Norman Paul T

SEC source: 0001493152-26-036055 · ownership.xml · derivative · entry 2

Norman Paul T · CIK 0001397924 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 121,212

Underlying: Common Stock · 121,213 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: Each RSU represents a contingent right to receive one (1) share of the issuer's common stock upon settlement.

F3 · derivative.exercise_date: On July 15, 2026, the reporting person was granted 242,425 RSUs, of which 50% vested into shares on July 31, 2026, an additional 25% are scheduled to vest into shares on September 30, 2026, and the remaining 25% are scheduled to vest into shares on December 31, 2026. Upon vesting, the reporting person will receive a number of shares of the issuer's common stock equal to the number of RSUs that vest on that date.

F3 · derivative.expiration_date: On July 15, 2026, the reporting person was granted 242,425 RSUs, of which 50% vested into shares on July 31, 2026, an additional 25% are scheduled to vest into shares on September 30, 2026, and the remaining 25% are scheduled to vest into shares on December 31, 2026. Upon vesting, the reporting person will receive a number of shares of the issuer's common stock equal to the number of RSUs that vest on that date.

SEC source: 0001493152-26-036055 · ownership.xml · nonDerivative · entry 1

Norman Paul T · CIK 0001397924 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,027,763

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 · price: Restricted stock units ("RSUs") converted into shares of the issuer's common stock on a one-for-one basis on the vesting date. RSUs do not require the holder to pay any consideration on vesting.

SEC source: 0001493152-26-033623 · ownership.xml · derivative · entry 1

Norman Paul T · CIK 0001397924 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 242,425

Underlying: Common Stock · 242,425 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one (1) share of the issuer's common stock upon settlement.

F2 · derivative.exercise_date: On July 15, 2025, the reporting person was granted 242,425 RSUs, of which 50% are scheduled to vest into shares on July 31, 2026, an additional 25% are scheduled to vest into shares on September 30, 2026, and the remaining 25% are scheduled to vest into shares on December 31, 2026. Upon vesting, the reporting person will receive a number of shares of the issuer's common stock equal to the number of RSUs that vest on that date.

F2 · derivative.expiration_date: On July 15, 2025, the reporting person was granted 242,425 RSUs, of which 50% are scheduled to vest into shares on July 31, 2026, an additional 25% are scheduled to vest into shares on September 30, 2026, and the remaining 25% are scheduled to vest into shares on December 31, 2026. Upon vesting, the reporting person will receive a number of shares of the issuer's common stock equal to the number of RSUs that vest on that date.

SEC source: 0001493152-26-004179 · ownership.xml · derivative · entry 2

Norman Paul T · CIK 0001397924 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 115,000

Underlying: Common Stock · 115,001 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: Each RSU represents a contingent right to receive one (1) share of the issuer's common stock upon settlement.

F3 · derivative.exercise_date: On July 18, 2025, the reporting person was granted 460,003 RSUs, of which 50% vested into shares on July 31, 2025, an additional 25% vested into shares on September 30, 2025, and the remaining 25% are scheduled to vest into shares on December 31, 2025. Upon vesting, the reporting person will receive a number of shares of the issuer's common stock equal to the number of RSUs that vest on that date.

F3 · derivative.expiration_date: On July 18, 2025, the reporting person was granted 460,003 RSUs, of which 50% vested into shares on July 31, 2025, an additional 25% vested into shares on September 30, 2025, and the remaining 25% are scheduled to vest into shares on December 31, 2025. Upon vesting, the reporting person will receive a number of shares of the issuer's common stock equal to the number of RSUs that vest on that date.

SEC source: 0001493152-26-004179 · ownership.xml · nonDerivative · entry 1

Norman Paul T · CIK 0001397924 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,906,550

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 · price: Restricted stock units ("RSUs") converted into shares of the issuer's common stock on a one-for-one basis on the vesting date. RSUs do not require the holder to pay any consideration on vesting.

SEC source: 0001493152-25-026160 · ownership.xml · derivative · entry 4

Norman Paul T · CIK 0001397924 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 115,000

Underlying: Common Stock · 115,001 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: Each RSU represents a contingent right to receive one (1) share of the issuer's common stock upon settlement.

F3 · derivative.exercise_date: On July 18, 2025, the reporting person was granted 460,003 RSUs, of which 50% vested into shares on July 31, 2025, an additional 25% vested into shares on September 30, 2025, and the remaining 25% are scheduled to vest into shares on December 31, 2025. Upon vesting, the reporting person will receive a number of shares of the issuer's common stock equal to the number of RSUs that vest on that date.

F3 · derivative.expiration_date: On July 18, 2025, the reporting person was granted 460,003 RSUs, of which 50% vested into shares on July 31, 2025, an additional 25% vested into shares on September 30, 2025, and the remaining 25% are scheduled to vest into shares on December 31, 2025. Upon vesting, the reporting person will receive a number of shares of the issuer's common stock equal to the number of RSUs that vest on that date.

SEC source: 0001493152-25-026160 · ownership.xml · nonDerivative · entry 2

Norman Paul T · CIK 0001397924 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,791,549

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 · price: Restricted stock units ("RSUs") converted into shares of the issuer's common stock on a one-for-one basis on the vesting date. RSUs do not require the holder to pay any consideration on vesting.

SEC source: 0001493152-25-026160 · ownership.xml · derivative · entry 3

Norman Paul T · CIK 0001397924 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 230,001

Underlying: Common Stock · 230,002 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: Each RSU represents a contingent right to receive one (1) share of the issuer's common stock upon settlement.

F3 · derivative.exercise_date: On July 18, 2025, the reporting person was granted 460,003 RSUs, of which 50% vested into shares on July 31, 2025, an additional 25% vested into shares on September 30, 2025, and the remaining 25% are scheduled to vest into shares on December 31, 2025. Upon vesting, the reporting person will receive a number of shares of the issuer's common stock equal to the number of RSUs that vest on that date.

F3 · derivative.expiration_date: On July 18, 2025, the reporting person was granted 460,003 RSUs, of which 50% vested into shares on July 31, 2025, an additional 25% vested into shares on September 30, 2025, and the remaining 25% are scheduled to vest into shares on December 31, 2025. Upon vesting, the reporting person will receive a number of shares of the issuer's common stock equal to the number of RSUs that vest on that date.

SEC source: 0001493152-25-026160 · ownership.xml · nonDerivative · entry 1

Norman Paul T · CIK 0001397924 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,676,548

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 · price: Restricted stock units ("RSUs") converted into shares of the issuer's common stock on a one-for-one basis on the vesting date. RSUs do not require the holder to pay any consideration on vesting.

SEC source: 0001641172-25-020430 · ownership.xml · derivative · entry 1

Norman Paul T · CIK 0001397924 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 460,003

Underlying: Common Stock · 460,003 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.

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one (1) share of the issuer's common stock upon settlement.

F2 · derivative.exercise_date: On July 18, 2025, the reporting person was granted 460,003 RSUs, of which 50% are scheduled to vest into shares on July 31, 2025, an additional 25% are scheduled to vest into shares on September 30, 2025, and the remaining 25% are scheduled to vest into shares on December 31, 2025. Upon vesting, the reporting person will receive a number of shares of the issuer's common stock equal to the number of RSUs that vest on that date.

F2 · derivative.expiration_date: On July 18, 2025, the reporting person was granted 460,003 RSUs, of which 50% are scheduled to vest into shares on July 31, 2025, an additional 25% are scheduled to vest into shares on September 30, 2025, and the remaining 25% are scheduled to vest into shares on December 31, 2025. Upon vesting, the reporting person will receive a number of shares of the issuer's common stock equal to the number of RSUs that vest on that date.

SEC source: 0001641172-25-013650 · ownership.xml · derivative · entry 2

Norman Paul T · CIK 0001397924 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 145,349

Underlying: Common Stock · 145,349 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: Each RSU represents a contingent right to receive one (1) share of the issuer's common stock upon settlement.

F3 · derivative.exercise_date: On June 26, 2024, the reporting person was granted 581,394 RSUs, of which 50% vested into shares on June 30, 2024, an additional 25% vested into shares on September 30, 2024, and the remaining 25% vested into shares on December 31, 2024. Upon vesting, the reporting person received a number of shares of the issuer's common stock equal to the number of RSUs that vest on that date.

F3 · derivative.expiration_date: On June 26, 2024, the reporting person was granted 581,394 RSUs, of which 50% vested into shares on June 30, 2024, an additional 25% vested into shares on September 30, 2024, and the remaining 25% vested into shares on December 31, 2024. Upon vesting, the reporting person received a number of shares of the issuer's common stock equal to the number of RSUs that vest on that date.

SEC source: 0001641172-25-013650 · ownership.xml · nonDerivative · entry 1

Norman Paul T · CIK 0001397924 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,446,546

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 · price: Restricted stock units ("RSUs") converted into shares of the issuer's common stock on a one-for-one basis on the vesting date. RSUs do not require the holder to pay any consideration on vesting.

SEC source: 0001437749-24-031529 · rdgdoc.xml · derivative · entry 2

Norman Paul T · CIK 0001397924 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 145,348

Underlying: Common Stock · 145,348 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: Each RSU represents a contingent right to receive one (1) share of the issuer's common stock upon settlement.

F3 · derivative.exercise_date: On June 26, 2024, the reporting person was granted 581,394 RSUs, of which 50% vested into shares on June 30, 2024, an additional 25% vested into shares on September 30, 2024, and the remaining 25% vest into shares on December 31, 2024. In the event of a change in control, all unvested RSUs will vest immediately. Upon vesting, the reporting person will receive a number of shares of the issuer's common stock equal to the number of RSUs that vest on that date.

F3 · derivative.expiration_date: On June 26, 2024, the reporting person was granted 581,394 RSUs, of which 50% vested into shares on June 30, 2024, an additional 25% vested into shares on September 30, 2024, and the remaining 25% vest into shares on December 31, 2024. In the event of a change in control, all unvested RSUs will vest immediately. Upon vesting, the reporting person will receive a number of shares of the issuer's common stock equal to the number of RSUs that vest on that date.

SEC source: 0001437749-24-031529 · rdgdoc.xml · nonDerivative · entry 1

Norman Paul T · CIK 0001397924 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,301,197

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 · price: Restricted stock units ("RSUs") converted into shares of the issuer's common stock on a one-for-one basis on the vesting date. RSUs do not require the holder to pay any consideration on vesting.

SEC source: 0001437749-24-028764 · rdgdoc.xml · derivative · entry 2

Norman Paul T · CIK 0001397924 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 290,697

Underlying: Common Stock · 290,697 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: Each RSU represents a contingent right to receive one (1) share of the issuer's common stock upon settlement.

F3 · derivative.exercise_date: On June 26, 2024, the reporting person was granted 581,394 RSUs, of which 50% vested into shares on June 30, 2024, an additional 25% vest into shares on September 30, 2024, and the remaining 25% vest into shares on December 31, 2024. In the event of a change in control, all unvested RSUs will vest immediately. Upon vesting, the reporting person will receive a number of shares of the issuer's common stock equal to the number of RSUs that vest on that date.

F3 · derivative.expiration_date: On June 26, 2024, the reporting person was granted 581,394 RSUs, of which 50% vested into shares on June 30, 2024, an additional 25% vest into shares on September 30, 2024, and the remaining 25% vest into shares on December 31, 2024. In the event of a change in control, all unvested RSUs will vest immediately. Upon vesting, the reporting person will receive a number of shares of the issuer's common stock equal to the number of RSUs that vest on that date.

SEC source: 0001437749-24-028764 · rdgdoc.xml · nonDerivative · entry 1

Norman Paul T · CIK 0001397924 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,155,849

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 · price: Restricted stock units ("RSUs") converted into shares of the issuer's common stock on a one-for-one basis on the vesting date. RSUs do not require the holder to pay any consideration on vesting.

SEC source: 0001437749-24-021553 · rdgdoc.xml · derivative · entry 1

Norman Paul T · CIK 0001397924 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 581,394

Underlying: Common Stock · 581,394 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of Jones Soda common stock. RSUs do not require the holder to pay any consideration on vesting.

F2 · derivative.exercise_date: On June 26, 2024, the reporting person was granted 581,396 RSUs, of which 50% vest into shares on June 30, 2024, an additional 25% vest into shares on September 30, 2024, and the remaining 25% vest into shares on December 31, 2024. In the event of a change in control, all unvested RSUs will vest immediately. Upon vesting, the reporting person will receive a number of shares of Jones Soda common stock equal to the number of RSUs that vest on that date.

F2 · derivative.expiration_date: On June 26, 2024, the reporting person was granted 581,396 RSUs, of which 50% vest into shares on June 30, 2024, an additional 25% vest into shares on September 30, 2024, and the remaining 25% vest into shares on December 31, 2024. In the event of a change in control, all unvested RSUs will vest immediately. Upon vesting, the reporting person will receive a number of shares of Jones Soda common stock equal to the number of RSUs that vest on that date.

SEC source: 0001437749-23-026613 · rdgdoc.xml · derivative · entry 2

Norman Paul T · CIK 0001397924 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 200,000 shares

Expires 2024-03-31

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: The warrants are exercisable into shares of common stock at an exercise price of $0.0602 (Canadian) per share.

F2 · derivative.exercise_date: The warrants are currently exercisble.

SEC source: 0001437749-23-026613 · rdgdoc.xml · nonDerivative · entry 1

Norman Paul T · CIK 0001397924 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,865,152

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: 0001437749-23-016096 · rdgdoc.xml · derivative · entry 1

Norman Paul T · CIK 0001397924 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 450,000

Underlying: Common Stock · 450,000 shares

Expires 2033-05-25

F1 · derivative.exercise_date: Stock Options shall vest and become exercisable into shares of the Company's common stock in accordance with the following vesting schedule: (i) 150,000 Stock Options on January 2, 2024, (ii) 150,000 Stock Options on January 2, 2025, and (iii) the remaining 150,000 Stock Options on January 2, 2026.

SEC source: 0001437749-23-003862 · rdgdoc.xml · derivative · entry 2

Norman Paul T · CIK 0001397924 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 120,000

Underlying: Common Stock · 120,000 shares

Expires 2033-02-15

F2 · derivative.exercise_date: 40,000 of the shares subject to the option vest on February 15, 2023, and an additional 40,000 of the shares subject to the option vest on February 15, 2024, and the remaining 40,000 of the shares subject to the option vest on February 15, 2025.

SEC source: 0001437749-23-003862 · rdgdoc.xml · derivative · entry 1

Norman Paul T · CIK 0001397924 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 750,000

Underlying: Common Stock · 750,000 shares

Expires 2033-02-15

F1 · derivative.exercise_date: 250,000 of the shares subject to the option vest on February 15, 2023, and an additional 250,000 of the shares subject to the option vest on May 15, 2023, and the remaining 250,000 of the shares subject to the option vest on August 15, 2024.

SEC source: 0001437749-23-000383 · rdgdoc.xml · nonDerivative · entry 1

Norman Paul T · CIK 0001397924 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,665,152

F1 · shares: On December 30, 2022, the Reporting Person entered into a rescission agreement (the "Rescission Agreement") with Jones Soda Co. (the "Issuer"). Under the terms of the Rescission Agreement each of the Issuer and Reporting Person agreed to rescind and cancel for no consideration all currently outstanding restricted stock units (the "RSUs") previously granted to the Reporting Person in May 2022 as well as all 250,000 shares of the Issuer's common stock previously issued to Reporting Person as a result of the vesting of 250,000 RSUs in August 2022. The cancellation of those shares of common stock is reported in this Form 4.

F1 · price: On December 30, 2022, the Reporting Person entered into a rescission agreement (the "Rescission Agreement") with Jones Soda Co. (the "Issuer"). Under the terms of the Rescission Agreement each of the Issuer and Reporting Person agreed to rescind and cancel for no consideration all currently outstanding restricted stock units (the "RSUs") previously granted to the Reporting Person in May 2022 as well as all 250,000 shares of the Issuer's common stock previously issued to Reporting Person as a result of the vesting of 250,000 RSUs in August 2022. The cancellation of those shares of common stock is reported in this Form 4.

SEC source: 0001437749-22-020865 · rdgdoc.xml · derivative · entry 3

Norman Paul T · CIK 0001397924 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 140,000

Underlying: Common Stock · 70,000 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.

F1 · derivative.exercise_price: Restricted stock units ("RSUs") converted into shares of common stock on a one-for-one basis.

F3 · derivative.exercise_date: The reporting person was granted 210,000 RSUs on May 13, 2022 that vest in equal installments on August 15, 2022, May 15, 2023, and August 15, 2024, respectively, subject to the reporting person continuing to be a member of the Board of Directors as of such date.

F3 · derivative.expiration_date: The reporting person was granted 210,000 RSUs on May 13, 2022 that vest in equal installments on August 15, 2022, May 15, 2023, and August 15, 2024, respectively, subject to the reporting person continuing to be a member of the Board of Directors as of such date.

SEC source: 0001437749-22-020865 · rdgdoc.xml · derivative · entry 2

Norman Paul T · CIK 0001397924 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 480,000

Underlying: Common Stock · 180,000 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.

F1 · derivative.exercise_price: Restricted stock units ("RSUs") converted into shares of common stock on a one-for-one basis.

F2 · derivative.exercise_date: The reporting person was granted 660,000 RSUs on May 27, 2022 that vest into shares of the issuer's common stock on a one-for-one basis in accordance with the following vesting schedule: 180,000 RSUs on August 15, 2022, 40,000 RSUs on February 15, 2023, 180,000 RSUs on May 15, 2023, 40,000 RSUs on February 15, 2024, 180,000 RSUs on August 15, 2024 and the remaining 40,000 RSUs on February 15, 2025.

F2 · derivative.expiration_date: The reporting person was granted 660,000 RSUs on May 27, 2022 that vest into shares of the issuer's common stock on a one-for-one basis in accordance with the following vesting schedule: 180,000 RSUs on August 15, 2022, 40,000 RSUs on February 15, 2023, 180,000 RSUs on May 15, 2023, 40,000 RSUs on February 15, 2024, 180,000 RSUs on August 15, 2024 and the remaining 40,000 RSUs on February 15, 2025.

SEC source: 0001437749-22-020865 · rdgdoc.xml · nonDerivative · entry 1

Norman Paul T · CIK 0001397924 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,915,152

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 · price: Restricted stock units ("RSUs") converted into shares of common stock on a one-for-one basis.

SEC source: 0001437749-22-014108 · rdgdoc.xml · derivative · entry 1

Norman Paul T · CIK 0001397924 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 870,000

Underlying: Common Stock · 660,000 shares

Expires 2032-05-27

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one (1) share of the issuer's common stock on the applicable vesting date.

F2 · derivative.exercise_date: The RSUs vest into shares of the issuer's common stock on a one-for-one basis in accordance with the following vesting schedule: 180,000 on August 15, 2022, 40,000 RSUs on February 15, 2023, 180,000 May 15, 2023, 40,000 RSUs on February 15, 2024, 180,000, on August 15, 2024 and the remaining 40,000 RSUs on February 15, 2025. All RSUs will immediately vest upon the occurrence of a "Change in Control" as defined in the issuer's 2022 Omnibus Equity Incentive Plan.

SEC source: 0001437749-22-013100 · rdgdoc.xml · derivative · entry 2

Norman Paul T · CIK 0001397924 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 200,000

Underlying: Common Stock · 200,000 shares

Expires 2024-03-31

F3 · derivative.exercise_price: The warrants are exercisable into shares of common stock at an exercise price of $0.0602 (Canadian) per share.

F4 · derivative.exercise_date: The warrants are currently exercisable

SEC source: 0001437749-22-013100 · rdgdoc.xml · derivative · entry 1

Norman Paul T · CIK 0001397924 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 210,000

Underlying: Common Stock · 210,000 shares

Expires 2032-05-13

F1 · derivative.exercise_price: Restricted stock units convert to shares of common stock on a one-for-one-basis.

F2 · derivative.exercise_date: The restricted stock units vest RSUs vest in equal installments onAugust 15, 2022, May 15, 2023, and August 15, 2024, respectively, subject to the reporting person continuing to be a member of the Board of Directors as of such date.

SEC source: 0001437749-22-005220 · rdgdoc.xml · derivative · entry 2

Norman Paul T · CIK 0001397924 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 400,000

Underlying: Common Stock · 400,000 shares

Expires 2024-02-14

F1 · derivative.exercise_date: The share purchase special warrants shall only become exercisable upon the Company increasing its authorized capital to an amount to cover the aggregate number of shares of the Company's Common Stock issuable pursuant to all of the Company's outstanding share purchase special warrants as well as the other shares of the Company's Common Stock issuable pursuant to the then outstanding convertible/exercisable securities of the Company.

SEC source: 0001437749-22-005220 · rdgdoc.xml · nonDerivative · entry 1

Norman Paul T · CIK 0001397924 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,665,152

SEC source: 0001437749-22-001055 · rdgdoc.xml · derivative · entry 1

Norman Paul T · CIK 0001397924 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,037

Underlying: Common Stock · 37,037 shares

Expires 2032-01-02

F1 · derivative.exercise_date: Subject to the reporting person's continuous service with the Company through such vesting date.

SEC source: 0001437749-21-000301 · rdgdoc.xml · derivative · entry 1

Norman Paul T · CIK 0001397924 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 104,690

Underlying: Common Stock · 104,690 shares

Expires 2031-01-03

SEC source: 0001562762-20-000416 · certent-form4.xml · nonDerivative · entry 1

Norman Paul T · CIK 0001397924 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,265,152

SEC source: 0001562762-20-000338 · certent-form4.xml · derivative · entry 2

Norman Paul T · CIK 0001397924 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 15,152 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.

F1 · derivative.exercise_price: Restricted stock units converted into shares of common stock on a one-for-one basis.

F2 · derivative.exercise_date: The restricted stock units vested in full on 8/7/20 subject to the reporting person continuing to be a member of the Board of Directors as of such date.

F2 · derivative.expiration_date: The restricted stock units vested in full on 8/7/20 subject to the reporting person continuing to be a member of the Board of Directors as of such date.

SEC source: 0001562762-20-000338 · certent-form4.xml · nonDerivative · entry 1

Norman Paul T · CIK 0001397924 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 265,152

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 · price: Restricted stock units converted into shares of common stock on a one-for-one basis.

SEC source: 0001562762-20-000195 · certent-form4.xml · nonDerivative · entry 1

Norman Paul T · CIK 0001397924 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 250,000

SEC source: 0001562762-20-000011 · certent-form4.xml · derivative · entry 1

Norman Paul T · CIK 0001397924 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 80,645

Underlying: Common Stock · 80,645 shares

Expires 2030-01-01

SEC source: 0001562762-19-000255 · certent-form4.xml · derivative · entry 1

Norman Paul T · CIK 0001397924 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,152

Underlying: Common Stock · 15,152 shares

Expires 2029-08-06

F1 · derivative.exercise_price: Restricted stock units convert to shares on a one-for-one basis.

F2 · derivative.exercise_date: The restricted stock units vest in full on August 7, 2020 subject to the reporting person continuing to be a member of the Board of Directors as of such date.

SEC source: 0001225208-18-004411 · doc4.xml · derivative · entry 7

Norman Paul T · CIK 0001397924 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common · 75,800 shares

Expires 2023-02-22

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 · derivative.exercise_date: The option vests in three equal annual installments beginning February 22, 2014.

SEC source: 0001225208-18-004411 · doc4.xml · derivative · entry 6

Norman Paul T · CIK 0001397924 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common · 84,600 shares

Expires 2024-02-21

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.

F3 · derivative.exercise_date: The option vests in three equal annual installments beginning February 21, 2015.

SEC source: 0001225208-18-004411 · doc4.xml · nonDerivative · entry 4

Norman Paul T · CIK 0001397924 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,856.9129

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $68.90 to $69.15, inclusive. The reporting person undertakes to provide to Kellogg Company, any security holder of Kellogg Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote to this Form 4.

SEC source: 0001225208-18-004411 · doc4.xml · nonDerivative · entry 3

Norman Paul T · CIK 0001397924 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 236,256.9129

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: 0001225208-18-004411 · doc4.xml · nonDerivative · entry 2

Norman Paul T · CIK 0001397924 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 160,456.9129

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: 0001225208-18-004411 · doc4.xml · nonDerivative · entry 1

Norman Paul T · CIK 0001397924 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,856.9129

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $67.27 to $68.10, inclusive. The reporting person undertakes to provide to Kellogg Company, any security holder of Kellogg Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote to this Form 4.

SEC source: 0001225208-18-003557 · doc4.xml · nonDerivative · entry 2

Norman Paul T · CIK 0001397924 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 82,953.9129

SEC source: 0001225208-18-003557 · doc4.xml · nonDerivative · entry 1

Norman Paul T · CIK 0001397924 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 88,381.9129

F1 · shares: Settlement of performance rights granted February 20, 2015, in connection with the Company's 2015-2017 Executive Performance Plan, which are payable in stock.

SEC source: 0001225208-18-002420 · doc5.xml · nonDerivative · entry 2

Norman Paul T · CIK 0001397924 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Indirect · By 401(k) Profit Sharing Plan

Disclosed balance after: 134.523

F3 · kind: Shares increased to the filer's Company Stock Fund account under the Kellogg Company Savings and Investment Plan during 2017.

SEC source: 0001225208-18-002420 · doc5.xml · nonDerivative · entry 1

Norman Paul T · CIK 0001397924 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,856.9129

F1 · kind: Shares acquired under the Company's Dividend Reinvestment Plan in 2017.

F2 · balance_after: Includes shares acquired under the Company's 2002 Employee Stock Purchase Plan in 2017.

SEC source: 0001225208-17-004116 · doc4.xml · derivative · entry 5

Norman Paul T · CIK 0001397924 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 69,100

Underlying: Common · 69,100 shares

Expires 2027-02-17

F4 · derivative.exercise_date: The option vests in three equal annual installments beginning February 17, 2018.