirectly owns 319,000 shares of common stock held by HFE Holdings Limited. Mr. Chan has sole voting and investment power with respect to the shares held by HFE Holdings Limited. Mr. Chan is the beneficial owner of 5,676,108 shares of the common stock of Alset Inc.

SEC source: 0001493152-24-022233 · ownership.xml · nonDerivative · entry 2

Chan Heng Fai Ambrose · CIK 0001261725 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,336,796

F2 · price: On May 30, 2024, Mr. Chan acquired 11,990 shares of the Issuer's common stock at a price of $0.89 per share.

F3 · balance_after: In addition to the shares of common stock held directly by Mr. Chan, Mr. Chan also indirectly owns 319,000 shares of common stock held by HFE Holdings Limited. Mr. Chan has sole voting and investment power with respect to the shares held by HFE Holdings Limited. Mr. Chan is the beneficial owner of 5,655,796 shares of the common stock of Alset Inc.

SEC source: 0001493152-24-022233 · ownership.xml · nonDerivative · entry 1

Chan Heng Fai Ambrose · CIK 0001261725 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,324,806

F1 · price: On May 29, 2024, Mr. Chan acquired 177,285 shares of the Issuer's common stock. This transaction was executed in multiple trades at prices ranging from $0.85 to $0.884. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide, upon request of the SEC staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares and prices at which the transaction was effected.

F3 · balance_after: In addition to the shares of common stock held directly by Mr. Chan, Mr. Chan also indirectly owns 319,000 shares of common stock held by HFE Holdings Limited. Mr. Chan has sole voting and investment power with respect to the shares held by HFE Holdings Limited. Mr. Chan is the beneficial owner of 5,655,796 shares of the common stock of Alset Inc.

SEC source: 0001493152-24-021851 · ownership.xml · nonDerivative · entry 3

Chan Heng Fai Ambrose · CIK 0001261725 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,147,521

F3 · price: On May 28, 2024, Mr. Chan acquired 67,215 shares of the Issuer's common stock. This transaction was executed in multiple trades at prices ranging from $0.73 to $0.80. The reporting person hereby undertakes to provide, upon request of the SEC staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares and prices at which the transaction was effected.

F4 · balance_after: In addition to the shares of common stock held directly by Mr. Chan, Mr. Chan also indirectly owns 319,000 shares of common stock held by HFE Holdings Limited. Mr. Chan has sole voting and investment power with respect to the shares held by HFE Holdings Limited. Mr. Chan is the beneficial owner of 5,466,521 shares of the common stock of Alset Inc.

SEC source: 0001493152-24-021851 · ownership.xml · nonDerivative · entry 2

Chan Heng Fai Ambrose · CIK 0001261725 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,080,306

F2 · price: On May 24, 2024, Mr. Chan acquired 223,396 shares of the Issuer's common stock. This transaction was executed in multiple trades at prices ranging from $0.546 to $0.70. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide, upon request of the SEC staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares and prices at which the transaction was effected.

F4 · balance_after: In addition to the shares of common stock held directly by Mr. Chan, Mr. Chan also indirectly owns 319,000 shares of common stock held by HFE Holdings Limited. Mr. Chan has sole voting and investment power with respect to the shares held by HFE Holdings Limited. Mr. Chan is the beneficial owner of 5,466,521 shares of the common stock of Alset Inc.

SEC source: 0001493152-24-021851 · ownership.xml · nonDerivative · entry 1

Chan Heng Fai Ambrose · CIK 0001261725 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,856,910

F1 · price: On May 24, 2024, Mr. Chan acquired 233,092 shares of the Issuer's common stock at a price of $0.70 per share in a private transaction.

F4 · balance_after: In addition to the shares of common stock held directly by Mr. Chan, Mr. Chan also indirectly owns 319,000 shares of common stock held by HFE Holdings Limited. Mr. Chan has sole voting and investment power with respect to the shares held by HFE Holdings Limited. Mr. Chan is the beneficial owner of 5,466,521 shares of the common stock of Alset Inc.

SEC source: 0001493152-25-004047 · ownership.xml · derivative · entry 3

Chan Heng Fai Ambrose · CIK 0001261725 · Director · 10% owner · Executive Chairman

Alset Inc. · CIK 0001750106 · 10% owner

HWH International Inc. · CIK 0001897245 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 386,906

Underlying: Common Stock · Not disclosed shares

Expires 2027-05-18

F2 · derivative.exercise_price: On May 9, 2024, the Issuer entered into a Convertible Promissory Note (the "May Note") promising to pay HWH $250,000.00. All amounts due under the May Note may be converted into the common stock of the Issuer at the discretion of the holder. The conversion price is fixed at $2.80 per share. The Issuer and HWH subsequently entered into an amendment to the May Note which set the term of the optional conversion feature of the May Note to be between March 25, 2025, and the maturity of the Note on the third anniversary of its effectiveness, May 9, 2027.

F2 · timeliness: On May 9, 2024, the Issuer entered into a Convertible Promissory Note (the "May Note") promising to pay HWH $250,000.00. All amounts due under the May Note may be converted into the common stock of the Issuer at the discretion of the holder. The conversion price is fixed at $2.80 per share. The Issuer and HWH subsequently entered into an amendment to the May Note which set the term of the optional conversion feature of the May Note to be between March 25, 2025, and the maturity of the Note on the third anniversary of its effectiveness, May 9, 2027.

F2 · shares: On May 9, 2024, the Issuer entered into a Convertible Promissory Note (the "May Note") promising to pay HWH $250,000.00. All amounts due under the May Note may be converted into the common stock of the Issuer at the discretion of the holder. The conversion price is fixed at $2.80 per share. The Issuer and HWH subsequently entered into an amendment to the May Note which set the term of the optional conversion feature of the May Note to be between March 25, 2025, and the maturity of the Note on the third anniversary of its effectiveness, May 9, 2027.

F2 · price: On May 9, 2024, the Issuer entered into a Convertible Promissory Note (the "May Note") promising to pay HWH $250,000.00. All amounts due under the May Note may be converted into the common stock of the Issuer at the discretion of the holder. The conversion price is fixed at $2.80 per share. The Issuer and HWH subsequently entered into an amendment to the May Note which set the term of the optional conversion feature of the May Note to be between March 25, 2025, and the maturity of the Note on the third anniversary of its effectiveness, May 9, 2027.

F2 · derivative.exercise_date: On May 9, 2024, the Issuer entered into a Convertible Promissory Note (the "May Note") promising to pay HWH $250,000.00. All amounts due under the May Note may be converted into the common stock of the Issuer at the discretion of the holder. The conversion price is fixed at $2.80 per share. The Issuer and HWH subsequently entered into an amendment to the May Note which set the term of the optional conversion feature of the May Note to be between March 25, 2025, and the maturity of the Note on the third anniversary of its effectiveness, May 9, 2027.

F2 · derivative.underlying_shares: On May 9, 2024, the Issuer entered into a Convertible Promissory Note (the "May Note") promising to pay HWH $250,000.00. All amounts due under the May Note may be converted into the common stock of the Issuer at the discretion of the holder. The conversion price is fixed at $2.80 per share. The Issuer and HWH subsequently entered into an amendment to the May Note which set the term of the optional conversion feature of the May Note to be between March 25, 2025, and the maturity of the Note on the third anniversary of its effectiveness, May 9, 2027.

F2 · balance_after: On May 9, 2024, the Issuer entered into a Convertible Promissory Note (the "May Note") promising to pay HWH $250,000.00. All amounts due under the May Note may be converted into the common stock of the Issuer at the discretion of the holder. The conversion price is fixed at $2.80 per share. The Issuer and HWH subsequently entered into an amendment to the May Note which set the term of the optional conversion feature of the May Note to be between March 25, 2025, and the maturity of the Note on the third anniversary of its effectiveness, May 9, 2027.

F6 · ownership.nature: Mr. Chan is the Chairman, Chief Executive Officer and majority stockholder of Alset Inc. Mr. Chan, as indirect beneficial owner, has dispositive control over the securities of the Issuer owned by Alset Inc. Mr. Chan is the Chairman of HWH International Inc., which is a majority-owned subsidiary of Alset Inc. Mr. Chan, as indirect beneficial owner, has dispositive control over the securities of the Issuer owned by HWH International Inc.

SEC source: 0001493152-25-004047 · ownership.xml · derivative · entry 2

Chan Heng Fai Ambrose · CIK 0001261725 · Director · 10% owner · Executive Chairman

Alset Inc. · CIK 0001750106 · 10% owner

HWH International Inc. · CIK 0001897245 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 297,620

Underlying: Common Stock · Not disclosed shares

Expires 2029-03-18

F1 · derivative.exercise_price: On March 18, 2024, the Issuer entered into a Convertible Promissory Note (the "March Note") promising to pay HWH International Inc., a Delaware corporation ("HWH"), $250,000.00. All amounts due under the March Note may be converted into the common stock of the Issuer at the discretion of the holder. The conversion price is fixed at $1.68 per share. The Issuer and HWH subsequently entered into an amendment to the March Note which set the term of the optional conversion feature of the March Note to be between March 25, 2025, and the maturity of the Note on the third anniversary of its effectiveness, March 18, 2027. As further consideration for the March Note, the Issuer granted HWH a common stock purchase warrant to purchase up to 148,810 shares of the Issuer's common stock at a purchase price of $1.68 per share.

F1 · shares: On March 18, 2024, the Issuer entered into a Convertible Promissory Note (the "March Note") promising to pay HWH International Inc., a Delaware corporation ("HWH"), $250,000.00. All amounts due under the March Note may be converted into the common stock of the Issuer at the discretion of the holder. The conversion price is fixed at $1.68 per share. The Issuer and HWH subsequently entered into an amendment to the March Note which set the term of the optional conversion feature of the March Note to be between March 25, 2025, and the maturity of the Note on the third anniversary of its effectiveness, March 18, 2027. As further consideration for the March Note, the Issuer granted HWH a common stock purchase warrant to purchase up to 148,810 shares of the Issuer's common stock at a purchase price of $1.68 per share.

F1 · price: On March 18, 2024, the Issuer entered into a Convertible Promissory Note (the "March Note") promising to pay HWH International Inc., a Delaware corporation ("HWH"), $250,000.00. All amounts due under the March Note may be converted into the common stock of the Issuer at the discretion of the holder. The conversion price is fixed at $1.68 per share. The Issuer and HWH subsequently entered into an amendment to the March Note which set the term of the optional conversion feature of the March Note to be between March 25, 2025, and the maturity of the Note on the third anniversary of its effectiveness, March 18, 2027. As further consideration for the March Note, the Issuer granted HWH a common stock purchase warrant to purchase up to 148,810 shares of the Issuer's common stock at a purchase price of $1.68 per share.

F1 · derivative.underlying_shares: On March 18, 2024, the Issuer entered into a Convertible Promissory Note (the "March Note") promising to pay HWH International Inc., a Delaware corporation ("HWH"), $250,000.00. All amounts due under the March Note may be converted into the common stock of the Issuer at the discretion of the holder. The conversion price is fixed at $1.68 per share. The Issuer and HWH subsequently entered into an amendment to the March Note which set the term of the optional conversion feature of the March Note to be between March 25, 2025, and the maturity of the Note on the third anniversary of its effectiveness, March 18, 2027. As further consideration for the March Note, the Issuer granted HWH a common stock purchase warrant to purchase up to 148,810 shares of the Issuer's common stock at a purchase price of $1.68 per share.

F1 · balance_after: On March 18, 2024, the Issuer entered into a Convertible Promissory Note (the "March Note") promising to pay HWH International Inc., a Delaware corporation ("HWH"), $250,000.00. All amounts due under the March Note may be converted into the common stock of the Issuer at the discretion of the holder. The conversion price is fixed at $1.68 per share. The Issuer and HWH subsequently entered into an amendment to the March Note which set the term of the optional conversion feature of the March Note to be between March 25, 2025, and the maturity of the Note on the third anniversary of its effectiveness, March 18, 2027. As further consideration for the March Note, the Issuer granted HWH a common stock purchase warrant to purchase up to 148,810 shares of the Issuer's common stock at a purchase price of $1.68 per share.

F6 · ownership.nature: Mr. Chan is the Chairman, Chief Executive Officer and majority stockholder of Alset Inc. Mr. Chan, as indirect beneficial owner, has dispositive control over the securities of the Issuer owned by Alset Inc. Mr. Chan is the Chairman of HWH International Inc., which is a majority-owned subsidiary of Alset Inc. Mr. Chan, as indirect beneficial owner, has dispositive control over the securities of the Issuer owned by HWH International Inc.

SEC source: 0001493152-25-004047 · ownership.xml · derivative · entry 1

Chan Heng Fai Ambrose · CIK 0001261725 · Director · 10% owner · Executive Chairman

Alset Inc. · CIK 0001750106 · 10% owner

HWH International Inc. · CIK 0001897245 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 148,810

Underlying: Common Stock · Not disclosed shares

Expires 2027-03-18

F1 · derivative.exercise_price: On March 18, 2024, the Issuer entered into a Convertible Promissory Note (the "March Note") promising to pay HWH International Inc., a Delaware corporation ("HWH"), $250,000.00. All amounts due under the March Note may be converted into the common stock of the Issuer at the discretion of the holder. The conversion price is fixed at $1.68 per share. The Issuer and HWH subsequently entered into an amendment to the March Note which set the term of the optional conversion feature of the March Note to be between March 25, 2025, and the maturity of the Note on the third anniversary of its effectiveness, March 18, 2027. As further consideration for the March Note, the Issuer granted HWH a common stock purchase warrant to purchase up to 148,810 shares of the Issuer's common stock at a purchase price of $1.68 per share.

F1 · timeliness: On March 18, 2024, the Issuer entered into a Convertible Promissory Note (the "March Note") promising to pay HWH International Inc., a Delaware corporation ("HWH"), $250,000.00. All amounts due under the March Note may be converted into the common stock of the Issuer at the discretion of the holder. The conversion price is fixed at $1.68 per share. The Issuer and HWH subsequently entered into an amendment to the March Note which set the term of the optional conversion feature of the March Note to be between March 25, 2025, and the maturity of the Note on the third anniversary of its effectiveness, March 18, 2027. As further consideration for the March Note, the Issuer granted HWH a common stock purchase warrant to purchase up to 148,810 shares of the Issuer's common stock at a purchase price of $1.68 per share.

F1 · shares: On March 18, 2024, the Issuer entered into a Convertible Promissory Note (the "March Note") promising to pay HWH International Inc., a Delaware corporation ("HWH"), $250,000.00. All amounts due under the March Note may be converted into the common stock of the Issuer at the discretion of the holder. The conversion price is fixed at $1.68 per share. The Issuer and HWH subsequently entered into an amendment to the March Note which set the term of the optional conversion feature of the March Note to be between March 25, 2025, and the maturity of the Note on the third anniversary of its effectiveness, March 18, 2027. As further consideration for the March Note, the Issuer granted HWH a common stock purchase warrant to purchase up to 148,810 shares of the Issuer's common stock at a purchase price of $1.68 per share.

F1 · price: On March 18, 2024, the Issuer entered into a Convertible Promissory Note (the "March Note") promising to pay HWH International Inc., a Delaware corporation ("HWH"), $250,000.00. All amounts due under the March Note may be converted into the common stock of the Issuer at the discretion of the holder. The conversion price is fixed at $1.68 per share. The Issuer and HWH subsequently entered into an amendment to the March Note which set the term of the optional conversion feature of the March Note to be between March 25, 2025, and the maturity of the Note on the third anniversary of its effectiveness, March 18, 2027. As further consideration for the March Note, the Issuer granted HWH a common stock purchase warrant to purchase up to 148,810 shares of the Issuer's common stock at a purchase price of $1.68 per share.

F1 · derivative.exercise_date: On March 18, 2024, the Issuer entered into a Convertible Promissory Note (the "March Note") promising to pay HWH International Inc., a Delaware corporation ("HWH"), $250,000.00. All amounts due under the March Note may be converted into the common stock of the Issuer at the discretion of the holder. The conversion price is fixed at $1.68 per share. The Issuer and HWH subsequently entered into an amendment to the March Note which set the term of the optional conversion feature of the March Note to be between March 25, 2025, and the maturity of the Note on the third anniversary of its effectiveness, March 18, 2027. As further consideration for the March Note, the Issuer granted HWH a common stock purchase warrant to purchase up to 148,810 shares of the Issuer's common stock at a purchase price of $1.68 per share.

F1 · derivative.underlying_shares: On March 18, 2024, the Issuer entered into a Convertible Promissory Note (the "March Note") promising to pay HWH International Inc., a Delaware corporation ("HWH"), $250,000.00. All amounts due under the March Note may be converted into the common stock of the Issuer at the discretion of the holder. The conversion price is fixed at $1.68 per share. The Issuer and HWH subsequently entered into an amendment to the March Note which set the term of the optional conversion feature of the March Note to be between March 25, 2025, and the maturity of the Note on the third anniversary of its effectiveness, March 18, 2027. As further consideration for the March Note, the Issuer granted HWH a common stock purchase warrant to purchase up to 148,810 shares of the Issuer's common stock at a purchase price of $1.68 per share.

F1 · balance_after: On March 18, 2024, the Issuer entered into a Convertible Promissory Note (the "March Note") promising to pay HWH International Inc., a Delaware corporation ("HWH"), $250,000.00. All amounts due under the March Note may be converted into the common stock of the Issuer at the discretion of the holder. The conversion price is fixed at $1.68 per share. The Issuer and HWH subsequently entered into an amendment to the March Note which set the term of the optional conversion feature of the March Note to be between March 25, 2025, and the maturity of the Note on the third anniversary of its effectiveness, March 18, 2027. As further consideration for the March Note, the Issuer granted HWH a common stock purchase warrant to purchase up to 148,810 shares of the Issuer's common stock at a purchase price of $1.68 per share.

F6 · ownership.nature: Mr. Chan is the Chairman, Chief Executive Officer and majority stockholder of Alset Inc. Mr. Chan, as indirect beneficial owner, has dispositive control over the securities of the Issuer owned by Alset Inc. Mr. Chan is the Chairman of HWH International Inc., which is a majority-owned subsidiary of Alset Inc. Mr. Chan, as indirect beneficial owner, has dispositive control over the securities of the Issuer owned by HWH International Inc.

SEC source: 0001493152-24-004645 · ownership.xml · nonDerivative · entry 1

Chan Heng Fai Ambrose · CIK 0001261725 · Director · 10% owner

Alset Inc. · CIK 0001750106 · 10% owner

Alset Acquisition Sponsor, LLC · CIK 0001908910 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 2,330,155

F1 · shares: Alset Acquisition Sponsor, LLC ("the Sponsor") entered into an agreement effective January 30, 2024 (the "Agreement"), pursuant to which the Sponsor loaned a borrower (the "Borrower") 347,220 shares of the Issuer's common stock (the "Shares"). Under the terms of the Agreement, the Borrower will return the aforementioned shares to the Sponsor no later than six months following the execution of the Agreement. The Sponsor will retain the right to vote the Shares and receive any dividends paid on the Shares during the duration of the loan. The Borrower may not sell, lend or transfer the Shares. The Borrower has agreed not to buy, sell or short any securities of the Issuer for a period of one year from the date of the Agreement.

F2 · shares: Under the terms of the Agreement, the Sponsor may request the return of the Shares at any time upon five days' notice during the term of the Agreement. If the Sponsor shall request the return of the Shares during the initial 90 days of the term of the Agreement, the Sponsor shall be required to make a loan of comparable value to the Borrower.

F1 · price: Alset Acquisition Sponsor, LLC ("the Sponsor") entered into an agreement effective January 30, 2024 (the "Agreement"), pursuant to which the Sponsor loaned a borrower (the "Borrower") 347,220 shares of the Issuer's common stock (the "Shares"). Under the terms of the Agreement, the Borrower will return the aforementioned shares to the Sponsor no later than six months following the execution of the Agreement. The Sponsor will retain the right to vote the Shares and receive any dividends paid on the Shares during the duration of the loan. The Borrower may not sell, lend or transfer the Shares. The Borrower has agreed not to buy, sell or short any securities of the Issuer for a period of one year from the date of the Agreement.

F3 · price: The Sponsor has agreed that all consideration for its loan of the Shares to the Borrower shall be paid directly to the Issuer. The consideration for the loan of Shares shall consist of certain equity interest in the Borrower. The exact value of such equity interests cannot be precisely determined at the present time.

F1 · balance_after: Alset Acquisition Sponsor, LLC ("the Sponsor") entered into an agreement effective January 30, 2024 (the "Agreement"), pursuant to which the Sponsor loaned a borrower (the "Borrower") 347,220 shares of the Issuer's common stock (the "Shares"). Under the terms of the Agreement, the Borrower will return the aforementioned shares to the Sponsor no later than six months following the execution of the Agreement. The Sponsor will retain the right to vote the Shares and receive any dividends paid on the Shares during the duration of the loan. The Borrower may not sell, lend or transfer the Shares. The Borrower has agreed not to buy, sell or short any securities of the Issuer for a period of one year from the date of the Agreement.

F2 · balance_after: Under the terms of the Agreement, the Sponsor may request the return of the Shares at any time upon five days' notice during the term of the Agreement. If the Sponsor shall request the return of the Shares during the initial 90 days of the term of the Agreement, the Sponsor shall be required to make a loan of comparable value to the Borrower.

F4 · ownership.nature: Alset Inc. may be deemed to possess beneficial ownership of the shares of the Issuer owned by the Sponsor as the majority owner of the Sponsor. Mr. Chan may be deemed to possess beneficial ownership of shares of the Issuer owned by the Sponsor as the Chairman, Chief Executive Officer and majority stockholder of Alset Inc.

SEC source: 0001493152-24-003115 · ownership.xml · derivative · entry 1

Chan Heng Fai Ambrose · CIK 0001261725 · Director · 10% owner · Executive Chairman

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: Not disclosed

Underlying: Common Stock · Not disclosed shares

Expires 2024-07-17

F1 · derivative.exercise_price: On January 17, 2024, Sharing Services Global Corporation (the "Issuer") entered into a Convertible Promissory Note promising to pay Alset Inc., a Texas corporation, $250,000.00. All amounts due under the Convertible Promissory Note may be converted into the common stock of the Issuer at the discretion of the holder. The conversion price shall be equal to the average closing market price for the Issuer's common stock for the three (3) trading days prior to the date of the conversion notice.

F1 · timeliness: On January 17, 2024, Sharing Services Global Corporation (the "Issuer") entered into a Convertible Promissory Note promising to pay Alset Inc., a Texas corporation, $250,000.00. All amounts due under the Convertible Promissory Note may be converted into the common stock of the Issuer at the discretion of the holder. The conversion price shall be equal to the average closing market price for the Issuer's common stock for the three (3) trading days prior to the date of the conversion notice.

F1 · reported_value: On January 17, 2024, Sharing Services Global Corporation (the "Issuer") entered into a Convertible Promissory Note promising to pay Alset Inc., a Texas corporation, $250,000.00. All amounts due under the Convertible Promissory Note may be converted into the common stock of the Issuer at the discretion of the holder. The conversion price shall be equal to the average closing market price for the Issuer's common stock for the three (3) trading days prior to the date of the conversion notice.

F1 · price: On January 17, 2024, Sharing Services Global Corporation (the "Issuer") entered into a Convertible Promissory Note promising to pay Alset Inc., a Texas corporation, $250,000.00. All amounts due under the Convertible Promissory Note may be converted into the common stock of the Issuer at the discretion of the holder. The conversion price shall be equal to the average closing market price for the Issuer's common stock for the three (3) trading days prior to the date of the conversion notice.

F1 · derivative.exercise_date: On January 17, 2024, Sharing Services Global Corporation (the "Issuer") entered into a Convertible Promissory Note promising to pay Alset Inc., a Texas corporation, $250,000.00. All amounts due under the Convertible Promissory Note may be converted into the common stock of the Issuer at the discretion of the holder. The conversion price shall be equal to the average closing market price for the Issuer's common stock for the three (3) trading days prior to the date of the conversion notice.

F1 · derivative.underlying_shares: On January 17, 2024, Sharing Services Global Corporation (the "Issuer") entered into a Convertible Promissory Note promising to pay Alset Inc., a Texas corporation, $250,000.00. All amounts due under the Convertible Promissory Note may be converted into the common stock of the Issuer at the discretion of the holder. The conversion price shall be equal to the average closing market price for the Issuer's common stock for the three (3) trading days prior to the date of the conversion notice.

F1 · valueOwnedAfter: On January 17, 2024, Sharing Services Global Corporation (the "Issuer") entered into a Convertible Promissory Note promising to pay Alset Inc., a Texas corporation, $250,000.00. All amounts due under the Convertible Promissory Note may be converted into the common stock of the Issuer at the discretion of the holder. The conversion price shall be equal to the average closing market price for the Issuer's common stock for the three (3) trading days prior to the date of the conversion notice.

F2 · ownership.nature: Mr. Chan is the Chairman, Chief Executive Officer and majority stockholder of Alset Inc. Mr. Chan, as indirect beneficial owner, has dispositive control over the securities of the Issuer owned by Alset Inc.

SEC source: 0001493152-24-002113 · ownership.xml · derivative · entry 5

Chan Heng Fai Ambrose · CIK 0001261725 · Director · 10% owner

Alset Acquisition Sponsor, LLC · CIK 0001908910 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · Alset Capital Acquisition Sponsor, LLC

Disclosed balance after: 0

Underlying: Common Stock · 47,375 shares

Expires not disclosed

F4 · derivative.exercise_price: On February 3, 2022, the Sponsor purchased 473,750 units (the "Private Placement Units") pursuant to a private placement. Each Private Placement Unit consisted of one share of Class A common stock, one-half of one warrant and one right entitling the holder to receive one tenth (1/10) of one share of Common Stock. In connection with the business combination, the rights held by the Sponsor were converted into 47,375 shares of the Issuer's common stock.

F4 · price: On February 3, 2022, the Sponsor purchased 473,750 units (the "Private Placement Units") pursuant to a private placement. Each Private Placement Unit consisted of one share of Class A common stock, one-half of one warrant and one right entitling the holder to receive one tenth (1/10) of one share of Common Stock. In connection with the business combination, the rights held by the Sponsor were converted into 47,375 shares of the Issuer's common stock.

F4 · derivative.exercise_date: On February 3, 2022, the Sponsor purchased 473,750 units (the "Private Placement Units") pursuant to a private placement. Each Private Placement Unit consisted of one share of Class A common stock, one-half of one warrant and one right entitling the holder to receive one tenth (1/10) of one share of Common Stock. In connection with the business combination, the rights held by the Sponsor were converted into 47,375 shares of the Issuer's common stock.

F4 · derivative.expiration_date: On February 3, 2022, the Sponsor purchased 473,750 units (the "Private Placement Units") pursuant to a private placement. Each Private Placement Unit consisted of one share of Class A common stock, one-half of one warrant and one right entitling the holder to receive one tenth (1/10) of one share of Common Stock. In connection with the business combination, the rights held by the Sponsor were converted into 47,375 shares of the Issuer's common stock.

SEC source: 0001493152-24-002113 · ownership.xml · derivative · entry 4

Chan Heng Fai Ambrose · CIK 0001261725 · Director · 10% owner

Alset Acquisition Sponsor, LLC · CIK 0001908910 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · Alset Capital Acquisition Sponsor, LLC

Disclosed balance after: 0

Underlying: Common stock · 2,156,250 shares

Expires not disclosed

F3 · derivative.exercise_price: In connection with the business combination, 2,156,250 shares of Alset Class B Common Stock held by Alset Capital Acquisition Sponsor, LLC (the "Sponsor") were converted into 2,156,250 shares of the Issuer's common stock. As Chief Executive Officer of the sole member of the Sponsor, and as the Chief Executive Officer and control person of the entities which own the Sponsor's sole member, Mr. Chan may be deemed to possess beneficial ownership of the securities held of record by the Sponsor.

F3 · price: In connection with the business combination, 2,156,250 shares of Alset Class B Common Stock held by Alset Capital Acquisition Sponsor, LLC (the "Sponsor") were converted into 2,156,250 shares of the Issuer's common stock. As Chief Executive Officer of the sole member of the Sponsor, and as the Chief Executive Officer and control person of the entities which own the Sponsor's sole member, Mr. Chan may be deemed to possess beneficial ownership of the securities held of record by the Sponsor.

F3 · derivative.exercise_date: In connection with the business combination, 2,156,250 shares of Alset Class B Common Stock held by Alset Capital Acquisition Sponsor, LLC (the "Sponsor") were converted into 2,156,250 shares of the Issuer's common stock. As Chief Executive Officer of the sole member of the Sponsor, and as the Chief Executive Officer and control person of the entities which own the Sponsor's sole member, Mr. Chan may be deemed to possess beneficial ownership of the securities held of record by the Sponsor.

F3 · derivative.expiration_date: In connection with the business combination, 2,156,250 shares of Alset Class B Common Stock held by Alset Capital Acquisition Sponsor, LLC (the "Sponsor") were converted into 2,156,250 shares of the Issuer's common stock. As Chief Executive Officer of the sole member of the Sponsor, and as the Chief Executive Officer and control person of the entities which own the Sponsor's sole member, Mr. Chan may be deemed to possess beneficial ownership of the securities held of record by the Sponsor.

SEC source: 0001493152-24-002113 · ownership.xml · nonDerivative · entry 3

Chan Heng Fai Ambrose · CIK 0001261725 · Director · 10% owner

Alset Acquisition Sponsor, LLC · CIK 0001908910 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 47,375

F4 · shares: On February 3, 2022, the Sponsor purchased 473,750 units (the "Private Placement Units") pursuant to a private placement. Each Private Placement Unit consisted of one share of Class A common stock, one-half of one warrant and one right entitling the holder to receive one tenth (1/10) of one share of Common Stock. In connection with the business combination, the rights held by the Sponsor were converted into 47,375 shares of the Issuer's common stock.

F4 · price: On February 3, 2022, the Sponsor purchased 473,750 units (the "Private Placement Units") pursuant to a private placement. Each Private Placement Unit consisted of one share of Class A common stock, one-half of one warrant and one right entitling the holder to receive one tenth (1/10) of one share of Common Stock. In connection with the business combination, the rights held by the Sponsor were converted into 47,375 shares of the Issuer's common stock.

F4 · balance_after: On February 3, 2022, the Sponsor purchased 473,750 units (the "Private Placement Units") pursuant to a private placement. Each Private Placement Unit consisted of one share of Class A common stock, one-half of one warrant and one right entitling the holder to receive one tenth (1/10) of one share of Common Stock. In connection with the business combination, the rights held by the Sponsor were converted into 47,375 shares of the Issuer's common stock.

F4 · ownership.nature: On February 3, 2022, the Sponsor purchased 473,750 units (the "Private Placement Units") pursuant to a private placement. Each Private Placement Unit consisted of one share of Class A common stock, one-half of one warrant and one right entitling the holder to receive one tenth (1/10) of one share of Common Stock. In connection with the business combination, the rights held by the Sponsor were converted into 47,375 shares of the Issuer's common stock.

F5 · ownership.nature: Upon completion of the business combination, the Issuer's shares over which Mr. Chan may be deemed to possess beneficial ownership total 13,590,375 shares.

F6 · ownership.nature: Upon completion of the business combination, the Issuer's shares over which the Sponsor may be deemed to possess beneficial ownership total 2,677,375 shares.