Chan Heng Fai Ambrose

SEC source: 0001493152-21-014414 · ownership.xml · nonDerivative · entry 1

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: 6,898,348

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.

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: 0001493152-21-013945 · ownership.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 518,348

SEC source: 0001493152-21-013945 · 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: 478,348

SEC source: 0001493152-21-013945 · 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: 398,348

SEC source: 0001493152-21-013109 · 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: 7,259

Underlying: Common Stock · 5,450,000 shares

Expires not disclosed

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

F2 · derivative.exercise_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, subject to a 19.99% beneficial ownership conversion limitation (the "Blocker") based on the total issued and outstanding shares of common stock of the Issuer beneficially owned by GBM. There are currently 33,120,125 shares of the Issuer's common stock issued and outstanding, and therefore, as a result of the Blocker, GBM is currently able to convert an additional 201 shares of Series A Preferred Stock, equal to 31,018 shares of the Issuer's common stock. Mr. Chan has dispositive control over the securities owned by GBM.

F1 · kind: Global BioMedical Pte. Ltd. ("GBM") has converted 35,316 shares of Series A Convertible Preferred Stock into 5,450,000 shares of 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, subject to a 19.99% beneficial ownership conversion limitation (the "Blocker") based on the total issued and outstanding shares of common stock of the Issuer beneficially owned by GBM. There are currently 33,120,125 shares of the Issuer's common stock issued and outstanding, and therefore, as a result of the Blocker, GBM is currently able to convert an additional 201 shares of Series A Preferred Stock, equal to 31,018 shares of the Issuer's common 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, subject to a 19.99% beneficial ownership conversion limitation (the "Blocker") based on the total issued and outstanding shares of common stock of the Issuer beneficially owned by GBM. There are currently 33,120,125 shares of the Issuer's common stock issued and outstanding, and therefore, as a result of the Blocker, GBM is currently able to convert an additional 201 shares of Series A Preferred Stock, equal to 31,018 shares of the Issuer's common 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, subject to a 19.99% beneficial ownership conversion limitation (the "Blocker") based on the total issued and outstanding shares of common stock of the Issuer beneficially owned by GBM. There are currently 33,120,125 shares of the Issuer's common stock issued and outstanding, and therefore, as a result of the Blocker, GBM is currently able to convert an additional 201 shares of Series A Preferred Stock, equal to 31,018 shares of the Issuer's common stock. Mr. Chan has dispositive control over the securities owned by GBM.

F3 · ownership.nature: These securities are owned directly by GBM. Mr. Chan has dispositive control over the common stock and Series A Convertible Preferred Stock of the Issuer owned by GBM.

SEC source: 0001493152-21-013109 · 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: 6,595,834

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 35,316 shares of Series A Convertible Preferred Stock into 5,450,000 shares of 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, subject to a 19.99% beneficial ownership conversion limitation (the "Blocker") based on the total issued and outstanding shares of common stock of the Issuer beneficially owned by GBM. There are currently 33,120,125 shares of the Issuer's common stock issued and outstanding, and therefore, as a result of the Blocker, GBM is currently able to convert an additional 201 shares of Series A Preferred Stock, equal to 31,018 shares of the Issuer's common stock. Mr. Chan has dispositive control over the securities owned by GBM.

F3 · ownership.nature: These securities are owned directly by GBM. Mr. Chan has dispositive control over the common stock and Series A Convertible Preferred Stock of the Issuer owned by GBM.

SEC source: 0001493152-21-011615 · ownership.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,132

Underlying: Common Stock · 2,132,000 shares

Expires not disclosed

F1 · security: The reporting person exchanged $13,000,000 in principal amount under a convertible promissory note for 2,132 shares of the Issuer's Series B Convertible Preferred Stock.

F2 · derivative.exercise_price: On the date on which an amendment to the Issuer's Certificate of Incorporation, as amended, to increase the Issuer's authorized shares of Common Stock to at least 250,000,000 shares has been filed with the Secretary of State of the State of Delaware, each share of Series B Convertible Preferred Stock shall convert automatically into 1,000 shares of the Issuer's Common Stock.

F1 · kind: The reporting person exchanged $13,000,000 in principal amount under a convertible promissory note for 2,132 shares of the Issuer's Series B Convertible Preferred Stock.

F2 · price: On the date on which an amendment to the Issuer's Certificate of Incorporation, as amended, to increase the Issuer's authorized shares of Common Stock to at least 250,000,000 shares has been filed with the Secretary of State of the State of Delaware, each share of Series B Convertible Preferred Stock shall convert automatically into 1,000 shares of the Issuer's Common Stock.

F2 · derivative.exercise_date: On the date on which an amendment to the Issuer's Certificate of Incorporation, as amended, to increase the Issuer's authorized shares of Common Stock to at least 250,000,000 shares has been filed with the Secretary of State of the State of Delaware, each share of Series B Convertible Preferred Stock shall convert automatically into 1,000 shares of the Issuer's Common Stock.

F2 · derivative.expiration_date: On the date on which an amendment to the Issuer's Certificate of Incorporation, as amended, to increase the Issuer's authorized shares of Common Stock to at least 250,000,000 shares has been filed with the Secretary of State of the State of Delaware, each share of Series B Convertible Preferred Stock shall convert automatically into 1,000 shares of the Issuer's Common Stock.

SEC source: 0001493152-21-010681 · ownership.xml · derivative · 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: Indirect · Through HFE Holdings Limited

Disclosed balance after: 6,380

Underlying: Common Stock · 6,380,000 shares

Expires not disclosed

F1 · security: The reporting person exchanged 6,380,000 shares of common stock for 6,380 shares of Series A Convertible Preferred Stock.

F3 · derivative.exercise_price: Each share of preferred stock is convertible into 1,000 shares of common stock. The preferred stock will automatically convert into common stock upon an increase in the authorized common stock.

F1 · kind: The reporting person exchanged 6,380,000 shares of common stock for 6,380 shares of Series A Convertible Preferred Stock.

F3 · price: Each share of preferred stock is convertible into 1,000 shares of common stock. The preferred stock will automatically convert into common stock upon an increase in the authorized common stock.

F3 · derivative.expiration_date: Each share of preferred stock is convertible into 1,000 shares of common stock. The preferred stock will automatically convert into common stock upon an increase in the authorized common stock.

F2 · ownership.nature: These shares 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: 0001493152-21-010681 · ownership.xml · nonDerivative · entry 1

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

F1 · kind: The reporting person exchanged 6,380,000 shares of common stock for 6,380 shares of Series A Convertible Preferred Stock.

F2 · ownership.nature: These shares 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: 0001654954-21-003799 · section16.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 OptimumBank Holdings Capital Trust I, a statutory trust (the "Trust Preferred Securities") for $1,200,102.25. OptimumBank Holdings, Inc. is the sponsor of the OptimumBank Holdings Capital Trust I. American Pacific Bancorp., Inc. then exchanged these 847.13 Trust Preferred Securities for 282,377 shares of the common stock of 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 OptimumBank Holdings Capital Trust I, a statutory trust (the "Trust Preferred Securities") for $1,200,102.25. OptimumBank Holdings, Inc. is the sponsor of the OptimumBank Holdings Capital Trust I. American Pacific Bancorp., Inc. then exchanged these 847.13 Trust Preferred Securities for 282,377 shares of the common stock of 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 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: 0001654954-21-003799 · section16.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 OptimumBank Holdings Capital Trust I, a statutory trust (the "Trust Preferred Securities") for $1,200,102.25. OptimumBank Holdings, Inc. is the sponsor of the OptimumBank Holdings Capital Trust I. American Pacific Bancorp., Inc. then exchanged these 847.13 Trust Preferred Securities for 282,377 shares of the common stock of 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 OptimumBank Holdings Capital Trust I, a statutory trust (the "Trust Preferred Securities") for $1,200,102.25. OptimumBank Holdings, Inc. is the sponsor of the OptimumBank Holdings Capital Trust I. American Pacific Bancorp., Inc. then exchanged these 847.13 Trust Preferred Securities for 282,377 shares of the common stock of 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 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: 0001654954-21-003799 · section16.xml · nonDerivative · entry 1

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 OptimumBank Holdings Capital Trust I, a statutory trust (the "Trust Preferred Securities") for $1,200,102.25. OptimumBank Holdings, Inc. is the sponsor of the OptimumBank Holdings Capital Trust I. American Pacific Bancorp., Inc. then exchanged these 847.13 Trust Preferred Securities for 282,377 shares of the common stock of 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 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: 0001654954-21-002885 · section16.xml · nonDerivative · entry 2

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

HFE Holdings Ltd · CIK 0001756133 · Director · Chief Executive Officer · 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: 6,380,000

F1 · price: A total of 20,000 shares of the Common Stock of Alset EHome International Inc. were transferred pursuant to gifts to two individuals.

F2 · ownership.nature: These shares 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 of Common Stock owned by HFE Holdings Limited. Mr. Chan has voting and investment power with respect to such shares.

SEC source: 0001654954-21-002885 · section16.xml · nonDerivative · entry 1

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

HFE Holdings Ltd · CIK 0001756133 · Director · Chief Executive Officer · 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: 6,390,000

F1 · price: A total of 20,000 shares of the Common Stock of Alset EHome International Inc. were transferred pursuant to gifts to two individuals.

F2 · ownership.nature: These shares 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 of Common Stock owned by HFE Holdings Limited. Mr. Chan has voting and investment power with respect to such shares.

SEC source: 0001654954-20-013773 · section16.xml · nonDerivative · entry 2

Chan Heng Fai Ambrose · CIK 0001261725 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,400

SEC source: 0001654954-20-013773 · section16.xml · nonDerivative · entry 1

Chan Heng Fai Ambrose · CIK 0001261725 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,900

SEC source: 0001493152-20-019900 · 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: 42,575

Underlying: Common Stock · 662,500 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, subject to a 19.99% beneficial ownership conversion limitation (the "Blocker") based on the total issued and outstanding shares of common stock of the Issuer beneficially owned by GBM. There are currently 5,836,212 shares of the Issuer's common stock issued and outstanding, and therefore, as a result of the Blocker, GBM is currently able to convert an additional 168 shares of Series A Preferred Stock, equal to 25,925 shares of the Issuer's common stock. Mr. Chan has dispositive control over the securities owned by GBM.

F1 · kind: Global BioMedical Pte. Ltd. ("GBM") has converted 4,293 shares of Series A Convertible Preferred Stock into 662,500 shares of 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, subject to a 19.99% beneficial ownership conversion limitation (the "Blocker") based on the total issued and outstanding shares of common stock of the Issuer beneficially owned by GBM. There are currently 5,836,212 shares of the Issuer's common stock issued and outstanding, and therefore, as a result of the Blocker, GBM is currently able to convert an additional 168 shares of Series A Preferred Stock, equal to 25,925 shares of the Issuer's common 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, subject to a 19.99% beneficial ownership conversion limitation (the "Blocker") based on the total issued and outstanding shares of common stock of the Issuer beneficially owned by GBM. There are currently 5,836,212 shares of the Issuer's common stock issued and outstanding, and therefore, as a result of the Blocker, GBM is currently able to convert an additional 168 shares of Series A Preferred Stock, equal to 25,925 shares of the Issuer's common 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, subject to a 19.99% beneficial ownership conversion limitation (the "Blocker") based on the total issued and outstanding shares of common stock of the Issuer beneficially owned by GBM. There are currently 5,836,212 shares of the Issuer's common stock issued and outstanding, and therefore, as a result of the Blocker, GBM is currently able to convert an additional 168 shares of Series A Preferred Stock, equal to 25,925 shares of the Issuer's common stock. Mr. Chan has dispositive control over the securities owned by GBM.

F3 · ownership.nature: These securities are owned directly by GBM. Mr. Chan has dispositive control over the common stock and Series A Convertible Preferred Stock of the Issuer owned by GBM.

SEC source: 0001493152-20-019900 · 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: 1,145,834

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 4,293 shares of Series A Convertible Preferred Stock into 662,500 shares of 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, subject to a 19.99% beneficial ownership conversion limitation (the "Blocker") based on the total issued and outstanding shares of common stock of the Issuer beneficially owned by GBM. There are currently 5,836,212 shares of the Issuer's common stock issued and outstanding, and therefore, as a result of the Blocker, GBM is currently able to convert an additional 168 shares of Series A Preferred Stock, equal to 25,925 shares of the Issuer's common stock. Mr. Chan has dispositive control over the securities owned by GBM.

F3 · ownership.nature: These securities are owned directly by GBM. Mr. Chan has dispositive control over the common stock and Series A Convertible Preferred Stock of the Issuer owned by GBM.

SEC source: 0001493152-20-016707 · ownership.xml · derivative · entry 7

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 46,868

Underlying: Common Stock · 7,232,716 shares

Expires not disclosed

F6 · derivative.exercise_price: In connection with the Exchange Agreement, GBM received 46,868 newly issued shares of the Issuer's Series A Convertible Preferred Stock ("Series A Preferred Stock") with a stated value of $46,868,000, or $1,000 per share. The Series A Preferred Stock is convertible into shares of common stock of DSS, at an initial conversion price of $6.48 per share, subject to a 19.9% beneficial ownership conversion limitation ("Blocker") based on the total issued and outstanding shares of common stock of the Issuer beneficially owned by GBM. As of August 21, 2020, there were 5,115,179 shares of the Issuer's common stock issued and outstanding, and therefore, as a result of the Blocker, GBM is currently only able to convert the number of Series A Preferred Stock equal to approximately 673,904 shares of the Issuer's common stock, or approximately 4,366 shares of Series A Preferred Stock. The Reporting Person has dispositive control over these securities.

F6 · price: In connection with the Exchange Agreement, GBM received 46,868 newly issued shares of the Issuer's Series A Convertible Preferred Stock ("Series A Preferred Stock") with a stated value of $46,868,000, or $1,000 per share. The Series A Preferred Stock is convertible into shares of common stock of DSS, at an initial conversion price of $6.48 per share, subject to a 19.9% beneficial ownership conversion limitation ("Blocker") based on the total issued and outstanding shares of common stock of the Issuer beneficially owned by GBM. As of August 21, 2020, there were 5,115,179 shares of the Issuer's common stock issued and outstanding, and therefore, as a result of the Blocker, GBM is currently only able to convert the number of Series A Preferred Stock equal to approximately 673,904 shares of the Issuer's common stock, or approximately 4,366 shares of Series A Preferred Stock. The Reporting Person has dispositive control over these securities.

F6 · derivative.exercise_date: In connection with the Exchange Agreement, GBM received 46,868 newly issued shares of the Issuer's Series A Convertible Preferred Stock ("Series A Preferred Stock") with a stated value of $46,868,000, or $1,000 per share. The Series A Preferred Stock is convertible into shares of common stock of DSS, at an initial conversion price of $6.48 per share, subject to a 19.9% beneficial ownership conversion limitation ("Blocker") based on the total issued and outstanding shares of common stock of the Issuer beneficially owned by GBM. As of August 21, 2020, there were 5,115,179 shares of the Issuer's common stock issued and outstanding, and therefore, as a result of the Blocker, GBM is currently only able to convert the number of Series A Preferred Stock equal to approximately 673,904 shares of the Issuer's common stock, or approximately 4,366 shares of Series A Preferred Stock. The Reporting Person has dispositive control over these securities.

F6 · derivative.expiration_date: In connection with the Exchange Agreement, GBM received 46,868 newly issued shares of the Issuer's Series A Convertible Preferred Stock ("Series A Preferred Stock") with a stated value of $46,868,000, or $1,000 per share. The Series A Preferred Stock is convertible into shares of common stock of DSS, at an initial conversion price of $6.48 per share, subject to a 19.9% beneficial ownership conversion limitation ("Blocker") based on the total issued and outstanding shares of common stock of the Issuer beneficially owned by GBM. As of August 21, 2020, there were 5,115,179 shares of the Issuer's common stock issued and outstanding, and therefore, as a result of the Blocker, GBM is currently only able to convert the number of Series A Preferred Stock equal to approximately 673,904 shares of the Issuer's common stock, or approximately 4,366 shares of Series A Preferred Stock. The Reporting Person has dispositive control over these securities.

F6 · derivative.underlying_shares: In connection with the Exchange Agreement, GBM received 46,868 newly issued shares of the Issuer's Series A Convertible Preferred Stock ("Series A Preferred Stock") with a stated value of $46,868,000, or $1,000 per share. The Series A Preferred Stock is convertible into shares of common stock of DSS, at an initial conversion price of $6.48 per share, subject to a 19.9% beneficial ownership conversion limitation ("Blocker") based on the total issued and outstanding shares of common stock of the Issuer beneficially owned by GBM. As of August 21, 2020, there were 5,115,179 shares of the Issuer's common stock issued and outstanding, and therefore, as a result of the Blocker, GBM is currently only able to convert the number of Series A Preferred Stock equal to approximately 673,904 shares of the Issuer's common stock, or approximately 4,366 shares of Series A Preferred Stock. The Reporting Person has dispositive control over these securities.

F6 · ownership.nature: In connection with the Exchange Agreement, GBM received 46,868 newly issued shares of the Issuer's Series A Convertible Preferred Stock ("Series A Preferred Stock") with a stated value of $46,868,000, or $1,000 per share. The Series A Preferred Stock is convertible into shares of common stock of DSS, at an initial conversion price of $6.48 per share, subject to a 19.9% beneficial ownership conversion limitation ("Blocker") based on the total issued and outstanding shares of common stock of the Issuer beneficially owned by GBM. As of August 21, 2020, there were 5,115,179 shares of the Issuer's common stock issued and outstanding, and therefore, as a result of the Blocker, GBM is currently only able to convert the number of Series A Preferred Stock equal to approximately 673,904 shares of the Issuer's common stock, or approximately 4,366 shares of Series A Preferred Stock. The Reporting Person has dispositive control over these securities.

SEC source: 0001493152-20-016707 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 483,334

F1 · shares: On August 21, 2020, Document Security Systems, Inc., a New York corporation (the "Issuer") closed on a share exchange agreement (the "Exchange Agreement") by and among the Issuer, DSS BioHealth Security, Inc., Singapore eDevelopment Ltd. ("SeD"), an entity controlled by the Reporting Person, and Global Biomedical Pte Ltd. ("GBM"), a wholly-owned subsidiary of SeD. Pursuant to the Exchange Agreement, GBM received 483,334 shares of the Issuer's common stock at a per share cost basis of $6.48 per share. The Reporting Person has dispositive control over these securities.

F1 · price: On August 21, 2020, Document Security Systems, Inc., a New York corporation (the "Issuer") closed on a share exchange agreement (the "Exchange Agreement") by and among the Issuer, DSS BioHealth Security, Inc., Singapore eDevelopment Ltd. ("SeD"), an entity controlled by the Reporting Person, and Global Biomedical Pte Ltd. ("GBM"), a wholly-owned subsidiary of SeD. Pursuant to the Exchange Agreement, GBM received 483,334 shares of the Issuer's common stock at a per share cost basis of $6.48 per share. The Reporting Person has dispositive control over these securities.

F1 · ownership.nature: On August 21, 2020, Document Security Systems, Inc., a New York corporation (the "Issuer") closed on a share exchange agreement (the "Exchange Agreement") by and among the Issuer, DSS BioHealth Security, Inc., Singapore eDevelopment Ltd. ("SeD"), an entity controlled by the Reporting Person, and Global Biomedical Pte Ltd. ("GBM"), a wholly-owned subsidiary of SeD. Pursuant to the Exchange Agreement, GBM received 483,334 shares of the Issuer's common stock at a per share cost basis of $6.48 per share. The Reporting Person has dispositive control over these securities.

SEC source: 0001493152-20-003100 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,538,710

F1 · price: On February 24, 2020, the Reporting Persons purchased from the Issuer 11,111,111 shares of the Issuer's Common Stock, in an underwritten public offering, in consideration for $2,000,000.

SEC source: 0001493152-20-003408 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,538,711

F1 · shares: The original Form 4 filed on February 27, 2020 is amended by this Form 4 amendment to correctly reflect the reporting person's ownership of Common Stock. No other changes have been made to the original Form 4.

F2 · price: On February 24, 2020, the Reporting Persons purchased from the Issuer 11,111,112 shares of the Issuer's Common Stock, in an underwritten public offering, in consideration for $2,000,000.

SEC source: 0001493152-20-002815 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,427,599

F1 · price: Represents a restricted stock grant awarded to the Reporting Person by the Issuer pursuant to the Executive Employment Agreement between the Issuer and the Reporting Person and the Issuer's 2020 Equity Incentive Plan, in consideration for the Reporting Person's services as Executive Chairman of the Issuer and Executive Chairman and Chief Executive Officer of the Issuer's subsidiary.

SEC source: 0001493152-19-016463 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 6,446,428

F1 · shares: On November 1, 2019, Document Security Systems, Inc., a New York corporation (the "Company") entered into and closed on a subscription agreement (the "Subscription Agreement") with LiquidValue Development Pte Ltd., an entity owned and controlled by the Reporting Person. Pursuant to the Subscription Agreement, LiquidValue Development Pte Ltd. purchased 6,000,000 shares of the Company's common stock at a purchase price of $0.3037 per share. The Reporting Person has dispositive control over these securities.

F1 · price: On November 1, 2019, Document Security Systems, Inc., a New York corporation (the "Company") entered into and closed on a subscription agreement (the "Subscription Agreement") with LiquidValue Development Pte Ltd., an entity owned and controlled by the Reporting Person. Pursuant to the Subscription Agreement, LiquidValue Development Pte Ltd. purchased 6,000,000 shares of the Company's common stock at a purchase price of $0.3037 per share. The Reporting Person has dispositive control over these securities.

F1 · ownership.nature: On November 1, 2019, Document Security Systems, Inc., a New York corporation (the "Company") entered into and closed on a subscription agreement (the "Subscription Agreement") with LiquidValue Development Pte Ltd., an entity owned and controlled by the Reporting Person. Pursuant to the Subscription Agreement, LiquidValue Development Pte Ltd. purchased 6,000,000 shares of the Company's common stock at a purchase price of $0.3037 per share. The Reporting Person has dispositive control over these securities.

SEC source: 0001654954-19-010737 · section16.xml · nonDerivative · entry 1

Chan Heng Fai Ambrose · CIK 0001261725 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · see footnote

Disclosed balance after: 243

F1 · ownership.nature: Held by Heng Fai Holdings Limited, an entity of which the Reporting Person is the sole owner. The Reporting Person has dispositive control over these securities.

SEC source: 0001493152-19-011057 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,077,682

F1 · shares: Represents a restricted stock grant awarded to the Reporting Person by the Issuer pursuant to the Company's 2013 Employee, Director and Consultants Equity Incentive Plan in consideration for the Reporting Person's services as Executive Chairman of the Issuer and Executive Chairman and Chief Executive Officer of the Issuer's subsidiary.

F1 · price: Represents a restricted stock grant awarded to the Reporting Person by the Issuer pursuant to the Company's 2013 Employee, Director and Consultants Equity Incentive Plan in consideration for the Reporting Person's services as Executive Chairman of the Issuer and Executive Chairman and Chief Executive Officer of the Issuer's subsidiary.

SEC source: 0001493152-19-008945 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,002,912

SEC source: 0001493152-19-003944 · ownership.xml · derivative · entry 6

Chan Heng Fai Ambrose · CIK 0001261725 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common · 446,428 shares

Expires 2020-02-18

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 · price: On March 25, 2019, a Convertible Promissory Note in the amount of $500,000 was converted into 446,428 shares of the common stock of Document Security Systems, Inc. These shares are held by LiquidValue Development Pte Ltd, of which the Reporting Person is the owner and a director. The Reporting Person has dispositive control over these shares.

F4 · ownership.nature: On March 25, 2019, a Convertible Promissory Note in the amount of $500,000 was converted into 446,428 shares of the common stock of Document Security Systems, Inc. These shares are held by LiquidValue Development Pte Ltd, of which the Reporting Person is the owner and a director. The Reporting Person has dispositive control over these shares.

SEC source: 0001493152-19-003944 · ownership.xml · nonDerivative · entry 5

Chan Heng Fai Ambrose · CIK 0001261725 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 446,428

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 · ownership.nature: On March 25, 2019, a Convertible Promissory Note in the amount of $500,000 was converted into 446,428 shares of the common stock of Document Security Systems, Inc. These shares are held by LiquidValue Development Pte Ltd, of which the Reporting Person is the owner and a director. The Reporting Person has dispositive control over these shares.

SEC source: 0001493152-19-002324 · ownership.xml · derivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Indirect · Through LiquidValue Development Pte Ltd. See Footnote

Disclosed balance after: 446,428

Underlying: Common · 446,428 shares

Expires 2020-02-18

F4 · price: This Convertible Promissory Note in the amount of $500,000, convertible into 446,428 shares of Common Stock, is held by LiquidValue Development Pte Ltd of which Reporting Person is the owner and a director. The Reporting Person has dispositive control over these securities.

F4 · ownership.nature: This Convertible Promissory Note in the amount of $500,000, convertible into 446,428 shares of Common Stock, is held by LiquidValue Development Pte Ltd of which Reporting Person is the owner and a director. The Reporting Person has dispositive control over these securities.

SEC source: 0001493152-18-017673 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 1,786,531

F1 · ownership.nature: Held by Heng Fai Holdings Limited of which Reporting Person is the owner. The Reporting Person has dispositive control over these securities.

SEC source: 0001493152-18-009731 · form4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 1,174,286

F1 · ownership.nature: Held by Heng Fai Holdings Limited, of which Reporting Person is an officer and the owner. The Reporting Person has dispositive control over these securities.

SEC source: 0001261725-18-000004 · primary_doc.xml · nonDerivative · entry 3

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

Singapore Edevelopment Ltd · CIK 0001660984 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · Through Singapore eDevelopment Limited

Disclosed balance after: 704,015,730

F2 · price: On December 29, 2017, the Company issued 630,000,000 shares of common stock to SeD Home International, Inc., a subsidiary of the Singapore eDevelopment Limited, in exchange for all of the issued and outstanding common stock of SeD Home Inc., a subsidiary of SeD Home International, Inc.

SEC source: 0001493152-17-014651 · form4.xml · derivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 160,000 shares

Expires 2022-09-08

F1 · ownership.nature: Held by Heng Fai Holdings Limited, of which Reporting Person is an Officer and the owner. The Reporting Person has dispositive control over these securities.

SEC source: 0001493152-17-014651 · form4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 960,000

F1 · ownership.nature: Held by Heng Fai Holdings Limited, of which Reporting Person is an Officer and the owner. The Reporting Person has dispositive control over these securities.

SEC source: 0001493152-17-014312 · form4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,912

SEC source: 0001493152-17-010616 · form4.xml · derivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 200,000 shares

Expires 2019-12-29

F1 · security: Held by BMI Capital Partners International Limited., of which the Reporting Person is a director. The Reporting Person has dispositive control over these securities.

F1 · ownership.nature: Held by BMI Capital Partners International Limited., of which the Reporting Person is a director. The Reporting Person has dispositive control over these securities.

SEC source: 0001493152-17-010616 · form4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 683,000

F4 · price: As consideration for the shares of the Issuer acquired on 09/12/2017 and that were valued at $0.71 per share, Hengfai Business Develoment Pte Ltd. exchanged securities of an entity listed on the Singapore Exchange Limited.

F2 · ownership.nature: Held by Hengfai Business Develoment Pte Ltd., of which the Reporting Person is the Chief Executive Officer and the owner. The Reporting Person has dispositive control over these securities.

SEC source: 0001493152-17-010616 · form4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 500,000

F1 · ownership.nature: Held by BMI Capital Partners International Limited., of which the Reporting Person is a director. The Reporting Person has dispositive control over these securities.

SEC source: 0001493152-17-010498 · form4.xml · derivative · entry 3

Chan Heng Fai Ambrose · CIK 0001261725 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 160,000

Underlying: Common Stock · 160,000 shares

Expires 2022-09-08

F3 · price: The price of the warrants is included in the price of the shares reported in Table I.

F2 · ownership.nature: BMI capital owns the previously issued warrants to purchase 200,000 shares of the Issuer's common stock. HF Holdings owns the warrants to purchase 160,000 shares of Issuer's common stock. Reporting Person has dispositive control over all of these warrants.

SEC source: 0001493152-17-010498 · form4.xml · nonDerivative · entry 1

Chan Heng Fai Ambrose · CIK 0001261725 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 1,100,000

F1 · ownership.nature: The Reporting Person is a director of BMI Capital Partners International Ltd. ("BMI Capital"), which owns 300,000 shares of the Issuer's common stock purchased on 12/29/16. The Reporting Person is also the CEO and majority shareholder of Heng Fai Holdings Limited ("HF Holdings"), which owns the 800,000 shares of Issuer's common stock purchased on 9/8/17. Reporting Person has dispositive control over all of these shares.

SEC source: 0001261725-18-000004 · primary_doc.xml · nonDerivative · entry 2

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

Singapore Edevelopment Ltd · CIK 0001660984 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · Through Singapore eDevelopment Limited

Disclosed balance after: 74,015,730

F1 · price: On December 22, 2016, CloudBiz International Pte, Ltd., a Singapore limited company controlled by Mr. Fai H. Chan transferred 74,015,730 shares of the common stock of SeD Intelligent Home Inc. (formerly known as Homeownusa and referred to herein as the "Company") to Singapore eDevelopment Limited, a Singapore limited company also controlled by Mr. Fai H. Chan. Singapore eDevelopment Limited subsequently transferred these shares to its subsidiary SeD Home International, Inc.

SEC source: 0001261725-18-000004 · primary_doc.xml · nonDerivative · entry 1

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

Singapore Edevelopment Ltd · CIK 0001660984 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · Through CloudBiz International Pte, Ltd.

Disclosed balance after: 74,015,730