Green Allison

SEC source: 0001493152-26-028970 · ownership.xml · nonDerivative · entry 2

Green Allison · CIK 0001742297 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 207,990

F3 · kind: Shares withheld to satisfy the reporting person's tax obligations in connection with vesting of restricted shares on June 15, 2026. Transaction exempt from Section 16(b) pursuant to Rule 16b-3.

F2 · balance_after: This total includes (i) restricted shares granted under the SuRo Capital Corp. Amended and Restated 2019 Equity Incentive Plan on December 15, 2023, December 10, 2024 and May 16, 2025, which are subject to certain vesting schedules; and (ii) restricted shares granted under the SuRo Capital Corp. Second Amended and Restated 2019 Equity Incentive Plan on November 21, 2025 and June 12, 2026, which are subject to certain vesting schedules. On June 15, 2026, in connection with the approval of the Company's externalization by its stockholders, the Board of Directors of the Company approved the acceleration of the vesting of the Reporting Person's unvested restricted shares, effective as of June 15, 2026, subject to the Reporting Person's entry into a lock-up agreement that replicates the holding periods of the existing vesting schedules applicable to such shares.

SEC source: 0001493152-26-028970 · ownership.xml · nonDerivative · entry 1

Green Allison · CIK 0001742297 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 249,805

F1 · kind: Restricted shares granted under the SuRo Capital Corp. Second Amended and Restated 2019 Equity Incentive Plan, which vest as follows: 1/3 vests on June 12, 2027, 1/3 vests on June 12, 2028, and 1/3 vests on June 12, 2029.

F2 · balance_after: This total includes (i) restricted shares granted under the SuRo Capital Corp. Amended and Restated 2019 Equity Incentive Plan on December 15, 2023, December 10, 2024 and May 16, 2025, which are subject to certain vesting schedules; and (ii) restricted shares granted under the SuRo Capital Corp. Second Amended and Restated 2019 Equity Incentive Plan on November 21, 2025 and June 12, 2026, which are subject to certain vesting schedules. On June 15, 2026, in connection with the approval of the Company's externalization by its stockholders, the Board of Directors of the Company approved the acceleration of the vesting of the Reporting Person's unvested restricted shares, effective as of June 15, 2026, subject to the Reporting Person's entry into a lock-up agreement that replicates the holding periods of the existing vesting schedules applicable to such shares.

SEC source: 0001493152-25-028023 · ownership.xml · nonDerivative · entry 2

Green Allison · CIK 0001742297 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 189,805

F2 · kind: Shares withheld to satisfy the reporting person's tax obligations in connection with vesting of restricted shares on December 15, 2025. Transaction exempt from Section 16(b) pursuant to Rule 16b-3.

F3 · balance_after: This total includes restricted shares granted under the SuRo Capital Corp. Amended and Restated 2019 Equity Incentive Plan on December 15, 2023, December 10, 2024 and May 16, 2025, which are subject to certain vesting schedules; and (iii) restricted shares granted under the SuRo Capital Corp. Second Amended and Restated 2019 Equity Incentive Plan on November 21, 2025, which is subject to certain vesting schedules.

SEC source: 0001493152-25-028023 · ownership.xml · nonDerivative · entry 1

Green Allison · CIK 0001742297 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 194,037

F1 · kind: Represents a delinquent transaction of shares withheld to satisfy the reporting person's tax obligations in connection with vesting of restricted shares on December 10, 2025. Transaction exempt from Section 16(b) pursuant to Rule 16b-3.

F3 · balance_after: This total includes restricted shares granted under the SuRo Capital Corp. Amended and Restated 2019 Equity Incentive Plan on December 15, 2023, December 10, 2024 and May 16, 2025, which are subject to certain vesting schedules; and (iii) restricted shares granted under the SuRo Capital Corp. Second Amended and Restated 2019 Equity Incentive Plan on November 21, 2025, which is subject to certain vesting schedules.

SEC source: 0001493152-25-024932 · ownership.xml · nonDerivative · entry 1

Green Allison · CIK 0001742297 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 198,269

F1 · kind: Restricted shares granted under the SuRo Capital Corp. Second Amended and Restated 2019 Equity Incentive Plan, which vest as follows: 1/3 vests on December 1, 2026, 1/3 vests on December 1, 2027, and 1/3 vests on December 1, 2028.

F2 · balance_after: This total includes restricted shares granted under the SuRo Capital Corp. Amended and Restated 2019 Equity Incentive Plan on December 15, 2023, December 10, 2024 and May 16, 2025, which are subject to certain vesting schedules.

SEC source: 0001104659-25-050524 · tm2515604-2_4seq1.xml · nonDerivative · entry 1

Green Allison · CIK 0001742297 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 197,313

F1 · kind: Restricted shares granted under the SuRo Capital Corp. Amended and Restated 2019 Equity Incentive Plan, which vest as follows: 1/3 vests on December 1, 2026, 1/3 vests on December 1, 2027, and 1/3 vests on December 1, 2028.

F2 · balance_after: This total includes restricted shares granted under the SuRo Capital Corp. Amended and Restated 2019 Equity Incentive Plan on December 15, 2023 and December 10, 2024, which are subject to certain vesting schedules.

SEC source: 0001104659-25-012229 · tm256399-2_4seq1.xml · nonDerivative · entry 1

Green Allison · CIK 0001742297 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 147,313

F1 · kind: Shares withheld to satisfy the reporting person's tax obligations in connection with vesting of restricted shares on February 10, 2025. Transaction exempt from Section 16(b) pursuant to Rule 16b-3.

F2 · balance_after: This total includes restricted shares granted under the SuRo Capital Corp. Amended and Restated 2019 Equity Incentive Plan on December 15, 2023 and December 10, 2024, which are subject to certain vesting schedules.

SEC source: 0001104659-24-129746 · tm2431258-1_4seq1.xml · nonDerivative · entry 1

Green Allison · CIK 0001742297 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 157,162

F1 · kind: Shares withheld to satisfy the reporting person's tax obligations in connection with vesting of restricted shares on December 16, 2024. Transaction exempt from Section 16(b) pursuant to Rule 16b-3.

F2 · balance_after: This total includes restricted shares granted under the SuRo Capital Corp. Amended and Restated 2019 Equity Incentive Plan on February 9, 2022, December 15, 2023, and December 10, 2024, which are subject to certain vesting schedules.

SEC source: 0001104659-24-128101 · tm2430938-2_4seq1.xml · nonDerivative · entry 1

Green Allison · CIK 0001742297 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 161,733

F1 · kind: Restricted shares granted under the SuRo Capital Corp. Amended and Restated 2019 Equity Incentive Plan, which vest as follows: 1/3 vests on December 10, 2025, 1/3 vests on December 10, 2026, and 1/3 vests on December 10, 2027.

F2 · balance_after: This total includes restricted shares granted under the SuRo Capital Corp. Amended and Restated 2019 Equity Incentive Plan on February 9, 2022 and December 15, 2023, which are subject to certain vesting schedules.

SEC source: 0001104659-24-124728 · tm2429966-1_4seq1.xml · nonDerivative · entry 1

Green Allison · CIK 0001742297 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 136,734

F1 · price: The price reported in Column 4 is a weighted-average price, rounded to the nearest hundredth. These shares were purchased in multiple transactions at prices ranging from $5.45 to $5.48 per share, inclusive. The reporting person undertakes to provide upon request by the staff of the Securities and Exchange Commission, SuRo Capital Corp. (the "Company"), or a security holder of the Company full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

F2 · balance_after: This total includes restricted shares granted under the SuRo Capital Corp. Amended and Restated 2019 Equity Incentive Plan on February 9, 2022 and December 15, 2023, which are subject to certain vesting schedules.

SEC source: 0001104659-24-022532 · tm246155-2_4seq1.xml · nonDerivative · entry 2

Green Allison · CIK 0001742297 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 127,634

F3 · kind: Shares withheld to satisfy the reporting person's tax obligations in connection with vesting of restricted shares on February 12, 2024. Transaction exempt from Section 16(b) pursuant to Rule 16b-3.

F4 · balance_after: This total includes (i) restricted shares granted under the SuRo Capital Corp. Amended and Restated 2019 Equity Incentive Plan on February 9, 2022 and December 15, 2023, which are subject to certain vesting schedules, and (ii) shares of common stock acquired in connection with dividends on such restricted shares, which are restricted and subject to the same vesting schedules as such restricted shares.

SEC source: 0001104659-24-022532 · tm246155-2_4seq1.xml · nonDerivative · entry 1

Green Allison · CIK 0001742297 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 136,765

F1 · kind: Shares withheld to satisfy the reporting person's tax obligations in connection with vesting of restricted shares on February 9, 2024. Transaction exempt from Section 16(b) pursuant to Rule 16b-3.

F2 · balance_after: This total includes (i) restricted shares granted under the SuRo Capital Corp. Amended and Restated 2019 Equity Incentive Plan on February 10, 2021, February 9, 2022, and December 15, 2023, which are subject to certain vesting schedules, and (ii) shares of common stock acquired in connection with dividends on such restricted shares, which are restricted and subject to the same vesting schedules as such restricted shares.

SEC source: 0001104659-23-126485 · tm2333049-2_4seq1.xml · nonDerivative · entry 1

Green Allison · CIK 0001742297 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 146,597

F1 · kind: Restricted shares granted under the SuRo Capital Corp. Amended and Restated 2019 Equity Incentive Plan, which vest as follows: 1/3 vests on December 15, 2024, 1/3 vests on December 15, 2025, and 1/3 vests on December 15, 2026.

F2 · balance_after: This total includes (i) restricted shares granted under the SuRo Capital Corp. Amended and Restated 2019 Equity Incentive Plan on February 10, 2021 and February 9, 2022, which are subject to certain vesting schedules, and (ii) shares of common stock acquired in connection with dividends on such restricted shares, which are restricted and subject to the same vesting schedules as such restricted shares.

SEC source: 0001104659-23-123692 · tm2332244-2_4seq1.xml · nonDerivative · entry 1

Green Allison · CIK 0001742297 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 121,597

F1 · balance_after: This total includes (i) restricted shares granted under the SuRo Capital Corp. Amended and Restated 2019 Equity Incentive Plan on February 10, 2021 and February 9, 2022, which are subject to certain vesting schedules, and (ii) shares of common stock acquired in connection with dividends on such restricted shares, which are restricted and subject to the same vesting schedules as such restricted shares.

SEC source: 0001104659-23-020016 · tm236498-1_4seq1.xml · nonDerivative · entry 2

Green Allison · CIK 0001742297 · See Remark

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 109,547

F3 · kind: Shares withheld to satisfy the reporting person's tax obligations in connection with vesting of restricted shares on February 10, 2023. Transaction exempt from Section 16(b) pursuant to Rule 16b-3.

F2 · balance_after: This total includes (i) restricted shares granted under the SuRo Capital Corp. Amended and Restated 2019 Equity Incentive Plan on February 10, 2021 and February 9, 2022, which are subject to certain vesting schedules, and (ii) shares of common stock acquired in connection with dividends on such restricted shares, which are restricted and subject to the same vesting schedules as such restricted shares.

SEC source: 0001104659-23-020016 · tm236498-1_4seq1.xml · nonDerivative · entry 1

Green Allison · CIK 0001742297 · See Remark

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 118,329

F1 · kind: Shares withheld to satisfy the reporting person's tax obligations in connection with vesting of restricted shares on February 9, 2023. Transaction exempt from Section 16(b) pursuant to Rule 16b-3.

F2 · balance_after: This total includes (i) restricted shares granted under the SuRo Capital Corp. Amended and Restated 2019 Equity Incentive Plan on February 10, 2021 and February 9, 2022, which are subject to certain vesting schedules, and (ii) shares of common stock acquired in connection with dividends on such restricted shares, which are restricted and subject to the same vesting schedules as such restricted shares.

SEC source: 0001104659-22-125948 · tm2232400-1_4seq1.xml · nonDerivative · entry 2

Green Allison · CIK 0001742297 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 127,785

F3 · price: The price reported in Column 4 is a weighted-average price, rounded to the nearest hundredth. These shares were purchased in multiple transactions at prices ranging from $3.78 to $3.83 per share, inclusive. The reporting person undertakes to provide upon request by the staff of the Securities and Exchange Commission, the Company, or a security holder of the Company full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

F2 · balance_after: This total includes (i) restricted shares granted under the SuRo Capital Corp. Amended and Restated 2019 Equity Incentive Plan on February 10, 2021 and February 9, 2022, which are subject to certain vesting schedules, and (ii) shares of common stock acquired in connection with dividends on such restricted shares, which are restricted and subject to the same vesting schedules as such restricted shares.

SEC source: 0001104659-22-125948 · tm2232400-1_4seq1.xml · nonDerivative · entry 1

Green Allison · CIK 0001742297 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 119,935

F1 · price: The price reported in Column 4 is a weighted-average price, rounded to the nearest hundredth. These shares were purchased in multiple transactions at prices ranging from $3.72 to $3.73 per share, inclusive. The reporting person undertakes to provide upon request by the staff of the Securities and Exchange Commission, SuRo Capital Corp. (the "Company"), or a security holder of the Company full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

F2 · balance_after: This total includes (i) restricted shares granted under the SuRo Capital Corp. Amended and Restated 2019 Equity Incentive Plan on February 10, 2021 and February 9, 2022, which are subject to certain vesting schedules, and (ii) shares of common stock acquired in connection with dividends on such restricted shares, which are restricted and subject to the same vesting schedules as such restricted shares.

SEC source: 0001104659-22-023400 · tm226794d1_4.xml · nonDerivative · entry 2

Green Allison · CIK 0001742297 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 114,877

F4 · kind: Shares withheld to satisfy the reporting person's tax obligations in connection with vesting of restricted shares on February 10, 2022. Transaction exempt from Section 16(b) pursuant to Rule 16b-3.

F3 · balance_after: This total includes (i) restricted shares granted under the SuRo Capital Corp. Amended and Restated 2019 Equity Incentive Plan on February 10, 201 and February 9, 2022, which are subject to certain vesting schedules, and (ii) shares of common stock acquired in connection with dividends on such restricted shares, which are restricted and subject to the same vesting schedules as such restricted shares.

SEC source: 0001104659-22-023400 · tm226794d1_4.xml · nonDerivative · entry 1

Green Allison · CIK 0001742297 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 123,164

F1 · kind: Transaction reported late due to administrative delay.

F2 · kind: Restricted shares granted under the SuRo Capital Corp. Amended and Restated 2019 Equity Incentive Plan, which vest as follows: 1/3 vests on February 9, 2023, 1/3 vests on February 9, 2024 and 1/3 vests on February 9, 2025.

F3 · balance_after: This total includes (i) restricted shares granted under the SuRo Capital Corp. Amended and Restated 2019 Equity Incentive Plan on February 10, 201 and February 9, 2022, which are subject to certain vesting schedules, and (ii) shares of common stock acquired in connection with dividends on such restricted shares, which are restricted and subject to the same vesting schedules as such restricted shares.

SEC source: 0001104659-22-000427 · tm221357d2_4seq1.xml · nonDerivative · entry 1

Green Allison · CIK 0001742297 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 74,128

F1 · kind: Relates to shares of SuRo Capital Corp.'s (the "Company") common stock acquired in connection with the $2.00 per share dividend declared by the Board of Directors of the Company on November 2, 2021, which was payable in cash or shares of common stock at the election of stockholders, subject to the limitation that no more than 50% of the total dividend amount would be paid in cash.

F1 · shares: Relates to shares of SuRo Capital Corp.'s (the "Company") common stock acquired in connection with the $2.00 per share dividend declared by the Board of Directors of the Company on November 2, 2021, which was payable in cash or shares of common stock at the election of stockholders, subject to the limitation that no more than 50% of the total dividend amount would be paid in cash.

F2 · balance_after: This total includes (i) 28,523 restricted shares granted under the SuRo Capital Corp. Amended and Restated 2019 Equity Incentive Plan, which vest as follows: 1/3 vests on February 10, 2022, 1/3 vests on February 10, 2023 and 1/3 vests on February 10, 2024, and (ii) 17,014 shares of the Company's common stock acquired in connection with dividends on such restricted shares, which are restricted and subject to the same vesting schedule as such restricted shares.

SEC source: 0001104659-21-152657 · tm2136170d1_4seq1.xml · nonDerivative · entry 1

Green Allison · CIK 0001742297 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,257

F1 · price: The price reported in Column 4 is a weighted-average price, rounded to the nearest hundredth. These shares were purchased in multiple transactions at prices ranging from $12.70 to $12.78 per share, inclusive. The reporting person undertakes to provide upon request by the staff of the Securities and Exchange Commission, SuRo Capital Corp. (the "Company") or a security holder of the Company full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

F2 · balance_after: This total includes (i) 28,523 restricted shares granted under the SuRo Capital Corp. Amended and Restated 2019 Equity Incentive Plan, which vest as follows: 1/3 vests on February 10, 2022, 1/3 vests on February 10, 2023 and 1/3 vests on February 10, 2024, and (ii) 11,097 shares of the Company's common stock acquired in connection with dividends on such restricted shares, which are restricted and subject to the same vesting schedule as such restricted shares.

SEC source: 0001104659-21-122688 · tm2129265d2_4seq1.xml · nonDerivative · entry 1

Green Allison · CIK 0001742297 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,397

F1 · kind: Relates to shares of SuRo Capital Corp.'s (the "Company") common stock acquired in connection with the $2.25 per share dividend declared by the Board of Directors of the Company on August 3, 2021, which was payable in cash or shares of common stock at the election of stockholders, subject to the limitation that no more than 50% of the total dividend amount would be paid in cash.

F1 · shares: Relates to shares of SuRo Capital Corp.'s (the "Company") common stock acquired in connection with the $2.25 per share dividend declared by the Board of Directors of the Company on August 3, 2021, which was payable in cash or shares of common stock at the election of stockholders, subject to the limitation that no more than 50% of the total dividend amount would be paid in cash.

F2 · balance_after: This total includes (i) 28,523 restricted shares granted under the SuRo Capital Corp. Amended and Restated 2019 Equity Incentive Plan, which have dividend rights and vest as follows: 1/3 vests on February 10, 2022, 1/3 vests on February 10, 2023 and 1/3 vests on February 10, 2024, and (ii) 11,097 shares of the Company's common stock acquired in connection with dividends on such restricted shares, which are restricted and subject to the same vesting schedule as such restricted shares.

SEC source: 0001104659-21-088981 · tm2121294d1_4seq1.xml · nonDerivative · entry 1

Green Allison · CIK 0001742297 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,939

F1 · kind: Relates to shares of SuRo Capital Corp.'s (the "Company") common stock acquired in connection with the $2.50 per share dividend declared by the Board of Directors of the Company on May 4, 2021, which was payable in cash or shares of common stock at the election of stockholders, subject to the limitation that no more than 50% of the total dividend amount would be paid in cash.

F1 · shares: Relates to shares of SuRo Capital Corp.'s (the "Company") common stock acquired in connection with the $2.50 per share dividend declared by the Board of Directors of the Company on May 4, 2021, which was payable in cash or shares of common stock at the election of stockholders, subject to the limitation that no more than 50% of the total dividend amount would be paid in cash.

F2 · balance_after: This total includes 28,523 restricted shares granted under the SuRo Capital Corp. Amended and Restated 2019 Equity Incentive Plan, which vest as follows: 1/3 vests on February 10, 2022, 1/3 vests on February 10, 2023, and 1/3 vests on February 10, 2024. Such restricted shares have dividend rights, with the cash or stock dividends paid or distributed with respect thereto being fully vested and nonforfeitable upon receipt.

SEC source: 0001104659-21-033173 · tm219030d1_4.xml · nonDerivative · entry 2

Green Allison · CIK 0001742297 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,133

F1 · kind: Transaction reported on this Form 4 effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 8, 2020.

F4 · price: The price reported in Column 4 is a weighted-average price, rounded to the nearest hundredth. These shares were purchased in multiple transactions at prices ranging from $11.98 to $12.00 per share, inclusive. The reporting person undertakes to provide upon request by the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

F3 · balance_after: Includes 28,523 restricted shares granted under the SuRo Capital Corp. Amended and Restated 2019 Equity Incentive Plan, which vest as follows: 1/3 vest on February 10, 2022, 1/3 vest on February 10, 2023, and 1/3 vest on February 10, 2024.

SEC source: 0001104659-21-033173 · tm219030d1_4.xml · nonDerivative · entry 1

Green Allison · CIK 0001742297 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,523

F1 · kind: Transaction reported on this Form 4 effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 8, 2020.

F2 · price: The price reported in Column 4 is a weighted-average price, rounded to the nearest hundredth. These shares were purchased in multiple transactions at prices ranging from $11.74 to $11.97 per share, inclusive. The reporting person undertakes to provide upon request by the staff of the Securities and Exchange Commission, SuRo Capital Corp. (the "Issuer") or a security holder of the Issuer full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

F3 · balance_after: Includes 28,523 restricted shares granted under the SuRo Capital Corp. Amended and Restated 2019 Equity Incentive Plan, which vest as follows: 1/3 vest on February 10, 2022, 1/3 vest on February 10, 2023, and 1/3 vest on February 10, 2024.

SEC source: 0001104659-21-021466 · tm216450d1_4.xml · nonDerivative · entry 1

Green Allison · CIK 0001742297 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,523

F1 · kind: Restricted shares granted under SuRo Capital Corp.'s Amended and Restated 2019 Equity Incentive Plan.

F2 · kind: Such restricted shares will vest as follows: 1/3 will vest on February 10, 2022, 1/3 will vest on February 10, 2023, and 1/3 will vest on February 10, 2024.

SEC source: 0001104659-20-054596 · tm2018266d2_4.xml · derivative · entry 1

Green Allison · CIK 0001742297 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 175,000 shares

Expires 2029-07-17

F1 · kind: The reporting person and the Company agreed to the cancellation of all of the stock options (vested and unvested) for no value or payment and the Board of Directors of the Company approved such cancellation on April 28, 2020. The reporting person is voluntarily reporting this transaction despite being exempt from reporting this transaction under Section 16 of the Securities Exchange Act of 1934, as amended.

F1 · price: The reporting person and the Company agreed to the cancellation of all of the stock options (vested and unvested) for no value or payment and the Board of Directors of the Company approved such cancellation on April 28, 2020. The reporting person is voluntarily reporting this transaction despite being exempt from reporting this transaction under Section 16 of the Securities Exchange Act of 1934, as amended.

F2 · derivative.exercise_date: The stock options granted vest as follows: 1/3 vested on July 17, 2019, 1/3 would have vested on July 17, 2020, and 1/3 would have vested on July 17, 2021.

SEC source: 0001144204-19-035235 · tv525486_4.xml · derivative · entry 1

Green Allison · CIK 0001742297 · CFO, Treasurer and Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 175,000

Underlying: Common Stock · 175,000 shares

Expires 2029-07-17

F1 · derivative.exercise_date: The stock option grant vests as follows: 1/3 vested on July 17, 2019, 1/3 will vest on July 17, 2020, and 1/3 will vest on July 17, 2021.