person · Reporting owner

GROSSMAN JONAS

Disclosed activity across 11 companies

Tapewire entity: 528
SEC CIK: 0001423905

Reported relationships

Latest disclosed role at each company.

Company	Last reported as	Report date	Published
Gardiner Healthcare Acquisitions Corp.GDNR · Entity 110167	10% owner	August 16, 2023	August 28, 2023
Greenland Mines LtdWENA · Entity 7810	10% owner	June 28, 2024	July 02, 2024
Monterey Innovation Acquisition CorpMTRY · Entity 114547	Director · 10% owner	March 09, 2023	March 13, 2023
Nauticus Robotics, Inc.CLAQU · Entity 8200	Director · 10% owner	July 14, 2021	July 28, 2021
Rainier Acquisition CorpRNAQ · Entity 527	Director · 10% owner	September 02, 2026	September 02, 2026
Tessera Defense & Homeland Security Inc.PHGE · Entity 8384	Director	March 29, 2022	March 31, 2022
Vincerx Pharma, Inc.LSAC · Entity 84409	Director · 10% owner	March 10, 2020	March 12, 2020
ZOOZ Strategy Ltd.ZOOZ · Entity 7186	Director	March 18, 2026	March 18, 2026

Disclosed balances

About these balances

Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.

Gardiner Healthcare Acquisitions Corp.

Report date August 16, 2023 · Filed August 28, 2023

Jointly reported with Chardan Gardiner LLC

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	1,005,708	Reported balance Holding disclosure · report date 2023-08-16 · row 1 Holding and transaction disclosures are not merged. 1 source row Row 1 · Balance 1,005,708 F1: This Form 3 is being filed by Chardan Gardiner LLC, a co-sponsor of the issuer ("Chardan Gardiner"). Jonas Grossman is the managing member of Chardan Gardiner, and as such has voting and investment discretion with respect to the common stock held of record by Chardan Gardiner and may be deemed to have beneficial ownership of the common stock held directly by Chardan Gardiner. Mr. Grossman disclaims any beneficial ownership of the reported shares other than to the extent of any pecuniary interest he may have therein, directly or indirectly.

Filing footnotes · ownership attribution and instrument terms

F1: This Form 3 is being filed by Chardan Gardiner LLC, a co-sponsor of the issuer ("Chardan Gardiner"). Jonas Grossman is the managing member of Chardan Gardiner, and as such has voting and investment discretion with respect to the common stock held of record by Chardan Gardiner and may be deemed to have beneficial ownership of the common stock held directly by Chardan Gardiner. Mr. Grossman disclaims any beneficial ownership of the reported shares other than to the extent of any pecuniary interest he may have therein, directly or indirectly.

Greenland Mines Ltd

Report date June 28, 2024 · Filed July 02, 2024

Jointly reported with CHARDAN CAPITAL MARKETS LLC, Chardan Securities LLC, Urbach Steven, PROPPER KERRY

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	1,284,364	Last balance in matching sequence After 2024-07-02 transaction · row 3 Source-order balances reconcile. Account continuity and personal attribution are not independently verified. 3 source rows Row 1 · 2024-06-28 · Sale · Disposed 47,000 · Balance 1,579,500 F1: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $2.38 to $2.71, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price at which the transactions were effected. F2: This Form 4 is being filed by Chardan Capital Markets LLC ("CCM"). Chardan Securities LLC ("Chardan Securities") is the sole Class A Member and 99% owner of CCM and as such has voting and investment discretion with respect to the Common Stock held of record by CCM and may be deemed to have beneficial ownership of the Common Stock held directly by CCM. Each of Jonas Grossman, Steven Urbach and Kerry Propper is a member of Chardan Securities, and as such has voting and investment discretion with respect to the Common Stock held of record by CCM and may be deemed to have beneficial ownership of the Common Stock held directly by CCM. Each of Mr. Grossman, Mr. Urbach and Mr. Propper disclaims any beneficial ownership of the reported shares other than to the extent of any pecuniary interest he may have therein, directly or indirectly. Row 2 · 2024-07-01 · Sale · Disposed 115,136 · Balance 1,464,364 F3: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $1.80 to $2.495, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price at which the transactions were effected. F2: This Form 4 is being filed by Chardan Capital Markets LLC ("CCM"). Chardan Securities LLC ("Chardan Securities") is the sole Class A Member and 99% owner of CCM and as such has voting and investment discretion with respect to the Common Stock held of record by CCM and may be deemed to have beneficial ownership of the Common Stock held directly by CCM. Each of Jonas Grossman, Steven Urbach and Kerry Propper is a member of Chardan Securities, and as such has voting and investment discretion with respect to the Common Stock held of record by CCM and may be deemed to have beneficial ownership of the Common Stock held directly by CCM. Each of Mr. Grossman, Mr. Urbach and Mr. Propper disclaims any beneficial ownership of the reported shares other than to the extent of any pecuniary interest he may have therein, directly or indirectly. Row 3 · 2024-07-02 · Sale · Disposed 180,000 · Balance 1,284,364 F4: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $1.90 to $2.30, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price at which the transactions were effected. F2: This Form 4 is being filed by Chardan Capital Markets LLC ("CCM"). Chardan Securities LLC ("Chardan Securities") is the sole Class A Member and 99% owner of CCM and as such has voting and investment discretion with respect to the Common Stock held of record by CCM and may be deemed to have beneficial ownership of the Common Stock held directly by CCM. Each of Jonas Grossman, Steven Urbach and Kerry Propper is a member of Chardan Securities, and as such has voting and investment discretion with respect to the Common Stock held of record by CCM and may be deemed to have beneficial ownership of the Common Stock held directly by CCM. Each of Mr. Grossman, Mr. Urbach and Mr. Propper disclaims any beneficial ownership of the reported shares other than to the extent of any pecuniary interest he may have therein, directly or indirectly.

Filing footnotes · ownership attribution and instrument terms

F1: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $2.38 to $2.71, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price at which the transactions were effected.

F2: This Form 4 is being filed by Chardan Capital Markets LLC ("CCM"). Chardan Securities LLC ("Chardan Securities") is the sole Class A Member and 99% owner of CCM and as such has voting and investment discretion with respect to the Common Stock held of record by CCM and may be deemed to have beneficial ownership of the Common Stock held directly by CCM. Each of Jonas Grossman, Steven Urbach and Kerry Propper is a member of Chardan Securities, and as such has voting and investment discretion with respect to the Common Stock held of record by CCM and may be deemed to have beneficial ownership of the Common Stock held directly by CCM. Each of Mr. Grossman, Mr. Urbach and Mr. Propper disclaims any beneficial ownership of the reported shares other than to the extent of any pecuniary interest he may have therein, directly or indirectly.

F3: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $1.80 to $2.495, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price at which the transactions were effected.

F4: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $1.90 to $2.30, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price at which the transactions were effected.

Monterey Innovation Acquisition Corp

Report date March 09, 2023 · Filed March 13, 2023

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectBy Chardan Monterey Investments LLC	1,102,500	Last balance in matching sequence After 2023-03-09 transaction · row 2 Source-order balances reconcile. Account continuity and personal attribution are not independently verified. 2 source rows Row 1 · 2023-03-09 · Sale · Disposed 13,125 · Balance 624,375 F1: Represents shares of common stock transferred from Chardan Monterey Investments LLC ("Chardan") to certain affiliates of Chardan for a price per share of $0.006, pursuant to Share Transfer Agreements dated March 9, 2023. F2: The shares are held directly by Chardan. The Reporting Person is the managing member of Chardan. Accordingly, the Reporting Person has voting and dispositive power over the shares held by Chardan and may be deemed to beneficially own such shares. The Reporting Person disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein. Row 2 · 2023-03-09 · Purchase · Acquired 478,125 · Balance 1,102,500 F3: Represents shares of common stock transferred from NorthStar Bio Ventures, LLC ("NorthStar") to Chardan for a price per share of $0.006, pursuant to a Share Transfer Agreement dated March 9, 2023. F2: The shares are held directly by Chardan. The Reporting Person is the managing member of Chardan. Accordingly, the Reporting Person has voting and dispositive power over the shares held by Chardan and may be deemed to beneficially own such shares. The Reporting Person disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein.
Common StockSEC Table I · non-derivative	Direct	35,000	Reported balance Holding disclosure · report date 2023-03-09 · row 3 Holding and transaction disclosures are not merged. 1 source row Row 3 · Balance 35,000

Filing footnotes · ownership attribution and instrument terms

F1: Represents shares of common stock transferred from Chardan Monterey Investments LLC ("Chardan") to certain affiliates of Chardan for a price per share of $0.006, pursuant to Share Transfer Agreements dated March 9, 2023.

F2: The shares are held directly by Chardan. The Reporting Person is the managing member of Chardan. Accordingly, the Reporting Person has voting and dispositive power over the shares held by Chardan and may be deemed to beneficially own such shares. The Reporting Person disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein.

F3: Represents shares of common stock transferred from NorthStar Bio Ventures, LLC ("NorthStar") to Chardan for a price per share of $0.006, pursuant to a Share Transfer Agreement dated March 9, 2023.

Nauticus Robotics, Inc.

Report date July 14, 2021 · Filed July 28, 2021

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectSee footnote	1,437,500	Reported balance Holding disclosure · report date 2021-07-14 · row 1 Holding and transaction disclosures are not merged. 1 source row Row 1 · Balance 1,437,500 F1: Consists of shares owned by CleanTech Investments, LLC, for which Jonas Grossman is the managing member.

Filing footnotes · ownership attribution and instrument terms

F1: Consists of shares owned by CleanTech Investments, LLC, for which Jonas Grossman is the managing member.

Rainier Acquisition Corp

Report date September 02, 2026 · Filed September 02, 2026

Jointly reported with Ravenna 7 LLC

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Class A ordinary sharesSEC Table I · non-derivative	IndirectBy Ravenna 7 LLC	200,000	Reported balance After 2026-09-02 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2026-09-02 · Purchase · Acquired 5,625 · Balance 200,000 F1: Represents securities underlying 5,625 units (the "Units") purchased by Ravenna 7 LLC from the Issuer in a private placement at a purchase price of $10.00 per Unit. Each Unit consists of one Class A ordinary share, $0.0001 par value per share (the "Class A Ordinary Share"), and one-quarter of one warrant (the "Warrants"), each whole Warrant entitling the holder thereof to purchase one Class A Ordinary Share at an exercise price of $11.50 per share, subject to adjustment. F2: Shares held directly by Ravenna 7 LLC, of which Jonas Grossman is the sole managing member. Mr. Grossman disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein, if any.
Warrants to purchase Class A ordinary sharesSEC Table II · derivative / convertible security · Conversion / exercise price $11.50	IndirectBy Ravenna 7 LLC	50,000	Reported balance After 2026-09-02 transaction · row 2 Instrument identity requires review; Table II rows are not merged. 1 source row Row 2 · 2026-09-02 · Purchase · Acquired 1,407 · Balance 50,000 F1: Represents securities underlying 5,625 units (the "Units") purchased by Ravenna 7 LLC from the Issuer in a private placement at a purchase price of $10.00 per Unit. Each Unit consists of one Class A ordinary share, $0.0001 par value per share (the "Class A Ordinary Share"), and one-quarter of one warrant (the "Warrants"), each whole Warrant entitling the holder thereof to purchase one Class A Ordinary Share at an exercise price of $11.50 per share, subject to adjustment. F3: The Warrants will become exercisable on the later of (i) August 28, 2026 and (ii) the completion of the Issuer's initial business combination. The Warrants will expire on the fifth anniversary of the completion of the Issuer's initial business combination or earlier upon redemption or liquidation. F2: Shares held directly by Ravenna 7 LLC, of which Jonas Grossman is the sole managing member. Mr. Grossman disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein, if any.

Filing footnotes · ownership attribution and instrument terms

F1: Represents securities underlying 5,625 units (the "Units") purchased by Ravenna 7 LLC from the Issuer in a private placement at a purchase price of $10.00 per Unit. Each Unit consists of one Class A ordinary share, $0.0001 par value per share (the "Class A Ordinary Share"), and one-quarter of one warrant (the "Warrants"), each whole Warrant entitling the holder thereof to purchase one Class A Ordinary Share at an exercise price of $11.50 per share, subject to adjustment.

F2: Shares held directly by Ravenna 7 LLC, of which Jonas Grossman is the sole managing member. Mr. Grossman disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein, if any.

F3: The Warrants will become exercisable on the later of (i) August 28, 2026 and (ii) the completion of the Issuer's initial business combination. The Warrants will expire on the fifth anniversary of the completion of the Issuer's initial business combination or earlier upon redemption or liquidation.

Tessera Defense & Homeland Security Inc.

Report date March 29, 2022 · Filed March 31, 2022

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common Stock Options - Right to BuySEC Table II · derivative / convertible security · Conversion / exercise price $1.41 · Expires 2032-03-29	Direct	20,500	Reported balance After 2022-03-29 transaction · row 1 Instrument identity requires review; Table II rows are not merged. 1 source row Row 1 · 2022-03-29 · Grant · Acquired 20,500 · Balance 20,500 F1: The options vest and become exercisable over four years, with 25% of the shares subject to the option vesting on March 29, 2023, and the remainder vesting in 12 equal quarterly installments over three years.

Filing footnotes · ownership attribution and instrument terms

F1: The options vest and become exercisable over four years, with 25% of the shares subject to the option vesting on March 29, 2023, and the remainder vesting in 12 equal quarterly installments over three years.

Vincerx Pharma, Inc.

Report date March 10, 2020 · Filed March 12, 2020

Security / award	Ownership account	Disclosed shares / units	Disclosure context
WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $11.50 · Expires 2025-03-06	IndirectSee Footnote	1,000,000	Reported balance After 2020-03-10 transaction · row 1 Instrument identity requires review; Table II rows are not merged. 1 source row Row 1 · 2020-03-10 · Grant · Acquired 1,000,000 · Balance 1,000,000 F1: The warrants become exercisable on the later of (i) twelve (12) months from the closing of the Registrant's initial public offering or (ii) the consummation of the registrant's initial business combination. F2: The warrants purchased by Rosedale Park, LLC will not be exercisable more than five (5) years from the effective date of the registrant's registration statement. F3: Mr. Grossman is a managing member of Rosedale Park, LLC, the purchaser of the securities reported herein. He disclaims any pecuniary interest in the securities except to the extent of his ownership interest in Rosedale Park, LLC.

Filing footnotes · ownership attribution and instrument terms

F1: The warrants become exercisable on the later of (i) twelve (12) months from the closing of the Registrant's initial public offering or (ii) the consummation of the registrant's initial business combination.

F2: The warrants purchased by Rosedale Park, LLC will not be exercisable more than five (5) years from the effective date of the registrant's registration statement.

F3: Mr. Grossman is a managing member of Rosedale Park, LLC, the purchaser of the securities reported herein. He disclaims any pecuniary interest in the securities except to the extent of his ownership interest in Rosedale Park, LLC.

ZOOZ Strategy Ltd.

Report date March 18, 2026 · Filed March 18, 2026

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Ordinary SharesSEC Table I · non-derivative	Direct	846,154	Reported balance Holding disclosure · report date 2026-03-18 · row 1 Holding and transaction disclosures are not merged. 1 source row Row 1 · Balance 846,154 F1: Represents restricted stock units ("RSUs"). The RSUs fully vest on November 21, 2026, subject to the continuous Service (as defined in the Issuer's 2015 Incentive Compensation Plan) of the holder through the applicable vesting date.
Ordinary SharesSEC Table I · non-derivative	IndirectBy Chardan Capital Markets LLC	5,920,350	Reported balance Holding disclosure · report date 2026-03-18 · row 2 Holding and transaction disclosures are not merged. 1 source row Row 2 · Balance 5,920,350 F2: These securities are held directly by Chardan Capital Markets LLC ("Chardan"). The Reporting Person is the president of Chardan and disclaims Section 16 beneficial ownership of the securities held by Chardan, except to the extend of his pecuniary interest therein, if any.
Pre-Funded Warrants (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.00	IndirectBy Chardan Capital Markets LLC	Not disclosed	Reported balance Holding disclosure · report date 2026-03-18 · row 3 Instrument identity requires review; Table II rows are not merged. 1 source row Row 3 · Balance Not disclosed F3: The Pre-Funded Warrants have no expiration date and are exercisable at any time after the date of issuance. The holder the of Pre-Funded Warrants may not exercise the Pre-Funded Warrants if the holder, together with its affiliates, would beneficially own more than 4.99% of the number of shares of ordinary shares outstanding immediately after giving effect to such exercise. F2: These securities are held directly by Chardan Capital Markets LLC ("Chardan"). The Reporting Person is the president of Chardan and disclaims Section 16 beneficial ownership of the securities held by Chardan, except to the extend of his pecuniary interest therein, if any.
Ordinary Warrants (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $3.06 · Expires 2030-09-19	IndirectBy Chardan Capital Markets LLC	Not disclosed	Reported balance Holding disclosure · report date 2026-03-18 · row 4 Instrument identity requires review; Table II rows are not merged. 1 source row Row 4 · Balance Not disclosed F4: The Ordinary Warrants are fully vested and exercisable. The holder of the Ordinary Warrants may not exercise the Ordinary Warrants if the holder, together with its affiliates, would beneficially own more than 4.99% of the number of shares of ordinary shares outstanding immediately after giving effect to such exercise. F2: These securities are held directly by Chardan Capital Markets LLC ("Chardan"). The Reporting Person is the president of Chardan and disclaims Section 16 beneficial ownership of the securities held by Chardan, except to the extend of his pecuniary interest therein, if any.

Filing footnotes · ownership attribution and instrument terms

F1: Represents restricted stock units ("RSUs"). The RSUs fully vest on November 21, 2026, subject to the continuous Service (as defined in the Issuer's 2015 Incentive Compensation Plan) of the holder through the applicable vesting date.

F2: These securities are held directly by Chardan Capital Markets LLC ("Chardan"). The Reporting Person is the president of Chardan and disclaims Section 16 beneficial ownership of the securities held by Chardan, except to the extend of his pecuniary interest therein, if any.

F3: The Pre-Funded Warrants have no expiration date and are exercisable at any time after the date of issuance. The holder the of Pre-Funded Warrants may not exercise the Pre-Funded Warrants if the holder, together with its affiliates, would beneficially own more than 4.99% of the number of shares of ordinary shares outstanding immediately after giving effect to such exercise.

F4: The Ordinary Warrants are fully vested and exercisable. The holder of the Ordinary Warrants may not exercise the Ordinary Warrants if the holder, together with its affiliates, would beneficially own more than 4.99% of the number of shares of ordinary shares outstanding immediately after giving effect to such exercise.

Past disclosures · reporting ended (3)

No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.

Dragonfly Energy Holdings Corp.

Report date October 07, 2022 · Filed October 12, 2022

Section 16 reporting ended · disclosed 2022-10-12. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectSee footnote	500,000	Reported balance After 2022-10-07 transaction · row 1 Holding and transaction disclosures are not merged. 1 source row Row 1 · 2022-10-07 · Grant · Acquired 15,000 · Balance 500,000 F1: On October 7, 2022, the Issuer consummated its initial business combination (the "Business Combination") with Dragonfly Energy Corp. In connection with the Business Combination, Chardan Capital Markets LLC ("CCM LLC") was party to a subscription agreement (the "Subscription Agreement"), pursuant to which CCM LLC agreed to purchase 500,000 shares of common stock from the Issuer for aggregate proceeds of $5 million. F2: Under the Subscription Agreement, the number of shares CCM LLC was obligated to purchase was to be reduced by the number of shares purchased by CCM LLC in the open market (and not redeemed), and the aggregate price to be paid under the Subscription Agreement was to be reduced by the amount of proceeds received by the Issuer because such shares were not redeemed. After CCM LLC's open market purchases of 485,000 shares of common stock prior to the closing of the Business Combination, pursuant to the terms of the Subscription Agreement, CCM LLC received these 15,000 shares for no additional consideration. F3: Represents securities held directly by CCM LLC, for which Mr. Grossman is the President and a managing partner. Following the closing of the Business Combination, all investment and voting power over these Issuer securities was delegated to another manager of CCM LLC, and Mr. Grossman disclaims any beneficial ownership over these securities.
Common StockSEC Table I · non-derivative	IndirectSee footnote	3,030,500	Reported balance Holding disclosure · report date 2022-10-07 · row 2 Holding and transaction disclosures are not merged. 1 source row Row 2 · Balance 3,030,500 F4: Represents securities held directly by Chardan NexTech Investments 2 LLC, for which Mr. Grossman is the managing member.
Private WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $11.50 · Expires 2026-08-13	IndirectSee footnote	4,627,858	Reported balance After 2022-10-07 transaction · row 3 Instrument identity requires review; Table II rows are not merged. 1 source row Row 3 · 2022-10-07 · Grant · Acquired 4,627,858 · Balance 4,627,858 F5: These Private Placement Warrants were acquired by Chardan NexTech 2 Warrant Holdings LLC ("Holdings") from the Issuer in connection with the Issuer's initial public offering. The warrants may be exercised commencing 30 days after the consummation of the Business Combination, subject to a 7.5% conversion cap. F6: Represents securities held directly by Holdings, for which Mr. Grossman is the managing member.

Filing footnotes · ownership attribution and instrument terms

F1: On October 7, 2022, the Issuer consummated its initial business combination (the "Business Combination") with Dragonfly Energy Corp. In connection with the Business Combination, Chardan Capital Markets LLC ("CCM LLC") was party to a subscription agreement (the "Subscription Agreement"), pursuant to which CCM LLC agreed to purchase 500,000 shares of common stock from the Issuer for aggregate proceeds of $5 million.

F2: Under the Subscription Agreement, the number of shares CCM LLC was obligated to purchase was to be reduced by the number of shares purchased by CCM LLC in the open market (and not redeemed), and the aggregate price to be paid under the Subscription Agreement was to be reduced by the amount of proceeds received by the Issuer because such shares were not redeemed. After CCM LLC's open market purchases of 485,000 shares of common stock prior to the closing of the Business Combination, pursuant to the terms of the Subscription Agreement, CCM LLC received these 15,000 shares for no additional consideration.

F3: Represents securities held directly by CCM LLC, for which Mr. Grossman is the President and a managing partner. Following the closing of the Business Combination, all investment and voting power over these Issuer securities was delegated to another manager of CCM LLC, and Mr. Grossman disclaims any beneficial ownership over these securities.

F4: Represents securities held directly by Chardan NexTech Investments 2 LLC, for which Mr. Grossman is the managing member.

F5: These Private Placement Warrants were acquired by Chardan NexTech 2 Warrant Holdings LLC ("Holdings") from the Issuer in connection with the Issuer's initial public offering. The warrants may be exercised commencing 30 days after the consummation of the Business Combination, subject to a 7.5% conversion cap.

F6: Represents securities held directly by Holdings, for which Mr. Grossman is the managing member.

Presto Automation Inc.

Report date September 21, 2022 · Filed September 23, 2022

Section 16 reporting ended · disclosed 2022-09-23. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectSee Footnote	1,123,922	Reported balance After 2022-09-21 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 1 · 2022-09-21 · Sale · Disposed 369,703 · Balance 1,123,922 F1: Represent securities held directly by Chardan International Investments, LLC, for which Jonas Grossman is the managing member.
Common StockSEC Table I · non-derivative	IndirectSee Footnote	350,000	Reported balance After 2022-09-21 transaction · row 2 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 2 · 2022-09-21 · Grant · Acquired 350,000 · Balance 350,000 F2: Represent shares received in connection with the closing of the Business Combination on September 21, 2022 (as defined in the Agreement and Plan of Merger, dated as of November 10, 2021, as further amended, by and among Ventoux CCM Acquisition Corp., a Delaware corporation ("VTAQ"), Ventoux Merger Sub I Inc., a Delaware corporation and a direct, wholly-owned subsidiary of VTAQ, Ventoux Merger Sub II, LLC, a Delaware limited liability company and a direct, wholly-owned subsidiary of VTAQ, and E La Carte, Inc., a Delaware corporation (d/b/a Presto, Inc.)), in satisfaction of certain underwriting fees owed to Chardan Capital Markets LLC. F3: Represent securities held directly by Chardan Capital Markets LLC, for which Jonas Grossman is the managing member.
Warrants to Purchase Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $11.50 · Expires 2027-09-21	IndirectSee Footnote	2,058,350	Reported balance After 2022-09-21 transaction · row 3 Instrument identity requires review; Table II rows are not merged. 1 source row Row 3 · 2022-09-21 · Other · Disposed 166,650 · Balance 2,058,350 F4: Represent warrants transferred for no monetary consideration as inducement in connection with the closing of the Business Combination on September 21, 2022. F1: Represent securities held directly by Chardan International Investments, LLC, for which Jonas Grossman is the managing member.
Warrants to Purchase Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $11.50 · Expires 2027-09-21	IndirectSee Footnote	1,875,035	Reported balance After 2022-09-21 transaction · row 4 Instrument identity requires review; Table II rows are not merged. 1 source row Row 4 · 2022-09-21 · Other · Disposed 183,315 · Balance 1,875,035 F5: Represent warrants cancelled for no monetary consideration as inducement in connection with the closing of the Business Combination on September 21, 2022. F1: Represent securities held directly by Chardan International Investments, LLC, for which Jonas Grossman is the managing member.

Filing footnotes · ownership attribution and instrument terms

F1: Represent securities held directly by Chardan International Investments, LLC, for which Jonas Grossman is the managing member.

F2: Represent shares received in connection with the closing of the Business Combination on September 21, 2022 (as defined in the Agreement and Plan of Merger, dated as of November 10, 2021, as further amended, by and among Ventoux CCM Acquisition Corp., a Delaware corporation ("VTAQ"), Ventoux Merger Sub I Inc., a Delaware corporation and a direct, wholly-owned subsidiary of VTAQ, Ventoux Merger Sub II, LLC, a Delaware limited liability company and a direct, wholly-owned subsidiary of VTAQ, and E La Carte, Inc., a Delaware corporation (d/b/a Presto, Inc.)), in satisfaction of certain underwriting fees owed to Chardan Capital Markets LLC.

F3: Represent securities held directly by Chardan Capital Markets LLC, for which Jonas Grossman is the managing member.

F4: Represent warrants transferred for no monetary consideration as inducement in connection with the closing of the Business Combination on September 21, 2022.

F5: Represent warrants cancelled for no monetary consideration as inducement in connection with the closing of the Business Combination on September 21, 2022.

Renovacor, Inc.

Report date December 01, 2022 · Filed December 06, 2022

Section 16 reporting ended · disclosed 2022-12-06. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosure context
Common StockSEC Table I · non-derivative	Direct	Reported balance After 2022-12-01 transaction · row 1 1 source row Row 1 · 2022-12-01 · Disposition to issuer · Disposed 394,657 · Balance 0 F1: Disposed of pursuant to the Agreement and Plan of Merger, dated as of September 19, 2022, by and among the Issuer, Rocket Pharmaceuticals, Inc. ("Rocket") and the other parties thereto (the "Merger Agreement") in exchange for 69,578 shares of Rocket common stock having a market value of $18.39 per share on the effective date of the merger.
Stock OptionSEC Table II · derivative / convertible security · Expires 2031-09-03	Direct	Reported balance After 2022-12-01 transaction · row 2 Instrument identity requires review; Table II rows are not merged. 1 source row Row 2 · 2022-12-01 · Disposition to issuer · Disposed 24,000 · Balance 0 F2: Represents Company Options (as defined in the Merger Agreement), whether vested or unvested, that were assumed by Rocket in the merger and replaced with an option to purchase a number of Rocket common stock equal to the product of (A) the number of Issuer shares subject to such Company Option as of immediately prior to the First Effective Time (as defined in the Merger Agreement), multiplied by (B) the Exchange Ratio (as defined in the Merger Agreement), rounded down to the nearest whole number of Rocket common stock, at an exercise price per Rocket common stock underlying such option equal to the quotient obtained by dividing (x) the per share exercise price of Company Options immediately prior to the First Effective Time by (y) the Exchange Ratio, rounded up to the nearest whole cent. F3: Each Company Option described herein shall be subject to the same terms and conditions as applied to the corresponding Company Option as of immediately prior to the First Effective Time, except as otherwise provided in the Merger Agreement.
Stock OptionSEC Table II · derivative / convertible security · Expires 2032-05-25	Direct	Reported balance After 2022-12-01 transaction · row 3 Instrument identity requires review; Table II rows are not merged. 1 source row Row 3 · 2022-12-01 · Disposition to issuer · Disposed 12,000 · Balance 0 F2: Represents Company Options (as defined in the Merger Agreement), whether vested or unvested, that were assumed by Rocket in the merger and replaced with an option to purchase a number of Rocket common stock equal to the product of (A) the number of Issuer shares subject to such Company Option as of immediately prior to the First Effective Time (as defined in the Merger Agreement), multiplied by (B) the Exchange Ratio (as defined in the Merger Agreement), rounded down to the nearest whole number of Rocket common stock, at an exercise price per Rocket common stock underlying such option equal to the quotient obtained by dividing (x) the per share exercise price of Company Options immediately prior to the First Effective Time by (y) the Exchange Ratio, rounded up to the nearest whole cent. F3: Each Company Option described herein shall be subject to the same terms and conditions as applied to the corresponding Company Option as of immediately prior to the First Effective Time, except as otherwise provided in the Merger Agreement.

Filing footnotes · ownership attribution and instrument terms

F1: Disposed of pursuant to the Agreement and Plan of Merger, dated as of September 19, 2022, by and among the Issuer, Rocket Pharmaceuticals, Inc. ("Rocket") and the other parties thereto (the "Merger Agreement") in exchange for 69,578 shares of Rocket common stock having a market value of $18.39 per share on the effective date of the merger.

F2: Represents Company Options (as defined in the Merger Agreement), whether vested or unvested, that were assumed by Rocket in the merger and replaced with an option to purchase a number of Rocket common stock equal to the product of (A) the number of Issuer shares subject to such Company Option as of immediately prior to the First Effective Time (as defined in the Merger Agreement), multiplied by (B) the Exchange Ratio (as defined in the Merger Agreement), rounded down to the nearest whole number of Rocket common stock, at an exercise price per Rocket common stock underlying such option equal to the quotient obtained by dividing (x) the per share exercise price of Company Options immediately prior to the First Effective Time by (y) the Exchange Ratio, rounded up to the nearest whole cent.

F3: Each Company Option described herein shall be subject to the same terms and conditions as applied to the corresponding Company Option as of immediately prior to the First Effective Time, except as otherwise provided in the Merger Agreement.

Transaction history

JSON API

Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction date	Company	Activity / security	Shares / units	Reported price	Reported value	Details
September 02, 2026 Filed Sep 2, 2026 20:21 UTC	Rainier Acquisition Corp RNAQ · Entity 527	PurchaseWarrants to purchase Class A ordinary shares · Derivative	1,407	$10.00 Strike: $11.50	$14,070.00	Disclosure SEC source: 0001104659-26-104746 · tm2624634-1_4seq1.xml · derivative · entry 2 GROSSMAN JONAS · CIK 0001423905 · Director · 10% owner Ravenna 7 LLC · CIK 0002152033 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By Ravenna 7 LLC Disclosed balance after: 50,000 Underlying: Class A ordinary shares · 1,407 shares Expires not disclosed F1 · kind: Represents securities underlying 5,625 units (the "Units") purchased by Ravenna 7 LLC from the Issuer in a private placement at a purchase price of $10.00 per Unit. Each Unit consists of one Class A ordinary share, $0.0001 par value per share (the "Class A Ordinary Share"), and one-quarter of one warrant (the "Warrants"), each whole Warrant entitling the holder thereof to purchase one Class A Ordinary Share at an exercise price of $11.50 per share, subject to adjustment. F1 · price: Represents securities underlying 5,625 units (the "Units") purchased by Ravenna 7 LLC from the Issuer in a private placement at a purchase price of $10.00 per Unit. Each Unit consists of one Class A ordinary share, $0.0001 par value per share (the "Class A Ordinary Share"), and one-quarter of one warrant (the "Warrants"), each whole Warrant entitling the holder thereof to purchase one Class A Ordinary Share at an exercise price of $11.50 per share, subject to adjustment. F3 · derivative.exercise_date: The Warrants will become exercisable on the later of (i) August 28, 2026 and (ii) the completion of the Issuer's initial business combination. The Warrants will expire on the fifth anniversary of the completion of the Issuer's initial business combination or earlier upon redemption or liquidation. F3 · derivative.expiration_date: The Warrants will become exercisable on the later of (i) August 28, 2026 and (ii) the completion of the Issuer's initial business combination. The Warrants will expire on the fifth anniversary of the completion of the Issuer's initial business combination or earlier upon redemption or liquidation. F2 · ownership.nature: Shares held directly by Ravenna 7 LLC, of which Jonas Grossman is the sole managing member. Mr. Grossman disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein, if any. Read SEC document
September 02, 2026 Filed Sep 2, 2026 20:21 UTC	Rainier Acquisition Corp RNAQ · Entity 527	PurchaseClass A ordinary shares	5,625	$10.00	$56,250.00	Disclosure SEC source: 0001104659-26-104746 · tm2624634-1_4seq1.xml · nonDerivative · entry 1 GROSSMAN JONAS · CIK 0001423905 · Director · 10% owner Ravenna 7 LLC · CIK 0002152033 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By Ravenna 7 LLC Disclosed balance after: 200,000 F1 · kind: Represents securities underlying 5,625 units (the "Units") purchased by Ravenna 7 LLC from the Issuer in a private placement at a purchase price of $10.00 per Unit. Each Unit consists of one Class A ordinary share, $0.0001 par value per share (the "Class A Ordinary Share"), and one-quarter of one warrant (the "Warrants"), each whole Warrant entitling the holder thereof to purchase one Class A Ordinary Share at an exercise price of $11.50 per share, subject to adjustment. F1 · price: Represents securities underlying 5,625 units (the "Units") purchased by Ravenna 7 LLC from the Issuer in a private placement at a purchase price of $10.00 per Unit. Each Unit consists of one Class A ordinary share, $0.0001 par value per share (the "Class A Ordinary Share"), and one-quarter of one warrant (the "Warrants"), each whole Warrant entitling the holder thereof to purchase one Class A Ordinary Share at an exercise price of $11.50 per share, subject to adjustment. F2 · ownership.nature: Shares held directly by Ravenna 7 LLC, of which Jonas Grossman is the sole managing member. Mr. Grossman disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein, if any. Read SEC document
August 28, 2026 Filed Aug 28, 2026 17:35 UTC	Rainier Acquisition Corp RNAQ · Entity 527	PurchaseWarrants to purchase Class A ordinary shares · Derivative	48,593	$10.00 Strike: $11.50	$485,930.00	Disclosure SEC source: 0001104659-26-103344 · tm2624203-1_4seq1.xml · derivative · entry 2 GROSSMAN JONAS · CIK 0001423905 · Director · 10% owner Ravenna 7 LLC · CIK 0002152033 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By Ravenna 7 LLC Disclosed balance after: 48,593 Underlying: Class A ordinary shares · 48,593 shares Expires not disclosed F1 · kind: Represents securities underlying 194,375 units (the "Units") purchased by Ravenna 7 LLC from the Issuer in a private placement at a purchase price of $10.00 per Unit. Each Unit consists of one Class A ordinary share, $0.0001 par value per share (the "Class A Ordinary Share"), and one-quarter of one warrant (the "Warrants"), each whole Warrant entitling the holder thereof to purchase one Class A Ordinary Share at an exercise price of $11.50 per share, subject to adjustment. F1 · price: Represents securities underlying 194,375 units (the "Units") purchased by Ravenna 7 LLC from the Issuer in a private placement at a purchase price of $10.00 per Unit. Each Unit consists of one Class A ordinary share, $0.0001 par value per share (the "Class A Ordinary Share"), and one-quarter of one warrant (the "Warrants"), each whole Warrant entitling the holder thereof to purchase one Class A Ordinary Share at an exercise price of $11.50 per share, subject to adjustment. F3 · derivative.exercise_date: The Warrants will become exercisable on the later of (i) August 28, 2026 and (ii) the completion of the Issuer's initial business combination. The Warrants will expire on the fifth anniversary of the completion of the Issuer's initial business combination or earlier upon redemption or liquidation. F3 · derivative.expiration_date: The Warrants will become exercisable on the later of (i) August 28, 2026 and (ii) the completion of the Issuer's initial business combination. The Warrants will expire on the fifth anniversary of the completion of the Issuer's initial business combination or earlier upon redemption or liquidation. F2 · ownership.nature: Shares held directly by Ravenna 7 LLC, of which Jonas Grossman is the sole managing member. Mr. Grossman disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein, if any. Read SEC document
August 28, 2026 Filed Aug 28, 2026 17:35 UTC	Rainier Acquisition Corp RNAQ · Entity 527	PurchaseClass A ordinary shares	194,375	$10.00	$1,943,750.00	Disclosure SEC source: 0001104659-26-103344 · tm2624203-1_4seq1.xml · nonDerivative · entry 1 GROSSMAN JONAS · CIK 0001423905 · Director · 10% owner Ravenna 7 LLC · CIK 0002152033 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By Ravenna 7 LLC Disclosed balance after: 194,375 F1 · kind: Represents securities underlying 194,375 units (the "Units") purchased by Ravenna 7 LLC from the Issuer in a private placement at a purchase price of $10.00 per Unit. Each Unit consists of one Class A ordinary share, $0.0001 par value per share (the "Class A Ordinary Share"), and one-quarter of one warrant (the "Warrants"), each whole Warrant entitling the holder thereof to purchase one Class A Ordinary Share at an exercise price of $11.50 per share, subject to adjustment. F1 · price: Represents securities underlying 194,375 units (the "Units") purchased by Ravenna 7 LLC from the Issuer in a private placement at a purchase price of $10.00 per Unit. Each Unit consists of one Class A ordinary share, $0.0001 par value per share (the "Class A Ordinary Share"), and one-quarter of one warrant (the "Warrants"), each whole Warrant entitling the holder thereof to purchase one Class A Ordinary Share at an exercise price of $11.50 per share, subject to adjustment. F2 · ownership.nature: Shares held directly by Ravenna 7 LLC, of which Jonas Grossman is the sole managing member. Mr. Grossman disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein, if any. Read SEC document
July 02, 2024 Filed Jul 2, 2024 18:34 UTC	Greenland Mines Ltd WENA · Entity 7810	SaleCommon Stock	180,000	$2.05	$368,442.00	Disclosure SEC source: 0001104659-24-077454 · tm2418781-1_4seq1.xml · nonDerivative · entry 3 CHARDAN CAPITAL MARKETS LLC · CIK 0001170705 · 10% owner Chardan Securities LLC · CIK 0002028852 · 10% owner GROSSMAN JONAS · CIK 0001423905 · 10% owner Urbach Steven · CIK 0001344162 · 10% owner PROPPER KERRY · CIK 0001282327 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,284,364 F4 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $1.90 to $2.30, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price at which the transactions were effected. F2 · ownership.direct: This Form 4 is being filed by Chardan Capital Markets LLC ("CCM"). Chardan Securities LLC ("Chardan Securities") is the sole Class A Member and 99% owner of CCM and as such has voting and investment discretion with respect to the Common Stock held of record by CCM and may be deemed to have beneficial ownership of the Common Stock held directly by CCM. Each of Jonas Grossman, Steven Urbach and Kerry Propper is a member of Chardan Securities, and as such has voting and investment discretion with respect to the Common Stock held of record by CCM and may be deemed to have beneficial ownership of the Common Stock held directly by CCM. Each of Mr. Grossman, Mr. Urbach and Mr. Propper disclaims any beneficial ownership of the reported shares other than to the extent of any pecuniary interest he may have therein, directly or indirectly. Read SEC document
July 01, 2024 Filed Jul 2, 2024 18:34 UTC	Greenland Mines Ltd WENA · Entity 7810	SaleCommon Stock	115,136	$2.06	$237,617.68	Disclosure SEC source: 0001104659-24-077454 · tm2418781-1_4seq1.xml · nonDerivative · entry 2 CHARDAN CAPITAL MARKETS LLC · CIK 0001170705 · 10% owner Chardan Securities LLC · CIK 0002028852 · 10% owner GROSSMAN JONAS · CIK 0001423905 · 10% owner Urbach Steven · CIK 0001344162 · 10% owner PROPPER KERRY · CIK 0001282327 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,464,364 F3 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $1.80 to $2.495, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price at which the transactions were effected. F2 · ownership.direct: This Form 4 is being filed by Chardan Capital Markets LLC ("CCM"). Chardan Securities LLC ("Chardan Securities") is the sole Class A Member and 99% owner of CCM and as such has voting and investment discretion with respect to the Common Stock held of record by CCM and may be deemed to have beneficial ownership of the Common Stock held directly by CCM. Each of Jonas Grossman, Steven Urbach and Kerry Propper is a member of Chardan Securities, and as such has voting and investment discretion with respect to the Common Stock held of record by CCM and may be deemed to have beneficial ownership of the Common Stock held directly by CCM. Each of Mr. Grossman, Mr. Urbach and Mr. Propper disclaims any beneficial ownership of the reported shares other than to the extent of any pecuniary interest he may have therein, directly or indirectly. Read SEC document
June 28, 2024 Filed Jul 2, 2024 18:34 UTC	Greenland Mines Ltd WENA · Entity 7810	SaleCommon Stock	47,000	$2.53	$119,102.70	Disclosure SEC source: 0001104659-24-077454 · tm2418781-1_4seq1.xml · nonDerivative · entry 1 CHARDAN CAPITAL MARKETS LLC · CIK 0001170705 · 10% owner Chardan Securities LLC · CIK 0002028852 · 10% owner GROSSMAN JONAS · CIK 0001423905 · 10% owner Urbach Steven · CIK 0001344162 · 10% owner PROPPER KERRY · CIK 0001282327 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,579,500 F1 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $2.38 to $2.71, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price at which the transactions were effected. F2 · ownership.direct: This Form 4 is being filed by Chardan Capital Markets LLC ("CCM"). Chardan Securities LLC ("Chardan Securities") is the sole Class A Member and 99% owner of CCM and as such has voting and investment discretion with respect to the Common Stock held of record by CCM and may be deemed to have beneficial ownership of the Common Stock held directly by CCM. Each of Jonas Grossman, Steven Urbach and Kerry Propper is a member of Chardan Securities, and as such has voting and investment discretion with respect to the Common Stock held of record by CCM and may be deemed to have beneficial ownership of the Common Stock held directly by CCM. Each of Mr. Grossman, Mr. Urbach and Mr. Propper disclaims any beneficial ownership of the reported shares other than to the extent of any pecuniary interest he may have therein, directly or indirectly. Read SEC document
March 09, 2023 Filed Mar 13, 2023 21:57 UTC	Monterey Innovation Acquisition Corp MTRY · Entity 114547	PurchaseCommon Stock	478,125	$0.01	$2,868.75	Disclosure SEC source: 0001104659-23-031954 · tm239467-6_4seq1.xml · nonDerivative · entry 2 GROSSMAN JONAS · CIK 0001423905 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Chardan Monterey Investments LLC Disclosed balance after: 1,102,500 F3 · kind: Represents shares of common stock transferred from NorthStar Bio Ventures, LLC ("NorthStar") to Chardan for a price per share of $0.006, pursuant to a Share Transfer Agreement dated March 9, 2023. F2 · ownership.nature: The shares are held directly by Chardan. The Reporting Person is the managing member of Chardan. Accordingly, the Reporting Person has voting and dispositive power over the shares held by Chardan and may be deemed to beneficially own such shares. The Reporting Person disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein. Read SEC document
March 09, 2023 Filed Mar 13, 2023 21:57 UTC	Monterey Innovation Acquisition Corp MTRY · Entity 114547	SaleCommon Stock	13,125	$0.01	$78.75	Disclosure SEC source: 0001104659-23-031954 · tm239467-6_4seq1.xml · nonDerivative · entry 1 GROSSMAN JONAS · CIK 0001423905 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Chardan Monterey Investments LLC Disclosed balance after: 624,375 F1 · kind: Represents shares of common stock transferred from Chardan Monterey Investments LLC ("Chardan") to certain affiliates of Chardan for a price per share of $0.006, pursuant to Share Transfer Agreements dated March 9, 2023. F2 · ownership.nature: The shares are held directly by Chardan. The Reporting Person is the managing member of Chardan. Accordingly, the Reporting Person has voting and dispositive power over the shares held by Chardan and may be deemed to beneficially own such shares. The Reporting Person disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein. Read SEC document
December 01, 2022 Filed Dec 6, 2022 02:23 UTC	Renovacor, Inc. RCOR · Entity 114644	Disposition to issuerStock Option · Derivative	12,000	$0.00	$0.00	Disclosure SEC source: 0001062993-22-023386 · form4.xml · derivative · entry 3 GROSSMAN JONAS · CIK 0001423905 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 12,000 shares Expires 2032-05-25 F2 · derivative.exercise_price: Represents Company Options (as defined in the Merger Agreement), whether vested or unvested, that were assumed by Rocket in the merger and replaced with an option to purchase a number of Rocket common stock equal to the product of (A) the number of Issuer shares subject to such Company Option as of immediately prior to the First Effective Time (as defined in the Merger Agreement), multiplied by (B) the Exchange Ratio (as defined in the Merger Agreement), rounded down to the nearest whole number of Rocket common stock, at an exercise price per Rocket common stock underlying such option equal to the quotient obtained by dividing (x) the per share exercise price of Company Options immediately prior to the First Effective Time by (y) the Exchange Ratio, rounded up to the nearest whole cent. F3 · derivative.exercise_date: Each Company Option described herein shall be subject to the same terms and conditions as applied to the corresponding Company Option as of immediately prior to the First Effective Time, except as otherwise provided in the Merger Agreement. Read SEC document
December 01, 2022 Filed Dec 6, 2022 02:23 UTC	Renovacor, Inc. RCOR · Entity 114644	Disposition to issuerStock Option · Derivative	24,000	$0.00	$0.00	Disclosure SEC source: 0001062993-22-023386 · form4.xml · derivative · entry 2 GROSSMAN JONAS · CIK 0001423905 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 24,000 shares Expires 2031-09-03 F2 · derivative.exercise_price: Represents Company Options (as defined in the Merger Agreement), whether vested or unvested, that were assumed by Rocket in the merger and replaced with an option to purchase a number of Rocket common stock equal to the product of (A) the number of Issuer shares subject to such Company Option as of immediately prior to the First Effective Time (as defined in the Merger Agreement), multiplied by (B) the Exchange Ratio (as defined in the Merger Agreement), rounded down to the nearest whole number of Rocket common stock, at an exercise price per Rocket common stock underlying such option equal to the quotient obtained by dividing (x) the per share exercise price of Company Options immediately prior to the First Effective Time by (y) the Exchange Ratio, rounded up to the nearest whole cent. F3 · derivative.exercise_date: Each Company Option described herein shall be subject to the same terms and conditions as applied to the corresponding Company Option as of immediately prior to the First Effective Time, except as otherwise provided in the Merger Agreement. Read SEC document
December 01, 2022 Filed Dec 6, 2022 02:23 UTC	Renovacor, Inc. RCOR · Entity 114644	Disposition to issuerCommon Stock	394,657	Not disclosed	Not disclosed	Disclosure SEC source: 0001062993-22-023386 · form4.xml · nonDerivative · entry 1 GROSSMAN JONAS · CIK 0001423905 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · price: Disposed of pursuant to the Agreement and Plan of Merger, dated as of September 19, 2022, by and among the Issuer, Rocket Pharmaceuticals, Inc. ("Rocket") and the other parties thereto (the "Merger Agreement") in exchange for 69,578 shares of Rocket common stock having a market value of $18.39 per share on the effective date of the merger. Read SEC document
October 07, 2022 Filed Oct 12, 2022 23:24 UTC	Dragonfly Energy Holdings Corp. DFLI · Entity 7789	GrantPrivate Warrants · Derivative	4,627,858	Not disclosed Strike: $11.50	Not disclosed	Disclosure SEC source: 0001209191-22-053504 · doc4.xml · derivative · entry 3 GROSSMAN JONAS · CIK 0001423905 · See Remarks 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 4,627,858 Underlying: Common Stock · 4,627,858 shares Expires 2026-08-13 F5 · kind: These Private Placement Warrants were acquired by Chardan NexTech 2 Warrant Holdings LLC ("Holdings") from the Issuer in connection with the Issuer's initial public offering. The warrants may be exercised commencing 30 days after the consummation of the Business Combination, subject to a 7.5% conversion cap. F5 · price: These Private Placement Warrants were acquired by Chardan NexTech 2 Warrant Holdings LLC ("Holdings") from the Issuer in connection with the Issuer's initial public offering. The warrants may be exercised commencing 30 days after the consummation of the Business Combination, subject to a 7.5% conversion cap. F5 · derivative.exercise_date: These Private Placement Warrants were acquired by Chardan NexTech 2 Warrant Holdings LLC ("Holdings") from the Issuer in connection with the Issuer's initial public offering. The warrants may be exercised commencing 30 days after the consummation of the Business Combination, subject to a 7.5% conversion cap. F6 · ownership.nature: Represents securities held directly by Holdings, for which Mr. Grossman is the managing member. Read SEC document
October 07, 2022 Filed Oct 12, 2022 23:24 UTC	Dragonfly Energy Holdings Corp. DFLI · Entity 7789	GrantCommon Stock	15,000	Not disclosed	Not disclosed	Disclosure SEC source: 0001209191-22-053504 · doc4.xml · nonDerivative · entry 1 GROSSMAN JONAS · CIK 0001423905 · See Remarks 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 500,000 F1 · price: On October 7, 2022, the Issuer consummated its initial business combination (the "Business Combination") with Dragonfly Energy Corp. In connection with the Business Combination, Chardan Capital Markets LLC ("CCM LLC") was party to a subscription agreement (the "Subscription Agreement"), pursuant to which CCM LLC agreed to purchase 500,000 shares of common stock from the Issuer for aggregate proceeds of $5 million. F2 · price: Under the Subscription Agreement, the number of shares CCM LLC was obligated to purchase was to be reduced by the number of shares purchased by CCM LLC in the open market (and not redeemed), and the aggregate price to be paid under the Subscription Agreement was to be reduced by the amount of proceeds received by the Issuer because such shares were not redeemed. After CCM LLC's open market purchases of 485,000 shares of common stock prior to the closing of the Business Combination, pursuant to the terms of the Subscription Agreement, CCM LLC received these 15,000 shares for no additional consideration. F3 · balance_after: Represents securities held directly by CCM LLC, for which Mr. Grossman is the President and a managing partner. Following the closing of the Business Combination, all investment and voting power over these Issuer securities was delegated to another manager of CCM LLC, and Mr. Grossman disclaims any beneficial ownership over these securities. F3 · ownership.nature: Represents securities held directly by CCM LLC, for which Mr. Grossman is the President and a managing partner. Following the closing of the Business Combination, all investment and voting power over these Issuer securities was delegated to another manager of CCM LLC, and Mr. Grossman disclaims any beneficial ownership over these securities. Read SEC document
September 30, 2022 Filed Oct 5, 2022 01:37 UTC	Dragonfly Energy Holdings Corp. CNTQ · Entity 7789	PurchaseCommon Stock	485,000	$10.36	$5,024,600.00	Disclosure SEC source: 0001209191-22-052596 · doc4.xml · nonDerivative · entry 1 GROSSMAN JONAS · CIK 0001423905 · Director · CEO, President, Secy. & Treas. · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 485,000 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions ranging from $10.33 to $10.38, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth above. F2 · ownership.nature: Represent securities held directly by Chardan Capital Markets LLC, for which Mr. Grossman is the President and a managing partner. Read SEC document
September 21, 2022 Filed Sep 23, 2022 20:45 UTC	Presto Automation Inc. PRST · Entity 90002	OtherWarrants to Purchase Common Stock · Derivative	183,315	Not disclosed Strike: $11.50	Not disclosed	Disclosure SEC source: 0001209191-22-051192 · doc4.xml · derivative · entry 4 GROSSMAN JONAS · CIK 0001423905 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,875,035 Underlying: Common Stock · 183,315 shares Expires 2027-09-21 F5 · kind: Represent warrants cancelled for no monetary consideration as inducement in connection with the closing of the Business Combination on September 21, 2022. F5 · price: Represent warrants cancelled for no monetary consideration as inducement in connection with the closing of the Business Combination on September 21, 2022. F1 · ownership.nature: Represent securities held directly by Chardan International Investments, LLC, for which Jonas Grossman is the managing member. Read SEC document
September 21, 2022 Filed Sep 23, 2022 20:45 UTC	Presto Automation Inc. PRST · Entity 90002	OtherWarrants to Purchase Common Stock · Derivative	166,650	Not disclosed Strike: $11.50	Not disclosed	Disclosure SEC source: 0001209191-22-051192 · doc4.xml · derivative · entry 3 GROSSMAN JONAS · CIK 0001423905 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,058,350 Underlying: Common Stock · 166,650 shares Expires 2027-09-21 F4 · kind: Represent warrants transferred for no monetary consideration as inducement in connection with the closing of the Business Combination on September 21, 2022. F4 · price: Represent warrants transferred for no monetary consideration as inducement in connection with the closing of the Business Combination on September 21, 2022. F1 · ownership.nature: Represent securities held directly by Chardan International Investments, LLC, for which Jonas Grossman is the managing member. Read SEC document
September 21, 2022 Filed Sep 23, 2022 20:45 UTC	Presto Automation Inc. PRST · Entity 90002	GrantCommon Stock	350,000	$0.00	$0.00	Disclosure SEC source: 0001209191-22-051192 · doc4.xml · nonDerivative · entry 2 GROSSMAN JONAS · CIK 0001423905 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 350,000 F2 · shares: Represent shares received in connection with the closing of the Business Combination on September 21, 2022 (as defined in the Agreement and Plan of Merger, dated as of November 10, 2021, as further amended, by and among Ventoux CCM Acquisition Corp., a Delaware corporation ("VTAQ"), Ventoux Merger Sub I Inc., a Delaware corporation and a direct, wholly-owned subsidiary of VTAQ, Ventoux Merger Sub II, LLC, a Delaware limited liability company and a direct, wholly-owned subsidiary of VTAQ, and E La Carte, Inc., a Delaware corporation (d/b/a Presto, Inc.)), in satisfaction of certain underwriting fees owed to Chardan Capital Markets LLC. F2 · price: Represent shares received in connection with the closing of the Business Combination on September 21, 2022 (as defined in the Agreement and Plan of Merger, dated as of November 10, 2021, as further amended, by and among Ventoux CCM Acquisition Corp., a Delaware corporation ("VTAQ"), Ventoux Merger Sub I Inc., a Delaware corporation and a direct, wholly-owned subsidiary of VTAQ, Ventoux Merger Sub II, LLC, a Delaware limited liability company and a direct, wholly-owned subsidiary of VTAQ, and E La Carte, Inc., a Delaware corporation (d/b/a Presto, Inc.)), in satisfaction of certain underwriting fees owed to Chardan Capital Markets LLC. F3 · ownership.nature: Represent securities held directly by Chardan Capital Markets LLC, for which Jonas Grossman is the managing member. Read SEC document
September 21, 2022 Filed Sep 23, 2022 20:45 UTC	Presto Automation Inc. PRST · Entity 90002	SaleCommon Stock	369,703	$0.01	$2,218.22	Disclosure SEC source: 0001209191-22-051192 · doc4.xml · nonDerivative · entry 1 GROSSMAN JONAS · CIK 0001423905 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,123,922 F1 · ownership.nature: Represent securities held directly by Chardan International Investments, LLC, for which Jonas Grossman is the managing member. Read SEC document
May 25, 2022 Filed May 27, 2022 20:04 UTC	Renovacor, Inc. RCOR · Entity 114644	GrantStock Option · Derivative	12,000	$0.00 Strike: $1.94	$0.00	Disclosure SEC source: 0001062993-22-013693 · form4.xml · derivative · entry 1 GROSSMAN JONAS · CIK 0001423905 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,000 Underlying: Common Stock · 12,000 shares Expires 2032-05-25 F1 · derivative.exercise_date: The option vests on the earlier of (a) May 25, 2023, or (b) the next annual meeting of stockholders, in each case subject to the Reporting Person's continued service through the applicable vesting date. Read SEC document
April 22, 2022 Filed Apr 26, 2022 22:48 UTC	Renovacor, Inc. RCOR · Entity 114644	OtherCommon Stock	145,715	$0.00	$0.00	Disclosure SEC source: 0001062993-22-010818 · form4.xml · nonDerivative · entry 3 GROSSMAN JONAS · CIK 0001423905 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 394,657 F4 · kind: Represents shares of common stock distributed to the Reporting Person from Mountain Wood II LLC for no consideration. Read SEC document
April 22, 2022 Filed Apr 26, 2022 22:48 UTC	Renovacor, Inc. RCOR · Entity 114644	OtherCommon Stock	208,942	$0.00	$0.00	Disclosure SEC source: 0001062993-22-010818 · form4.xml · nonDerivative · entry 2 GROSSMAN JONAS · CIK 0001423905 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 248,942 F3 · kind: Represents shares of common stock distributed to the Reporting Person from Chardan Investments 2, LLC for no consideration. Read SEC document
April 22, 2022 Filed Apr 26, 2022 22:48 UTC	Renovacor, Inc. RCOR · Entity 114644	OtherCommon Stock	1,605,661	$0.00	$0.00	Disclosure SEC source: 0001062993-22-010818 · form4.xml · nonDerivative · entry 1 GROSSMAN JONAS · CIK 0001423905 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 F1 · kind: Chardan Investments 2, LLC distributed these shares of common stock to its members, including the Reporting Person, on a pro rata basis, for no consideration. F2 · ownership.nature: Represents shares of common stock held by Chardan Investments 2, LLC. The Reporting Person is the Managing Member of Chardan Investments 2, LLC and may be deemed to have beneficial ownership of the common stock held directly by Chardan Investments 2, LLC. The Reporting Person disclaims any beneficial ownership of the reported shares other than to the extent of any pecuniary interest he may have therein, directly or indirectly. Read SEC document
March 29, 2022 Filed Mar 31, 2022 21:23 UTC	Tessera Defense & Homeland Security Inc. PHGE · Entity 8384	GrantCommon Stock Options - Right to Buy · Derivative	20,500	$0.00 Strike: $1.41	$0.00	Disclosure SEC source: 0001213900-22-016958 · ownership.xml · derivative · entry 1 GROSSMAN JONAS · CIK 0001423905 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,500 Underlying: Common Stock · 20,500 shares Expires 2032-03-29 F1 · derivative.exercise_date: The options vest and become exercisable over four years, with 25% of the shares subject to the option vesting on March 29, 2023, and the remainder vesting in 12 equal quarterly installments over three years. Read SEC document
February 01, 2022 Filed Feb 4, 2022 01:55 UTC	Renovacor, Inc. RCOR · Entity 114644	OtherCommon Stock	40,000	$0.00	$0.00	Disclosure SEC source: 0001062993-22-002566 · form4.xml · nonDerivative · entry 1 GROSSMAN JONAS · CIK 0001423905 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,000 F1 · shares: Represents shares of common stock distributed to the Reporting Person from Chardan Healthcare Investments LLC for no consideration. Read SEC document
September 03, 2021 Filed Sep 8, 2021 23:01 UTC	Renovacor, Inc. RCOR · Entity 114644	GrantOption · Derivative	24,000	$0.00 Strike: $7.73	$0.00	Disclosure SEC source: 0001192482-21-000712 · edgar.xml · derivative · entry 1 GROSSMAN JONAS · CIK 0001423905 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,000 Underlying: Common Stock · 24,000 shares Expires 2031-09-03 F1 · derivative.exercise_date: The stock options will vest and become exercisable 25% on the first anniversary of the grant and the remainder will vest and become exercisable in 36 equal monthly installments on the 3rd of each month for the remaining 36 months, subject to the Reporting Person's continuous service as of each such date. Read SEC document
July 26, 2021 Filed Jul 29, 2021 01:48 UTC	Tessera Defense & Homeland Security Inc. PHGE · Entity 8384	PurchaseWarrants to purchase Common Stock · Derivative	28,125	Not disclosed Strike: $5.00	Not disclosed	Disclosure SEC source: 0001213900-21-039171 · ownership.xml · derivative · entry 2 GROSSMAN JONAS · CIK 0001423905 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,125 Underlying: Common Stock · 28,125 shares Expires 2027-01-28 F1 · price: The reporting person acquired 37,500 units consisting of one share of common stock and three-quarters of one warrant at a purchase price of $4.00 per unit. Read SEC document
July 26, 2021 Filed Jul 29, 2021 01:48 UTC	Tessera Defense & Homeland Security Inc. PHGE · Entity 8384	PurchaseCommon Stock, par value $0.0001	37,500	Not disclosed	Not disclosed	Disclosure SEC source: 0001213900-21-039171 · ownership.xml · nonDerivative · entry 1 GROSSMAN JONAS · CIK 0001423905 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 372,217 F1 · price: The reporting person acquired 37,500 units consisting of one share of common stock and three-quarters of one warrant at a purchase price of $4.00 per unit. Read SEC document
July 26, 2021 Filed Aug 17, 2021 20:17 UTC Amendment	Tessera Defense & Homeland Security Inc. PHGE · Entity 8384	PurchaseCommon Stock, par value $0.0001	37,500	Not disclosed	Not disclosed	Disclosure SEC source: 0001213900-21-043458 · ownership.xml · nonDerivative · entry 1 GROSSMAN JONAS · CIK 0001423905 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 372,717 F1 · price: The reporting person acquired 37,500 units consisting of one share of common stock and three-quarters of one warrant at a purchase price of $4.00 per unit. F2 · balance_after: This number was originally reported as 372,217, as opposed to 372,717. This amendment is being filed to correct that typographical error. Read SEC document
March 30, 2021 Filed Apr 1, 2021 20:22 UTC	Tessera Defense & Homeland Security Inc. PHGE · Entity 8384	GrantCommon Stock Options - Right to Buy · Derivative	15,200	$0.00 Strike: $7.02	$0.00	Disclosure SEC source: 0001213900-21-019656 · ownership.xml · derivative · entry 1 GROSSMAN JONAS · CIK 0001423905 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,200 Underlying: Common Stock · 15,200 shares Expires 2031-03-30 F1 · derivative.exercise_date: The options vest and become exercisable over four years, with 25% of the shares subject to the option vesting on March 30, 2022, and the remainder vesting in 12 equal quarterly installments over three years. Read SEC document
January 05, 2021 Filed Jan 5, 2021 16:17 UTC	Presto Automation Inc. VTAQU · Entity 90002	PurchaseWarrants to purchase Common Stock · Derivative	225,000	$1.00 Strike: $11.50	$225,000.00	Disclosure SEC source: 0001213900-21-000437 · ownership.xml · derivative · entry 1 GROSSMAN JONAS · CIK 0001423905 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,225,000 Underlying: Common Stock · 225,000 shares Expires not disclosed F1 · derivative.exercise_date: The warrants become exercisable on the later of (i) twelve (12) months from the closing of the registrant's initial public offering or (ii) the consummation of the registrant's initial business combination. F2 · derivative.expiration_date: The warrants purchased by Chardan International Investments, LLC will not be exercisable more than five (5) years from the effective date of the registrant's registration statement. F3 · ownership.nature: Warrants owned by Chardan International Investments, LLC, for which Jonas Grossman is the managing member. Read SEC document
December 30, 2020 Filed Dec 30, 2020 16:55 UTC	Presto Automation Inc. VTAQU · Entity 90002	PurchaseWarrants to purchase Common Stock · Derivative	2,000,000	$1.00 Strike: $11.50	$2,000,000.00	Disclosure SEC source: 0001213900-20-045458 · ownership.xml · derivative · entry 1 GROSSMAN JONAS · CIK 0001423905 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,000,000 Underlying: Common Stock · 2,000,000 shares Expires not disclosed F1 · derivative.exercise_date: The warrants become exercisable on the later of (i) twelve (12) months from the closing of the registrant's initial public offering or (ii) the consummation of the registrant's initial business combination. F2 · derivative.expiration_date: The warrants purchased by Chardan International Investments, LLC will not be exercisable more than five (5) years from the effective date of the registrant's registration statement. F3 · ownership.nature: Warrants owned by Chardan International Investments, LLC, for which Jonas Grossman is the managing member. Read SEC document
July 26, 2020 Filed Aug 17, 2021 20:17 UTC Amendment	Tessera Defense & Homeland Security Inc. PHGE · Entity 8384	PurchaseWarrants to purchase Common Stock · Derivative	28,125	Not disclosed Strike: $5.00	Not disclosed	Disclosure SEC source: 0001213900-21-043458 · ownership.xml · derivative · entry 2 GROSSMAN JONAS · CIK 0001423905 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,125 Underlying: Common Stock · 28,125 shares Expires 2027-01-28 F1 · price: The reporting person acquired 37,500 units consisting of one share of common stock and three-quarters of one warrant at a purchase price of $4.00 per unit. Read SEC document
July 13, 2020 Filed Jul 22, 2020 23:36 UTC	Tessera Defense & Homeland Security Inc. PHGE · Entity 8384	OtherWarrants to purchase Common Stock · Derivative	666,310	$0.00 Strike: $11.50	$0.00	Disclosure SEC source: 0001213900-20-018301 · ownership.xml · derivative · entry 3 GROSSMAN JONAS · CIK 0001423905 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 716,439 Underlying: Common Stock · 666,310 shares Expires 2024-10-28 F1 · kind: The shares were distributed to the reporting person by Mountain Wood LLC, which distributed its securities in the issuer to its members. F1 · price: The shares were distributed to the reporting person by Mountain Wood LLC, which distributed its securities in the issuer to its members. Read SEC document
July 13, 2020 Filed Jul 22, 2020 23:36 UTC	Tessera Defense & Homeland Security Inc. PHGE · Entity 8384	OtherCommon Stock, par value $0.0001	229,545	$0.00	$0.00	Disclosure SEC source: 0001213900-20-018301 · ownership.xml · nonDerivative · entry 1 GROSSMAN JONAS · CIK 0001423905 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 335,217 F1 · kind: The shares were distributed to the reporting person by Mountain Wood LLC, which distributed its securities in the issuer to its members. F1 · price: The shares were distributed to the reporting person by Mountain Wood LLC, which distributed its securities in the issuer to its members. Read SEC document
June 18, 2020 Filed Jul 22, 2020 23:36 UTC	Tessera Defense & Homeland Security Inc. PHGE · Entity 8384	OtherCommon Stock, par value $0.0001	45,275	$0.00	$0.00	Disclosure SEC source: 0001213900-20-018301 · ownership.xml · nonDerivative · entry 2 GROSSMAN JONAS · CIK 0001423905 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Ravenna LLC Disclosed balance after: 0 F2 · kind: The shares were distributed to the reporting person by Ravenna LLC, which distributed its securities in the issuer to its members. F2 · price: The shares were distributed to the reporting person by Ravenna LLC, which distributed its securities in the issuer to its members. F3 · ownership.nature: Consists of shares of common stock owned by Ravenna LLC, for which Mr. Grossman is the managing member. Mr. Grossman disclaims beneficial ownership of the shares except to the extent of his pecuniary interest in the shares. Read SEC document
June 10, 2020 Filed Jun 13, 2020 00:35 UTC	Tessera Defense & Homeland Security Inc. PHGE · Entity 8384	OtherCommon Stock, par value $0.0001	42,275	$0.00	$0.00	Disclosure SEC source: 0001213900-20-014897 · ownership.xml · nonDerivative · entry 3 GROSSMAN JONAS · CIK 0001423905 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Ravenna LLC Disclosed balance after: 45,275 F1 · kind: The shares were distributed to the reporting person by Chardan Investments, LLC. F1 · price: The shares were distributed to the reporting person by Chardan Investments, LLC. F4 · ownership.nature: Consists of shares of common stock owned by Ravenna LLC, for which Mr. Grossman is the managing member. Mr. Grossman disclaims beneficial ownership of the shares except to the extent of his pecuniary interest in the shares. Read SEC document
June 10, 2020 Filed Jun 13, 2020 00:35 UTC	Tessera Defense & Homeland Security Inc. PHGE · Entity 8384	OtherCommon Stock, par value $0.0001	1,707,500	$0.00	$0.00	Disclosure SEC source: 0001213900-20-014897 · ownership.xml · nonDerivative · entry 2 GROSSMAN JONAS · CIK 0001423905 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Chardan Investments, LLC Disclosed balance after: 0 F2 · kind: Chardan Investments, LLC distributed the shares to its members. F2 · price: Chardan Investments, LLC distributed the shares to its members. F3 · ownership.nature: Consists of shares of common stock owned by Chardan Investments, LLC, for which Mr. Grossman is the managing member. Mr. Grossman disclaims beneficial ownership of the shares except to the extent of his pecuniary interest in the shares. Read SEC document
June 10, 2020 Filed Jun 13, 2020 00:35 UTC	Tessera Defense & Homeland Security Inc. PHGE · Entity 8384	OtherCommon Stock, par value $0.0001	99,172	$0.00	$0.00	Disclosure SEC source: 0001213900-20-014897 · ownership.xml · nonDerivative · entry 1 GROSSMAN JONAS · CIK 0001423905 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 105,672 F1 · kind: The shares were distributed to the reporting person by Chardan Investments, LLC. F1 · price: The shares were distributed to the reporting person by Chardan Investments, LLC. Read SEC document
March 25, 2020 Filed Mar 27, 2020 20:03 UTC	Tessera Defense & Homeland Security Inc. PHGE · Entity 8384	GrantCommon Stock Options - Right to Buy · Derivative	16,000	$0.00 Strike: $6.21	$0.00	Disclosure SEC source: 0001213900-20-007668 · ownership.xml · derivative · entry 3 GROSSMAN JONAS · CIK 0001423905 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,000 Underlying: Common Stock · 16,000 shares Expires 2030-03-25 F2 · derivative.exercise_date: The options vest and become exercisable over four years, with 25% of the shares subject to the option vesting on March 25, 2021, and the remainder vesting in 12 equal quarterly installments over three years. Read SEC document
March 10, 2020 Filed Mar 12, 2020 16:50 UTC	Vincerx Pharma, Inc. LSAC · Entity 84409	GrantWarrants · Derivative	1,000,000	$0.50 Strike: $11.50	$500,000.00	Disclosure SEC source: 0001104659-20-032550 · tm2011922d10_4.xml · derivative · entry 1 GROSSMAN JONAS · CIK 0001423905 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,000,000 Underlying: Common Stock · 1,000,000 shares Expires 2025-03-06 F1 · derivative.exercise_date: The warrants become exercisable on the later of (i) twelve (12) months from the closing of the Registrant's initial public offering or (ii) the consummation of the registrant's initial business combination. F2 · derivative.expiration_date: The warrants purchased by Rosedale Park, LLC will not be exercisable more than five (5) years from the effective date of the registrant's registration statement. F3 · ownership.nature: Mr. Grossman is a managing member of Rosedale Park, LLC, the purchaser of the securities reported herein. He disclaims any pecuniary interest in the securities except to the extent of his ownership interest in Rosedale Park, LLC. Read SEC document
December 20, 2019 Filed Dec 30, 2019 23:01 UTC	Tessera Defense & Homeland Security Inc. PHGE · Entity 8384	OtherWarrants · Derivative	2,900,000	$0.00 Strike: $11.50	$0.00	Disclosure SEC source: 0001213900-19-027219 · ownership.xml · derivative · entry 2 GROSSMAN JONAS · CIK 0001423905 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 Underlying: Common Stock · 2,900,000 shares Expires 2024-10-28 F1 · kind: Represents private warrants held by Mountain Wood, LLC of which Jonas Grossman ceased to be managing member on December 20, 2019. Upon Mr. Grossman no longer being managing member of Moutain Wood, LLC, he ceased to beneficially own the shares held by Mountain Wood, LLC. F1 · ownership.nature: Represents private warrants held by Mountain Wood, LLC of which Jonas Grossman ceased to be managing member on December 20, 2019. Upon Mr. Grossman no longer being managing member of Moutain Wood, LLC, he ceased to beneficially own the shares held by Mountain Wood, LLC. Read SEC document
November 20, 2019 Filed Nov 20, 2019 21:32 UTC	Tessera Defense & Homeland Security Inc. PHGE · Entity 8384	PurchaseCommon Stock, par value $0.0001	1,400	$8.00	$11,205.60	Disclosure SEC source: 0001213900-19-024217 · ownership.xml · nonDerivative · entry 3 GROSSMAN JONAS · CIK 0001423905 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,500 F3 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $7.89 to $8.30, inclusive. Read SEC document
November 19, 2019 Filed Nov 20, 2019 21:32 UTC	Tessera Defense & Homeland Security Inc. PHGE · Entity 8384	PurchaseCommon Stock, par value $0.0001	4,100	$7.57	$31,049.30	Disclosure SEC source: 0001213900-19-024217 · ownership.xml · nonDerivative · entry 2 GROSSMAN JONAS · CIK 0001423905 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,100 F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $7.25 to $7.95, inclusive. Read SEC document
November 18, 2019 Filed Nov 20, 2019 21:32 UTC	Tessera Defense & Homeland Security Inc. PHGE · Entity 8384	PurchaseWarrants · Derivative	50,129	$0.60 Strike: $11.50	$30,027.27	Disclosure SEC source: 0001213900-19-024217 · ownership.xml · derivative · entry 5 GROSSMAN JONAS · CIK 0001423905 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,129 Underlying: Common Stock · 25,064 shares Expires 2024-10-28 F5 · price: The price reported in Column 4 is a weighted average price. These warrants were purchased in multiple transactions at prices ranging from $0.50 to $0.65, inclusive. Read SEC document
November 18, 2019 Filed Nov 20, 2019 21:32 UTC	Tessera Defense & Homeland Security Inc. PHGE · Entity 8384	PurchaseCommon Stock, par value $0.0001	1,000	$6.99	$6,989.00	Disclosure SEC source: 0001213900-19-024217 · ownership.xml · nonDerivative · entry 1 GROSSMAN JONAS · CIK 0001423905 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,000 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.925 to $7.00, inclusive. The reporting person undertakes to provide to the issuer, and security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of securities purchased at each separate price within the ranges set forth in footnotes (1), (2) and (4) of this Form 4. Read SEC document
December 18, 2018 Filed Dec 19, 2018 20:54 UTC	Tessera Defense & Homeland Security Inc. CHAC · Entity 8384	PurchaseWarrants · Derivative	2,900,000	$0.40 Strike: $11.50	$1,160,000.00	Disclosure SEC source: 0001615774-18-014650 · ownership.xml · derivative · entry 1 GROSSMAN JONAS · CIK 0001423905 · Director · President and CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,900,000 Underlying: Common Stock · 2,900,000 shares Expires not disclosed F1 · derivative.exercise_date: The warrants become exercisable on the later of (i) 30 days from the completion of the registrant's initial business combination and (ii) 12 months from the closing of the registrant's initial public offering. F2 · derivative.expiration_date: The warrants expire 5 years after the completion of the registrant's initial business combination or earlier upon redemption or liquidation, as described in the registrant's prospectus filed with the SEC. F3 · ownership.nature: Represents private warrants held by Mountain Wood, of which Jonas Grossman has voting and dispositive power over. Read SEC document

Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.