Thramann Jeffrey John

SEC source: 0001683168-26-004807 · ownership.xml · nonDerivative · entry 1

Thramann Jeffrey John · CIK 0001846997 · Director · Executive Chairman

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 100,000

F1 · shares: The shares reported are restricted stock units ("RSUs") granted 6/11/2026 under the Company's equity incentive plan. Each RSU represents a contingent right to receive one share of ACON common stock.

F2 · shares: 100% of the RSUs shall vest on 6/1/2027. Any outstanding and unvested RSUs will also accelerate and fully vest upon a change of control (as defined in the Company's equity incentive plan).

SEC source: 0001683168-26-000015 · ownership.xml · nonDerivative · entry 1

Thramann Jeffrey John · CIK 0001846997 · Director · CEO and Executive Chairman

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,356

SEC source: 0001683168-25-006926 · ownership.xml · derivative · entry 1

Thramann Jeffrey John · CIK 0001846997 · Director · Executive Chairman and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 23,783

Underlying: Common Stock · 23,783 shares

Expires 2035-09-10

F1 · derivative.exercise_date: The shares underlying this option are fully vested upon grant.

SEC source: 0001683168-25-001119 · ownership.xml · derivative · entry 3

Thramann Jeffrey John · CIK 0001846997 · Director · Executive Chairman · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,000 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of AUUD common stock.

F3 · derivative.exercise_date: On February 16, 2022, the reporting person was granted 6,000 restricted stock units (as adjusted for the Company's 1/25 reverse stock split effective 2/27/2024), vesting in three equal installments on February 16, 2023, 2024 and 2025.

F3 · derivative.expiration_date: On February 16, 2022, the reporting person was granted 6,000 restricted stock units (as adjusted for the Company's 1/25 reverse stock split effective 2/27/2024), vesting in three equal installments on February 16, 2023, 2024 and 2025.

SEC source: 0001683168-25-001119 · ownership.xml · nonDerivative · entry 2

Thramann Jeffrey John · CIK 0001846997 · Director · Executive Chairman · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 79,146

F2 · shares: Reflects shares withheld by the Issuer to satisfy tax withholding obligations.

SEC source: 0001683168-25-001119 · ownership.xml · nonDerivative · entry 1

Thramann Jeffrey John · CIK 0001846997 · Director · Executive Chairman · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 79,836

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: Each restricted stock unit represents a contingent right to receive one share of AUUD common stock.

SEC source: 0001683168-25-000064 · ownership.xml · derivative · entry 1

Thramann Jeffrey John · CIK 0001846997 · Director · Executive Chairman

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 500,000

Underlying: Common Stock · 500,000 shares

Expires 2034-12-31

F1 · derivative.exercise_date: The shares underlying this option are fully vested upon grant.

SEC source: 0001683168-24-001079 · ownership.xml · derivative · entry 4

Thramann Jeffrey John · CIK 0001846997 · Director · Executive Chairman · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of AUUD common stock.

F4 · derivative.exercise_date: On February 16, 2022, the reporting person was granted 150,000 restricted stock units, vesting in three equal installments on February 16, 2023, 2024 and 2025.

F4 · derivative.expiration_date: On February 16, 2022, the reporting person was granted 150,000 restricted stock units, vesting in three equal installments on February 16, 2023, 2024 and 2025.

SEC source: 0001683168-24-001079 · ownership.xml · derivative · entry 3

Thramann Jeffrey John · CIK 0001846997 · Director · Executive Chairman · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 37,500 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of AUUD common stock.

F3 · derivative.exercise_date: On August 11, 2021, the reporting person was granted 150,000 restricted stock units, vesting 50% on February 16, 2022 and 25% vesting on February 16, 2023 and February 16,2024.

F3 · derivative.expiration_date: On August 11, 2021, the reporting person was granted 150,000 restricted stock units, vesting 50% on February 16, 2022 and 25% vesting on February 16, 2023 and February 16,2024.

SEC source: 0001683168-24-001079 · ownership.xml · nonDerivative · entry 2

Thramann Jeffrey John · CIK 0001846997 · Director · Executive Chairman · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,945,895

F2 · shares: Reflects shares withheld by the Issuer to satisfy tax withholding obligations.

SEC source: 0001683168-24-001079 · ownership.xml · nonDerivative · entry 1

Thramann Jeffrey John · CIK 0001846997 · Director · Executive Chairman · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,976,083

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: Each restricted stock unit represents a contingent right to receive one share of AUUD common stock.

SEC source: 0001683168-23-001855 · ownership.xml · nonDerivative · entry 1

Thramann Jeffrey John · CIK 0001846997 · Executive Chairman

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

F1 · security: On February 16, 2023, the Company sold one (1) share of the Company's newly designated Series A Preferred Stock to the reporting person in a private placement for an aggregate purchase price of $1,000. The Series A Preferred Stock is not convertible into, or exchangeable for, shares of any other class or series of stock or other securities of the Company. The Series A Preferred Stock has no rights with respect to any distribution of assets of the Company, including upon a liquidation, bankruptcy, reorganization, merger, acquisition, sale, dissolution or winding up of the Company, whether voluntarily or involuntarily. The holder of the Share of Series A Preferred Stock will not be entitled to receive dividends of any kind.

F2 · security: The holder of the Share of Series A Preferred Stock will not be entitled to receive dividends of any kind. The one share of Series A Preferred Stock will have 15,000,000 votes and will vote together with the outstanding shares of the Company's common stock as a single class exclusively with respect to any proposal to amend the Company's Certificate of Incorporation to effect a reverse stock split of the Company's common stock. The Share of Series A Preferred Stock will be voted, on any such reverse stock split proposal in the same proportion as shares of common stock are voted on such proposal (excluding any common shares that are not voted). The Series A Preferred Stock otherwise has no voting rights, except as may otherwise be required by Delaware Law.

F3 · security: The outstanding share of Series A Preferred Stock shall be redeemed in whole, but not in part, at any time (i) if such redemption is ordered by the Board of Directors in its sole discretion or (ii) automatically upon the effectiveness of the amendment to the Certificate of Incorporation implementing a reverse stock split. Upon such redemption, the holder of the Series A Preferred Stock will receive consideration of $1,000.00 in cash. On March 28, 2023, the Company redeemed the one Series A Preferred share for the $1,000 redemption price.

SEC source: 0001683168-23-001067 · ownership.xml · nonDerivative · entry 1

Thramann Jeffrey John · CIK 0001846997 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1

F1 · security: On February 16, 2023, the Company sold one (1) share of the Company's newly designated Series A Preferred Stock to the reporting person in a private placement for an aggregate purchase price of $1,000. The Series A Preferred Stock is not convertible into, or exchangeable for, shares of any other class or series of stock or other securities of the Company. The Series A Preferred Stock has no rights with respect to any distribution of assets of the Company, including upon a liquidation, bankruptcy, reorganization, merger, acquisition, sale, dissolution or winding up of the Company, whether voluntarily or involuntarily. The holder of the Share of Series A Preferred Stock will not be entitled to receive dividends of any kind.

F2 · security: The holder of the Share of Series A Preferred Stock will not be entitled to receive dividends of any kind. The one share of Series A Preferred Stock will have 15,000,000 votes and will vote together with the outstanding shares of the Company's common stock as a single class exclusively with respect to any proposal to amend the Company's Certificate of Incorporation to effect a reverse stock split of the Company's common stock. The Share of Series A Preferred Stock will be voted, on any such reverse stock split proposal in the same proportion as shares of common stock are voted on such proposal (excluding any common shares that are not voted). The Series A Preferred Stock otherwise has no voting rights, except as may otherwise be required by Delaware Law.

F3 · security: The outstanding share of Series A Preferred Stock shall be redeemed in whole, but not in part, at any time (i) if such redemption is ordered by the Board of Directors in its sole discretion or (ii) automatically upon the effectiveness of the amendment to the Certificate of Incorporation implementing a reverse stock split. Upon such redemption, the holder of the Series A Preferred Stock will receive consideration of $1,000.00 in cash.

SEC source: 0001683168-23-001066 · ownership.xml · derivative · entry 5

Thramann Jeffrey John · CIK 0001846997 · Director · Executive Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 132,983 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of AUUD common stock.

F5 · derivative.exercise_date: On December 9, 2022, the reporting person was granted 132,983 restricted stock units, vesting in one installment on February 16, 2023.

F5 · derivative.expiration_date: On December 9, 2022, the reporting person was granted 132,983 restricted stock units, vesting in one installment on February 16, 2023.

SEC source: 0001683168-23-001066 · ownership.xml · derivative · entry 4

Thramann Jeffrey John · CIK 0001846997 · Director · Executive Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 50,000 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of AUUD common stock.

F4 · derivative.exercise_date: On February 16, 2022, the reporting person was granted 150,000 restricted stock units, vesting in three equal installments on February 16, 2023, 2024 and 2025.

F4 · derivative.expiration_date: On February 16, 2022, the reporting person was granted 150,000 restricted stock units, vesting in three equal installments on February 16, 2023, 2024 and 2025.

SEC source: 0001683168-23-001066 · ownership.xml · derivative · entry 3

Thramann Jeffrey John · CIK 0001846997 · Director · Executive Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,500

Underlying: Common Stock · 37,500 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of AUUD common stock.

F3 · derivative.exercise_date: On August 11, 2021, the reporting person was granted 150,000 restricted stock units, vesting 50% on February 16, 2022 and 25% vesting on February 16, 2023 and February 16, 2024.

F3 · derivative.expiration_date: On August 11, 2021, the reporting person was granted 150,000 restricted stock units, vesting 50% on February 16, 2022 and 25% vesting on February 16, 2023 and February 16, 2024.

SEC source: 0001683168-23-001066 · ownership.xml · nonDerivative · entry 2

Thramann Jeffrey John · CIK 0001846997 · Director · Executive Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,888,583

F2 · shares: Reflects shares withheld by the issuer to satisfy tax withholding obligations.

SEC source: 0001683168-23-001066 · ownership.xml · nonDerivative · entry 1

Thramann Jeffrey John · CIK 0001846997 · Director · Executive Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,961,342

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: Each restricted stock unit represents a contingent right to receive one share of AUUD common stock.

SEC source: 0001683168-22-008392 · ownership.xml · derivative · entry 1

Thramann Jeffrey John · CIK 0001846997 · Director · Executive Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 132,983

Underlying: Common Stock · 132,983 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of AUUD common stock.

F2 · derivative.exercise_date: On December 9, 2022, the reporting person was granted 132,983 restricted stock units, vesting in one installment on February 16, 2023.

F2 · derivative.expiration_date: On December 9, 2022, the reporting person was granted 132,983 restricted stock units, vesting in one installment on February 16, 2023.

SEC source: 0001683168-22-006431 · ownership.xml · derivative · entry 1

Thramann Jeffrey John · CIK 0001846997 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,390,104

Underlying: Common Stock · 185,285 shares

Expires 2031-09-27

F1 · derivative.exercise_date: The shares underlying this option are fully vested.

F2 · balance_after: In accordance with the reporting person's employment agreement, on September 27, 2021 the reporting person was previously granted 1,204,819 options with substantially identical terms to the newly granted options reported herein. The options reported herein were granted in order to satisfy the equity grant target set forth in the reporting person's employment agreement.

SEC source: 0001683168-22-004967 · ownership.xml · nonDerivative · entry 2

Thramann Jeffrey John · CIK 0001846997 · Director · Executive Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,740,859

F2 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.98 and $1.00, 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 sold at each separate price within the ranges set forth in this footnote (2) to this Form 4.

SEC source: 0001683168-22-004967 · ownership.xml · nonDerivative · entry 1

Thramann Jeffrey John · CIK 0001846997 · Director · Executive Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,734,359

F1 · price: The shares were purchased in multiple transactions at the exact same price of $0.965 per share.

SEC source: 0001683168-22-001164 · ownership.xml · derivative · entry 4

Thramann Jeffrey John · CIK 0001846997 · Director · Executive Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,000

Underlying: Common Stock · 150,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of AUUD common stock.

F4 · derivative.exercise_date: On February 16, 2022, the reporting person was granted 150,000 restricted stock units, vesting in three equal installments on February 16, 2023, 2024 and 2025.

F4 · derivative.expiration_date: On February 16, 2022, the reporting person was granted 150,000 restricted stock units, vesting in three equal installments on February 16, 2023, 2024 and 2025.

SEC source: 0001683168-22-001164 · ownership.xml · derivative · entry 3

Thramann Jeffrey John · CIK 0001846997 · Director · Executive Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,000

Underlying: Common Stock · 75,000 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of AUUD common stock.

F3 · derivative.exercise_date: On August 11, 2021, the reporting person was granted 150,000 restricted stock units, vesting 50% on February 16, 2022 and 25% vesting on February 16, 2023 and February 16, 2024.

F3 · derivative.expiration_date: On August 11, 2021, the reporting person was granted 150,000 restricted stock units, vesting 50% on February 16, 2022 and 25% vesting on February 16, 2023 and February 16, 2024.

SEC source: 0001683168-22-001164 · ownership.xml · nonDerivative · entry 2

Thramann Jeffrey John · CIK 0001846997 · Director · Executive Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,731,859

F2 · shares: Reflects shares withheld by the issuer to satisfy tax withholding obligations.

SEC source: 0001683168-22-001164 · ownership.xml · nonDerivative · entry 1

Thramann Jeffrey John · CIK 0001846997 · Director · Executive Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,756,652

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: Each restricted stock unit represents a contingent right to receive one share of AUUD common stock.

SEC source: 0001683168-21-003501 · ownership.xml · derivative · entry 1

Thramann Jeffrey John · CIK 0001846997 · Director · Executive Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,000

Underlying: Common Stock · 150,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of AUUD common stock.

F2 · derivative.exercise_date: The restricted stock units vest 50% on February 16, 2022. The remaining portion of the restricted stock units vest in two equal annual installments beginning February 16, 2023.

F2 · derivative.expiration_date: The restricted stock units vest 50% on February 16, 2022. The remaining portion of the restricted stock units vest in two equal annual installments beginning February 16, 2023.

SEC source: 0001683168-21-000706 · ownership.xml · derivative · entry 2

Thramann Jeffrey John · CIK 0001846997 · Director · Executive Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,103,136

Underlying: Common Stock · 969,000 shares

Expires 2026-02-19

F1 · shares: In connection with the Auddia Inc. initial public offering ("IPO"), 969,000 units were purchased on 2/16/2021 at a price of $4.125 per unit. Each unit consisted of one share of common stock and one Series A common stock warrant. Each Series A common stock warrant has an exercise price of $4.54 per common share, and may be exercised at any time up to five years after the February 19, 2021 IPO closing date.

F1 · price: In connection with the Auddia Inc. initial public offering ("IPO"), 969,000 units were purchased on 2/16/2021 at a price of $4.125 per unit. Each unit consisted of one share of common stock and one Series A common stock warrant. Each Series A common stock warrant has an exercise price of $4.54 per common share, and may be exercised at any time up to five years after the February 19, 2021 IPO closing date.

F1 · derivative.underlying_shares: In connection with the Auddia Inc. initial public offering ("IPO"), 969,000 units were purchased on 2/16/2021 at a price of $4.125 per unit. Each unit consisted of one share of common stock and one Series A common stock warrant. Each Series A common stock warrant has an exercise price of $4.54 per common share, and may be exercised at any time up to five years after the February 19, 2021 IPO closing date.

SEC source: 0001683168-21-000706 · ownership.xml · nonDerivative · entry 1

Thramann Jeffrey John · CIK 0001846997 · Director · Executive Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,681,652

F1 · shares: In connection with the Auddia Inc. initial public offering ("IPO"), 969,000 units were purchased on 2/16/2021 at a price of $4.125 per unit. Each unit consisted of one share of common stock and one Series A common stock warrant. Each Series A common stock warrant has an exercise price of $4.54 per common share, and may be exercised at any time up to five years after the February 19, 2021 IPO closing date.

F1 · price: In connection with the Auddia Inc. initial public offering ("IPO"), 969,000 units were purchased on 2/16/2021 at a price of $4.125 per unit. Each unit consisted of one share of common stock and one Series A common stock warrant. Each Series A common stock warrant has an exercise price of $4.54 per common share, and may be exercised at any time up to five years after the February 19, 2021 IPO closing date.

SEC source: 0001683168-21-000702 · ownership.xml · derivative · entry 2

Thramann Jeffrey John · CIK 0001846997 · Director · Executive Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,103,833

Underlying: Common Stock · 969,697 shares

Expires 2026-02-19

F1 · shares: In connection with the Auddia Inc. initial public offering ("IPO"), 969,697 units were purchased on 2/16/2021 at a price of $4.125 per unit. Each unit consisted of one share of common stock and one Series A common stock warrant. Each Series A common stock warrant has an exercise price of $4.54 per common share, and may be exercised at any time up to five years after the February 19, 2021 IPO closing date.

F1 · price: In connection with the Auddia Inc. initial public offering ("IPO"), 969,697 units were purchased on 2/16/2021 at a price of $4.125 per unit. Each unit consisted of one share of common stock and one Series A common stock warrant. Each Series A common stock warrant has an exercise price of $4.54 per common share, and may be exercised at any time up to five years after the February 19, 2021 IPO closing date.

F1 · derivative.underlying_shares: In connection with the Auddia Inc. initial public offering ("IPO"), 969,697 units were purchased on 2/16/2021 at a price of $4.125 per unit. Each unit consisted of one share of common stock and one Series A common stock warrant. Each Series A common stock warrant has an exercise price of $4.54 per common share, and may be exercised at any time up to five years after the February 19, 2021 IPO closing date.

SEC source: 0001683168-21-000702 · ownership.xml · nonDerivative · entry 1

Thramann Jeffrey John · CIK 0001846997 · Director · Executive Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,682,349

F1 · shares: In connection with the Auddia Inc. initial public offering ("IPO"), 969,697 units were purchased on 2/16/2021 at a price of $4.125 per unit. Each unit consisted of one share of common stock and one Series A common stock warrant. Each Series A common stock warrant has an exercise price of $4.54 per common share, and may be exercised at any time up to five years after the February 19, 2021 IPO closing date.

F1 · price: In connection with the Auddia Inc. initial public offering ("IPO"), 969,697 units were purchased on 2/16/2021 at a price of $4.125 per unit. Each unit consisted of one share of common stock and one Series A common stock warrant. Each Series A common stock warrant has an exercise price of $4.54 per common share, and may be exercised at any time up to five years after the February 19, 2021 IPO closing date.