Jacobs Ian Seth

SEC source: 0001213900-26-061677 · ownership.xml · nonDerivative · entry 1

Jacobs Ian Seth · CIK 0001707297 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 325,000

F1 · kind: As a condition under the terms of an Agreement and Plan of Merger and Reorganization, dated May 22, 2026 (the merger contemplated under such agreement, "Merger"), and pursuant to the terms of a stock cancellation agreement, the reporting person voluntarily surrendered and cancelled, for no consideration, 2,175,000 shares of the Issuer's common stock prior to the consummation of the Merger on May 22, 2026 ("Closing Date"). The reporting person resigned as the President, Chief Executive Officer, Chief Financial Officer, Director, and Secretary of the Issuer upon consummation of the Merger.

F1 · price: As a condition under the terms of an Agreement and Plan of Merger and Reorganization, dated May 22, 2026 (the merger contemplated under such agreement, "Merger"), and pursuant to the terms of a stock cancellation agreement, the reporting person voluntarily surrendered and cancelled, for no consideration, 2,175,000 shares of the Issuer's common stock prior to the consummation of the Merger on May 22, 2026 ("Closing Date"). The reporting person resigned as the President, Chief Executive Officer, Chief Financial Officer, Director, and Secretary of the Issuer upon consummation of the Merger.

SEC source: 0001213900-25-081956 · ownership.xml · nonDerivative · entry 1

Jacobs Ian Seth · CIK 0001707297 · Director · President, CEO, CFO, Secretary

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 275,000

SEC source: 0001213900-25-081958 · ownership.xml · nonDerivative · entry 1

Jacobs Ian Seth · CIK 0001707297 · Director · President, CEO, CFO, Secretary

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 325,000

SEC source: 0001213900-25-065807 · ownership.xml · nonDerivative · entry 1

Jacobs Ian Seth · CIK 0001707297 · Director · President, CEO, CFO, Secretary

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 275,000

SEC source: 0001213900-24-094680 · ownership.xml · nonDerivative · entry 1

Jacobs Ian Seth · CIK 0001707297 · Former Director and officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 175,000

F1 · kind: As a condition under the terms of an Agreement and Plan of Merger and Reorganization, dated as of November 1, 2024, and pursuant to the terms of a stock cancellation agreement, the reporting person voluntarily surrendered and cancelled for no consideration 75,000 shares of Issuer's common stock prior to the consummation of the Merger on November 1, 2024. The reporting person resigned as a director and officer of the Issuer upon consummation of the Merger.

F1 · price: As a condition under the terms of an Agreement and Plan of Merger and Reorganization, dated as of November 1, 2024, and pursuant to the terms of a stock cancellation agreement, the reporting person voluntarily surrendered and cancelled for no consideration 75,000 shares of Issuer's common stock prior to the consummation of the Merger on November 1, 2024. The reporting person resigned as a director and officer of the Issuer upon consummation of the Merger.

SEC source: 0001213900-23-062753 · ownership.xml · nonDerivative · entry 1

Jacobs Ian Seth · CIK 0001707297 · Former Director and Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 125,000

F1 · kind: As a condition under the terms of an Agreement and Plan of Merger and Reorganization, dated as of July 31, 2023, and pursuant to the terms of a stock cancellation agreement, the reporting person voluntarily surrendered and cancelled for no consideration 125,000 shares of Issuer's common stock prior to the consummation of the merger. The reporting person resigned as an officer and director of the Issuer upon consummation of the merger.

F1 · price: As a condition under the terms of an Agreement and Plan of Merger and Reorganization, dated as of July 31, 2023, and pursuant to the terms of a stock cancellation agreement, the reporting person voluntarily surrendered and cancelled for no consideration 125,000 shares of Issuer's common stock prior to the consummation of the merger. The reporting person resigned as an officer and director of the Issuer upon consummation of the merger.

SEC source: 0001213900-21-033882 · ownership.xml · nonDerivative · entry 1

Jacobs Ian Seth · CIK 0001707297 · Former Director and Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 200,000

F1 · kind: Pursuant to the terms of an Agreement and Plan of Merger and Reorganization, dated as of June 22, 2021, by and among the Issuer, Aeluma Operating Co. ("Acquisition Sub"), and Biond Photonics, Inc. (d.b.a. "Aeluma") ("Biond"), on June 22, 2021, Biond merged with and into Acquisition Sub, with Acquisition Sub continuing as the surviving entity (the "Merger") and as the Issuer's wholly-owned subsidiary. As a condition to the Merger, pursuant to the terms of a stock cancellation agreement, the reporting person voluntarily surrendered and canceled 50,000 shares of the Issuer's common stock prior to the consummation of the Merger. The reporting person resigned as a director and officer of the Issuer upon consummation of the Merger.

F1 · price: Pursuant to the terms of an Agreement and Plan of Merger and Reorganization, dated as of June 22, 2021, by and among the Issuer, Aeluma Operating Co. ("Acquisition Sub"), and Biond Photonics, Inc. (d.b.a. "Aeluma") ("Biond"), on June 22, 2021, Biond merged with and into Acquisition Sub, with Acquisition Sub continuing as the surviving entity (the "Merger") and as the Issuer's wholly-owned subsidiary. As a condition to the Merger, pursuant to the terms of a stock cancellation agreement, the reporting person voluntarily surrendered and canceled 50,000 shares of the Issuer's common stock prior to the consummation of the Merger. The reporting person resigned as a director and officer of the Issuer upon consummation of the Merger.

SEC source: 0001104659-21-028484 · tm217635-1_4seq1.xml · nonDerivative · entry 1

Jacobs Ian Seth · CIK 0001707297 · Former Officer and Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 200,000

F1 · kind: Pursuant to the terms of a Share Exchange Agreement, dated as of February 23, 2021, by and among the Issuer, SmartKem Inc. (f/k/a SmartKem Limited) ("SmartKem"), and the former shareholders of SmartKem, on February 23, 2021, all of the equity interests in SmartKem, except certain "deferred shares," exchanged for shares of Issuer's common stock, with SmartKem continuing as the Issuer's wholly owned subsidiary (the "Exchange"). As a condition to the Exchange, pursuant to the terms of a stock cancellation agreement, the reporting person voluntarily surrendered and canceled 50,000 shares of the Issuer's common stock prior to the consummation of the Exchange. The reporting person resigned as a director and officer of the Issuer upon consummation of the Exchange.

F1 · price: Pursuant to the terms of a Share Exchange Agreement, dated as of February 23, 2021, by and among the Issuer, SmartKem Inc. (f/k/a SmartKem Limited) ("SmartKem"), and the former shareholders of SmartKem, on February 23, 2021, all of the equity interests in SmartKem, except certain "deferred shares," exchanged for shares of Issuer's common stock, with SmartKem continuing as the Issuer's wholly owned subsidiary (the "Exchange"). As a condition to the Exchange, pursuant to the terms of a stock cancellation agreement, the reporting person voluntarily surrendered and canceled 50,000 shares of the Issuer's common stock prior to the consummation of the Exchange. The reporting person resigned as a director and officer of the Issuer upon consummation of the Exchange.

SEC source: 0001213900-20-030539 · ownership.xml · nonDerivative · entry 1

Jacobs Ian Seth · CIK 0001707297 · Former Director and Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 160,000

F1 · kind: Pursuant to the terms of an Agreement and Plan of Merger and Reorganization, dated as of October 5, 2020, by and among the Issuer, August Acquisition Corp. ("Acquisition Sub"), and Augmedix Operating Company (f/k/a Augmedix, Inc.) ("Augmedix"), on October 5, 2020, Acquisition Sub merged with and into Augmedix, with Augmedix continuing as the surviving entity (the "Merger") and as the Issuer's wholly-owned subsidiary. As a condition to the Merger, pursuant to the terms of a stock cancellation agreement, the reporting person voluntarily surrendered and canceled 90,000 shares of the Issuer's common stock prior to the consummation of the Merger. The reporting person resigned as a director and officer of the Issuer upon consummation of the Merger

F1 · price: Pursuant to the terms of an Agreement and Plan of Merger and Reorganization, dated as of October 5, 2020, by and among the Issuer, August Acquisition Corp. ("Acquisition Sub"), and Augmedix Operating Company (f/k/a Augmedix, Inc.) ("Augmedix"), on October 5, 2020, Acquisition Sub merged with and into Augmedix, with Augmedix continuing as the surviving entity (the "Merger") and as the Issuer's wholly-owned subsidiary. As a condition to the Merger, pursuant to the terms of a stock cancellation agreement, the reporting person voluntarily surrendered and canceled 90,000 shares of the Issuer's common stock prior to the consummation of the Merger. The reporting person resigned as a director and officer of the Issuer upon consummation of the Merger

SEC source: 0001213900-20-004042 · ownership.xml · nonDerivative · entry 1

Jacobs Ian Seth · CIK 0001707297 · Former Officer and Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 125,000

F1 · kind: Pursuant to the terms and conditions of that certain Agreement and Plan of Merger and Reorganization, dated as of February 12, 2020, by and among Transphorm, Inc., f/k/a Peninsula Acquisition Corporation (the "Issuer"), Peninsula Acquisition Sub, Inc. ("Acquisition Sub"), and Transphorm Technology, Inc., f/k/a Transphorm, Inc. ("Transphorm"), on February 12, 2020, Acquisition Sub merged with and into Transphorm, with Transphorm continuing as the surviving entity (the "Merger") and as the Issuer's wholly-owned subsidiary. Pursuant to the terms of a stock forfeiture letter, the reporting person forfeited and canceled 25,000 shares of the Issuer's common stock immediately prior to the consummation of the Merger.

F1 · price: Pursuant to the terms and conditions of that certain Agreement and Plan of Merger and Reorganization, dated as of February 12, 2020, by and among Transphorm, Inc., f/k/a Peninsula Acquisition Corporation (the "Issuer"), Peninsula Acquisition Sub, Inc. ("Acquisition Sub"), and Transphorm Technology, Inc., f/k/a Transphorm, Inc. ("Transphorm"), on February 12, 2020, Acquisition Sub merged with and into Transphorm, with Transphorm continuing as the surviving entity (the "Merger") and as the Issuer's wholly-owned subsidiary. Pursuant to the terms of a stock forfeiture letter, the reporting person forfeited and canceled 25,000 shares of the Issuer's common stock immediately prior to the consummation of the Merger.

SEC source: 0001213900-17-010015 · f4092217jacobs_max1acq.xml · nonDerivative · entry 1

Jacobs Ian Seth · CIK 0001707297 · Director · President, Secretary, CEO, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 103,160

F1 · price: These shares were received for services rendered in connection with a proposed merger among the issuer, Exicure, Inc., and Max-1 Acquisition Sub, Inc., a wholly owned subsidiary of the issuer.

SEC source: 0001213900-17-006618 · f4061517jacobs_max1acq.xml · nonDerivative · entry 1

Jacobs Ian Seth · CIK 0001707297 · Director · President, Secretary, CEO, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,000

F1 · shares: The disposed shares were originally acquired from the Issuer in a transaction exempt from Section 16(b) pursuant to Rule 16b-3(d) under the Securities Exchange Act of 1934, as amended.