Francis Knuettel II

SEC source: 0001493152-26-042160 · ownership.xml · nonDerivative · entry 1

Francis Knuettel II · CIK 0001433316 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 130,000

F1 · security: Represents restricted stock units. Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. The grant was exempt from Section 16(b) of the Securities Exchange Act of 1934 by virtue of Rule 16b-3 promulgated thereunder, as it was approved by the Issuer's Special Committee of the Board of Directors composed of three non-employee directors. The units shall vest on the earlier of (i) September 8, 2027 or (ii) the disbanding of the Issuer's Special Committee of the Board of Directors, subject to continued service on the Board of Directors of the Company on the applicable vesting date. The grant of restricted stock units was made under the Issuer's Amended and Restated 2025 Equity Incentive Plan.

SEC source: 0001731122-26-000834 · ownership.xml · derivative · entry 1

Francis Knuettel II · CIK 0001433316 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 500,000

Underlying: Common Stock · 500,000 shares

Expires 2036-06-08

F1 · security: The grant of the Issuer's non-qualified stock options was exempt from Section 16(b) of the Securities Exchange Act of 1934 by virtue of Rule 16b-3 promulgated thereunder, as it was approved by the Issuer's Board of Directors. The options were granted under the Issuer's 2025 Equity Incentive Plan, and the exercisability of the options is subject to execution of the Issuer's standard form of Stock Option Agreement. The options are fully vested.

F1 · price: The grant of the Issuer's non-qualified stock options was exempt from Section 16(b) of the Securities Exchange Act of 1934 by virtue of Rule 16b-3 promulgated thereunder, as it was approved by the Issuer's Board of Directors. The options were granted under the Issuer's 2025 Equity Incentive Plan, and the exercisability of the options is subject to execution of the Issuer's standard form of Stock Option Agreement. The options are fully vested.

F1 · derivative.exercise_date: The grant of the Issuer's non-qualified stock options was exempt from Section 16(b) of the Securities Exchange Act of 1934 by virtue of Rule 16b-3 promulgated thereunder, as it was approved by the Issuer's Board of Directors. The options were granted under the Issuer's 2025 Equity Incentive Plan, and the exercisability of the options is subject to execution of the Issuer's standard form of Stock Option Agreement. The options are fully vested.

SEC source: 0001493152-26-026610 · ownership.xml · nonDerivative · entry 1

Francis Knuettel II · CIK 0001433316 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 80,000

F1 · security: The grant of the Issuer's restricted common stock was exempt from Section 16(b) of the Securities Exchange Act of 1934 by virtue of Rule 16b-3 promulgated thereunder, as it was approved by the Issuer's Board of Directors. The shares of restricted common stock are fully vested and granted under the Issuer's Amended and Restated 2025 Equity Incentive Plan.

SEC source: 0001919246-26-000081 · wk-form4_1779837441.xml · derivative · entry 5

Francis Knuettel II · CIK 0001433316 · CFO, Treas & Secty

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 42,500 shares

Expires 2035-07-02

F6 · price: Represents the forfeiture and cancellation of unvested stock options for no consideration pursuant to the Separation Agreement in connection with the reporting person's termination of employment as Chief Financial Officer of the Issuer.

F6 · derivative.exercise_date: Represents the forfeiture and cancellation of unvested stock options for no consideration pursuant to the Separation Agreement in connection with the reporting person's termination of employment as Chief Financial Officer of the Issuer.

F6 · derivative.expiration_date: Represents the forfeiture and cancellation of unvested stock options for no consideration pursuant to the Separation Agreement in connection with the reporting person's termination of employment as Chief Financial Officer of the Issuer.

F6 · balance_after: Represents the forfeiture and cancellation of unvested stock options for no consideration pursuant to the Separation Agreement in connection with the reporting person's termination of employment as Chief Financial Officer of the Issuer.

SEC source: 0001919246-26-000081 · wk-form4_1779837441.xml · derivative · entry 4

Francis Knuettel II · CIK 0001433316 · CFO, Treas & Secty

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 59,500

Underlying: Common Stock · 59,500 shares

Expires 2035-07-02

F5 · price: Represents the acceleration of vesting of stock options pursuant to the Separation Agreement in connection with the reporting person's termination of employment as Chief Financial Officer of the Issuer. The unvested stock options became fully vested and exercisable on May 22, 2026. The transaction is exempt under Rule 16b-3(d). This acceleration does not represent a new grant of options. The stock options may be exercised only until January 15, 2027, subject to the terms of the 2023 Plan and the Separation Agreement.

F5 · derivative.exercise_date: Represents the acceleration of vesting of stock options pursuant to the Separation Agreement in connection with the reporting person's termination of employment as Chief Financial Officer of the Issuer. The unvested stock options became fully vested and exercisable on May 22, 2026. The transaction is exempt under Rule 16b-3(d). This acceleration does not represent a new grant of options. The stock options may be exercised only until January 15, 2027, subject to the terms of the 2023 Plan and the Separation Agreement.

F5 · balance_after: Represents the acceleration of vesting of stock options pursuant to the Separation Agreement in connection with the reporting person's termination of employment as Chief Financial Officer of the Issuer. The unvested stock options became fully vested and exercisable on May 22, 2026. The transaction is exempt under Rule 16b-3(d). This acceleration does not represent a new grant of options. The stock options may be exercised only until January 15, 2027, subject to the terms of the 2023 Plan and the Separation Agreement.

SEC source: 0001919246-26-000081 · wk-form4_1779837441.xml · nonDerivative · entry 2

Francis Knuettel II · CIK 0001433316 · CFO, Treas & Secty

10b5-1 filing: No plan indicated

Ownership: Indirect · By Lara Knuettel Revocable Trust

Disclosed balance after: 11,316

F3 · shares: Represents an open market sale of the Lara Knuettel Revocable (the "Trust") on May 22, 2026. This transaction was executed in multiple trades at prices ranging from $26.66 to $27.16. The price reported in column 4 above reflects the weighted average price of the shares of Common Stock sold. The reporting person hereby undertakes to provide upon request to the SEC 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

F3 · price: Represents an open market sale of the Lara Knuettel Revocable (the "Trust") on May 22, 2026. This transaction was executed in multiple trades at prices ranging from $26.66 to $27.16. The price reported in column 4 above reflects the weighted average price of the shares of Common Stock sold. The reporting person hereby undertakes to provide upon request to the SEC 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

F4 · balance_after: Francis Knuettel II is the co-trustee of the Trust and manager of Camden Capital LLC ("Camden"). By virtue of these relationships, Mr. Knuettel may be deemed to beneficially own the shares of Common Stock held of record by each of Camden and the Trust. Mr. Knuettel disclaims any such beneficial ownership except to the extent of his pecuniary interest therein.

F4 · ownership.nature: Francis Knuettel II is the co-trustee of the Trust and manager of Camden Capital LLC ("Camden"). By virtue of these relationships, Mr. Knuettel may be deemed to beneficially own the shares of Common Stock held of record by each of Camden and the Trust. Mr. Knuettel disclaims any such beneficial ownership except to the extent of his pecuniary interest therein.

SEC source: 0001919246-26-000081 · wk-form4_1779837441.xml · nonDerivative · entry 1

Francis Knuettel II · CIK 0001433316 · CFO, Treas & Secty

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 19,525

F1 · shares: Represents the forfeiture and cancellation of unvested restricted stock units ("RSUs") of Pelthos Therapeutics Inc. (the "Issuer"), for no consideration pursuant to that certain Separation Agreement entered into on May 15, 2026 (the "Separation Agreement") in connection with the reporting person's termination of employment as Chief Financial Officer of the Issuer.

F1 · price: Represents the forfeiture and cancellation of unvested restricted stock units ("RSUs") of Pelthos Therapeutics Inc. (the "Issuer"), for no consideration pursuant to that certain Separation Agreement entered into on May 15, 2026 (the "Separation Agreement") in connection with the reporting person's termination of employment as Chief Financial Officer of the Issuer.

F2 · balance_after: The Separation Agreement provides for the acceleration of vesting of 19,525 RSUs out of the 33,472 previously reported RSUs granted to the reporting person pursuant to the Issuer's 2023 Equity Incentive Plan, as amended from time to time (the "2023 Plan"), each of which represents the right to receive one (1) share of common stock, par value, $0.0001 per share ("Common Stock"), subject to the vesting terms of such RSUs, and may be settled solely in shares of Common Stock. The RSUs were received as compensation for the reporting person's service as an officer of the Issuer pursuant to the 2023 Plan. The 19,525 unvested RSUs became fully vested on May 22, 2026 upon expiration of the revocation period in the Separation Agreement. The transaction is exempt under Rule 16b-3(d). The acceleration does not represent a new grant of RSUs.

SEC source: 0001493152-25-028135 · ownership.xml · nonDerivative · entry 1

Francis Knuettel II · CIK 0001433316 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 70,000

F1 · security: Represents restricted stock units. Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. The grant was exempt from Section 16(b) of the Securities Exchange Act of 1934 by virtue of Rule 16b-3 promulgated thereunder, as it was approved by the Issuer's Board of Directors. The units shall vest on the earlier of (i) December 16, 2026 or (ii) the delivery of a final report and recommendation by the special committee of the Board of Directors, subject to continued service as a director on the applicable vesting date. The grant of restricted stock units was made under the Issuer's Amended and Restated 2025 Equity Incentive Plan.

F2 · balance_after: Includes 40,000 shares of common stock issuable upon vesting of restricted stock units previously granted on October 2, 2025.

SEC source: 0001493152-25-017080 · ownership.xml · nonDerivative · entry 1

Francis Knuettel II · CIK 0001433316 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,000

F1 · security: The grant of the Issuer's restricted common stock was exempt from Section 16(b) of the Securities Exchange Act of 1934 by virtue of Rule 16b-3 promulgated thereunder, as it was approved by the Issuer's Board of Directors. The shares of restricted common stock were granted under the Issuer's Amended and Restated 2025 Equity Incentive Plan. The shares of restricted common stock vest as follows: 10,000 shares shall vest on May 28, 2026 and 30,000 shares shall vest in equal increments annually over three years with the first vesting date on May 28, 2026, subject to continued service as a director as of each applicable vesting date and subject to execution of the Issuer's standard Restricted Stock Agreement.

SEC source: 0001753926-25-001106 · ownership.xml · derivative · entry 2

Francis Knuettel II · CIK 0001433316 · CFO, Treas & Secty

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 145,074

Underlying: Common Stock · 102,000 shares

Expires 2035-07-02

F2 · price: On July 2, 2025, the Reporting Person was granted stock options to purchase 102,000 shares of common stock at an exercise price of $13.50 per share, with the initial one third (1/3) of such shares vesting on July 2, 2026, and quarterly thereafter in equal installments over a period of two (2) years.

F2 · derivative.exercise_date: On July 2, 2025, the Reporting Person was granted stock options to purchase 102,000 shares of common stock at an exercise price of $13.50 per share, with the initial one third (1/3) of such shares vesting on July 2, 2026, and quarterly thereafter in equal installments over a period of two (2) years.

F3 · balance_after: The numbers reported herein have been adjusted to reflect the 1-for-10 reverse stock split effected by the Issuer on July 1, 2025.

SEC source: 0001753926-25-001106 · ownership.xml · derivative · entry 1

Francis Knuettel II · CIK 0001433316 · CFO, Treas & Secty

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 33,472

Underlying: Common Stock · 33,472 shares

Expires 2035-07-02

F1 · price: On July 2, 2025, the Reporting Person was granted restricted stock units to purchase 33,472 shares of common stock at an exercise price of $13.50 per share, with the initial one third (1/3) of such shares vesting on July 2, 2026, and in equal installments on a quarterly basis thereafter over a period of two (2) years.

F1 · derivative.exercise_date: On July 2, 2025, the Reporting Person was granted restricted stock units to purchase 33,472 shares of common stock at an exercise price of $13.50 per share, with the initial one third (1/3) of such shares vesting on July 2, 2026, and in equal installments on a quarterly basis thereafter over a period of two (2) years.

SEC source: 0001919246-26-000039 · wk-form4a_1775079571.xml · nonDerivative · entry 1

Francis Knuettel II · CIK 0001433316 · CFO, Treas & Secty

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 33,472

F1 · security: Represents shares of common stock, par value $0.0001 per share ("Common Stock") of Pelthos Therapeutics Inc. (the "Issuer"), issuable upon settlement of restricted stock units of the Issuer ("RSUs") granted to the reporting person pursuant to the Issuer's 2023 Equity Incentive Plan, as amended from time to time (the "2023 Plan"), each of which represents the right to receive one (1) share of Common Stock, subject to the vesting terms of such RSUs, and may be settled solely in shares of Common Stock. The original grant of RSUs was reported in Table II of the Form 4 filed by the reporting person (the "Original Form 4"). This Form 4 amendment (this "Amendment") is being filed to amend the Original Form 4 in order to report the grant of such RSUs in Table I.

F2 · shares: The RSUs were received as compensation for the reporting person's service as an officer of the Issuer pursuant to the 2023 Plan. The RSUs vest as follows: the initial one-third of such shares vests on July 2, 2026, and the remainder vesting in equal installments on a quarterly basis thereafter over a period of two years, so long as the reporting person remains in the service of the Issuer on each such anniversary.

F2 · price: The RSUs were received as compensation for the reporting person's service as an officer of the Issuer pursuant to the 2023 Plan. The RSUs vest as follows: the initial one-third of such shares vests on July 2, 2026, and the remainder vesting in equal installments on a quarterly basis thereafter over a period of two years, so long as the reporting person remains in the service of the Issuer on each such anniversary.

SEC source: 0001753926-25-001077 · ownership.xml · derivative · entry 4

Francis Knuettel II · CIK 0001433316 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 0

Underlying: Common Stock · 10,000 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: The numbers reported herein have been adjusted to reflect the 1-for-10 reverse stock split effected by the Issuer on July 1, 2025.

F3 · derivative.exercise_date: The Series A convertible preferred stock is convertible at any time, at the holder's election, and has no expiration date. The Series A convertible preferred stock is subject to a contractual limitation such that the holder may not convert Series A convertible preferred stock to the extent that after giving effect to such conversion, the holder (together with its attribution parties as defined in the certificate of designations) would beneficially own in excess of 4.99% of the shares of common stock outstanding immediately after giving effect to such conversion.

F3 · derivative.expiration_date: The Series A convertible preferred stock is convertible at any time, at the holder's election, and has no expiration date. The Series A convertible preferred stock is subject to a contractual limitation such that the holder may not convert Series A convertible preferred stock to the extent that after giving effect to such conversion, the holder (together with its attribution parties as defined in the certificate of designations) would beneficially own in excess of 4.99% of the shares of common stock outstanding immediately after giving effect to such conversion.

F1 · derivative.underlying_shares: The numbers reported herein have been adjusted to reflect the 1-for-10 reverse stock split effected by the Issuer on July 1, 2025.

F3 · balance_after: The Series A convertible preferred stock is convertible at any time, at the holder's election, and has no expiration date. The Series A convertible preferred stock is subject to a contractual limitation such that the holder may not convert Series A convertible preferred stock to the extent that after giving effect to such conversion, the holder (together with its attribution parties as defined in the certificate of designations) would beneficially own in excess of 4.99% of the shares of common stock outstanding immediately after giving effect to such conversion.

F2 · ownership.nature: Francis Knuettel II is the manager of Camden Capital LLC ("Camden") and the co-trustee of the Lara Knuettel Revocable Trust (the "Trust"). By virtue of these relationships, Mr. Knuettel may be deemed to beneficially own the shares of Common Stock held of record by each of Camden and the Trust. Mr. Knuettel disclaims any such beneficial ownership except to the extent of his pecuniary interest therein.

SEC source: 0001753926-25-001077 · ownership.xml · derivative · entry 3

Francis Knuettel II · CIK 0001433316 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires not disclosed

F1 · derivative.exercise_price: The numbers reported herein have been adjusted to reflect the 1-for-10 reverse stock split effected by the Issuer on July 1, 2025.

F4 · kind: Acquired in connection with cancellation of promissory note.

F3 · derivative.exercise_date: The Series A convertible preferred stock is convertible at any time, at the holder's election, and has no expiration date. The Series A convertible preferred stock is subject to a contractual limitation such that the holder may not convert Series A convertible preferred stock to the extent that after giving effect to such conversion, the holder (together with its attribution parties as defined in the certificate of designations) would beneficially own in excess of 4.99% of the shares of common stock outstanding immediately after giving effect to such conversion.

F3 · derivative.expiration_date: The Series A convertible preferred stock is convertible at any time, at the holder's election, and has no expiration date. The Series A convertible preferred stock is subject to a contractual limitation such that the holder may not convert Series A convertible preferred stock to the extent that after giving effect to such conversion, the holder (together with its attribution parties as defined in the certificate of designations) would beneficially own in excess of 4.99% of the shares of common stock outstanding immediately after giving effect to such conversion.

F1 · derivative.underlying_shares: The numbers reported herein have been adjusted to reflect the 1-for-10 reverse stock split effected by the Issuer on July 1, 2025.

F3 · balance_after: The Series A convertible preferred stock is convertible at any time, at the holder's election, and has no expiration date. The Series A convertible preferred stock is subject to a contractual limitation such that the holder may not convert Series A convertible preferred stock to the extent that after giving effect to such conversion, the holder (together with its attribution parties as defined in the certificate of designations) would beneficially own in excess of 4.99% of the shares of common stock outstanding immediately after giving effect to such conversion.

F2 · ownership.nature: Francis Knuettel II is the manager of Camden Capital LLC ("Camden") and the co-trustee of the Lara Knuettel Revocable Trust (the "Trust"). By virtue of these relationships, Mr. Knuettel may be deemed to beneficially own the shares of Common Stock held of record by each of Camden and the Trust. Mr. Knuettel disclaims any such beneficial ownership except to the extent of his pecuniary interest therein.

SEC source: 0001753926-25-001077 · ownership.xml · nonDerivative · entry 1

Francis Knuettel II · CIK 0001433316 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Indirect · By Camden Capital LLC

Disclosed balance after: 10,000

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 · shares: The numbers reported herein have been adjusted to reflect the 1-for-10 reverse stock split effected by the Issuer on July 1, 2025.

F1 · price: The numbers reported herein have been adjusted to reflect the 1-for-10 reverse stock split effected by the Issuer on July 1, 2025.

F1 · balance_after: The numbers reported herein have been adjusted to reflect the 1-for-10 reverse stock split effected by the Issuer on July 1, 2025.

F2 · ownership.nature: Francis Knuettel II is the manager of Camden Capital LLC ("Camden") and the co-trustee of the Lara Knuettel Revocable Trust (the "Trust"). By virtue of these relationships, Mr. Knuettel may be deemed to beneficially own the shares of Common Stock held of record by each of Camden and the Trust. Mr. Knuettel disclaims any such beneficial ownership except to the extent of his pecuniary interest therein.

SEC source: 0001753926-25-000643 · ownership.xml · derivative · entry 1

Francis Knuettel II · CIK 0001433316 · CEO, Pres., CFO, Treas & Secty

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 430,736

Underlying: Common Stock · 53,988 shares

Expires 2035-04-11

F1 · security: On April 11, 2025, the Reporting Person was granted stock options to purchase 53,988 shares of common stock at an exercise price of $1.35 per share, which shall vest in full in the event of a change of control transaction.

F1 · date: On April 11, 2025, the Reporting Person was granted stock options to purchase 53,988 shares of common stock at an exercise price of $1.35 per share, which shall vest in full in the event of a change of control transaction.

F1 · shares: On April 11, 2025, the Reporting Person was granted stock options to purchase 53,988 shares of common stock at an exercise price of $1.35 per share, which shall vest in full in the event of a change of control transaction.

F1 · price: On April 11, 2025, the Reporting Person was granted stock options to purchase 53,988 shares of common stock at an exercise price of $1.35 per share, which shall vest in full in the event of a change of control transaction.

F1 · derivative.exercise_date: On April 11, 2025, the Reporting Person was granted stock options to purchase 53,988 shares of common stock at an exercise price of $1.35 per share, which shall vest in full in the event of a change of control transaction.

F1 · derivative.underlying_shares: On April 11, 2025, the Reporting Person was granted stock options to purchase 53,988 shares of common stock at an exercise price of $1.35 per share, which shall vest in full in the event of a change of control transaction.

F1 · balance_after: On April 11, 2025, the Reporting Person was granted stock options to purchase 53,988 shares of common stock at an exercise price of $1.35 per share, which shall vest in full in the event of a change of control transaction.

SEC source: 0001753926-24-001576 · ownership.xml · nonDerivative · entry 2

Francis Knuettel II · CIK 0001433316 · CEO, Pres., CFO, Treas & Secty

10b5-1 filing: No plan indicated

Ownership: Indirect · By Lara Knuettel Revocable Trust

Disclosed balance after: 547,710

F2 · price: This transaction is being reported to reflect the purchase of these shares by the Lara Knuettel Revocable Trust, of which the Reporting Person is co-trustee and has individual dispositive power. This price represents the weighted average price of the shares purchased ranging from $0.94 to $0.98 per share, inclusive. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares purchased at each separate price within the range set forth in this Form 4.

SEC source: 0001753926-24-001576 · ownership.xml · nonDerivative · entry 1

Francis Knuettel II · CIK 0001433316 · CEO, Pres., CFO, Treas & Secty

10b5-1 filing: No plan indicated

Ownership: Indirect · By Lara Knuettel Revocable Trust

Disclosed balance after: 544,210

F1 · price: This transaction is being reported to reflect the purchase of these shares by the Lara Knuettel Revocable Trust, of which the Reporting Person is co-trustee and has individual dispositive power. This price represents the weighted average price of the shares purchased ranging from $0.93 to $0.98 per share, inclusive. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares purchased at each separate price within the range set forth in this Form 4.

SEC source: 0001753926-24-001570 · ownership.xml · nonDerivative · entry 2

Francis Knuettel II · CIK 0001433316 · CEO, Pres., CFO, Treas & Secty

10b5-1 filing: No plan indicated

Ownership: Indirect · By Lara Knuettel Revocable Trust

Disclosed balance after: 542,510

F2 · price: This transaction is being reported to reflect the purchase of these shares by the Lara Knuettel Revocable Trust, of which the Reporting Person is co-trustee and has individual dispositive power. This sale price represents the weighted average sale price of the shares purchased ranging from $0.89 to $0.98 per share, inclusive. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares purchased at each separate price within the range set forth in this Form 4.

SEC source: 0001753926-24-001570 · ownership.xml · nonDerivative · entry 1

Francis Knuettel II · CIK 0001433316 · CEO, Pres., CFO, Treas & Secty

10b5-1 filing: No plan indicated

Ownership: Indirect · By Lara Knuettel Revocable Trust

Disclosed balance after: 537,010

F1 · price: This transaction is being reported to reflect the purchase of these shares by the Lara Knuettel Revocable Trust, of which the Reporting Person is co-trustee and has individual dispositive power. This sale price represents the weighted average sale price of the shares purchased ranging from $0.80 to $0.92 per share, inclusive. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares purchased at each separate price within the range set forth in this Form 4.

SEC source: 0001753926-24-001211 · ownership.xml · nonDerivative · entry 2

Francis Knuettel II · CIK 0001433316 · CEO, Pres., CFO Treas & Secty

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 515,510

SEC source: 0001753926-24-001211 · ownership.xml · nonDerivative · entry 1

Francis Knuettel II · CIK 0001433316 · CEO, Pres., CFO Treas & Secty

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 530,510

SEC source: 0001753926-24-001129 · ownership.xml · derivative · entry 2

Francis Knuettel II · CIK 0001433316 · CEO, Pres., CFO Treas & Secty

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 376,778

Underlying: Common Stock · 324,000 shares

Expires 2034-06-14

F3 · price: On June 14, 2024, the Reporting Person was granted stock options to purchase 324,000 shares of common stock at an exercise price of $1.30 per share, which shall vest on a quarterly basis over a period of two (2) years.

F3 · derivative.exercise_date: On June 14, 2024, the Reporting Person was granted stock options to purchase 324,000 shares of common stock at an exercise price of $1.30 per share, which shall vest on a quarterly basis over a period of two (2) years.

SEC source: 0001753926-24-001129 · ownership.xml · derivative · entry 1

Francis Knuettel II · CIK 0001433316 · CEO, Pres., CFO Treas & Secty

10b5-1 filing: No plan indicated

Ownership: Indirect · Camden Capital LLC

Disclosed balance after: 52,778

Underlying: Common Stock · 27,778 shares

Expires 2034-06-14

F1 · price: On June 14, 2024, Camden Capital LLC was granted stock options to purchase 27,778 shares of common stock at an exercise price of $1.30 per share, which were fully vested.

F2 · ownership.nature: The securities are held by Camden Capital LLC. The Reporting Person, as the manager of Camden Capital LLC, is deemed to be a beneficial owner of these securities.

SEC source: 0001753926-24-000376 · ownership.xml · derivative · entry 1

Francis Knuettel II · CIK 0001433316 · Interim CEO, CFO Treas & Secty

10b5-1 filing: No plan indicated

Ownership: Indirect · Camden Capital LLC

Disclosed balance after: 25,001

Underlying: Common Stock · 2,778 shares

Expires 2033-01-10

F2 · price: On January 10, 2023, Camden Capital LLC was granted stock options to purchase 2,778 shares of common stock at an exercise price of $22.68 per share, which became exercisable upon the closing of Issuer's initial public offering.

F1 · ownership.nature: The securities are held by Camden Capital LLC. The Reporting Person, as the manager of Camden Capital LLC, is deemed to be a beneficial owner of these securities.

SEC source: 0001753926-24-001139 · ownership.xml · derivative · entry 1

Francis Knuettel II · CIK 0001433316 · CEO, Pres., CFO Treas & Secty

10b5-1 filing: No plan indicated

Ownership: Indirect · Camden Capital LLC

Disclosed balance after: 25,001

Underlying: Common Stock · 2,778 shares

Expires 2033-01-10

F1 · price: On February 23, 2024, the Reporting Person filed a Form 4 which inadvertently reported that, Camden Capital LLC disposed of 2,778 shares of the Issuer's common stock. In fact, following the grant of stock options to Camden Capital LLC, it acquired 2,778 shares of the Issuer's common stock at an exercise price of $22.68 per share, which became exercisable upon the closing of Issuer's initial public offering.

F2 · ownership.nature: The securities are held by Camden Capital LLC. The Reporting Person, as the manager of Camden Capital LLC, is deemed to be a beneficial owner of these securities.

SEC source: 0001213900-23-075379 · ownership.xml · derivative · entry 2

Francis Knuettel II · CIK 0001433316 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2033-09-04

F1 · kind: Granted in consideration for services rendered and to be rendered as a member of the Board of Directors for the quarter ended June 30, 2023. Granted under the registrant's First Amended and Restated 2022 Omnibus Incentive Plan. Exempt pursuant to Rule 16b-3.

F1 · price: Granted in consideration for services rendered and to be rendered as a member of the Board of Directors for the quarter ended June 30, 2023. Granted under the registrant's First Amended and Restated 2022 Omnibus Incentive Plan. Exempt pursuant to Rule 16b-3.

F2 · derivative.exercise_date: The options vest at the rate of 1/12th of such options ratably on a monthly basis over the following 12 months on the last day of each calendar month (beginning September 30, 2023), subject to the Reporting Person's continued service to the Company on such vesting dates.

SEC source: 0001213900-22-028978 · ownership.xml · derivative · entry 2

Francis Knuettel II · CIK 0001433316 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,000

Underlying: Common Stock · 21,000 shares

Expires 2032-05-19

F1 · kind: Granted in consideration for services rendered and to be rendered as a member of the Board of Directors. Granted under the registrant's 2020 Omnibus Incentive Plan. Exempt pursuant to Rule 16b-3.

F1 · price: Granted in consideration for services rendered and to be rendered as a member of the Board of Directors. Granted under the registrant's 2020 Omnibus Incentive Plan. Exempt pursuant to Rule 16b-3.

F2 · derivative.exercise_date: The Options vest at the rate of 1/39th of such options ratably on a monthly basis over the following 39 months following the grant date, on the last day of each calendar month (beginning on May 31, 2022), subject to the holder's continued service to the Company.

SEC source: 0001213900-21-040523 · ownership.xml · derivative · entry 2

Francis Knuettel II · CIK 0001433316 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 79,000

Underlying: Common Stock · 79,000 shares

Expires 2031-08-04

F1 · kind: Granted in consideration for services rendered and to be rendered as a member of the Board of Directors. Granted under the registrant's 2020 Omnibus Incentive Plan. Exempt from Section 16(b) of the Securities Exchange Act of 1934 pursuant to Rule 16b-3 promulgated under the Exchange Act.

F1 · price: Granted in consideration for services rendered and to be rendered as a member of the Board of Directors. Granted under the registrant's 2020 Omnibus Incentive Plan. Exempt from Section 16(b) of the Securities Exchange Act of 1934 pursuant to Rule 16b-3 promulgated under the Exchange Act.

F2 · derivative.exercise_date: The Options vest at the rate of 1/48th of such options ratably on a monthly basis over the following 48 months following the grant date, on the last day of each calendar month (beginning on August 31, 2021), subject to the holder's continued service to the Company.

SEC source: 0001477932-21-004571 · form4.xml · derivative · entry 6

Francis Knuettel II · CIK 0001433316 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 192,322

Underlying: Common Stock · 192,322 shares

Expires 2025-06-01

F3 · security: Represents UMBRLA warrants held by the Reporting Person that were assumed by the Issuer in the Merger and converted into warrants exercisable for shares of the Issuer's common stock, as calculated based on the Exchange Ratio. The exercise price was adjusted to reflect the Exchange Ratio.

F3 · derivative.exercise_price: Represents UMBRLA warrants held by the Reporting Person that were assumed by the Issuer in the Merger and converted into warrants exercisable for shares of the Issuer's common stock, as calculated based on the Exchange Ratio. The exercise price was adjusted to reflect the Exchange Ratio.

F3 · price: Represents UMBRLA warrants held by the Reporting Person that were assumed by the Issuer in the Merger and converted into warrants exercisable for shares of the Issuer's common stock, as calculated based on the Exchange Ratio. The exercise price was adjusted to reflect the Exchange Ratio.

SEC source: 0001477932-21-004571 · form4.xml · derivative · entry 5

Francis Knuettel II · CIK 0001433316 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 192,322

Underlying: Common Stock · 192,322 shares

Expires 2025-06-01

F3 · security: Represents UMBRLA warrants held by the Reporting Person that were assumed by the Issuer in the Merger and converted into warrants exercisable for shares of the Issuer's common stock, as calculated based on the Exchange Ratio. The exercise price was adjusted to reflect the Exchange Ratio.

F3 · derivative.exercise_price: Represents UMBRLA warrants held by the Reporting Person that were assumed by the Issuer in the Merger and converted into warrants exercisable for shares of the Issuer's common stock, as calculated based on the Exchange Ratio. The exercise price was adjusted to reflect the Exchange Ratio.

F3 · price: Represents UMBRLA warrants held by the Reporting Person that were assumed by the Issuer in the Merger and converted into warrants exercisable for shares of the Issuer's common stock, as calculated based on the Exchange Ratio. The exercise price was adjusted to reflect the Exchange Ratio.

SEC source: 0001477932-21-004571 · form4.xml · derivative · entry 4

Francis Knuettel II · CIK 0001433316 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 769,290

Underlying: Common Stock · 769,290 shares

Expires 2030-11-04

F2 · security: Represents UMBRLA stock options held by the Reporting Person that were assumed by the Issuer in the Merger and converted into options exercisable for shares of the Issuer's common stock, as calculated based on the Exchange Ratio. The exercise price was adjusted to reflect the Exchange Ratio.

F2 · derivative.exercise_price: Represents UMBRLA stock options held by the Reporting Person that were assumed by the Issuer in the Merger and converted into options exercisable for shares of the Issuer's common stock, as calculated based on the Exchange Ratio. The exercise price was adjusted to reflect the Exchange Ratio.

F2 · price: Represents UMBRLA stock options held by the Reporting Person that were assumed by the Issuer in the Merger and converted into options exercisable for shares of the Issuer's common stock, as calculated based on the Exchange Ratio. The exercise price was adjusted to reflect the Exchange Ratio.

SEC source: 0001477932-21-004571 · form4.xml · nonDerivative · entry 3

Francis Knuettel II · CIK 0001433316 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,450,000

SEC source: 0001477932-21-004571 · form4.xml · nonDerivative · entry 1

Francis Knuettel II · CIK 0001433316 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 423,456

F1 · shares: Represents shares of the Issuer's common stock acquired by the Reporting Person in connection with the Issuer's acquisition of UMBRLA Inc., a Nevada corporation ("UMBRLA"), pursuant to an Agreement and Plan of Merger, dated as of March 2, 2021, pursuant to which a wholly owned subsidiary of the Issuer merged with and into UMBRLA (the "Merger"), with UMBRLA surviving the Merger as a wholly owned subsidiary of the Issuer. At the effective time of the Merger, each share of UMBRLA common stock outstanding and held directly or indirectly by the Reporting Person was converted into the right to receive 1.5386 shares of the Issuer's common stock (the "Exchange Ratio").

F1 · price: Represents shares of the Issuer's common stock acquired by the Reporting Person in connection with the Issuer's acquisition of UMBRLA Inc., a Nevada corporation ("UMBRLA"), pursuant to an Agreement and Plan of Merger, dated as of March 2, 2021, pursuant to which a wholly owned subsidiary of the Issuer merged with and into UMBRLA (the "Merger"), with UMBRLA surviving the Merger as a wholly owned subsidiary of the Issuer. At the effective time of the Merger, each share of UMBRLA common stock outstanding and held directly or indirectly by the Reporting Person was converted into the right to receive 1.5386 shares of the Issuer's common stock (the "Exchange Ratio").

SEC source: 0001477932-21-004571 · form4.xml · nonDerivative · entry 2

Francis Knuettel II · CIK 0001433316 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,050,000

SEC source: 0001477932-21-003941 · form4.xml · derivative · entry 2

Francis Knuettel II · CIK 0001433316 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,500,000

Underlying: Common Stock · 1,500,000 shares

Expires 2031-06-06

F2 · derivative.exercise_date: The nonqualified stock options vest in six equal installments, with the first installment vesting on the June 7, 2021, and the remaining installments vesting on every three-month anniversary thereafter; provided the reporting person is an employee of the issuer on the applicable vesting date.

SEC source: 0001477932-21-003941 · form4.xml · nonDerivative · entry 1

Francis Knuettel II · CIK 0001433316 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,500,000

F1 · shares: The shares of common stock vest in six equal installments, with the first installment vesting on the June 7, 2021, and the remaining installments vesting on every three-month anniversary thereafter; provided the reporting person is an employee of the issuer on the applicable vesting date.

SEC source: 0001477932-21-004572 · form4a.xml · nonDerivative · entry 1

Francis Knuettel II · CIK 0001433316 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,850,000

F1 · shares: The shares of common stock vest in six equal installments, with the first installment vesting on the June 7, 2021, and the remaining installments vesting on every three-month anniversary thereafter; provided the reporting person is an employee of the issuer on the applicable vesting date.

F2 · balance_after: This amendment is being filed to reflect the inadvertent omission of shares of common stock already held by the reporting person, which should have been added to the number of shares reported in Table I, Item 5, which number was originally reported as 1,500,000.

SEC source: 0001477932-20-007442 · form4.xml · derivative · entry 2

Francis Knuettel II · CIK 0001433316 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 600,000

Underlying: Common Stock · 600,000 shares

Expires 2030-12-17

F1 · derivative.exercise_date: The nonqualified stock options vest in two installments of 300,000 each, with the first installment vesting on March 18, 2021 and the second installment vesting on June 18, 2021.

SEC source: 0001477932-20-007442 · form4.xml · nonDerivative · entry 1

Francis Knuettel II · CIK 0001433316 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 350,000

SEC source: 0001104659-19-068686 · tv533692_4.xml · nonDerivative · entry 1

Francis Knuettel II · CIK 0001433316 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,393

SEC source: 0001144204-19-008583 · tv513916_4.xml · derivative · entry 1

Francis Knuettel II · CIK 0001433316 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,393

Underlying: Common Stock · 13,393 shares

Expires 2029-02-13

F2 · price: The options were awarded to the reporting person as compensation for services to be rendered to the issuer through February 12, 2020.

F1 · derivative.exercise_date: The option vests in 4 quarterly installments, commencing ninety days after the grant date.

SEC source: 0001209191-18-038408 · doc4.xml · nonDerivative · entry 2

Francis Knuettel II · CIK 0001433316 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 162,500

F1 · balance_after: Includes 150,000 shares underlying restricted stock units ("RSUs") that are not yet vested and deliverable. 50,000 of the RSU's shall vest and be delivered on April 12, 2019, 4,167 of the RSUs shall vest and be delivered each month thereafter, and 4,159 of the RSUs shall vest and be delivered on April 12, 2021.

SEC source: 0001209191-18-038408 · doc4.xml · nonDerivative · entry 1

Francis Knuettel II · CIK 0001433316 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 157,500

F1 · balance_after: Includes 150,000 shares underlying restricted stock units ("RSUs") that are not yet vested and deliverable. 50,000 of the RSU's shall vest and be delivered on April 12, 2019, 4,167 of the RSUs shall vest and be delivered each month thereafter, and 4,159 of the RSUs shall vest and be delivered on April 12, 2021.

SEC source: 0001393905-17-000201 · primary_doc.xml · nonDerivative · entry 1

Francis Knuettel II · CIK 0001433316 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 530,347

F1 · shares: Shares issued in lieu of cash compensation for Board of Director services.

SEC source: 0001393905-17-000167 · primary_doc.xml · nonDerivative · entry 1

Francis Knuettel II · CIK 0001433316 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 486,229

F1 · shares: Shares issued in lieu of cash compensation for Board of Director services.

SEC source: 0001393905-17-000070 · primary_doc.xml · nonDerivative · entry 3

Francis Knuettel II · CIK 0001433316 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 428,537

F2 · shares: Shares issued in lieu of cash compensation for Board of Director services.

SEC source: 0001393905-17-000070 · primary_doc.xml · nonDerivative · entry 2

Francis Knuettel II · CIK 0001433316 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Note 1

Disclosed balance after: 460,000

F1 · ownership.nature: Indirect beneficial ownership - shares held in entities in which Mr. Knuettel has control.

SEC source: 0001393905-17-000070 · primary_doc.xml · nonDerivative · entry 1

Francis Knuettel II · CIK 0001433316 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Note 1

Disclosed balance after: 560,000

F1 · ownership.nature: Indirect beneficial ownership - shares held in entities in which Mr. Knuettel has control.

SEC source: 0001393905-16-001040 · primary_doc.xml · derivative · entry 3

Francis Knuettel II · CIK 0001433316 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Family Trust

Disclosed balance after: 37,037

Underlying: SPDL common stock · 37,037 shares

Expires 2019-09-13