MILLS RICHARD C

SEC source: 0001437749-26-022465 · rdgdoc.xml · nonDerivative · entry 1

MILLS RICHARD C · CIK 0001076128 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 952,601

F1 · balance_after: Includes 450,000 Restricted Stock Units ("RSUs") granted to Reporting Person by Issuer pursuant to a Restricted Stock Unit Agreement in accordance with Issuer's 2023 Stock Incentive Plan, as amended (the "Plan"). The RSUs vest as follows: 150,000 vested on December 31, 2025, 150,000 vest on July 3, 2027 and 150,000 vest on July 3, 2028, subject to acceleration upon the earliest of Reporting Person's death or disability, termination of employment without "cause" by Issuer, or the occurrence of a "Sale Transaction" (as defined in the Plan). Vested RSUs will be settled upon the earliest of Reporting Person's death or disability, termination of employment, or the occurrence of a Sale Transaction that is also a change in control event within the meaning of Internal Revenue Code Section 409A.

SEC source: 0001437749-25-022170 · rdgdoc.xml · nonDerivative · entry 1

MILLS RICHARD C · CIK 0001076128 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 752,601

F1 · shares: Represents 450,000 Restricted Stock Units ("RSUs") granted to Reporting Person by Issuer pursuant to a Restricted Stock Unit Agreement in accordance with Issuer's 2023 Stock Incentive Plan, as amended (the "Plan"), with RSUs vesting in three equal installments as follows: 150,000 vest on December 31, 2025, 150,000 vest on July 3, 2027 and 150,000 vest on July 3, 2028. Accelerated vesting shall occur upon the earliest of Reporting Person's death or disability, termination of employment without "cause" by Issuer, or a "Sale Transaction" occurring under the Plan.

F1 · balance_after: Represents 450,000 Restricted Stock Units ("RSUs") granted to Reporting Person by Issuer pursuant to a Restricted Stock Unit Agreement in accordance with Issuer's 2023 Stock Incentive Plan, as amended (the "Plan"), with RSUs vesting in three equal installments as follows: 150,000 vest on December 31, 2025, 150,000 vest on July 3, 2027 and 150,000 vest on July 3, 2028. Accelerated vesting shall occur upon the earliest of Reporting Person's death or disability, termination of employment without "cause" by Issuer, or a "Sale Transaction" occurring under the Plan.

SEC source: 0001437749-25-019461 · rdgdoc.xml · derivative · entry 3

MILLS RICHARD C · CIK 0001076128 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 206,000

Underlying: Common Stock · 206,000 shares

Expires 2035-06-02

F3 · shares: Represents 206,000 options issued pursuant to an Option Agreement in accordance with Issuer's 2023 Stock Incentive Plan, as amended, with options vesting and exercisable in three installments as follows: 68,667 options vest on June 2, 2026, 68,667 options vest on June 2, 2027, and 68,666 options vest on June 2, 2028.

F3 · derivative.exercise_date: Represents 206,000 options issued pursuant to an Option Agreement in accordance with Issuer's 2023 Stock Incentive Plan, as amended, with options vesting and exercisable in three installments as follows: 68,667 options vest on June 2, 2026, 68,667 options vest on June 2, 2027, and 68,666 options vest on June 2, 2028.

F3 · balance_after: Represents 206,000 options issued pursuant to an Option Agreement in accordance with Issuer's 2023 Stock Incentive Plan, as amended, with options vesting and exercisable in three installments as follows: 68,667 options vest on June 2, 2026, 68,667 options vest on June 2, 2027, and 68,666 options vest on June 2, 2028.

SEC source: 0001437749-25-019461 · rdgdoc.xml · nonDerivative · entry 1

MILLS RICHARD C · CIK 0001076128 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 302,601

F1 · price: The price reported in column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.9850 to $3.4599, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth.

SEC source: 0001437749-23-024534 · rdgdoc.xml · nonDerivative · entry 1

MILLS RICHARD C · CIK 0001076128 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 297,712

SEC source: 0001415889-22-009005 · form4-08242022_020808.xml · nonDerivative · entry 2

MILLS RICHARD C · CIK 0001076128 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 743,134

SEC source: 0001415889-22-009005 · form4-08242022_020808.xml · nonDerivative · entry 1

MILLS RICHARD C · CIK 0001076128 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 728,134

SEC source: 0001415889-22-006723 · form4-06172022_010633.xml · derivative · entry 4

MILLS RICHARD C · CIK 0001076128 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,000,000

Underlying: Common Stock · 1,000,000 shares

Expires 2025-06-15

F3 · derivative.exercise_date: The option becomes exercisable, if at all, based on price per share as follows: 50,000 shares vest at a share target price of $2.00; 100,000 shares vest at a share target price of $3.00; 150,000 shares vest at a share target price of $4.00; 200,000 shares vest at a share target price of $5.00; 250,000 shares vest at a share target price of $6.00; and 250,000 shares vest at the "Guaranteed Price." The "Guaranteed Price" has the meaning as defined in the Agreement and Plan of Merger by and among Reflect Systems, Inc., Creative Realities, Inc., CRI Acquisition Corporation and RSI Exit Corporation dated as of November 12, 2021 (the "Merger Agreement") (as filed with the SEC on Form 8-K dated November 12, 2021) and means (a) $6.40 per share, or (b) $7.20 per share if and only if certain customers set forth in the Merger Agreement collectively achieve over 85,000 billable devices online at any time on or before December 31, 2022.

SEC source: 0001415889-22-006723 · form4-06172022_010633.xml · derivative · entry 3

MILLS RICHARD C · CIK 0001076128 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 160,000

Underlying: Common Stock · 160,000 shares

Expires 2030-05-20

F2 · security: On June 1, 2020, the reporting person was granted an option to purchase 480,000 shares of common stock. The option vests in three equal annual installments based on certain performance criteria for each of the fiscal years ending December 31, 2020, 2021, and 2022. The performance criteria for 2021 have been met, resulting in vesting of the option as to 160,000 shares.

SEC source: 0001179110-20-006896 · edgar.xml · derivative · entry 4

MILLS RICHARD C · CIK 0001076128 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 480,000

Underlying: Common Stock · 480,000 shares

Expires 2030-06-01

F3 · date: The options were granted pursuant to an agreement dated June 1, 2020 between the Company and the Reporting Person and are subject to approval by Company's stockholders of an amendment to its 2014 Stock Incentive Plan (the "Amendment"). If the Amendment is approved by stockholders, options to acquire 480,000 shares will vest in three equal installments of 160,000 each on 6/1/2021, 6/1/2022 and 6/1/2023. The grant was approved in accordance with Rule 16b-3(d) of the Securities Exchange Act of 1934 (the "1934 Act"), and in accordance with Rule 16b-3(a) of the 1934 Act is exempt from Section 16(b) of the 1934 Act.

F3 · price: The options were granted pursuant to an agreement dated June 1, 2020 between the Company and the Reporting Person and are subject to approval by Company's stockholders of an amendment to its 2014 Stock Incentive Plan (the "Amendment"). If the Amendment is approved by stockholders, options to acquire 480,000 shares will vest in three equal installments of 160,000 each on 6/1/2021, 6/1/2022 and 6/1/2023. The grant was approved in accordance with Rule 16b-3(d) of the Securities Exchange Act of 1934 (the "1934 Act"), and in accordance with Rule 16b-3(a) of the 1934 Act is exempt from Section 16(b) of the 1934 Act.

F3 · derivative.exercise_date: The options were granted pursuant to an agreement dated June 1, 2020 between the Company and the Reporting Person and are subject to approval by Company's stockholders of an amendment to its 2014 Stock Incentive Plan (the "Amendment"). If the Amendment is approved by stockholders, options to acquire 480,000 shares will vest in three equal installments of 160,000 each on 6/1/2021, 6/1/2022 and 6/1/2023. The grant was approved in accordance with Rule 16b-3(d) of the Securities Exchange Act of 1934 (the "1934 Act"), and in accordance with Rule 16b-3(a) of the 1934 Act is exempt from Section 16(b) of the 1934 Act.

SEC source: 0001179110-20-006896 · edgar.xml · derivative · entry 3

MILLS RICHARD C · CIK 0001076128 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 480,000 shares

Expires 2030-05-20

F2 · date: This transaction involves a rescission of a prior grant pursuant to an agreement dated June 1, 2020 between the Company and the Reporting Person in connection with securities granted which were in excess of the limits authorized by the Company's 2014 Stock Incentive Plan. As of the date of rescission, the forfeited options to acquire 480,000 shares were not vested.

F2 · price: This transaction involves a rescission of a prior grant pursuant to an agreement dated June 1, 2020 between the Company and the Reporting Person in connection with securities granted which were in excess of the limits authorized by the Company's 2014 Stock Incentive Plan. As of the date of rescission, the forfeited options to acquire 480,000 shares were not vested.

F2 · derivative.exercise_date: This transaction involves a rescission of a prior grant pursuant to an agreement dated June 1, 2020 between the Company and the Reporting Person in connection with securities granted which were in excess of the limits authorized by the Company's 2014 Stock Incentive Plan. As of the date of rescission, the forfeited options to acquire 480,000 shares were not vested.

SEC source: 0001179110-20-006575 · edgar.xml · derivative · entry 2

MILLS RICHARD C · CIK 0001076128 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 480,000

Underlying: Common Stock · 480,000 shares

Expires 2030-05-20

F2 · derivative.exercise_date: Options vest in three equal installments of 160,000 each on 5/20/2021, 5/20/2022 and 5/20/2023.

SEC source: 0001179110-19-010449 · edgar.xml · nonDerivative · entry 2

MILLS RICHARD C · CIK 0001076128 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 702,259

F2 · shares: Shares were received pursuant to a restricted stock grant and subject to performance criteria. On September 18, 20109, the Issuer released the vesting restrictions applicable to 33,333 restricted shares in recognition of the Reporting Person's accomplishments on the Issuer's behalf.

F2 · price: Shares were received pursuant to a restricted stock grant and subject to performance criteria. On September 18, 20109, the Issuer released the vesting restrictions applicable to 33,333 restricted shares in recognition of the Reporting Person's accomplishments on the Issuer's behalf.

SEC source: 0001179110-19-000480 · edgar.xml · nonDerivative · entry 2

MILLS RICHARD C · CIK 0001076128 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 668,926

F3 · kind: Shares received pursuant to a restricted stock grant. The shares reported here vest immediately. The remainder of the grant is contingent upon performance criteria and will be reported when or if the criteria is met.

F3 · price: Shares received pursuant to a restricted stock grant. The shares reported here vest immediately. The remainder of the grant is contingent upon performance criteria and will be reported when or if the criteria is met.

F1 · balance_after: Share ownership totals have been adjusted to reflect a 1 for 30 reverse stock split effective on 10/17/2018.

SEC source: 0001179110-19-000479 · edgar.xml · derivative · entry 10

MILLS RICHARD C · CIK 0001076128 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 180,754 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.

F3 · derivative.expiration_date: No expiration date.

F7 · derivative.underlying_shares: All common stock share numbers have be adjusted to reflect a 1 for 30 reverse stock split effective on 10/17/2018.

SEC source: 0001179110-19-000479 · edgar.xml · nonDerivative · entry 3

MILLS RICHARD C · CIK 0001076128 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 535,592

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

F7 · shares: All common stock share numbers have be adjusted to reflect a 1 for 30 reverse stock split effective on 10/17/2018.

F7 · balance_after: All common stock share numbers have be adjusted to reflect a 1 for 30 reverse stock split effective on 10/17/2018.

SEC source: 0001179110-19-000479 · edgar.xml · nonDerivative · entry 2

MILLS RICHARD C · CIK 0001076128 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 354,838

F6 · kind: The Reporting Person received these shares in connection with an agreement reached on September 1, 2017 by Creative Realities, Inc. and the prior shareholders of ConeXus to recognize the value obtained by Creative Realities, Inc. as a result of the merger and to settle the Holdback Shares to the prior shareholders of ConeXus.

F6 · shares: The Reporting Person received these shares in connection with an agreement reached on September 1, 2017 by Creative Realities, Inc. and the prior shareholders of ConeXus to recognize the value obtained by Creative Realities, Inc. as a result of the merger and to settle the Holdback Shares to the prior shareholders of ConeXus.

F7 · shares: All common stock share numbers have be adjusted to reflect a 1 for 30 reverse stock split effective on 10/17/2018.

F6 · price: The Reporting Person received these shares in connection with an agreement reached on September 1, 2017 by Creative Realities, Inc. and the prior shareholders of ConeXus to recognize the value obtained by Creative Realities, Inc. as a result of the merger and to settle the Holdback Shares to the prior shareholders of ConeXus.

F7 · balance_after: All common stock share numbers have be adjusted to reflect a 1 for 30 reverse stock split effective on 10/17/2018.

SEC source: 0001179110-19-000479 · edgar.xml · derivative · entry 9

MILLS RICHARD C · CIK 0001076128 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,367,268

Underlying: Common Stock · 5,206 shares

Expires not disclosed

F4 · kind: The Reporting Person received these shares as a payment-in-kind dividend.

F4 · price: The Reporting Person received these shares as a payment-in-kind dividend.

F3 · derivative.expiration_date: No expiration date.

F7 · derivative.underlying_shares: All common stock share numbers have be adjusted to reflect a 1 for 30 reverse stock split effective on 10/17/2018.

SEC source: 0001179110-19-000479 · edgar.xml · derivative · entry 12

MILLS RICHARD C · CIK 0001076128 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 18,261 shares

Expires 2017-10-15

F5 · derivative.exercise_price: Received Secured Convertible Promissory Note for $150,000 which is convertible into approximately 547,824 shares of Common Stock, including interest through 11/30/2016; and a Warrant to purchase 267,857 shares of Common Stock in connection with surrender and conversion of earlier-issued debt of ConeXus. The Warrant contains provisions blocking exercise if such exercise would result in the purchaser holding more than 4.99% of the Issuer's shares outstanding.

F5 · shares: Received Secured Convertible Promissory Note for $150,000 which is convertible into approximately 547,824 shares of Common Stock, including interest through 11/30/2016; and a Warrant to purchase 267,857 shares of Common Stock in connection with surrender and conversion of earlier-issued debt of ConeXus. The Warrant contains provisions blocking exercise if such exercise would result in the purchaser holding more than 4.99% of the Issuer's shares outstanding.

F8 · price: On or about January 17, 2017, all of the outstanding Convertible Promissory Notes were acquired by the Issuer's largest shareholder.

F5 · derivative.exercise_date: Received Secured Convertible Promissory Note for $150,000 which is convertible into approximately 547,824 shares of Common Stock, including interest through 11/30/2016; and a Warrant to purchase 267,857 shares of Common Stock in connection with surrender and conversion of earlier-issued debt of ConeXus. The Warrant contains provisions blocking exercise if such exercise would result in the purchaser holding more than 4.99% of the Issuer's shares outstanding.

F5 · derivative.underlying_shares: Received Secured Convertible Promissory Note for $150,000 which is convertible into approximately 547,824 shares of Common Stock, including interest through 11/30/2016; and a Warrant to purchase 267,857 shares of Common Stock in connection with surrender and conversion of earlier-issued debt of ConeXus. The Warrant contains provisions blocking exercise if such exercise would result in the purchaser holding more than 4.99% of the Issuer's shares outstanding.

SEC source: 0001179110-19-000479 · edgar.xml · derivative · entry 8

MILLS RICHARD C · CIK 0001076128 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,327,444

Underlying: Common Stock · 4,999 shares

Expires not disclosed

F4 · kind: The Reporting Person received these shares as a payment-in-kind dividend.

F4 · price: The Reporting Person received these shares as a payment-in-kind dividend.

F3 · derivative.expiration_date: No expiration date.

F7 · derivative.underlying_shares: All common stock share numbers have be adjusted to reflect a 1 for 30 reverse stock split effective on 10/17/2018.

SEC source: 0001179110-19-000479 · edgar.xml · derivative · entry 7

MILLS RICHARD C · CIK 0001076128 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,289,204

Underlying: Common Stock · 4,909 shares

Expires not disclosed

F4 · kind: The Reporting Person received these shares as a payment-in-kind dividend.

F4 · price: The Reporting Person received these shares as a payment-in-kind dividend.

F3 · derivative.expiration_date: No expiration date.

F7 · derivative.underlying_shares: All common stock share numbers have be adjusted to reflect a 1 for 30 reverse stock split effective on 10/17/2018.

SEC source: 0001179110-19-000479 · edgar.xml · derivative · entry 6

MILLS RICHARD C · CIK 0001076128 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,251,654

Underlying: Common Stock · 2,074 shares

Expires not disclosed

F4 · kind: The Reporting Person received these shares as a payment-in-kind dividend.

F4 · price: The Reporting Person received these shares as a payment-in-kind dividend.

F3 · derivative.expiration_date: No expiration date.

F7 · derivative.underlying_shares: All common stock share numbers have be adjusted to reflect a 1 for 30 reverse stock split effective on 10/17/2018.

SEC source: 0001179110-19-000479 · edgar.xml · derivative · entry 13

MILLS RICHARD C · CIK 0001076128 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By RFK Communications, LLC

Disclosed balance after: 8,929

Underlying: Common Stock · 8,929 shares

Expires 2020-10-15

F7 · derivative.exercise_price: All common stock share numbers have be adjusted to reflect a 1 for 30 reverse stock split effective on 10/17/2018.

F5 · kind: Received Secured Convertible Promissory Note for $150,000 which is convertible into approximately 547,824 shares of Common Stock, including interest through 11/30/2016; and a Warrant to purchase 267,857 shares of Common Stock in connection with surrender and conversion of earlier-issued debt of ConeXus. The Warrant contains provisions blocking exercise if such exercise would result in the purchaser holding more than 4.99% of the Issuer's shares outstanding.

F7 · shares: All common stock share numbers have be adjusted to reflect a 1 for 30 reverse stock split effective on 10/17/2018.

F5 · price: Received Secured Convertible Promissory Note for $150,000 which is convertible into approximately 547,824 shares of Common Stock, including interest through 11/30/2016; and a Warrant to purchase 267,857 shares of Common Stock in connection with surrender and conversion of earlier-issued debt of ConeXus. The Warrant contains provisions blocking exercise if such exercise would result in the purchaser holding more than 4.99% of the Issuer's shares outstanding.

F7 · derivative.underlying_shares: All common stock share numbers have be adjusted to reflect a 1 for 30 reverse stock split effective on 10/17/2018.

F7 · balance_after: All common stock share numbers have be adjusted to reflect a 1 for 30 reverse stock split effective on 10/17/2018.

F2 · ownership.nature: The Reporting Person is a principal of RFK Communications, LLC and has voting and investment power for this entity.

SEC source: 0001179110-19-000479 · edgar.xml · derivative · entry 11

MILLS RICHARD C · CIK 0001076128 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By RFK Communications, LLC

Disclosed balance after: 547,824

Underlying: Common Stock · 18,261 shares

Expires 2017-10-15

F5 · derivative.exercise_price: Received Secured Convertible Promissory Note for $150,000 which is convertible into approximately 547,824 shares of Common Stock, including interest through 11/30/2016; and a Warrant to purchase 267,857 shares of Common Stock in connection with surrender and conversion of earlier-issued debt of ConeXus. The Warrant contains provisions blocking exercise if such exercise would result in the purchaser holding more than 4.99% of the Issuer's shares outstanding.

F5 · kind: Received Secured Convertible Promissory Note for $150,000 which is convertible into approximately 547,824 shares of Common Stock, including interest through 11/30/2016; and a Warrant to purchase 267,857 shares of Common Stock in connection with surrender and conversion of earlier-issued debt of ConeXus. The Warrant contains provisions blocking exercise if such exercise would result in the purchaser holding more than 4.99% of the Issuer's shares outstanding.

F5 · shares: Received Secured Convertible Promissory Note for $150,000 which is convertible into approximately 547,824 shares of Common Stock, including interest through 11/30/2016; and a Warrant to purchase 267,857 shares of Common Stock in connection with surrender and conversion of earlier-issued debt of ConeXus. The Warrant contains provisions blocking exercise if such exercise would result in the purchaser holding more than 4.99% of the Issuer's shares outstanding.

F5 · price: Received Secured Convertible Promissory Note for $150,000 which is convertible into approximately 547,824 shares of Common Stock, including interest through 11/30/2016; and a Warrant to purchase 267,857 shares of Common Stock in connection with surrender and conversion of earlier-issued debt of ConeXus. The Warrant contains provisions blocking exercise if such exercise would result in the purchaser holding more than 4.99% of the Issuer's shares outstanding.

F5 · derivative.exercise_date: Received Secured Convertible Promissory Note for $150,000 which is convertible into approximately 547,824 shares of Common Stock, including interest through 11/30/2016; and a Warrant to purchase 267,857 shares of Common Stock in connection with surrender and conversion of earlier-issued debt of ConeXus. The Warrant contains provisions blocking exercise if such exercise would result in the purchaser holding more than 4.99% of the Issuer's shares outstanding.

F5 · derivative.underlying_shares: Received Secured Convertible Promissory Note for $150,000 which is convertible into approximately 547,824 shares of Common Stock, including interest through 11/30/2016; and a Warrant to purchase 267,857 shares of Common Stock in connection with surrender and conversion of earlier-issued debt of ConeXus. The Warrant contains provisions blocking exercise if such exercise would result in the purchaser holding more than 4.99% of the Issuer's shares outstanding.

F7 · derivative.underlying_shares: All common stock share numbers have be adjusted to reflect a 1 for 30 reverse stock split effective on 10/17/2018.

F5 · balance_after: Received Secured Convertible Promissory Note for $150,000 which is convertible into approximately 547,824 shares of Common Stock, including interest through 11/30/2016; and a Warrant to purchase 267,857 shares of Common Stock in connection with surrender and conversion of earlier-issued debt of ConeXus. The Warrant contains provisions blocking exercise if such exercise would result in the purchaser holding more than 4.99% of the Issuer's shares outstanding.

F2 · ownership.nature: The Reporting Person is a principal of RFK Communications, LLC and has voting and investment power for this entity.

SEC source: 0001179110-19-000479 · edgar.xml · derivative · entry 5

MILLS RICHARD C · CIK 0001076128 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,235,794

Underlying: Common Stock · 161,542 shares

Expires not disclosed

F1 · kind: Shares received as merger consideration in connection with Issuer's merger with Conexus World Capital, LLC.

F1 · price: Shares received as merger consideration in connection with Issuer's merger with Conexus World Capital, LLC.

F3 · derivative.expiration_date: No expiration date.

F7 · derivative.underlying_shares: All common stock share numbers have be adjusted to reflect a 1 for 30 reverse stock split effective on 10/17/2018.

SEC source: 0001179110-19-000479 · edgar.xml · nonDerivative · entry 4

MILLS RICHARD C · CIK 0001076128 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By RFK Commnications, LLC

Disclosed balance after: 87,976

F1 · kind: Shares received as merger consideration in connection with Issuer's merger with Conexus World Capital, LLC.

F7 · shares: All common stock share numbers have be adjusted to reflect a 1 for 30 reverse stock split effective on 10/17/2018.

F1 · price: Shares received as merger consideration in connection with Issuer's merger with Conexus World Capital, LLC.

F7 · balance_after: All common stock share numbers have be adjusted to reflect a 1 for 30 reverse stock split effective on 10/17/2018.

F2 · ownership.nature: The Reporting Person is a principal of RFK Communications, LLC and has voting and investment power for this entity.

SEC source: 0001179110-19-000479 · edgar.xml · nonDerivative · entry 1

MILLS RICHARD C · CIK 0001076128 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 248,236

F1 · kind: Shares received as merger consideration in connection with Issuer's merger with Conexus World Capital, LLC.

F7 · shares: All common stock share numbers have be adjusted to reflect a 1 for 30 reverse stock split effective on 10/17/2018.

F1 · price: Shares received as merger consideration in connection with Issuer's merger with Conexus World Capital, LLC.

F7 · balance_after: All common stock share numbers have be adjusted to reflect a 1 for 30 reverse stock split effective on 10/17/2018.

SEC source: 0001437749-24-004389 · rdgdoc.xml · nonDerivative · entry 2

MILLS RICHARD C · CIK 0001076128 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By RFK Communications, LLC

Disclosed balance after: 29,325

F2 · kind: All common stock share numbers reflect the Issuer's 1-for-30 reverse stock split effective on October 17, 2018, and a 1-for-3 reverse stock split effective on March 27, 2023.

F2 · shares: All common stock share numbers reflect the Issuer's 1-for-30 reverse stock split effective on October 17, 2018, and a 1-for-3 reverse stock split effective on March 27, 2023.

F3 · shares: Shares received as merger consideration in connection with Issuer's merger with Conexus World Capital, LLC.

F1 · price: On January 7, 2019, the reporting person filed a Form 5 that inadvertently reported that he received 82,744 shares as merger consideration in connection with Issuer's merger with Conexus World Capital, LLC. In fact, the reporting person received 71,634 shares in such merger.

F2 · balance_after: All common stock share numbers reflect the Issuer's 1-for-30 reverse stock split effective on October 17, 2018, and a 1-for-3 reverse stock split effective on March 27, 2023.

F4 · ownership.nature: The Reporting Person is a principal of RFK Communications, LLC and has voting and investment power for this entity.

SEC source: 0001437749-24-004389 · rdgdoc.xml · nonDerivative · entry 1

MILLS RICHARD C · CIK 0001076128 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 286,601

F1 · kind: On January 7, 2019, the reporting person filed a Form 5 that inadvertently reported that he received 82,744 shares as merger consideration in connection with Issuer's merger with Conexus World Capital, LLC. In fact, the reporting person received 71,634 shares in such merger.

F1 · shares: On January 7, 2019, the reporting person filed a Form 5 that inadvertently reported that he received 82,744 shares as merger consideration in connection with Issuer's merger with Conexus World Capital, LLC. In fact, the reporting person received 71,634 shares in such merger.

F1 · price: On January 7, 2019, the reporting person filed a Form 5 that inadvertently reported that he received 82,744 shares as merger consideration in connection with Issuer's merger with Conexus World Capital, LLC. In fact, the reporting person received 71,634 shares in such merger.

F2 · balance_after: All common stock share numbers reflect the Issuer's 1-for-30 reverse stock split effective on October 17, 2018, and a 1-for-3 reverse stock split effective on March 27, 2023.