STROME GROUP, INC.

SEC source: 0001213900-26-047650 · ownership.xml · nonDerivative · entry 1

STROME MARK E · CIK 0000919484 · 10% owner

STROME INVESTMENT MANAGEMENT LP · CIK 0000936711 · Affiliate of 10% Owner

STROME GROUP, INC. · CIK 0001724136 · Affiliate of 10% Owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · By entity

Disclosed balance after: 572,942

F1 · shares: The reported securities are owned directly by Strome Mezzanine Fund II, LP ("SMF II"), which were acquired pursuant to a Securities Purchase Agreement that SMF II entered into with the issuer.

F1 · ownership.nature: The reported securities are owned directly by Strome Mezzanine Fund II, LP ("SMF II"), which were acquired pursuant to a Securities Purchase Agreement that SMF II entered into with the issuer.

F2 · ownership.nature: Strome Investment Management, LP is the general partner of SMF II. Strome Group, Inc. is the general partner of Strome Investment Management, LP. Mark E. Strome is the President and CEO of Strome Group, Inc. Mr. Strome, Strome Investment Management, LP and Strome Group, Inc. (together, the "Reporting Persons") may be deemed to share voting and investment power for and to beneficially own the shares held by SMF II under Section 13(d) of the Securities Exchange Act of 1934 (the "Exchange Act").

F3 · ownership.nature: Pursuant to Rule 16a-1(a)(4) of the Exchange Act, this filing shall not be deemed an admission that the Reporting Persons are, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owner of any equity securities reported herein.

SEC source: 0001213900-26-016803 · ownership.xml · derivative · entry 2

STROME MARK E · CIK 0000919484 · 10% owner

STROME INVESTMENT MANAGEMENT LP · CIK 0000936711 · Affiliate of 10% Owner

STROME GROUP, INC. · CIK 0001724136 · Affiliate of 10% Owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · By entity

Disclosed balance after: 45,071

Underlying: Common Stock · 2,000 shares

Expires 2031-02-11

F1 · shares: The reported securities are owned directly by Strome Mezzanine Fund II, LP ("SMF II"), which were acquired pursuant to a Securities Purchase Agreement that SMF II entered into with the issuer.

F1 · ownership.nature: The reported securities are owned directly by Strome Mezzanine Fund II, LP ("SMF II"), which were acquired pursuant to a Securities Purchase Agreement that SMF II entered into with the issuer.

F2 · ownership.nature: Strome Investment Management, LP is the general partner of SMF II. Strome Group, Inc. is the general partner of Strome Investment Management, LP. Mark E. Strome is the President and CEO of Strome Group, Inc. Mr. Strome, Strome Investment Management, LP and Strome Group, Inc. (together, the "Reporting Persons") may be deemed to share voting and investment power for and to beneficially own the shares held by SMF II under Section 13(d) of the Securities Exchange Act of 1934 (the "Exchange Act").

F3 · ownership.nature: Pursuant to Rule 16a-1(a)(4) of the Exchange Act, this filing shall not be deemed an admission that the Reporting Persons are, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owner of any equity securities reported herein.

SEC source: 0001213900-26-016803 · ownership.xml · nonDerivative · entry 1

STROME MARK E · CIK 0000919484 · 10% owner

STROME INVESTMENT MANAGEMENT LP · CIK 0000936711 · Affiliate of 10% Owner

STROME GROUP, INC. · CIK 0001724136 · Affiliate of 10% Owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · By entity

Disclosed balance after: 472,942

F1 · shares: The reported securities are owned directly by Strome Mezzanine Fund II, LP ("SMF II"), which were acquired pursuant to a Securities Purchase Agreement that SMF II entered into with the issuer.

F1 · ownership.nature: The reported securities are owned directly by Strome Mezzanine Fund II, LP ("SMF II"), which were acquired pursuant to a Securities Purchase Agreement that SMF II entered into with the issuer.

F2 · ownership.nature: Strome Investment Management, LP is the general partner of SMF II. Strome Group, Inc. is the general partner of Strome Investment Management, LP. Mark E. Strome is the President and CEO of Strome Group, Inc. Mr. Strome, Strome Investment Management, LP and Strome Group, Inc. (together, the "Reporting Persons") may be deemed to share voting and investment power for and to beneficially own the shares held by SMF II under Section 13(d) of the Securities Exchange Act of 1934 (the "Exchange Act").

F3 · ownership.nature: Pursuant to Rule 16a-1(a)(4) of the Exchange Act, this filing shall not be deemed an admission that the Reporting Persons are, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owner of any equity securities reported herein.

SEC source: 0001213900-25-100376 · ownership.xml · derivative · entry 2

STROME MARK E · CIK 0000919484 · 10% owner

STROME INVESTMENT MANAGEMENT LP · CIK 0000936711 · Affiliate of 10% Owner

STROME GROUP, INC. · CIK 0001724136 · Affiliate of 10% Owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · By entity

Disclosed balance after: 43,071

Underlying: Common Stock · 2,025 shares

Expires 2030-10-12

F1 · ownership.nature: The reported securities are owned directly by Strome Mezzanine Fund II, LP ("SMF II"), which were acquired pursuant to a Securities Purchase Agreement that SMF II entered into with the issuer.

F2 · ownership.nature: Strome Investment Management, LP is the general partner of SMF II. Strome Group, Inc. is the general partner of Strome Investment Management, LP. Mark E. Strome is the President and CEO of Strome Group, Inc. Mr. Strome, Strome Investment Management, LP and Strome Group, Inc. (together, the "Reporting Persons") may be deemed to share voting and investment power for and to beneficially own the shares held by SMF II under Section 13(d) of the Securities Exchange Act of 1934 (the "Exchange Act").

F3 · ownership.nature: Pursuant to Rule 16a-1(a)(4) of the Exchange Act, this filing shall not be deemed an admission that the Reporting Persons are, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owner of any equity securities reported herein.

SEC source: 0001213900-25-100376 · ownership.xml · nonDerivative · entry 1

STROME MARK E · CIK 0000919484 · 10% owner

STROME INVESTMENT MANAGEMENT LP · CIK 0000936711 · Affiliate of 10% Owner

STROME GROUP, INC. · CIK 0001724136 · Affiliate of 10% Owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · By entity

Disclosed balance after: 452,942

F1 · shares: The reported securities are owned directly by Strome Mezzanine Fund II, LP ("SMF II"), which were acquired pursuant to a Securities Purchase Agreement that SMF II entered into with the issuer.

F1 · ownership.nature: The reported securities are owned directly by Strome Mezzanine Fund II, LP ("SMF II"), which were acquired pursuant to a Securities Purchase Agreement that SMF II entered into with the issuer.

F2 · ownership.nature: Strome Investment Management, LP is the general partner of SMF II. Strome Group, Inc. is the general partner of Strome Investment Management, LP. Mark E. Strome is the President and CEO of Strome Group, Inc. Mr. Strome, Strome Investment Management, LP and Strome Group, Inc. (together, the "Reporting Persons") may be deemed to share voting and investment power for and to beneficially own the shares held by SMF II under Section 13(d) of the Securities Exchange Act of 1934 (the "Exchange Act").

F3 · ownership.nature: Pursuant to Rule 16a-1(a)(4) of the Exchange Act, this filing shall not be deemed an admission that the Reporting Persons are, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owner of any equity securities reported herein.

SEC source: 0001213900-25-004766 · ownership.xml · nonDerivative · entry 1

STROME MARK E · CIK 0000919484 · 10% owner

STROME INVESTMENT MANAGEMENT LP · CIK 0000936711 · Affiliate of 10% Owner

STROME GROUP, INC. · CIK 0001724136 · Affiliate of 10% Owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · By entity

Disclosed balance after: 432,683

F1 · shares: The reported securities are owned directly by Strome Mezzanine Fund, LP ("SMF"). On January 17, 2025, SMF entered into an Exchange Agreement with the Issuer, pursuant to which in exchange for cancelling the License Co-Development Participation Agreement between the Issuer and SMF dated October 8, 2020, the Issuer agreed to issue to SMF the reported securities.

F1 · ownership.nature: The reported securities are owned directly by Strome Mezzanine Fund, LP ("SMF"). On January 17, 2025, SMF entered into an Exchange Agreement with the Issuer, pursuant to which in exchange for cancelling the License Co-Development Participation Agreement between the Issuer and SMF dated October 8, 2020, the Issuer agreed to issue to SMF the reported securities.

F2 · ownership.nature: Strome Investment Management, LP is the general partner of SMF. Strome Group, Inc. is the general partner of Strome Investment Management, LP. Mark E. Strome is the President and CEO of Strome Group, Inc. Mr. Strome, Strome Investment Management, LP and Strome Group, Inc. (together, the "Reporting Persons") may be deemed to share voting and investment power for and to beneficially own the shares held by SMF under Section 13(d) of the Securities Exchange Act of 1934 (the "Exchange Act").

F3 · ownership.nature: Pursuant to Rule 16a-1(a)(4) of the Exchange Act, this filing shall not be deemed an admission that the Reporting Persons are, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owner of any equity securities reported herein.

SEC source: 0001213900-24-113655 · ownership.xml · derivative · entry 2

STROME MARK E · CIK 0000919484 · 10% owner

STROME INVESTMENT MANAGEMENT LP · CIK 0000936711 · 10% owner

STROME GROUP, INC. · CIK 0001724136 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · By entity

Disclosed balance after: 44,171

Underlying: Common Stock · 7,500 shares

Expires 2029-12-26

F1 · shares: The reported securities are held by Strome Mezzanine Fund II, LP ("SMF II). Strome Investment Management, LP is the general partner of SMF II. Strome Group, Inc. is the general partner of Strome Investment Management, LP. Mark E. Strome is the President and CEO of Strome Group, Inc. Mr. Strome, Strome Investment Management, LP and Strome Group, Inc. (together, the "Reporting Persons") may be deemed to share voting and investment power for the shares held by SME II. The Reporting Persons disclaim beneficial ownership of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934 (the "Exchange Act"), except to the extent of their pecuniary interest therein. This filing shall not be deemed an admission that the Reporting Persons are, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owner of any equity securities reported herein.

F1 · derivative.underlying_shares: The reported securities are held by Strome Mezzanine Fund II, LP ("SMF II). Strome Investment Management, LP is the general partner of SMF II. Strome Group, Inc. is the general partner of Strome Investment Management, LP. Mark E. Strome is the President and CEO of Strome Group, Inc. Mr. Strome, Strome Investment Management, LP and Strome Group, Inc. (together, the "Reporting Persons") may be deemed to share voting and investment power for the shares held by SME II. The Reporting Persons disclaim beneficial ownership of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934 (the "Exchange Act"), except to the extent of their pecuniary interest therein. This filing shall not be deemed an admission that the Reporting Persons are, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owner of any equity securities reported herein.

F1 · ownership.nature: The reported securities are held by Strome Mezzanine Fund II, LP ("SMF II). Strome Investment Management, LP is the general partner of SMF II. Strome Group, Inc. is the general partner of Strome Investment Management, LP. Mark E. Strome is the President and CEO of Strome Group, Inc. Mr. Strome, Strome Investment Management, LP and Strome Group, Inc. (together, the "Reporting Persons") may be deemed to share voting and investment power for the shares held by SME II. The Reporting Persons disclaim beneficial ownership of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934 (the "Exchange Act"), except to the extent of their pecuniary interest therein. This filing shall not be deemed an admission that the Reporting Persons are, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owner of any equity securities reported herein.

SEC source: 0001213900-24-113655 · ownership.xml · nonDerivative · entry 1

STROME MARK E · CIK 0000919484 · 10% owner

STROME INVESTMENT MANAGEMENT LP · CIK 0000936711 · 10% owner

STROME GROUP, INC. · CIK 0001724136 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · By entity

Disclosed balance after: 398,683

F1 · shares: The reported securities are held by Strome Mezzanine Fund II, LP ("SMF II). Strome Investment Management, LP is the general partner of SMF II. Strome Group, Inc. is the general partner of Strome Investment Management, LP. Mark E. Strome is the President and CEO of Strome Group, Inc. Mr. Strome, Strome Investment Management, LP and Strome Group, Inc. (together, the "Reporting Persons") may be deemed to share voting and investment power for the shares held by SME II. The Reporting Persons disclaim beneficial ownership of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934 (the "Exchange Act"), except to the extent of their pecuniary interest therein. This filing shall not be deemed an admission that the Reporting Persons are, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owner of any equity securities reported herein.

F1 · ownership.nature: The reported securities are held by Strome Mezzanine Fund II, LP ("SMF II). Strome Investment Management, LP is the general partner of SMF II. Strome Group, Inc. is the general partner of Strome Investment Management, LP. Mark E. Strome is the President and CEO of Strome Group, Inc. Mr. Strome, Strome Investment Management, LP and Strome Group, Inc. (together, the "Reporting Persons") may be deemed to share voting and investment power for the shares held by SME II. The Reporting Persons disclaim beneficial ownership of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934 (the "Exchange Act"), except to the extent of their pecuniary interest therein. This filing shall not be deemed an admission that the Reporting Persons are, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owner of any equity securities reported herein.

SEC source: 0001213900-25-006114 · ownership.xml · derivative · entry 2

STROME MARK E · CIK 0000919484 · 10% owner

STROME INVESTMENT MANAGEMENT LP · CIK 0000936711 · Affiliate of 10% Owner

STROME GROUP, INC. · CIK 0001724136 · Affiliate of 10% Owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · By entity

Disclosed balance after: 44,171

Underlying: Common Stock · Not disclosed shares

Expires 2029-08-27

F1 · shares: The reported securities are owned directly by Strome Mezzanine Fund II, LP ("SMF II).

F1 · ownership.nature: The reported securities are owned directly by Strome Mezzanine Fund II, LP ("SMF II).

F2 · ownership.nature: Strome Investment Management, LP is the general partner of SMF II. Strome Group, Inc. is the general partner of Strome Investment Management, LP. Mark E. Strome is the President and CEO of Strome Group, Inc. Mr. Strome, Strome Investment Management, LP and Strome Group, Inc. (together, the "Reporting Persons") may be deemed to share voting and investment power for and to beneficially own the shares held by SMF under Section 13(d) of the Securities Exchange Act of 1934 (the "Exchange Act").

F3 · ownership.nature: Pursuant to Rule 16a-1(a)(4) of the Exchange Act, this filing shall not be deemed an admission that the Reporting Persons are, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owner of any equity securities reported herein.

SEC source: 0001213900-25-006114 · ownership.xml · nonDerivative · entry 1

STROME MARK E · CIK 0000919484 · 10% owner

STROME INVESTMENT MANAGEMENT LP · CIK 0000936711 · Affiliate of 10% Owner

STROME GROUP, INC. · CIK 0001724136 · Affiliate of 10% Owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · By entity

Disclosed balance after: 398,683

F1 · shares: The reported securities are owned directly by Strome Mezzanine Fund II, LP ("SMF II).

F1 · ownership.nature: The reported securities are owned directly by Strome Mezzanine Fund II, LP ("SMF II).

F2 · ownership.nature: Strome Investment Management, LP is the general partner of SMF II. Strome Group, Inc. is the general partner of Strome Investment Management, LP. Mark E. Strome is the President and CEO of Strome Group, Inc. Mr. Strome, Strome Investment Management, LP and Strome Group, Inc. (together, the "Reporting Persons") may be deemed to share voting and investment power for and to beneficially own the shares held by SMF under Section 13(d) of the Securities Exchange Act of 1934 (the "Exchange Act").

F3 · ownership.nature: Pursuant to Rule 16a-1(a)(4) of the Exchange Act, this filing shall not be deemed an admission that the Reporting Persons are, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owner of any equity securities reported herein.

SEC source: 0001793373-23-000005 · primary_doc.xml · derivative · entry 11

STROME MARK E · CIK 0000919484 · 10% owner

STROME MEZZANINE FUND, LP · CIK 0001713153 · 10% owner

Strome Alpha Fund L P · CIK 0001324539 · 10% owner

STROME INVESTMENT MANAGEMENT LP · CIK 0000936711 · 10% owner

STROME GROUP, INC. · CIK 0001724136 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · By entity

Disclosed balance after: 0

Underlying: Common Stock · 4,166 shares

Expires 2022-11-20

F5 · kind: Expiration of long derivative position (warrant) without value received.

F2 · ownership.nature: This filing is made on behalf of Strome Mezzanine Fund, L.P ("Strome Mezzanine"), Strome Alpha Fund LP ("Strome Alpha"), Strome Investment Management, LP, Strome Group, Inc., and Mark Strome (together, the "Reporting Persons"). Strome Investment Management, LP is the general partner of Strome Mezzanine. Strome Group, Inc. is the general partner of Strome Investment Management, LP. Mark Strome is the President and CEO of Strome Group, Inc. Strome Investment Management, LP, Strome Group, Inc., and Mark Strome may be deemed to share voting and investment power for the shares held by Strome Mezzanine and Strome Alpha.

F3 · ownership.nature: Pursuant to Rule 16a-1(a)(4) of the Securities Exchange Act of 1934 (the "Exchange Act"), this filing shall not be deemed an admission that the Reporting Persons are, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owner of any equity securities reported herein.

SEC source: 0001793373-23-000005 · primary_doc.xml · derivative · entry 10

STROME MARK E · CIK 0000919484 · 10% owner

STROME MEZZANINE FUND, LP · CIK 0001713153 · 10% owner

Strome Alpha Fund L P · CIK 0001324539 · 10% owner

STROME INVESTMENT MANAGEMENT LP · CIK 0000936711 · 10% owner

STROME GROUP, INC. · CIK 0001724136 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · By entity

Disclosed balance after: 0

Underlying: Common Stock · 104,166 shares

Expires 2022-11-20

F5 · kind: Expiration of long derivative position (warrant) without value received.

F2 · ownership.nature: This filing is made on behalf of Strome Mezzanine Fund, L.P ("Strome Mezzanine"), Strome Alpha Fund LP ("Strome Alpha"), Strome Investment Management, LP, Strome Group, Inc., and Mark Strome (together, the "Reporting Persons"). Strome Investment Management, LP is the general partner of Strome Mezzanine. Strome Group, Inc. is the general partner of Strome Investment Management, LP. Mark Strome is the President and CEO of Strome Group, Inc. Strome Investment Management, LP, Strome Group, Inc., and Mark Strome may be deemed to share voting and investment power for the shares held by Strome Mezzanine and Strome Alpha.

F3 · ownership.nature: Pursuant to Rule 16a-1(a)(4) of the Securities Exchange Act of 1934 (the "Exchange Act"), this filing shall not be deemed an admission that the Reporting Persons are, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owner of any equity securities reported herein.

SEC source: 0001793373-23-000005 · primary_doc.xml · derivative · entry 9

STROME MARK E · CIK 0000919484 · 10% owner

STROME MEZZANINE FUND, LP · CIK 0001713153 · 10% owner

Strome Alpha Fund L P · CIK 0001324539 · 10% owner

STROME INVESTMENT MANAGEMENT LP · CIK 0000936711 · 10% owner

STROME GROUP, INC. · CIK 0001724136 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · By entity

Disclosed balance after: 0

Underlying: Common Stock · 3,125 shares

Expires 2022-11-20

F5 · kind: Expiration of long derivative position (warrant) without value received.

F2 · ownership.nature: This filing is made on behalf of Strome Mezzanine Fund, L.P ("Strome Mezzanine"), Strome Alpha Fund LP ("Strome Alpha"), Strome Investment Management, LP, Strome Group, Inc., and Mark Strome (together, the "Reporting Persons"). Strome Investment Management, LP is the general partner of Strome Mezzanine. Strome Group, Inc. is the general partner of Strome Investment Management, LP. Mark Strome is the President and CEO of Strome Group, Inc. Strome Investment Management, LP, Strome Group, Inc., and Mark Strome may be deemed to share voting and investment power for the shares held by Strome Mezzanine and Strome Alpha.

F3 · ownership.nature: Pursuant to Rule 16a-1(a)(4) of the Securities Exchange Act of 1934 (the "Exchange Act"), this filing shall not be deemed an admission that the Reporting Persons are, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owner of any equity securities reported herein.

SEC source: 0001793373-23-000005 · primary_doc.xml · derivative · entry 8

STROME MARK E · CIK 0000919484 · 10% owner

STROME MEZZANINE FUND, LP · CIK 0001713153 · 10% owner

Strome Alpha Fund L P · CIK 0001324539 · 10% owner

STROME INVESTMENT MANAGEMENT LP · CIK 0000936711 · 10% owner

STROME GROUP, INC. · CIK 0001724136 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · By entity

Disclosed balance after: 0

Underlying: Common Stock · 8,333 shares

Expires 2022-11-20

F5 · kind: Expiration of long derivative position (warrant) without value received.

F2 · ownership.nature: This filing is made on behalf of Strome Mezzanine Fund, L.P ("Strome Mezzanine"), Strome Alpha Fund LP ("Strome Alpha"), Strome Investment Management, LP, Strome Group, Inc., and Mark Strome (together, the "Reporting Persons"). Strome Investment Management, LP is the general partner of Strome Mezzanine. Strome Group, Inc. is the general partner of Strome Investment Management, LP. Mark Strome is the President and CEO of Strome Group, Inc. Strome Investment Management, LP, Strome Group, Inc., and Mark Strome may be deemed to share voting and investment power for the shares held by Strome Mezzanine and Strome Alpha.

F3 · ownership.nature: Pursuant to Rule 16a-1(a)(4) of the Securities Exchange Act of 1934 (the "Exchange Act"), this filing shall not be deemed an admission that the Reporting Persons are, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owner of any equity securities reported herein.

SEC source: 0001793373-23-000005 · primary_doc.xml · derivative · entry 7

STROME MARK E · CIK 0000919484 · 10% owner

STROME MEZZANINE FUND, LP · CIK 0001713153 · 10% owner

Strome Alpha Fund L P · CIK 0001324539 · 10% owner

STROME INVESTMENT MANAGEMENT LP · CIK 0000936711 · 10% owner

STROME GROUP, INC. · CIK 0001724136 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · By entity

Disclosed balance after: 0

Underlying: Common Stock · 208,333 shares

Expires 2022-11-20

F5 · kind: Expiration of long derivative position (warrant) without value received.

F2 · ownership.nature: This filing is made on behalf of Strome Mezzanine Fund, L.P ("Strome Mezzanine"), Strome Alpha Fund LP ("Strome Alpha"), Strome Investment Management, LP, Strome Group, Inc., and Mark Strome (together, the "Reporting Persons"). Strome Investment Management, LP is the general partner of Strome Mezzanine. Strome Group, Inc. is the general partner of Strome Investment Management, LP. Mark Strome is the President and CEO of Strome Group, Inc. Strome Investment Management, LP, Strome Group, Inc., and Mark Strome may be deemed to share voting and investment power for the shares held by Strome Mezzanine and Strome Alpha.

F3 · ownership.nature: Pursuant to Rule 16a-1(a)(4) of the Securities Exchange Act of 1934 (the "Exchange Act"), this filing shall not be deemed an admission that the Reporting Persons are, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owner of any equity securities reported herein.

SEC source: 0001793373-23-000005 · primary_doc.xml · derivative · entry 6

STROME MARK E · CIK 0000919484 · 10% owner

STROME MEZZANINE FUND, LP · CIK 0001713153 · 10% owner

Strome Alpha Fund L P · CIK 0001324539 · 10% owner

STROME INVESTMENT MANAGEMENT LP · CIK 0000936711 · 10% owner

STROME GROUP, INC. · CIK 0001724136 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · By entity

Disclosed balance after: 0

Underlying: Common Stock · 3,125 shares

Expires 2022-09-25

F5 · kind: Expiration of long derivative position (warrant) without value received.

F2 · ownership.nature: This filing is made on behalf of Strome Mezzanine Fund, L.P ("Strome Mezzanine"), Strome Alpha Fund LP ("Strome Alpha"), Strome Investment Management, LP, Strome Group, Inc., and Mark Strome (together, the "Reporting Persons"). Strome Investment Management, LP is the general partner of Strome Mezzanine. Strome Group, Inc. is the general partner of Strome Investment Management, LP. Mark Strome is the President and CEO of Strome Group, Inc. Strome Investment Management, LP, Strome Group, Inc., and Mark Strome may be deemed to share voting and investment power for the shares held by Strome Mezzanine and Strome Alpha.

F3 · ownership.nature: Pursuant to Rule 16a-1(a)(4) of the Securities Exchange Act of 1934 (the "Exchange Act"), this filing shall not be deemed an admission that the Reporting Persons are, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owner of any equity securities reported herein.

SEC source: 0001793373-23-000005 · primary_doc.xml · derivative · entry 5

STROME MARK E · CIK 0000919484 · 10% owner

STROME MEZZANINE FUND, LP · CIK 0001713153 · 10% owner

Strome Alpha Fund L P · CIK 0001324539 · 10% owner

STROME INVESTMENT MANAGEMENT LP · CIK 0000936711 · 10% owner

STROME GROUP, INC. · CIK 0001724136 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · By entity

Disclosed balance after: 0

Underlying: Common Stock · 3,125 shares

Expires 2022-07-24

F5 · kind: Expiration of long derivative position (warrant) without value received.

F2 · ownership.nature: This filing is made on behalf of Strome Mezzanine Fund, L.P ("Strome Mezzanine"), Strome Alpha Fund LP ("Strome Alpha"), Strome Investment Management, LP, Strome Group, Inc., and Mark Strome (together, the "Reporting Persons"). Strome Investment Management, LP is the general partner of Strome Mezzanine. Strome Group, Inc. is the general partner of Strome Investment Management, LP. Mark Strome is the President and CEO of Strome Group, Inc. Strome Investment Management, LP, Strome Group, Inc., and Mark Strome may be deemed to share voting and investment power for the shares held by Strome Mezzanine and Strome Alpha.

F3 · ownership.nature: Pursuant to Rule 16a-1(a)(4) of the Securities Exchange Act of 1934 (the "Exchange Act"), this filing shall not be deemed an admission that the Reporting Persons are, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owner of any equity securities reported herein.

SEC source: 0001793373-23-000005 · primary_doc.xml · derivative · entry 4

STROME MARK E · CIK 0000919484 · 10% owner

STROME MEZZANINE FUND, LP · CIK 0001713153 · 10% owner

Strome Alpha Fund L P · CIK 0001324539 · 10% owner

STROME INVESTMENT MANAGEMENT LP · CIK 0000936711 · 10% owner

STROME GROUP, INC. · CIK 0001724136 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · By entity

Disclosed balance after: 0

Underlying: Common Stock · 326,286 shares

Expires not disclosed

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

F4 · derivative.exercise_date: The convertible debt was convertible at any time prior to, and did not expire until, the repayment or conversion of the convertible debt in full.

F4 · derivative.expiration_date: The convertible debt was convertible at any time prior to, and did not expire until, the repayment or conversion of the convertible debt in full.

F2 · ownership.nature: This filing is made on behalf of Strome Mezzanine Fund, L.P ("Strome Mezzanine"), Strome Alpha Fund LP ("Strome Alpha"), Strome Investment Management, LP, Strome Group, Inc., and Mark Strome (together, the "Reporting Persons"). Strome Investment Management, LP is the general partner of Strome Mezzanine. Strome Group, Inc. is the general partner of Strome Investment Management, LP. Mark Strome is the President and CEO of Strome Group, Inc. Strome Investment Management, LP, Strome Group, Inc., and Mark Strome may be deemed to share voting and investment power for the shares held by Strome Mezzanine and Strome Alpha.

F3 · ownership.nature: Pursuant to Rule 16a-1(a)(4) of the Securities Exchange Act of 1934 (the "Exchange Act"), this filing shall not be deemed an admission that the Reporting Persons are, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owner of any equity securities reported herein.

SEC source: 0001793373-23-000005 · primary_doc.xml · derivative · entry 3

STROME MARK E · CIK 0000919484 · 10% owner

STROME MEZZANINE FUND, LP · CIK 0001713153 · 10% owner

Strome Alpha Fund L P · CIK 0001324539 · 10% owner

STROME INVESTMENT MANAGEMENT LP · CIK 0000936711 · 10% owner

STROME GROUP, INC. · CIK 0001724136 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · By trust

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2026-06-02

F3 · ownership.nature: Pursuant to Rule 16a-1(a)(4) of the Securities Exchange Act of 1934 (the "Exchange Act"), this filing shall not be deemed an admission that the Reporting Persons are, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owner of any equity securities reported herein.

SEC source: 0001793373-23-000005 · primary_doc.xml · nonDerivative · entry 2

STROME MARK E · CIK 0000919484 · 10% owner

STROME MEZZANINE FUND, LP · CIK 0001713153 · 10% owner

Strome Alpha Fund L P · CIK 0001324539 · 10% owner

STROME INVESTMENT MANAGEMENT LP · CIK 0000936711 · 10% owner

STROME GROUP, INC. · CIK 0001724136 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · By trust

Disclosed balance after: 203,601

SEC source: 0001793373-23-000005 · primary_doc.xml · nonDerivative · entry 1

STROME MARK E · CIK 0000919484 · 10% owner

STROME MEZZANINE FUND, LP · CIK 0001713153 · 10% owner

Strome Alpha Fund L P · CIK 0001324539 · 10% owner

STROME INVESTMENT MANAGEMENT LP · CIK 0000936711 · 10% owner

STROME GROUP, INC. · CIK 0001724136 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · By entity

Disclosed balance after: 326,286

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 · kind: The reported transaction resulted from the conversion of convertible debt into shares of common stock at $8.00.

F2 · ownership.nature: This filing is made on behalf of Strome Mezzanine Fund, L.P ("Strome Mezzanine"), Strome Alpha Fund LP ("Strome Alpha"), Strome Investment Management, LP, Strome Group, Inc., and Mark Strome (together, the "Reporting Persons"). Strome Investment Management, LP is the general partner of Strome Mezzanine. Strome Group, Inc. is the general partner of Strome Investment Management, LP. Mark Strome is the President and CEO of Strome Group, Inc. Strome Investment Management, LP, Strome Group, Inc., and Mark Strome may be deemed to share voting and investment power for the shares held by Strome Mezzanine and Strome Alpha.

F3 · ownership.nature: Pursuant to Rule 16a-1(a)(4) of the Securities Exchange Act of 1934 (the "Exchange Act"), this filing shall not be deemed an admission that the Reporting Persons are, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owner of any equity securities reported herein.

SEC source: 0001793373-20-000012 · primary_doc.xml · derivative · entry 1

STROME MARK E · CIK 0000919484 · 10% owner

STROME MEZZANINE FUND, LP · CIK 0001713153 · 10% owner

STROME INVESTMENT MANAGEMENT LP · CIK 0000936711 · 10% owner

STROME GROUP, INC. · CIK 0001724136 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 1,500,000

Underlying: Common Stock · 1,500,000 shares

Expires 2025-10-08

F1 · price: Strome Mezzanine Fund, L.P. ("Strome Mezzanine") entered into a License Co-Development Participation Agreement dated October 8, 2020 (the "Participation Agreement") with Zivo Bioscience, Inc. ("Zivo"), pursuant to which Strome Mezzanine agreed to fund a portion of the budgeted costs for Zivo's work to enter into certain license agreements. As additional consideration for Strome Mezzanine's funding of the Participation Agreement and to encourage Strome Mezzanine's continued investment in Zivo, Zivo issued this warrant to Strome Mezzanine. No valuation of this portion of the consideration was assigned.

F2 · ownership.nature: This filing is made on behalf of Strome Mezzanine, Strome Investment Management, LP, Strome Group, Inc., and Mark Strome (together, the "Reporting Persons"). Strome Investment Management, LP is the general partner of Strome Mezzanine. Strome Group, Inc. is the general partner of Strome Investment Management, LP. Mark Strome is the President and CEO of Strome Group, Inc. Strome Investment Management, LP, Strome Group, Inc., and Mark Strome may be deemed to share voting and investment power for the shares held by Strome Mezzanine.

F3 · ownership.nature: Pursuant to Rule 16a-1(a)(4) of the Securities Exchange Act of 1934 (the "Exchange Act"), this filing shall not be deemed an admission that the Reporting Persons are, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owner of any equity securities reported herein.

SEC source: 0001736749-18-000011 · primary_doc.xml · derivative · entry 3

STROME MARK E · CIK 0000919484 · 10% owner

Strome Alpha Fund L P · CIK 0001324539 · 10% owner

STROME INVESTMENT MANAGEMENT LP · CIK 0000936711 · 10% owner

STROME GROUP, INC. · CIK 0001724136 · 10% owner

STROME MEZZANINE FUND, LP · CIK 0001713153 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: Not disclosed

Underlying: Common Stock · 6,911,870 shares

Expires 2019-04-01

F6 · price: On June 28, 2018, Strome Mezzanine, Strome Alpha, HEP and Zivo entered into the First Amended and Restated Participation Agreement (the "A&R Participation Agreement"). Under the terms of the A&R Participation Agreement, Strome Mezzanine purchased a participation right in the Eleventh Amended and Restated Senior Secured Promissory Note dated May 16, 2018 (the "Eleventh A&R Note") in the amount of $691,187. The Eleventh A&R Note accrues interest at a rate of eleven percent per annum. The principal amount of the Eleventh A&R Note and accrued interest are convertible to Common Stock of Zivo at $0.10 per share.

F7 · valueOwnedAfter: Under the A&R Participation Agreement, upon conversion Strome Mezzanine and Strome Alpha will receive shares of Common Stock equal to the principal and one-half of the accrued interest but unpaid interest, converted at $0.10 per share. If all of the principal and accrued but unpaid interest were converted as of the date hereof, Strome Mezzanine and Strome Alpha would receive a combined 22,952,461 shares of Common Stock. Under the terms of the A&R Participation Agreement, Strome Mezzanine would receive 17,697,804 shares upon conversion , and Strome Alpha would receive 5,254,657 of the shares issued upon conversion. A copy of the A&R Participation Agreement was filed with Strome Mezzanine's Schedule 13D on October 24, 2018, and a copy of the Eleventh A&R Note was filed with Zivo's Form 8-K on May 18, 2018.

F3 · ownership.nature: This filing is made on behalf of Strome Mezzanine, Strome Alpha, Strome Investment Management, LP, Strome Group, Inc., and Mark Strome (together,the "Reporting Persons"). Strome Investment Management, LP is the general partner of Strome Mezzanine and Strome Alpha. Strome Group, Inc. is the general partner of Strome Investment Management, LP. Mark Strome is the President and CEO of Strome Group, Inc. Strome Investment Management, LP, Strome Group, Inc., and Mark Strome may be deemed to share voting and investment power for the shares held by Strome Mezzanine and Strome Alpha.

F4 · ownership.nature: Pursuant to Rule 16a-1(a)(4) of the Securities Exchange Act of 1934 (the "Exchange Act"), this filing shall not be deemed an admission that the Reporting Persons are, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owner of any equity securities reported herein.

SEC source: 0001736749-18-000011 · primary_doc.xml · derivative · entry 5

STROME MARK E · CIK 0000919484 · 10% owner

Strome Alpha Fund L P · CIK 0001324539 · 10% owner

STROME INVESTMENT MANAGEMENT LP · CIK 0000936711 · 10% owner

STROME GROUP, INC. · CIK 0001724136 · 10% owner

STROME MEZZANINE FUND, LP · CIK 0001713153 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 9,000,000

Underlying: Common Stock · 9,000,000 shares

Expires 2023-06-01

F8 · price: Under the terms of the A&R Participation Agreement, in consideration of Strome Mezzanine purchasing a participation right in the Eleventh A&R Note, Zivo issued this warrant to Strome Mezzanine.

F3 · ownership.nature: This filing is made on behalf of Strome Mezzanine, Strome Alpha, Strome Investment Management, LP, Strome Group, Inc., and Mark Strome (together,the "Reporting Persons"). Strome Investment Management, LP is the general partner of Strome Mezzanine and Strome Alpha. Strome Group, Inc. is the general partner of Strome Investment Management, LP. Mark Strome is the President and CEO of Strome Group, Inc. Strome Investment Management, LP, Strome Group, Inc., and Mark Strome may be deemed to share voting and investment power for the shares held by Strome Mezzanine and Strome Alpha.

F4 · ownership.nature: Pursuant to Rule 16a-1(a)(4) of the Securities Exchange Act of 1934 (the "Exchange Act"), this filing shall not be deemed an admission that the Reporting Persons are, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owner of any equity securities reported herein.

SEC source: 0001736749-18-000011 · primary_doc.xml · derivative · entry 4

STROME MARK E · CIK 0000919484 · 10% owner

Strome Alpha Fund L P · CIK 0001324539 · 10% owner

STROME INVESTMENT MANAGEMENT LP · CIK 0000936711 · 10% owner

STROME GROUP, INC. · CIK 0001724136 · 10% owner

STROME MEZZANINE FUND, LP · CIK 0001713153 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 16,000,000

Underlying: Common Stock · 16,000,000 shares

Expires 2023-06-01

F8 · price: Under the terms of the A&R Participation Agreement, in consideration of Strome Mezzanine purchasing a participation right in the Eleventh A&R Note, Zivo issued this warrant to Strome Mezzanine.

F3 · ownership.nature: This filing is made on behalf of Strome Mezzanine, Strome Alpha, Strome Investment Management, LP, Strome Group, Inc., and Mark Strome (together,the "Reporting Persons"). Strome Investment Management, LP is the general partner of Strome Mezzanine and Strome Alpha. Strome Group, Inc. is the general partner of Strome Investment Management, LP. Mark Strome is the President and CEO of Strome Group, Inc. Strome Investment Management, LP, Strome Group, Inc., and Mark Strome may be deemed to share voting and investment power for the shares held by Strome Mezzanine and Strome Alpha.

F4 · ownership.nature: Pursuant to Rule 16a-1(a)(4) of the Securities Exchange Act of 1934 (the "Exchange Act"), this filing shall not be deemed an admission that the Reporting Persons are, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owner of any equity securities reported herein.

SEC source: 0001736749-18-000011 · primary_doc.xml · derivative · entry 2

STROME MARK E · CIK 0000919484 · 10% owner

Strome Alpha Fund L P · CIK 0001324539 · 10% owner

STROME INVESTMENT MANAGEMENT LP · CIK 0000936711 · 10% owner

STROME GROUP, INC. · CIK 0001724136 · 10% owner

STROME MEZZANINE FUND, LP · CIK 0001713153 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 1,000,000

Underlying: Common Stock · 333,333 shares

Expires 2022-11-20

F5 · price: As additional consideration for Strome Alpha's funding of the Participation Agreement and to encourage Strome Alpha's continued investment in Zivo, Laith Yaldoo, the Manager of HEP, assigned this warrant to Strome Alpha. No valuation of this portion of the consideration was assigned.

F3 · ownership.nature: This filing is made on behalf of Strome Mezzanine, Strome Alpha, Strome Investment Management, LP, Strome Group, Inc., and Mark Strome (together,the "Reporting Persons"). Strome Investment Management, LP is the general partner of Strome Mezzanine and Strome Alpha. Strome Group, Inc. is the general partner of Strome Investment Management, LP. Mark Strome is the President and CEO of Strome Group, Inc. Strome Investment Management, LP, Strome Group, Inc., and Mark Strome may be deemed to share voting and investment power for the shares held by Strome Mezzanine and Strome Alpha.

F4 · ownership.nature: Pursuant to Rule 16a-1(a)(4) of the Securities Exchange Act of 1934 (the "Exchange Act"), this filing shall not be deemed an admission that the Reporting Persons are, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owner of any equity securities reported herein.

SEC source: 0001736749-18-000011 · primary_doc.xml · derivative · entry 1

STROME MARK E · CIK 0000919484 · 10% owner

Strome Alpha Fund L P · CIK 0001324539 · 10% owner

STROME INVESTMENT MANAGEMENT LP · CIK 0000936711 · 10% owner

STROME GROUP, INC. · CIK 0001724136 · 10% owner

STROME MEZZANINE FUND, LP · CIK 0001713153 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 666,667

Underlying: Common Stock · 666,667 shares

Expires 2022-11-20

F1 · price: Strome Mezzanine Fund, L.P. ("Strome Mezzanine") entered into a Participation Agreement dated July 21, 2017 (the "Participation Agreement") with HEP Investments, LLC ("HEP") and Zivo Bioscience, Inc. ("Zivo"), as amended by the Amendment to Participation Agreement, Guaranty, Warrants and Amended and Restated Registration Rights Agreement dated November 15, 2017 (the "Amendment"), which added Strome Alpha Fund LP ("Strome Alpha") as a party to the Participation Agreement. A copy of the Participation Agreement was filed with Strome Mezzanine's Schedule 13D on July 31, 2017, and a copy of the Amendment was filed with Strome Mezzanine's Schedule 13D/A on November 21, 2017. Under the terms of the Participation Agreement, Strome Mezzanine and Strome Alpha agreed to fund a portion of a Ninth Amended and Restated Secured Promissory Note made by Zivo in favor of HEP.

F2 · price: As additional consideration for Strome Mezzanine's funding of the Participation Agreement and to encourage Strome Mezzanine's continued investment in Zivo, Laith Yaldoo, the Manager of HEP, assigned this warrant to Strome Mezzanine. No valuation of this portion of the consideration was assigned.

F3 · ownership.nature: This filing is made on behalf of Strome Mezzanine, Strome Alpha, Strome Investment Management, LP, Strome Group, Inc., and Mark Strome (together,the "Reporting Persons"). Strome Investment Management, LP is the general partner of Strome Mezzanine and Strome Alpha. Strome Group, Inc. is the general partner of Strome Investment Management, LP. Mark Strome is the President and CEO of Strome Group, Inc. Strome Investment Management, LP, Strome Group, Inc., and Mark Strome may be deemed to share voting and investment power for the shares held by Strome Mezzanine and Strome Alpha.

F4 · ownership.nature: Pursuant to Rule 16a-1(a)(4) of the Securities Exchange Act of 1934 (the "Exchange Act"), this filing shall not be deemed an admission that the Reporting Persons are, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owner of any equity securities reported herein.