Chan Heng Fai Ambrose

SEC source: 0001493152-22-028936 · ownership.xml · nonDerivative · entry 1

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

GigWorld Inc. · CIK 0001600347 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,351,163

F1 · kind: Represents 20,000 shares of the Issuer's common stock sold by the Reporting Person to GigWorld Inc., a Delaware corporation, pursuant to a Stock Purchase Agreement dated October 17, 2022. The purchase price for the disposed shares was $0.1663 per share for total consideration of $3,326.

F1 · shares: Represents 20,000 shares of the Issuer's common stock sold by the Reporting Person to GigWorld Inc., a Delaware corporation, pursuant to a Stock Purchase Agreement dated October 17, 2022. The purchase price for the disposed shares was $0.1663 per share for total consideration of $3,326.

SEC source: 0001493152-22-028608 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,371,163

SEC source: 0001493152-22-028379 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,361,163

SEC source: 0001493152-22-028293 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,351,163

F1 · price: On October 11, 2022, Mr. Chan acquired 10,000 shares of the Issuer's common stock. This transaction was executed in multiple trades at prices ranging from $.23602 to $.2498. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to 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: 0001493152-22-028182 · ownership.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,341,163

F2 · price: On October 10, 2022, Mr. Chan acquired 10,000 shares of the Issuer's common stock. This transaction was executed in multiple trades at prices ranging from $.2 to $.35. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to 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: 0001493152-22-028182 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,331,163

F1 · price: On October 7, 2022, Mr. Chan acquired 10,000 shares of the Issuer's common stock. This transaction was executed in multiple trades at prices ranging from $.223 to $.25. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to 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: 0001493152-22-027858 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,321,163

F1 · price: On October 5, 2022, Mr. Chan acquired 25,000 shares of the Issuer's common stock. This transaction was executed in multiple trades at prices ranging from $.1728 to $.25. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to 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: 0001493152-22-027702 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,296,163

F1 · price: On October 3, 2022, Mr. Chan acquired 20,000 shares of the Issuer's common stock. This transaction was executed in multiple trades at prices ranging from $.16041 to $.17. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to 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: 0001493152-22-027466 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 73,685,923

F1 · price: On September 30, 2022, Mr. Chan acquired 1,000,000 shares of the Issuer's common stock. This transaction was executed in multiple trades at prices ranging from $.221 to $.2791. 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 73,685,923 shares of common stock held directly by Mr. Chan, Mr. Chan also indirectly owns 6,380,000 shares of common stock held by HFE Holdings Limited and 398,348 shares of common stock held by Heng Fai Holdings Limited. Mr. Chan has sole voting and investment power with respect to the shares held by each of HFE Holdings Limited and Heng Fai Holdings Limited. Mr. Chan is the beneficial owner of 80,464,271 shares of the common stock of Alset EHome International Inc.

SEC source: 0001493152-22-019848 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 72,685,923

F1 · kind: On July 18, 2022, Mr. Chan acquired 35,319,290 shares of the Issuer's common stock pursuant to a Securities Purchase Agreement entered into with the Issuer dated January 17, 2022, as amended on February 28, 2022 (the "SPA"), wherein the Issuer agreed to purchase from Mr. Chan 293,428,200 ordinary shares of Alset International Limited for a purchase price of 35,319,290 newly issued shares of the Issuer's common stock.

F1 · price: On July 18, 2022, Mr. Chan acquired 35,319,290 shares of the Issuer's common stock pursuant to a Securities Purchase Agreement entered into with the Issuer dated January 17, 2022, as amended on February 28, 2022 (the "SPA"), wherein the Issuer agreed to purchase from Mr. Chan 293,428,200 ordinary shares of Alset International Limited for a purchase price of 35,319,290 newly issued shares of the Issuer's common stock.

F2 · balance_after: In addition to the 72,685,923 shares of common stock held directly by Mr. Chan, Mr. Chan also indirectly owns 6,380,000 shares of common stock held by HFE Holdings Limited and 398,348 shares of common stock held by Heng Fai Holdings Limited. Mr. Chan has sole voting and investment power with respect to the shares held by each of HFE Holdings Limited and Heng Fai Holdings Limited. Mr. Chan is the beneficial owner of 79,464,271 shares of the common stock of Alset EHome International Inc.

SEC source: 0001493152-22-019369 · ownership.xml · nonDerivative · entry 1

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

Alset EHome International 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: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 81,399,836

F1 · kind: On July 12, 2022, Alset International Limited ("AIL"), a majority owned subsidiary of Alset EHome International Inc. ("AEI"), was issued 21,366,177 shares of the common stock of DSS, Inc. (the "Issuer") pursuant to an assignment and assumption agreement (the "Agreement") between the Issuer and AIL dated February 25, 2022, as amended on July 12, 2022. Pursuant to the Agreement, as amended, the Issuer agreed to purchase a convertible promissory note from AIL (the "Note"). The Note has a principal amount of $8,350,000 and accrued but unpaid interest of $367,400. The Note was issued by American Medical REIT, Inc., a Maryland corporation. The consideration paid for the Note was 21,366,177 shares of the Issuer's common stock. The consideration was calculated by dividing $8,717,400, the aggregate of the principal amount and the accrued but unpaid interest under the Note, by $0.408 per share.

F1 · price: On July 12, 2022, Alset International Limited ("AIL"), a majority owned subsidiary of Alset EHome International Inc. ("AEI"), was issued 21,366,177 shares of the common stock of DSS, Inc. (the "Issuer") pursuant to an assignment and assumption agreement (the "Agreement") between the Issuer and AIL dated February 25, 2022, as amended on July 12, 2022. Pursuant to the Agreement, as amended, the Issuer agreed to purchase a convertible promissory note from AIL (the "Note"). The Note has a principal amount of $8,350,000 and accrued but unpaid interest of $367,400. The Note was issued by American Medical REIT, Inc., a Maryland corporation. The consideration paid for the Note was 21,366,177 shares of the Issuer's common stock. The consideration was calculated by dividing $8,717,400, the aggregate of the principal amount and the accrued but unpaid interest under the Note, by $0.408 per share.

F2 · balance_after: The beneficial ownership of Heng Fai Chan includes 81,399,836 shares of common stock, consisting of (a) 1,614,552 shares of common stock held by Heng Fai Holdings Limited, an entity controlled by Heng Fai Chan; (b) 16,973,020 shares of common stock held by Heng Fai Chan directly; (c) 6,232,671 shares of common stock held by Global Biomedical Pte. Ltd., a subsidiary of AIL; (d) 35,213,416 shares of common stock held by Alset EHome International Inc.; and (e) 21,366,177 shares of common stock held by AIL, a subsidiary of Alset EHome International Inc. Mr. Chan, as indirect beneficial owner, has dispositive control over the securities of the Issuer owned by Alset EHome International Inc., Global Biomedical Pte. Ltd., and Alset International Limited.

F2 · ownership.nature: The beneficial ownership of Heng Fai Chan includes 81,399,836 shares of common stock, consisting of (a) 1,614,552 shares of common stock held by Heng Fai Holdings Limited, an entity controlled by Heng Fai Chan; (b) 16,973,020 shares of common stock held by Heng Fai Chan directly; (c) 6,232,671 shares of common stock held by Global Biomedical Pte. Ltd., a subsidiary of AIL; (d) 35,213,416 shares of common stock held by Alset EHome International Inc.; and (e) 21,366,177 shares of common stock held by AIL, a subsidiary of Alset EHome International Inc. Mr. Chan, as indirect beneficial owner, has dispositive control over the securities of the Issuer owned by Alset EHome International Inc., Global Biomedical Pte. Ltd., and Alset International Limited.

SEC source: 0001493152-22-019013 · ownership.xml · nonDerivative · entry 1

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

Alset EHome International Inc. · CIK 0001750106 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 60,033,659

F1 · price: On July 7, 2022, Alset EHome International Inc. ("AEI") was issued 17,570,948 shares of common stock pursuant to a Stock Purchase Agreement ("SPA") between the Issuer and AEI dated February 28, 2022. Pursuant to the SPA, AEI agreed to sell a subsidiary holding 44,808,908 shares of stock of True Partner Capital Holding Limited, together with an additional 17,314,000 shares of True Partner Capital Holding Limited (for a total of 62,122,908 shares) in exchange for the 17,570,948 shares of the Issuer's common stock.

F2 · balance_after: The beneficial ownership of Heng Fai Chan includes 60,033,659 shares of common stock, consisting of (a) 1,614,552 shares of common stock held by Heng Fai Holdings Limited, an entity controlled by Heng Fai Chan; (b) 16,973,020 shares of common stock held by Heng Fai Chan directly; (c) 6,232,671 shares of common stock held by Global Biomedical Pte. Ltd.; and (d) 35,213,416 shares of common stock held by Alset EHome International Inc. Mr. Chan, as indirect beneficial owner, has dispositive control over the securities of the Issuer owned by Alset EHome International Inc. and Global Biomedical Pte. Ltd. Global Biomedical Pte. Ltd. is a subsidiary of an entity which is majority-owned by Alset EHome International Inc.

F2 · ownership.nature: The beneficial ownership of Heng Fai Chan includes 60,033,659 shares of common stock, consisting of (a) 1,614,552 shares of common stock held by Heng Fai Holdings Limited, an entity controlled by Heng Fai Chan; (b) 16,973,020 shares of common stock held by Heng Fai Chan directly; (c) 6,232,671 shares of common stock held by Global Biomedical Pte. Ltd.; and (d) 35,213,416 shares of common stock held by Alset EHome International Inc. Mr. Chan, as indirect beneficial owner, has dispositive control over the securities of the Issuer owned by Alset EHome International Inc. and Global Biomedical Pte. Ltd. Global Biomedical Pte. Ltd. is a subsidiary of an entity which is majority-owned by Alset EHome International Inc.

SEC source: 0001493152-22-015360 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,973,020

F1 · shares: On May 25, 2022, Heng Fai Ambrose Chan was issued 15,389,995 shares of common stock pursuant to his employment agreement. Such shares were issued as payment of base salary and a performance bonus due under such employment agreement.

F1 · price: On May 25, 2022, Heng Fai Ambrose Chan was issued 15,389,995 shares of common stock pursuant to his employment agreement. Such shares were issued as payment of base salary and a performance bonus due under such employment agreement.

F2 · balance_after: The beneficial ownership of Heng Fai Ambrose Chan includes 42,462,711 shares of common stock, consisting of (a) 1,614,552 shares of common stock held by Heng Fai Holdings Limited, an entity controlled by Heng Fai Ambrose Chan; (b) 16,973,020 shares of common stock held by Heng Fai Ambrose Chan directly; (c) 6,232,671 shares of common stock held by Global Biomedical Pte. Ltd.; and (d) 17,642,468 shares of common stock held by Alset EHome International Inc.

SEC source: 0001493152-22-009537 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,366,633

F1 · price: On April 8, 2022, Mr. Chan purchased 135,000 shares of the common stock of Alset EHome International Inc. This transaction was executed in multiple trades at prices ranging from $.7100 to $.9222. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to 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 37,366,633 shares of common stock held directly by Mr. Chan, Mr. Chan also indirectly owns 6,380,000 shares of common stock held by HFE Holdings Limited and 398,348 shares of common stock held by Heng Fai Holdings Limited. Mr. Chan has sole voting and investment power with respect to the shares held by each of HFE Holdings Limited and Heng Fai Holdings Limited. Mr. Chan is the beneficial owner of 44,144,981 shares of the common stock of Alset EHome International Inc.

SEC source: 0001493152-22-009415 · ownership.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,231,633

F2 · price: On April 7, 2022, Mr. Chan purchased 4,000,000 shares of the common stock of Alset EHome International Inc. This transaction was executed in multiple trades at prices ranging from $.6600 to $.8576. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to 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 37,231,633 shares of common stock held directly by Mr. Chan, Mr. Chan also indirectly owns 6,380,000 shares of common stock held by HFE Holdings Limited and 398,348 shares of common stock held by Heng Fai Holdings Limited. Mr. Chan has sole voting and investment power with respect to the shares held by each of HFE Holdings Limited and Heng Fai Holdings Limited. Mr. Chan is the beneficial owner of 44,009,981 shares of the common stock of Alset EHome International Inc.

SEC source: 0001493152-22-009415 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,231,633

F1 · price: On April 7, 2022, Mr. Chan purchased 377,792 shares of the common stock of Alset EHome International Inc. This transaction was executed in multiple trades at prices ranging from $.6351 to $.6600. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to 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: 0001493152-22-009354 · ownership.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,853,841

F2 · price: On April 6, 2022, Mr. Chan purchased 302,125 shares of the common stock of Alset EHome International Inc. This transaction was executed in multiple trades at prices ranging from $.5800 to $.6200. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to 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 32,853,841 shares of common stock held directly by Mr. Chan, Mr. Chan also indirectly owns 6,380,000 shares of common stock held by HFE Holdings Limited and 398,348 shares of common stock held by Heng Fai Holdings Limited. Mr. Chan has sole voting and investment power with respect to the shares held by each of HFE Holdings Limited and Heng Fai Holdings Limited. Mr. Chan is the beneficial owner of 39,632,189 shares of the common stock of Alset EHome International Inc.

SEC source: 0001493152-22-009354 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,551,716

F1 · price: On April 5, 2022, Mr. Chan purchased 902,417 shares of the common stock of Alset EHome International Inc. This transaction was executed in multiple trades at prices ranging from $.5394 to $.5500. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to 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: 0001493152-22-009165 · ownership.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,649,299

F2 · price: On April 4, 2022, Mr. Chan purchased 1,900,000 shares of the common stock of Alset EHome International Inc. This transaction was executed in multiple trades at prices ranging from $.4850 to $.5979. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to 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 31,649,299 shares of common stock held directly by Mr. Chan, Mr. Chan also indirectly owns 6,380,000 shares of common stock held by HFE Holdings Limited and 398,348 shares of common stock held by Heng Fai Holdings Limited. Mr. Chan has sole voting and investment power with respect to the shares held by each of HFE Holdings Limited and Heng Fai Holdings Limited. Mr. Chan is the beneficial owner of 38,427,647 shares of the common stock of Alset EHome International Inc.

SEC source: 0001493152-22-009165 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,749,299

F1 · price: On April 1, 2022, Mr. Chan purchased 1,000,000 shares of the common stock of Alset EHome International Inc. This transaction was executed in multiple trades at prices ranging from $.4820 to $.5100. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to 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: 0001493152-22-010437 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,583,025

F1 · shares: On April 1, 2022, Heng Fai Chan was issued 894,084 shares of common stock pursuant to his employment agreement. Such shares were issued in consideration of $339,752 due under such employment agreement.

F1 · price: On April 1, 2022, Heng Fai Chan was issued 894,084 shares of common stock pursuant to his employment agreement. Such shares were issued in consideration of $339,752 due under such employment agreement.

F2 · balance_after: The beneficial ownership of Heng Fai Chan includes 27,072,716 shares of common stock, consisting of (a) 1,614,552 shares of common stock held by Heng Fai Holdings Limited, an entity controlled by Heng Fai Chan; (b) 1,583,025 shares of common stock held by Heng Fai Chan directly; (c) 16,667 shares of common stock held by BMI Capital Partners International Limited; (d) 7,716,004 shares of common stock held by Global Biomedical Pte. Ltd.; and (e) 16,142,468 shares of common stock held by Alset EHome International Inc.

SEC source: 0001493152-22-006557 · ownership.xml · nonDerivative · entry 1

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

Alset EHome International Inc. · CIK 0001750106 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 26,178,632

F1 · balance_after: The beneficial ownership of Heng Fai Chan includes 26,178,632 shares of common stock, consisting of (a) 1,614,552 shares of common stock held by Heng Fai Holdings Limited, an entity controlled by Heng Fai Chan; (b) 688,941 shares of common stock held by Heng Fai Chan directly; (c) 16,667 shares of common stock held by BMI Capital Partners International Limited; (d) 7,716,004 shares of common stock held by Global Biomedical Pte. Ltd.; and (e) 16,142,468 shares of common stock held by Alset EHome International Inc.

F2 · ownership.nature: 16,142,468 shares of common stock are owned directly by Alset EHome International Inc., including 3,986,877 shares purchased on March 9, 2022 pursuant to an agreement entered into between Alset EHome International Inc. and DSS, Inc. on February 28, 2022. Mr. Chan, as indirect beneficial owner, has dispositive control over the securities of the Issuer owned by Alset EHome International Inc., BMI Capital Partners International Limited and Global Biomedical Pte. Ltd. BMI Capital Partners International Limited and Global Biomedical Pte. Ltd. are each subsidiaries of entities majority-owned by Alset EHome International Inc.

SEC source: 0001493152-22-002432 · ownership.xml · derivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: Not disclosed

Underlying: Common Stock · 10,000,000 shares

Expires 2024-12-13

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · kind: On January 27, 2022, the Purchaser converted the entire balance of the Note into 10,000,000 shares of the Company's common stock.

SEC source: 0001493152-22-002432 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,749,299

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001493152-22-002432 · ownership.xml · derivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: Not disclosed

Underlying: Common Stock · 10,000,000 shares

Expires 2024-12-13

F3 · kind: On December 13, 2021 Alset EHome International Inc. (the "Company"), entered into a Securities Purchase Agreement with Mr. Chan (the "Purchaser") for the issuance and sale of a convertible promissory note (the "Note") in favor of Purchaser, in the principal sum of $6,250,000. The Note bears interest at a rate equal to three percent (3%) per annum. The Purchaser will have the option to at its sole discretion to either (i) convert the outstanding balance under the Note into either shares of common stock at the conversion price of $0.625 or (ii) receive cash payment for the accrued and unpaid balance. The sale and issuance of this Note by the Company to Purchaser was subject to certain closing conditions. The sale and issuance of this Note was completed on January 26, 2022.

SEC source: 0001493152-21-031123 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,749,299

F1 · price: Mr. Chan purchased 7,333,333 shares from the issuer at a purchase price of $0.60 per share in an underwritten public offering. The offering closed on December 8, 2021. Following the acquisition of these shares, Mr. Chan is now the beneficial owner of 25,527,647 shares of the issuer's common stock, including 18,749,299 shares owned directly and a total of 6,778,348 shares held indirectly, through two entities.

SEC source: 0001493152-21-029694 · ownership.xml · nonDerivative · entry 3

Chan Heng Fai Ambrose · CIK 0001261725 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,276,163

SEC source: 0001493152-21-029694 · ownership.xml · nonDerivative · entry 2

Chan Heng Fai Ambrose · CIK 0001261725 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,965,772

SEC source: 0001493152-21-029694 · ownership.xml · nonDerivative · entry 1

Chan Heng Fai Ambrose · CIK 0001261725 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,252,795

SEC source: 0001493152-21-027879 · ownership.xml · nonDerivative · entry 3

Chan Heng Fai Ambrose · CIK 0001261725 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,299,200

SEC source: 0001493152-21-027879 · ownership.xml · nonDerivative · entry 2

Chan Heng Fai Ambrose · CIK 0001261725 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,624,400

SEC source: 0001493152-21-027879 · ownership.xml · nonDerivative · entry 1

Chan Heng Fai Ambrose · CIK 0001261725 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,600,000

SEC source: 0001493152-21-022444 · ownership.xml · nonDerivative · entry 1

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

Alset EHome International Inc. · CIK 0001750106 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 22,191,755

F1 · balance_after: The beneficial ownership of Heng Fai Chan includes 22,191,755 shares of common stock, consisting of (a) 1,614,552 shares of common stock held by Heng Fai Holdings Limited, an entity controlled by Heng Fai Chan; (b) 688,941 shares of common stock held by Heng Fai Chan directly; (c) 16,667 shares of common stock held by BMI Capital Partners International Limited; (d) 7,716,004 shares of common stock held by Global Biomedical Pte. Ltd.; and (e) 12,155,591 shares of common stock held by Alset EHome International Inc.

F2 · ownership.nature: These 12,155,591 shares of common stock are owned directly by Alset EHome International Inc. Mr. Chan has dispositive control over the securities of the Issuer owned by Alset EHome International Inc., BMI Capital Partners International Limited and Global Biomedical Pte. Ltd. BMI Capital Partners International Limited and Global Biomedical Pte. Ltd. are each subsidiaries of entities majority-owned by Alset EHome International Inc.

SEC source: 0001493152-21-020312 · ownership.xml · nonDerivative · entry 1

Chan Heng Fai Ambrose · CIK 0001261725 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 39,968

F1 · ownership.nature: Held by BMI Capital Partners International Limited ("BMI"). BMI is owned by Alset International Limited; Alset International Limited's majority shareholder is Alset EHome International Inc. The Reporting Person (Mr. Chan) is, personally and through an entity he controls, the largest shareholder of Alset EHome International Inc. Mr. Chan is the Chief Executive Officer and Chairman of each of Alset International Limited and Alset EHome International Inc. The Reporting Person has dispositive control over these securities.

SEC source: 0001493152-21-017854 · ownership.xml · derivative · entry 5

Chan Heng Fai Ambrose · CIK 0001261725 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 282,377 shares

Expires 2034-10-07

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: American Pacific Bancorp., Inc. purchased 282,377 shares of the common stock of OptimumBank Holdings, Inc. in a two part transaction. First, American Pacific Bancorp., Inc. purchased 847.13 Capital Securities issued by Optimum Bank Holdings Capital Trust I, a statutory trust (the "Trust Preferred Securities") for $1,200,102.25. Optimumbank Holdings, Inc. is the sponsor of the Optimum Bank Holdings Capital Trust I. American Pacific Bancorp., Inc. then exchanged these 847.13 Trust Preferred Securities for 282,377 shares of the common stock OptimumBank Holdings, Inc. Accordingly, the consideration paid for these 282,377 shares of the common stock of OptimumBank Holdings, Inc. was equal to $4.25 per share.

F1 · price: American Pacific Bancorp., Inc. purchased 282,377 shares of the common stock of OptimumBank Holdings, Inc. in a two part transaction. First, American Pacific Bancorp., Inc. purchased 847.13 Capital Securities issued by Optimum Bank Holdings Capital Trust I, a statutory trust (the "Trust Preferred Securities") for $1,200,102.25. Optimumbank Holdings, Inc. is the sponsor of the Optimum Bank Holdings Capital Trust I. American Pacific Bancorp., Inc. then exchanged these 847.13 Trust Preferred Securities for 282,377 shares of the common stock OptimumBank Holdings, Inc. Accordingly, the consideration paid for these 282,377 shares of the common stock of OptimumBank Holdings, Inc. was equal to $4.25 per share.

F2 · ownership.nature: Held by American Pacific Bancorp., Inc. The Reporting Person is the Chairman and Chief Executive Officer, and personally and through an entity, is the majority shareholder of Alset EHome International Inc., which is the majority shareholder of American Pacific Bancorp., Inc. The Reporting Person has dispositive control over these securities.

SEC source: 0001493152-21-017854 · ownership.xml · derivative · entry 4

Chan Heng Fai Ambrose · CIK 0001261725 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 847.13

Underlying: Common Stock · 282,377 shares

Expires 2034-10-07

F1 · derivative.exercise_price: American Pacific Bancorp., Inc. purchased 282,377 shares of the common stock of OptimumBank Holdings, Inc. in a two part transaction. First, American Pacific Bancorp., Inc. purchased 847.13 Capital Securities issued by Optimum Bank Holdings Capital Trust I, a statutory trust (the "Trust Preferred Securities") for $1,200,102.25. Optimumbank Holdings, Inc. is the sponsor of the Optimum Bank Holdings Capital Trust I. American Pacific Bancorp., Inc. then exchanged these 847.13 Trust Preferred Securities for 282,377 shares of the common stock OptimumBank Holdings, Inc. Accordingly, the consideration paid for these 282,377 shares of the common stock of OptimumBank Holdings, Inc. was equal to $4.25 per share.

F1 · price: American Pacific Bancorp., Inc. purchased 282,377 shares of the common stock of OptimumBank Holdings, Inc. in a two part transaction. First, American Pacific Bancorp., Inc. purchased 847.13 Capital Securities issued by Optimum Bank Holdings Capital Trust I, a statutory trust (the "Trust Preferred Securities") for $1,200,102.25. Optimumbank Holdings, Inc. is the sponsor of the Optimum Bank Holdings Capital Trust I. American Pacific Bancorp., Inc. then exchanged these 847.13 Trust Preferred Securities for 282,377 shares of the common stock OptimumBank Holdings, Inc. Accordingly, the consideration paid for these 282,377 shares of the common stock of OptimumBank Holdings, Inc. was equal to $4.25 per share.

F2 · ownership.nature: Held by American Pacific Bancorp., Inc. The Reporting Person is the Chairman and Chief Executive Officer, and personally and through an entity, is the majority shareholder of Alset EHome International Inc., which is the majority shareholder of American Pacific Bancorp., Inc. The Reporting Person has dispositive control over these securities.

SEC source: 0001493152-21-017854 · ownership.xml · nonDerivative · entry 2

Chan Heng Fai Ambrose · CIK 0001261725 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 375,357

F1 · price: American Pacific Bancorp., Inc. purchased 282,377 shares of the common stock of OptimumBank Holdings, Inc. in a two part transaction. First, American Pacific Bancorp., Inc. purchased 847.13 Capital Securities issued by Optimum Bank Holdings Capital Trust I, a statutory trust (the "Trust Preferred Securities") for $1,200,102.25. Optimumbank Holdings, Inc. is the sponsor of the Optimum Bank Holdings Capital Trust I. American Pacific Bancorp., Inc. then exchanged these 847.13 Trust Preferred Securities for 282,377 shares of the common stock OptimumBank Holdings, Inc. Accordingly, the consideration paid for these 282,377 shares of the common stock of OptimumBank Holdings, Inc. was equal to $4.25 per share.

F2 · ownership.nature: Held by American Pacific Bancorp., Inc. The Reporting Person is the Chairman and Chief Executive Officer, and personally and through an entity, is the majority shareholder of Alset EHome International Inc., which is the majority shareholder of American Pacific Bancorp., Inc. The Reporting Person has dispositive control over these securities.

SEC source: 0001493152-21-017371 · ownership.xml · nonDerivative · entry 1

Chan Heng Fai Ambrose · CIK 0001261725 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,000,000

SEC source: 0001493152-21-015139 · ownership.xml · derivative · entry 2

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

Global BioMedical Pte. Ltd. · CIK 0001823066 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 0

Underlying: Common Stock · 1,120,170 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: The Series A Convertible Preferred Stock of the Issuer has a stated value of $1,000 per share and may be converted into shares of the Common Stock of the Issuer at a conversion price of $6.48 per share. Following the conversion of 7,259 shares of Series A Convertible Preferred Stock, GBM does not own any shares of Series A Convertible Preferred Stock. Mr. Chan has dispositive control over the securities owned by GBM.

F1 · kind: Global BioMedical Pte. Ltd. ("GBM") has converted 7,259 shares of Series A Convertible Preferred Stock into 1,120,170 shares of the common stock, par value $0.02 per share (the "Common Stock"), of Document Security Systems, Inc. (the "Issuer").

F2 · price: The Series A Convertible Preferred Stock of the Issuer has a stated value of $1,000 per share and may be converted into shares of the Common Stock of the Issuer at a conversion price of $6.48 per share. Following the conversion of 7,259 shares of Series A Convertible Preferred Stock, GBM does not own any shares of Series A Convertible Preferred Stock. Mr. Chan has dispositive control over the securities owned by GBM.

F2 · derivative.exercise_date: The Series A Convertible Preferred Stock of the Issuer has a stated value of $1,000 per share and may be converted into shares of the Common Stock of the Issuer at a conversion price of $6.48 per share. Following the conversion of 7,259 shares of Series A Convertible Preferred Stock, GBM does not own any shares of Series A Convertible Preferred Stock. Mr. Chan has dispositive control over the securities owned by GBM.

F2 · derivative.expiration_date: The Series A Convertible Preferred Stock of the Issuer has a stated value of $1,000 per share and may be converted into shares of the Common Stock of the Issuer at a conversion price of $6.48 per share. Following the conversion of 7,259 shares of Series A Convertible Preferred Stock, GBM does not own any shares of Series A Convertible Preferred Stock. Mr. Chan has dispositive control over the securities owned by GBM.

F4 · ownership.nature: These securities were owned directly by GBM. Mr. Chan has dispositive control over the securities of the Issuer owned by GBM.

SEC source: 0001493152-21-015139 · ownership.xml · nonDerivative · entry 1

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

Global BioMedical Pte. Ltd. · CIK 0001823066 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 10,036,164

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: Global BioMedical Pte. Ltd. ("GBM") has converted 7,259 shares of Series A Convertible Preferred Stock into 1,120,170 shares of the common stock, par value $0.02 per share (the "Common Stock"), of Document Security Systems, Inc. (the "Issuer").

F2 · price: The Series A Convertible Preferred Stock of the Issuer has a stated value of $1,000 per share and may be converted into shares of the Common Stock of the Issuer at a conversion price of $6.48 per share. Following the conversion of 7,259 shares of Series A Convertible Preferred Stock, GBM does not own any shares of Series A Convertible Preferred Stock. Mr. Chan has dispositive control over the securities owned by GBM.

F3 · balance_after: The beneficial ownership of the Reporting Person includes 10,036,164 shares of Common Stock, consisting of (a) 1,614,552 shares of Common Stock held by Heng Fai Holdings Limited; (b) 16,667 shares of Common Stock held by BMI Capital Partners International Limited; (c) 474,060 shares of Common Stock held by the Reporting Person; (d) 214,881 shares of Common Stock held by LiquidValue Development Pte Ltd.; and (e) 7,716,004 shares of Common Stock held by Global Biomedical Pte. Ltd.

F4 · ownership.nature: These securities were owned directly by GBM. Mr. Chan has dispositive control over the securities of the Issuer owned by GBM.

SEC source: 0001493152-21-014712 · ownership.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,947,012

F1 · ownership.direct: The beneficial ownership of the Reporting Person includes, in addition to those purchases described herein, 7,392,012 shares of common stock, par value $0.02 per share, of Document Security Systems, Inc. ("Common Stock"), consisting of (a) 59,552 shares of Common Stock held by Heng Fai Holdings Limited; (b) 16,667 shares of Common Stock held by BMI Capital Partners International Limited; (c) 474,060 shares of Common Stock held by the Reporting Person; (d) 214,881 shares of Common Stock held by LiquidValue Development Pte Ltd.; and (e) (i) 6,595,834 shares of Common Stock and (ii) 31,018 shares of Common Stock that could be obtained upon the conversion of shares of Series A Convertible Preferred Stock, par value $.02 per share, beneficially owned by the Reporting Person, held by Global Biomedical Pte. Ltd.

SEC source: 0001493152-21-014712 · ownership.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,392,012

F1 · ownership.direct: The beneficial ownership of the Reporting Person includes, in addition to those purchases described herein, 7,392,012 shares of common stock, par value $0.02 per share, of Document Security Systems, Inc. ("Common Stock"), consisting of (a) 59,552 shares of Common Stock held by Heng Fai Holdings Limited; (b) 16,667 shares of Common Stock held by BMI Capital Partners International Limited; (c) 474,060 shares of Common Stock held by the Reporting Person; (d) 214,881 shares of Common Stock held by LiquidValue Development Pte Ltd.; and (e) (i) 6,595,834 shares of Common Stock and (ii) 31,018 shares of Common Stock that could be obtained upon the conversion of shares of Series A Convertible Preferred Stock, par value $.02 per share, beneficially owned by the Reporting Person, held by Global Biomedical Pte. Ltd.

SEC source: 0001493152-21-014712 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,507,972

F1 · ownership.direct: The beneficial ownership of the Reporting Person includes, in addition to those purchases described herein, 7,392,012 shares of common stock, par value $0.02 per share, of Document Security Systems, Inc. ("Common Stock"), consisting of (a) 59,552 shares of Common Stock held by Heng Fai Holdings Limited; (b) 16,667 shares of Common Stock held by BMI Capital Partners International Limited; (c) 474,060 shares of Common Stock held by the Reporting Person; (d) 214,881 shares of Common Stock held by LiquidValue Development Pte Ltd.; and (e) (i) 6,595,834 shares of Common Stock and (ii) 31,018 shares of Common Stock that could be obtained upon the conversion of shares of Series A Convertible Preferred Stock, par value $.02 per share, beneficially owned by the Reporting Person, held by Global Biomedical Pte. Ltd.

SEC source: 0001493152-21-014414 · ownership.xml · derivative · entry 8

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

HFE Holdings Ltd · CIK 0001756133 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,132,000 shares

Expires not disclosed

F3 · security: 2,132 shares of Series B Convertible Preferred Stock held by the reporting person automatically converted into 2,132,000 shares of common stock upon an increase in the authorized common stock of Alset EHome International Inc., pursuant to the terms of the Certificate of Designations, Preferences and Rights of the Series B Convertible Preferred Stock.

F3 · derivative.exercise_price: 2,132 shares of Series B Convertible Preferred Stock held by the reporting person automatically converted into 2,132,000 shares of common stock upon an increase in the authorized common stock of Alset EHome International Inc., pursuant to the terms of the Certificate of Designations, Preferences and Rights of the Series B Convertible Preferred Stock.

F1 · kind: 6,380 shares of Series A Convertible Preferred Stock held by the reporting person automatically converted into 6,380,000 shares of common stock upon an increase in the authorized common stock of Alset EHome International Inc., pursuant to the terms of the Certificate of Designations, Preferences and Rights of the Series A Convertible Preferred Stock.

F3 · price: 2,132 shares of Series B Convertible Preferred Stock held by the reporting person automatically converted into 2,132,000 shares of common stock upon an increase in the authorized common stock of Alset EHome International Inc., pursuant to the terms of the Certificate of Designations, Preferences and Rights of the Series B Convertible Preferred Stock.

F3 · derivative.exercise_date: 2,132 shares of Series B Convertible Preferred Stock held by the reporting person automatically converted into 2,132,000 shares of common stock upon an increase in the authorized common stock of Alset EHome International Inc., pursuant to the terms of the Certificate of Designations, Preferences and Rights of the Series B Convertible Preferred Stock.

F3 · derivative.expiration_date: 2,132 shares of Series B Convertible Preferred Stock held by the reporting person automatically converted into 2,132,000 shares of common stock upon an increase in the authorized common stock of Alset EHome International Inc., pursuant to the terms of the Certificate of Designations, Preferences and Rights of the Series B Convertible Preferred Stock.

SEC source: 0001493152-21-014414 · ownership.xml · derivative · entry 7

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

HFE Holdings Ltd · CIK 0001756133 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · Through HFE Holdings Limited

Disclosed balance after: 0

Underlying: Common Stock · 6,380,000 shares

Expires not disclosed

F1 · security: 6,380 shares of Series A Convertible Preferred Stock held by the reporting person automatically converted into 6,380,000 shares of common stock upon an increase in the authorized common stock of Alset EHome International Inc., pursuant to the terms of the Certificate of Designations, Preferences and Rights of the Series A Convertible Preferred Stock.

F1 · derivative.exercise_price: 6,380 shares of Series A Convertible Preferred Stock held by the reporting person automatically converted into 6,380,000 shares of common stock upon an increase in the authorized common stock of Alset EHome International Inc., pursuant to the terms of the Certificate of Designations, Preferences and Rights of the Series A Convertible Preferred Stock.

F1 · kind: 6,380 shares of Series A Convertible Preferred Stock held by the reporting person automatically converted into 6,380,000 shares of common stock upon an increase in the authorized common stock of Alset EHome International Inc., pursuant to the terms of the Certificate of Designations, Preferences and Rights of the Series A Convertible Preferred Stock.

F1 · price: 6,380 shares of Series A Convertible Preferred Stock held by the reporting person automatically converted into 6,380,000 shares of common stock upon an increase in the authorized common stock of Alset EHome International Inc., pursuant to the terms of the Certificate of Designations, Preferences and Rights of the Series A Convertible Preferred Stock.

F1 · derivative.exercise_date: 6,380 shares of Series A Convertible Preferred Stock held by the reporting person automatically converted into 6,380,000 shares of common stock upon an increase in the authorized common stock of Alset EHome International Inc., pursuant to the terms of the Certificate of Designations, Preferences and Rights of the Series A Convertible Preferred Stock.

F1 · derivative.expiration_date: 6,380 shares of Series A Convertible Preferred Stock held by the reporting person automatically converted into 6,380,000 shares of common stock upon an increase in the authorized common stock of Alset EHome International Inc., pursuant to the terms of the Certificate of Designations, Preferences and Rights of the Series A Convertible Preferred Stock.

F2 · ownership.nature: These shares of common stock are owned directly by HFE Holdings Limited. Chan Heng Fai, the Chairman of the Board and Chief Executive Officer of Alset EHome International Inc., also indirectly beneficially owns all shares owned by HFE Holdings Limited. Mr. Chan has voting and investment power with respect to such shares.

SEC source: 0001493152-21-014414 · ownership.xml · nonDerivative · entry 6

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

HFE Holdings Ltd · CIK 0001756133 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,194,314

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F7 · kind: On June 14, 2021, the reporting person converted a note with an outstanding balance in the amount of $6,764,291 into 1,210,070 shares of the common stock of Alset EHome International Inc. at a conversion price of $5.59 per share.

F7 · price: On June 14, 2021, the reporting person converted a note with an outstanding balance in the amount of $6,764,291 into 1,210,070 shares of the common stock of Alset EHome International Inc. at a conversion price of $5.59 per share.

SEC source: 0001493152-21-014414 · ownership.xml · nonDerivative · entry 5

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

HFE Holdings Ltd · CIK 0001756133 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,984,244

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F6 · kind: On June 14, 2021, the reporting person converted a note with an outstanding balance in the amount of $174,288 into 31,179 shares of the common stock of Alset EHome International Inc. at a conversion price of $5.59 per share.

F6 · price: On June 14, 2021, the reporting person converted a note with an outstanding balance in the amount of $174,288 into 31,179 shares of the common stock of Alset EHome International Inc. at a conversion price of $5.59 per share.

SEC source: 0001493152-21-014414 · ownership.xml · nonDerivative · entry 4

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

HFE Holdings Ltd · CIK 0001756133 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,953,065

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F5 · kind: On June 14, 2021, the reporting person converted a note with an outstanding balance in the amount of $28,800,721 into 5,152,186 shares of the common stock of Alset EHome International Inc. at a conversion price of $5.59 per share.

F5 · price: On June 14, 2021, the reporting person converted a note with an outstanding balance in the amount of $28,800,721 into 5,152,186 shares of the common stock of Alset EHome International Inc. at a conversion price of $5.59 per share.

SEC source: 0001493152-21-014414 · ownership.xml · nonDerivative · entry 3

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

HFE Holdings Ltd · CIK 0001756133 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,800,879

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · kind: On June 14, 2021, the reporting person converted a note with an outstanding balance in the amount of $15,487,265 into 2,770,531 shares of the common stock of Alset EHome International Inc. at a conversion price of $5.59 per share.

F4 · price: On June 14, 2021, the reporting person converted a note with an outstanding balance in the amount of $15,487,265 into 2,770,531 shares of the common stock of Alset EHome International Inc. at a conversion price of $5.59 per share.

SEC source: 0001493152-21-014414 · ownership.xml · nonDerivative · entry 2

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

HFE Holdings Ltd · CIK 0001756133 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,030,348

F3 · kind: 2,132 shares of Series B Convertible Preferred Stock held by the reporting person automatically converted into 2,132,000 shares of common stock upon an increase in the authorized common stock of Alset EHome International Inc., pursuant to the terms of the Certificate of Designations, Preferences and Rights of the Series B Convertible Preferred Stock.