Schick John Douglas

SEC source: 0001654954-26-006158 · form4.xml · derivative · entry 4

Schick John Douglas · CIK 0001748134 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 15,220

Underlying: Common Stock · 15,220 shares

Expires not disclosed

F4 · derivative.exercise_price: Each Performance-Based Restricted Stock Unit represents the contingent right to receive, at vesting and upon settlement, shares of common stock of the Issuer. The actual number of shares issuable upon vesting may range from 0% to 200% of the target award based upon the level of achievement of the applicable performance criteria.

F6 · derivative.exercise_date: The Performance-Based Restricted Stock Units (PBRSUs), which PBRSUs will be earned based on the performance metrics applicable to the Issuers performance-based equity award program previously approved for management for the fiscal 2026 through fiscal 2028 performance period, which generally provide for the cliff-vesting of 100% of the PBRSUs on December 31, 2028, subject to the Reporting Persons continued service through that date and based on the Issuers total shareholder return (TSR) over the period, with payout ranging from 0% to 200% of target based on relative TSR percentile ranking against a defined peer group, and further subject to the terms and conditions of a Performance-Based Restricted Stock Unit Award Grant Agreement entered into between the Issuer and the Reporting Person. PBRSUs do not expire; they either vest or are forfeited prior to vesting. Issued under the Issuer's 2021 Equity Incentive Plan.

F6 · derivative.expiration_date: The Performance-Based Restricted Stock Units (PBRSUs), which PBRSUs will be earned based on the performance metrics applicable to the Issuers performance-based equity award program previously approved for management for the fiscal 2026 through fiscal 2028 performance period, which generally provide for the cliff-vesting of 100% of the PBRSUs on December 31, 2028, subject to the Reporting Persons continued service through that date and based on the Issuers total shareholder return (TSR) over the period, with payout ranging from 0% to 200% of target based on relative TSR percentile ranking against a defined peer group, and further subject to the terms and conditions of a Performance-Based Restricted Stock Unit Award Grant Agreement entered into between the Issuer and the Reporting Person. PBRSUs do not expire; they either vest or are forfeited prior to vesting. Issued under the Issuer's 2021 Equity Incentive Plan.

F7 · derivative.underlying_shares: The Target number of shares is reported. Possible payout ranges from 0% to 200%, based on the level of achievement of the applicable performance criteria during the applicable performance period.

SEC source: 0001654954-26-006158 · form4.xml · derivative · entry 3

Schick John Douglas · CIK 0001748134 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 22,830

Underlying: Common Stock · 22,830 shares

Expires not disclosed

F3 · derivative.exercise_price: Each Restricted Stock Unit represents the contingent right to receive, at vesting and upon settlement, one share of common stock.

F5 · derivative.exercise_date: The Restricted Stock Units (RSUs) vest, if at all, at the rate of (i) 1/3 of the total number of RSUs on the one (1) year anniversary of the January 1, 2026 vesting commencement date (the VCD); (ii) 1/3 of the total number of RSUs on the two (2) year anniversary of the VCD; and (iii) 1/3 of the total number of RSUs on the three (3) year anniversary of the VCD, subject to the Reporting Persons continued service to the Company on such vesting dates, and subject to the terms and conditions of a Restricted Stock Unit Award Grant Agreement entered into between the Company and the Reporting Person. RSUs do not expire; they either vest or are forfeited prior to vesting date. Issued under the Issuers 2021 Equity Incentive Plan.

F5 · derivative.expiration_date: The Restricted Stock Units (RSUs) vest, if at all, at the rate of (i) 1/3 of the total number of RSUs on the one (1) year anniversary of the January 1, 2026 vesting commencement date (the VCD); (ii) 1/3 of the total number of RSUs on the two (2) year anniversary of the VCD; and (iii) 1/3 of the total number of RSUs on the three (3) year anniversary of the VCD, subject to the Reporting Persons continued service to the Company on such vesting dates, and subject to the terms and conditions of a Restricted Stock Unit Award Grant Agreement entered into between the Company and the Reporting Person. RSUs do not expire; they either vest or are forfeited prior to vesting date. Issued under the Issuers 2021 Equity Incentive Plan.

SEC source: 0001654954-26-001839 · section16.xml · derivative · entry 3

Schick John Douglas · CIK 0001748134 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 454,550 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.

F4 · derivative.exercise_price: The Convertible Series A Preferred Stock was not convertible until the expiration of the twenty calendar day period (the "Automatic Conversion Date") commencing on the distribution to the Issuer's shareholders in accordance with Rule 14c-2 of Regulation 14C promulgated under the Securities and Exchange Act of 1934, as amended, of an information statement disclosing, among other things, the approval of such conversion and related matters by the majority stockholders of the Issuer which occurred on October 31, 2025, which Automatic Conversion Date was February 27, 2026.

F4 · derivative.exercise_date: The Convertible Series A Preferred Stock was not convertible until the expiration of the twenty calendar day period (the "Automatic Conversion Date") commencing on the distribution to the Issuer's shareholders in accordance with Rule 14c-2 of Regulation 14C promulgated under the Securities and Exchange Act of 1934, as amended, of an information statement disclosing, among other things, the approval of such conversion and related matters by the majority stockholders of the Issuer which occurred on October 31, 2025, which Automatic Conversion Date was February 27, 2026.

F4 · derivative.expiration_date: The Convertible Series A Preferred Stock was not convertible until the expiration of the twenty calendar day period (the "Automatic Conversion Date") commencing on the distribution to the Issuer's shareholders in accordance with Rule 14c-2 of Regulation 14C promulgated under the Securities and Exchange Act of 1934, as amended, of an information statement disclosing, among other things, the approval of such conversion and related matters by the majority stockholders of the Issuer which occurred on October 31, 2025, which Automatic Conversion Date was February 27, 2026.

SEC source: 0001654954-26-001839 · section16.xml · nonDerivative · entry 1

Schick John Douglas · CIK 0001748134 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Indirect · By American Resources Inc.

Disclosed balance after: 454,550

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: On the Automatic Conversion Date (defined below), the Convertible Series A Preferred Stock converted into common stock of the Issuer automatically pursuant to its terms based on a conversion ratio of 10-for-1.

F2 · balance_after: Except to the extent of his pecuniary interest therein this report shall not be deemed an admission that the Reporting Person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose.

F3 · ownership.nature: American Resources Inc., is owned and controlled by the Reporting Person, and as such the Reporting Person may be deemed to be beneficially owned the securities held by American Resources Inc.

SEC source: 0001654954-26-000638 · section16.xml · nonDerivative · entry 2

Schick John Douglas · CIK 0001748134 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,399,743

F2 · shares: Represents shares of common stock of the Issuer surrendered to the Issuer to satisfy tax withholding obligations in connection with the vesting of 175,000 shares of restricted stock granted to the reporting person on January 26, 2024. No shares were issued or sold in this transaction. The per-share value assigned to the shares surrendered reflects the price per share on the date on which the shares vested as reported on the NYSE American.

F2 · price: Represents shares of common stock of the Issuer surrendered to the Issuer to satisfy tax withholding obligations in connection with the vesting of 175,000 shares of restricted stock granted to the reporting person on January 26, 2024. No shares were issued or sold in this transaction. The per-share value assigned to the shares surrendered reflects the price per share on the date on which the shares vested as reported on the NYSE American.

SEC source: 0001654954-26-000638 · section16.xml · nonDerivative · entry 1

Schick John Douglas · CIK 0001748134 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,475,875

F1 · shares: Represents shares of common stock of the Issuer surrendered to the Issuer to satisfy tax withholding obligations in connection with the vesting of 116,667 shares of restricted stock granted to the reporting person on January 23, 2023. No shares were issued or sold in this transaction. The per-share value assigned to the shares surrendered reflects the price per share on the date on which the shares vested as reported on the NYSE American.

F1 · price: Represents shares of common stock of the Issuer surrendered to the Issuer to satisfy tax withholding obligations in connection with the vesting of 116,667 shares of restricted stock granted to the reporting person on January 23, 2023. No shares were issued or sold in this transaction. The per-share value assigned to the shares surrendered reflects the price per share on the date on which the shares vested as reported on the NYSE American.

SEC source: 0001654954-25-013441 · section16.xml · nonDerivative · entry 1

Schick John Douglas · CIK 0001748134 · Director · President and CEO

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 3,510,467

F1 · shares: Shares were sold pursuant to a 10b5-1 trading plan previously adopted by the Reporting Person to satisfy the Reporting Person's tax liability in connection with the November 23, 2025 vesting of certain shares of restricted stock which were granted under the Company's 2021 Equity Incentive Plan, which grants were exempt from Section 16(b) pursuant to Rule 16b-3.

F2 · price: This transaction was executed in multiple trades at prices ranging from $0.4457 to $0.5115, inclusive. The price reported above reflects the weighted average sales price. The Reporting Person hereby undertakes to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001654954-25-012580 · section16.xml · derivative · entry 2

Schick John Douglas · CIK 0001748134 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Indirect · Through American Resources, Inc

Disclosed balance after: 45,455

Underlying: Common Stock · 454,550 shares

Expires not disclosed

F6 · derivative.exercise_price: The Convertible Series A Preferred Stock have no expiration date, but automatically convert into common stock of the Issuer in a ratio of 10-for-1 on the Automatic Conversion Date.

F5 · derivative.exercise_date: The Convertible Series A Preferred Stock is not convertible until the expiration of the twenty calendar day period (the "Automatic Conversion Date") commencing on the distribution to the Issuer's shareholders in accordance with Rule 14c-2 of Regulation 14C promulgated under the Securities and Exchange Act of 1934, as amended, of an information statement disclosing, among other things, the approval of such conversion and related matters by the majority stockholders of the Issuer which occurred on October 31, 2025.

F6 · derivative.expiration_date: The Convertible Series A Preferred Stock have no expiration date, but automatically convert into common stock of the Issuer in a ratio of 10-for-1 on the Automatic Conversion Date.

F7 · ownership.nature: The Reporting Person serves as Chief Executive Officer of American Resources, Inc., an entity which he also partially owns, and as such, may be deemed to beneficially own the securities held by such entity.

SEC source: 0001654954-25-012580 · section16.xml · nonDerivative · entry 1

Schick John Douglas · CIK 0001748134 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,577,133

F1 · date: Granted by the Board of Directors of the Issuer on October 29, 2025, contingent upon the closing of the transactions contemplated by that certain Agreement and Plan of Merger dated October 31, 2025 between the Issuer, NP Merger Sub, LLC, COG Merger Sub, LLC, North Peak Oil Gas, LLC, Century Oil and Gas Sub-Holdings, LLC, and, solely for purposes of the specified provisions therein, North Peak Oil Gas Holdings, LLC, which closed on October 31, 2025 (the "Closing Date").

F2 · shares: The shares of Restricted Common Stock were issued to the Reporting Person pursuant to the Issuer's 2021 Equity Incentive Plan and are subject to forfeiture. A total of 1 million of the shares vest at the rate of (i) 1/3 on the one year anniversary of the Closing Date; (ii) 1/3 on the two year anniversary of the Closing Date; and (iii) 1/3 on the three year anniversary of the Closing Date, subject to the Reporting Person's continued service to the Company on such vesting dates, and subject to the terms and conditions of a Restricted Shares Grant Agreement entered into by and between the Issuer and the Reporting Person.

F3 · shares: Up to 1,000,000 shares will vest if the Issuer's common stock maintains a 30-day average closing price of at least $0.90 (as adjusted for stock splits) within four years after the Closing Date (the "price trigger"). The earliest possible vesting date is 30 days after the first anniversary of the Closing Date, provided: (a) if the price trigger is met between one year and 30 days and two years after the Closing Date, one-third of the shares vest immediately and the remainder vest on the second and third anniversaries of the grant date; (b) if met between two and three years, two-thirds vest immediately and the remainder on the third anniversary; and (c) if met after the third anniversary, all shares vest immediately. Vesting is subject to the Reporting Person's continued service and the terms of the Restricted Shares Grant Agreement. If the price trigger is not achieved within four years, all 1,000,000 shares will be forfeited.

F4 · price: Issued to the Reporting Person in consideration for services rendered and agreed to be rendered to the Issuer as the President and Chief Executive Officer of the Issuer.

SEC source: 0001654954-25-000814 · section16.xml · nonDerivative · entry 3

Schick John Douglas · CIK 0001748134 · Director · President and CEO

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 1,577,133

F5 · shares: Shares were sold pursuant to a 10b5-1 trading plan previously adopted by the Reporting Person to satisfy the Reporting Person's tax liability in connection with the January 25, 2025 and January 26, 2025 vesting of certain shares of restricted stock which were granted under the Company's 2021 Equity Incentive Plan, which grants were exempt from Section 16(b) pursuant to Rule 16b-3.

F6 · price: This transaction was executed in multiple trades at prices ranging from $0.72 to $0.8545, inclusive. The price reported above reflects the weighted average sales price. The Reporting Person hereby undertakes to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001654954-25-000814 · section16.xml · nonDerivative · entry 2

Schick John Douglas · CIK 0001748134 · Director · President and CEO

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 1,697,133

F3 · shares: The shares of Restricted Common Stock were issued to the Reporting Person pursuant to the Issuer's 2021 Equity Incentive Plan and are subject to forfeiture. The shares vest at the rate of (i) 1/3 of the shares on the ten (10) month anniversary of January 23, 2025 (the "Grant Date"); (ii) 1/3 on the twenty-two (22) month anniversary of the Grant Date; and (iii) 1/3 on the thirty-four (34) month anniversary of the Grant Date, subject to the Reporting Person's continued service to the Company on such vesting dates, and subject to the terms and conditions of a Restricted Shares Grant Agreement entered into by and between the Issuer and the Reporting Person. Exempt under Rule 16b-3.

F4 · price: Issued to the Reporting Person in consideration for services rendered and agreed to be rendered to the Issuer as the President and Chief Executive Officer of the Issuer.

SEC source: 0001654954-25-000814 · section16.xml · nonDerivative · entry 1

Schick John Douglas · CIK 0001748134 · Director · President and CEO

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 1,197,133

F1 · shares: Shares were sold pursuant to a 10b5-1 trading plan previously adopted by the Reporting Person to satisfy the Reporting Person's tax liability in connection with the January 23, 2025 vesting of certain shares of restricted stock which were granted under the Company's 2021 Equity Incentive Plan, which grants were exempt from Section 16(b) pursuant to Rule 16b-3.

F2 · price: This transaction was executed in multiple trades at prices ranging from $0.8101 to $0.912, inclusive. The price reported above reflects the weighted average sales price. The Reporting Person hereby undertakes to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001654954-24-000992 · section16.xml · nonDerivative · entry 2

Schick John Douglas · CIK 0001748134 · President

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 1,255,467

F3 · shares: The shares of Restricted Common Stock were issued to the Reporting Person pursuant to the Issuer's 2021 Equity Incentive Plan and are subject to forfeiture. The shares vest at the rate of (i) 1/3 of the shares on the one (1) year anniversary of January 26, 2024 (the "Grant Date"); (ii) 1/3 on the two (2) year anniversary of the Grant Date; and (iii) 1/3 on the three (3) year anniversary of the Grant Date, subject to the Reporting Person's continued service to the Company on such vesting dates, and subject to the terms and conditions of a Restricted Shares Grant Agreement entered into by and between the Issuer and the Reporting Person. Exempt under Rule 16b-3.

F4 · price: Issued to the Reporting Person in consideration for services rendered and agreed to be rendered to the Issuer as the President of the Issuer.

SEC source: 0001654954-24-000992 · section16.xml · nonDerivative · entry 1

Schick John Douglas · CIK 0001748134 · President

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 730,467

F1 · shares: Shares were sold pursuant to a 10b5-1 trading plan previously adopted by the Reporting Person to satisfy the Reporting Person's tax liability in connection with the January 25, 2024 vesting of certain shares of restricted stock which were granted under the Company's 2021 Equity Incentive Plan, which grants were exempt from Section 16(b) pursuant to Rule 16b-3.

F2 · price: This transaction was executed in multiple trades at prices ranging from $0.611 to $0.661, inclusive. The price reported above reflects the weighted average sales price. The Reporting Person hereby undertakes to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001654954-24-000843 · section16.xml · nonDerivative · entry 2

Schick John Douglas · CIK 0001748134 · President

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 780,467

F3 · shares: Shares were sold pursuant to a 10b5-1 trading plan previously adopted by the Reporting Person to satisfy the Reporting Person's tax liability in connection with the January 23, 2024 vesting of certain shares of restricted stock which were granted under the Company's 2021 Equity Incentive Plan, which grants were exempt from Section 16(b) pursuant to Rule 16b-3.

F4 · price: This transaction was executed in multiple trades at prices ranging from $0.6293 to $0.65, inclusive. The price reported above reflects the weighted average sales price. The Reporting Person hereby undertakes to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001654954-24-000843 · section16.xml · nonDerivative · entry 1

Schick John Douglas · CIK 0001748134 · President

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 838,800

F1 · shares: Shares were sold pursuant to a 10b5-1 trading plan previously adopted by the Reporting Person to satisfy the Reporting Person's tax liability in connection with the January 19, 2024 vesting of certain shares of restricted stock which were granted under the Company's 2012 Equity Incentive Plan, which grants were exempt from Section 16(b) pursuant to Rule 16b-3.

F2 · price: This transaction was executed in multiple trades at prices ranging from $0.6362 to $0.681, inclusive. The price reported above reflects the weighted average sales price. The Reporting Person hereby undertakes to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001654954-23-000936 · section16.xml · nonDerivative · entry 1

Schick John Douglas · CIK 0001748134 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 880,467

F1 · shares: Shares were sold pursuant to a 10b5-1 trading plan previously adopted by the Reporting Person to satisfy the Reporting Person's tax liability in connection with the January 25, 2023 vesting of certain shares of restricted stock which were granted under the Company's 2021 Equity Incentive Plan, which grants were exempt from Section 16(b) pursuant to Rule 16b-3.

F2 · price: This transaction was executed in multiple trades at prices ranging from $1.05 to $1.0875, inclusive. The price reported above reflects the weighted average sales price. The Reporting Person hereby undertakes to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001654954-23-000704 · section16.xml · nonDerivative · entry 2

Schick John Douglas · CIK 0001748134 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 920,467

F3 · shares: The shares of Restricted Common Stock were issued to the Reporting Person pursuant to the Issuer's 2021 Equity Incentive Plan and are subject to forfeiture. The shares vest at the rate of (i) 1/3 of the shares on the one (1) year anniversary of January 23, 2023 (the "Grant Date"); (ii) 1/3 on the two (2) year anniversary of the Grant Date; and (iii) 1/3 on the three (3) year anniversary of the Grant Date, subject to the Reporting Person's continued service to the Company on such vesting dates, and subject to the terms and conditions of a Restricted Shares Grant Agreement entered into by and between the Issuer and the Reporting Person. Exempt under Rule 16b-3.

F4 · price: Issued to the Reporting Person in consideration for services rendered and agreed to be rendered to the Issuer as the President of the Issuer.

SEC source: 0001654954-23-000704 · section16.xml · nonDerivative · entry 1

Schick John Douglas · CIK 0001748134 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 570,467

F1 · shares: Shares were sold pursuant to a 10b5-1 trading plan previously adopted by the Reporting Person to satisfy the Reporting Person's tax liability in connection with the January 19, 2023 vesting of certain shares of restricted stock which were granted under the Company's 2012 Equity Incentive Plan, which grants were exempt from Section 16(b) pursuant to Rule 16b-3.

F2 · price: This transaction was executed in multiple trades at prices ranging from $1.06 to $1.09, inclusive. The price reported above reflects the weighted average sales price. The Reporting Person hereby undertakes to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001654954-23-000437 · section16.xml · nonDerivative · entry 1

Schick John Douglas · CIK 0001748134 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 603,800

F1 · shares: Shares were sold pursuant to a 10b5-1 trading plan previously adopted by the Reporting Person to satisfy the Reporting Person's tax liability in connection with the January 13, 2023 vesting of certain shares of restricted stock which were granted under the Company's 2012 Equity Incentive Plan, which grants were exempt from Section 16(b) pursuant to Rule 16b-3.

F2 · price: This transaction was executed in multiple trades at prices ranging from $1.09 to $1.12, inclusive. The price reported above reflects the weighted average sales price. The Reporting Person hereby undertakes to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001654954-22-000796 · section16.xml · nonDerivative · entry 1

Schick John Douglas · CIK 0001748134 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 625,400

F1 · shares: The shares of Restricted Common Stock were issued to the Reporting Person pursuant to the Issuer's 2021 Equity Incentive Plan and are subject to forfeiture. The shares vest at the rate of (i) 1/3 of the shares on the one (1) year anniversary of January 25, 2022 (the "Grant Date"); (ii) 1/3 on the two (2) year anniversary of the Grant Date; and (iii) 1/3 on the three (3) year anniversary of the Grant Date, subject to the Reporting Person's continued service to the Company on such vesting dates, and subject to the terms and conditions of a Restricted Shares Grant Agreement entered into by and between the Issuer and the Reporting Person. Exempt under Rule 16b-3.

F2 · price: Issued to the Reporting Person in consideration for services rendered and agreed to be rendered to the Issuer as the President of the Issuer.

SEC source: 0001654954-22-000714 · section16.xml · nonDerivative · entry 1

Schick John Douglas · CIK 0001748134 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 325,400

F1 · shares: Shares were sold pursuant to a 10b5-1 trading plan previously adopted by the Reporting Person, to satisfy the Reporting Person's tax liability in connection with the January 19, 2022 vesting of certain shares of restricted stock which were granted under the Company's 2012 Equity Incentive Plan, which grants were exempt from Section 16(b) pursuant to Rule 16b-3.

F2 · price: This transaction was executed in multiple trades at prices ranging from $1.135 to $1.19. The price reported above reflects the weighted average sales price. The Reporting Person hereby undertakes to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001654954-22-000526 · section16.xml · nonDerivative · entry 1

Schick John Douglas · CIK 0001748134 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 358,733

F1 · shares: Shares were sold pursuant to a 10b5-1 trading plan previously adopted by the Reporting Person, to satisfy the Reporting Person's tax liability in connection with the January 13, 2022 vesting of certain shares of restricted stock which were granted under the Company's 2012 Equity Incentive Plan, which grants were exempt from Section 16(b) pursuant to Rule 16b-3.

F2 · price: This transaction was executed in multiple trades at prices ranging from $1.15 to $1.24. The price reported above reflects the weighted average sales price. The Reporting Person hereby undertakes to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001654954-21-013162 · section16.xml · nonDerivative · entry 1

Schick John Douglas · CIK 0001748134 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 380,333

F1 · shares: Shares sold to satisfy the Reporting Person's tax liability in connection with the December 12, 2021 vesting of certain shares of restricted stock which were granted under the Company's 2012 Equity Incentive Plan, which grants were exempt from Section 16(b) pursuant to Rule 16b-3.

F2 · price: This transaction was executed in multiple trades at prices ranging from $1.06 to $1.17. The price reported above reflects the weighted average sales price. The Reporting Person hereby undertakes to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001654954-21-010545 · section16.xml · nonDerivative · entry 1

Schick John Douglas · CIK 0001748134 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 395,333

F1 · price: This transaction was executed in multiple trades at prices ranging from $1.49 to $1.35. The price reported above reflects the weighted average sales price. The Reporting Person hereby undertakes to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001654954-21-000707 · section16.xml · nonDerivative · entry 1

Schick John Douglas · CIK 0001748134 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 472,400

F1 · shares: The shares of Restricted Common Stock were issued to the Reporting Person pursuant to the Issuer's 2012 Equity Incentive Plan and are subject to forfeiture. The shares vest at the rate of (i) 1/3 of the shares on the one (1) year anniversary of January 19, 2021 (the "Grant Date"); (ii) 1/3 on the two (2) year anniversary of the Grant Date; and (iii) 1/3 on the three (3) year anniversary of the Grant Date, subject to the Reporting Person's continued service to the Company on such vesting dates, and subject to the terms and conditions of a Restricted Shares Grant Agreement entered into by and between the Issuer and the Reporting Person. Exempt under Rule 16b-3.

F2 · price: Issued to the Reporting Person in consideration for services rendered and agreed to be rendered to the Issuer as the President of the Issuer.

SEC source: 0001654954-21-000560 · section16.xml · nonDerivative · entry 1

Schick John Douglas · CIK 0001748134 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 222,400

F1 · shares: Shares were sold pursuant to a 10b5-1 trading plan previously adopted by the Reporting Person, to satisfy the Reporting Person's tax liability in connection with the January 13, 2021 vesting of certain shares of restricted stock which were granted under the Company's 2012 Equity Incentive Plan, which grants were exempt from Section 16(b) pursuant to Rule 16b-3.

F2 · price: This transaction was executed in multiple trades at prices ranging from $1.34 to $1.48. The price reported above reflects the weighted average sales price. The Reporting Person hereby undertakes to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001654954-20-013588 · section16.xml · nonDerivative · entry 1

Schick John Douglas · CIK 0001748134 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 244,000

F1 · shares: Shares were sold pursuant to a 10b5-1 trading plan previously adopted by the Reporting Person, to satisfy the Reporting Person's tax liability in connection with the December 12, 2020 vesting of certain shares of restricted stock which were granted under the Company's 2012 Equity Incentive Plan, which grants were exempt from Section 16(b) pursuant to Rule 16b-3.

F2 · price: This transaction was executed in multiple trades at prices ranging from $1.13 to $1.21. The price reported above reflects the weighted average sales price. The Reporting Person hereby undertakes to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001654954-20-000481 · section16.xml · nonDerivative · entry 1

Schick John Douglas · CIK 0001748134 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 259,000

F1 · shares: The shares of Restricted Common Stock were issued to the Reporting Person pursuant to the Issuer's 2012 Equity Incentive Plan and are subject to forfeiture. The shares vest at the rate of (i) 1/3 of the shares on the one (1) year anniversary of January 13, 2020 (the "Grant Date"); (ii) 1/3 on the two (2) year anniversary of the Grant Date; and (iii) 1/3 on the three (3) year anniversary of the Grant Date, subject to the Reporting Person's continued service to the Company on such vesting dates, and subject to the terms and conditions of a Restricted Shares Grant Agreement entered into by and between the Issuer and the Reporting Person. Exempt under Rule 16b-3(d).

F2 · price: Issued to the Reporting Person in consideration for services rendered and agreed to be rendered to the Issuer as the President of the Issuer.

SEC source: 0001654954-19-013925 · section16.xml · nonDerivative · entry 1

Schick John Douglas · CIK 0001748134 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 97,000

F1 · shares: Shares were sold pursuant to a 10b5-1 trading plan previously adopted by the Reporting Person to satisfy the Reporting Person's tax liability in connection with the December 12, 2019 vesting of certain shares of restricted stock which were granted under the Company's 2012 Equity Incentive Plan, which grants were exempt from Section 16(b) pursuant to Rule 16b-13(d).

SEC source: 0001654954-19-002287 · section16.xml · derivative · entry 2

Schick John Douglas · CIK 0001748134 · President

10b5-1 filing: Not disclosed

Ownership: Indirect · Through Norexas Oil and Gas, LLC

Disclosed balance after: Not disclosed

Underlying: Common Stock · 246,688 shares

Expires 2021-08-01

F1 · derivative.underlying_shares: The terms of the Convertible Promissory Note are described in greater detail in the Form 8-K filed by the Issuer with the SEC on August 1, 2018. The securities held by Norexas Oil and Gas, LLC are deemed to be beneficially owned by Ivar Siem and J. Douglas Schick. The Convertible Promissory Note and interest thereon (which is convertible into common stock pursuant to its terms) were sold in a private transaction.

SEC source: 0001654954-18-014019 · section16.xml · nonDerivative · entry 1

Schick John Douglas · CIK 0001748134 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 112,000

F1 · shares: The shares of Restricted Common Stock were issued to the Reporting Person pursuant to the Issuer's 2012 Equity Incentive Plan and are subject to forfeiture. The shares vest at the rate of (i) 1/3 of the shares on the one (1) year anniversary of December 12, 2018 (the "Grant Date"); (ii) 1/3 on the two (2) year anniversary of the Grant Date; and (iii) 1/3 on the three (3) year anniversary of the Grant Date, subject to the Reporting Person's continued service to the Company on such vesting dates, and subject to the terms and conditions of a Restricted Shares Grant Agreement entered into by and between the Issuer and the Reporting Person. Exempt under Rule 16b-3(d).

F2 · price: Issued to the Reporting Person in consideration for services rendered and agreed to be rendered to the Issuer as the President of the Issuer.