Newman James W. Jr.

SEC source: 0001213900-25-050020 · ownership.xml · derivative · entry 1

Newman James W. Jr. · CIK 0001718364 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 28,000

Underlying: Common Stock · 28,000 shares

Expires 2035-05-28

F1 · shares: The option vests pro rata on a monthly basis over 36 months commencing May 29, 2025.

F1 · derivative.exercise_date: The option vests pro rata on a monthly basis over 36 months commencing May 29, 2025.

SEC source: 0001213900-24-026724 · ownership.xml · derivative · entry 1

Newman James W. Jr. · CIK 0001718364 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 12,000

Underlying: Common Stock · 12,000 shares

Expires 2034-03-24

F1 · shares: The option vests pro rata on a monthly basis over 36 months commencing April 25, 2024.

F1 · derivative.exercise_date: The option vests pro rata on a monthly basis over 36 months commencing April 25, 2024.

SEC source: 0001213900-23-043121 · ownership.xml · derivative · entry 1

Newman James W. Jr. · CIK 0001718364 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2033-05-23

F1 · shares: The option vests pro rata on a monthly basis over 36 months commencing May 23, 2023.

F1 · derivative.exercise_date: The option vests pro rata on a monthly basis over 36 months commencing May 23, 2023.

SEC source: 0001213900-22-009425 · ownership.xml · derivative · entry 1

Newman James W. Jr. · CIK 0001718364 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2032-02-22

F1 · shares: The option vests pro rata on a monthly basis over 36 months commencing March 23, 2022.

F1 · derivative.exercise_date: The option vests pro rata on a monthly basis over 36 months commencing March 23, 2022.

SEC source: 0001213900-22-000067 · ownership.xml · nonDerivative · entry 6

Newman James W. Jr. · CIK 0001718364 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Roth IRA FBO James W Newman, Jr.

Disclosed balance after: 34,644

F6 · price: The price reported in column 4 is a weighted average price. The shares were sold in multiple transaction at prices ranging from $2.655 to $2.72, inclusive.

F8 · ownership.nature: Courtney Newman is the daughter of James W. Newman, Jr.

SEC source: 0001213900-22-000067 · ownership.xml · nonDerivative · entry 5

Newman James W. Jr. · CIK 0001718364 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Ivy Cottage Group, LLC

Disclosed balance after: 50,221

F5 · ownership.nature: James W. Newman is the general partner of Ivy Cottage Group, LLC.

SEC source: 0001213900-22-000067 · ownership.xml · nonDerivative · entry 1

Newman James W. Jr. · CIK 0001718364 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

F1 · price: The price reported in column 4 is a weighted average price. The shares were sold in multiple transaction at prices ranging from $2.628 to $2.68, inclusive. The reporting person undertakes to provide Adial Pharmaceuticals, Inc., any security holder of Adial Pharmaceuticals, Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (1) and (6) of this Form 4.

SEC source: 0001213900-21-062465 · ownership.xml · nonDerivative · entry 1

Newman James W. Jr. · CIK 0001718364 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Rountop Limited Partnership, LLP

Disclosed balance after: 34,475

F1 · ownership.nature: James W. Newman, Jr. is the general partner of Roundtop Limited Partnership, LLP.

SEC source: 0001213900-21-008165 · ownership.xml · derivative · entry 1

Newman James W. Jr. · CIK 0001718364 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2031-02-07

F1 · shares: The option vests pro rata on a monthly basis over 36 months.

F1 · derivative.exercise_date: The option vests pro rata on a monthly basis over 36 months.

SEC source: 0001213900-21-005041 · ownership.xml · nonDerivative · entry 4

Newman James W. Jr. · CIK 0001718364 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Virga Ventures, LLC

Disclosed balance after: 152,963

F1 · price: The reporting person acquired an aggregate of 3,731 shares of issuer common stock in exchange for an aggregate 0.53% interest in Purnovate, LLC ("Purnovate") pursuant to Purnovate's merger into a wholly owned subsidiary of the issuer, as contemplated by that certain Equity Purchase Agreement, dated December 7, 2020, as amended. The shares issued to the reporting person in the merger are currently being held in escrow and 70% of the shares are subject to forfeiture during a one year period following the merger to satisfy claims arising as a result of Purnovate's breach of any of its representations and warranties or covenants in the purchase agreement.

F4 · ownership.nature: James W. Newman is the sole member of Virga Ventures, LLC.

SEC source: 0001213900-21-005041 · ownership.xml · nonDerivative · entry 2

Newman James W. Jr. · CIK 0001718364 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Roundtop Limited Partnership, LLP

Disclosed balance after: 14,475

F1 · shares: The reporting person acquired an aggregate of 3,731 shares of issuer common stock in exchange for an aggregate 0.53% interest in Purnovate, LLC ("Purnovate") pursuant to Purnovate's merger into a wholly owned subsidiary of the issuer, as contemplated by that certain Equity Purchase Agreement, dated December 7, 2020, as amended. The shares issued to the reporting person in the merger are currently being held in escrow and 70% of the shares are subject to forfeiture during a one year period following the merger to satisfy claims arising as a result of Purnovate's breach of any of its representations and warranties or covenants in the purchase agreement.

F1 · price: The reporting person acquired an aggregate of 3,731 shares of issuer common stock in exchange for an aggregate 0.53% interest in Purnovate, LLC ("Purnovate") pursuant to Purnovate's merger into a wholly owned subsidiary of the issuer, as contemplated by that certain Equity Purchase Agreement, dated December 7, 2020, as amended. The shares issued to the reporting person in the merger are currently being held in escrow and 70% of the shares are subject to forfeiture during a one year period following the merger to satisfy claims arising as a result of Purnovate's breach of any of its representations and warranties or covenants in the purchase agreement.

F2 · ownership.nature: James W. Newman is the general partner of Roundtop Limited Partnership, LLP.

SEC source: 0001213900-20-007845 · ownership.xml · nonDerivative · entry 6

Newman James W. Jr. · CIK 0001718364 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Roth IRA FBO James W Newman, Jr.

Disclosed balance after: 14,644

F5 · ownership.nature: James W. Newman is the beneficiary of this Roth IRA.

SEC source: 0001213900-20-007845 · ownership.xml · nonDerivative · entry 2

Newman James W. Jr. · CIK 0001718364 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Roundtop Limited Partnership, LLP

Disclosed balance after: 13,288

F1 · shares: James W. Newman is the general partner of Roundtop Limited Partnership, LLP.

F1 · price: James W. Newman is the general partner of Roundtop Limited Partnership, LLP.

F1 · ownership.nature: James W. Newman is the general partner of Roundtop Limited Partnership, LLP.

SEC source: 0001213900-20-007845 · ownership.xml · nonDerivative · entry 1

Newman James W. Jr. · CIK 0001718364 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

SEC source: 0001213900-20-005541 · ownership.xml · derivative · entry 1

Newman James W. Jr. · CIK 0001718364 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,000

Underlying: Common Stock · 60,000 shares

Expires 2030-03-02

F1 · shares: The option vests pro rata on a monthly basis over 36 months.

F1 · derivative.exercise_date: The option vests pro rata on a monthly basis over 36 months.

SEC source: 0001213900-18-015554 · ownership.xml · derivative · entry 6

Newman James W. Jr. · CIK 0001718364 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Owned by Virga Ventures LLC

Disclosed balance after: 92,000

Underlying: Common Stock · 92,000 shares

Expires 2023-07-31

F2 · shares: On November 12, 2018, Virga Ventures, LLC exchanged a warrant to purchase 92,000 units, each unit consisting of a share of common stock and a warrant to purchase a share of common stock, for two separate warrants to purchase 92,000 shares of common stock. Mr. Newman is the sole member of Virga Ventures, LLC.

F2 · price: On November 12, 2018, Virga Ventures, LLC exchanged a warrant to purchase 92,000 units, each unit consisting of a share of common stock and a warrant to purchase a share of common stock, for two separate warrants to purchase 92,000 shares of common stock. Mr. Newman is the sole member of Virga Ventures, LLC.

SEC source: 0001213900-18-015554 · ownership.xml · derivative · entry 5

Newman James W. Jr. · CIK 0001718364 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Owned by Virga Ventures LLC

Disclosed balance after: 92,000

Underlying: Common Stock · 92,000 shares

Expires 2023-07-31

F2 · shares: On November 12, 2018, Virga Ventures, LLC exchanged a warrant to purchase 92,000 units, each unit consisting of a share of common stock and a warrant to purchase a share of common stock, for two separate warrants to purchase 92,000 shares of common stock. Mr. Newman is the sole member of Virga Ventures, LLC.

F2 · price: On November 12, 2018, Virga Ventures, LLC exchanged a warrant to purchase 92,000 units, each unit consisting of a share of common stock and a warrant to purchase a share of common stock, for two separate warrants to purchase 92,000 shares of common stock. Mr. Newman is the sole member of Virga Ventures, LLC.

SEC source: 0001213900-18-015554 · ownership.xml · derivative · entry 4

Newman James W. Jr. · CIK 0001718364 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Owned by Virga Ventures LLC

Disclosed balance after: 0

Underlying: Units · 184,000 shares

Expires 2023-07-31

F2 · shares: On November 12, 2018, Virga Ventures, LLC exchanged a warrant to purchase 92,000 units, each unit consisting of a share of common stock and a warrant to purchase a share of common stock, for two separate warrants to purchase 92,000 shares of common stock. Mr. Newman is the sole member of Virga Ventures, LLC.

F2 · price: On November 12, 2018, Virga Ventures, LLC exchanged a warrant to purchase 92,000 units, each unit consisting of a share of common stock and a warrant to purchase a share of common stock, for two separate warrants to purchase 92,000 shares of common stock. Mr. Newman is the sole member of Virga Ventures, LLC.

SEC source: 0001213900-18-015554 · ownership.xml · derivative · entry 3

Newman James W. Jr. · CIK 0001718364 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Ivy Cottage Group, LLC

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2023-07-31

F1 · shares: On November 12, 2018, Ivy Cottage Group, LLC exchanged a warrant to purchase 20,000 units, each unit consisting of a share of common stock and a warrant to purchase a share of common stock, for two separate warrants to purchase 20,000 shares of common stock. Mr. Newman is the general partner of Ivy Cottage Group, LLC.

F1 · price: On November 12, 2018, Ivy Cottage Group, LLC exchanged a warrant to purchase 20,000 units, each unit consisting of a share of common stock and a warrant to purchase a share of common stock, for two separate warrants to purchase 20,000 shares of common stock. Mr. Newman is the general partner of Ivy Cottage Group, LLC.

SEC source: 0001213900-18-015554 · ownership.xml · derivative · entry 2

Newman James W. Jr. · CIK 0001718364 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Ivy Cottage Group, LLC

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2023-07-31

F1 · shares: On November 12, 2018, Ivy Cottage Group, LLC exchanged a warrant to purchase 20,000 units, each unit consisting of a share of common stock and a warrant to purchase a share of common stock, for two separate warrants to purchase 20,000 shares of common stock. Mr. Newman is the general partner of Ivy Cottage Group, LLC.

F1 · price: On November 12, 2018, Ivy Cottage Group, LLC exchanged a warrant to purchase 20,000 units, each unit consisting of a share of common stock and a warrant to purchase a share of common stock, for two separate warrants to purchase 20,000 shares of common stock. Mr. Newman is the general partner of Ivy Cottage Group, LLC.

SEC source: 0001213900-18-015554 · ownership.xml · derivative · entry 1

Newman James W. Jr. · CIK 0001718364 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Ivy Cottage Group, LLC

Disclosed balance after: 0

Underlying: Units · 40,000 shares

Expires 2023-07-31

F1 · shares: On November 12, 2018, Ivy Cottage Group, LLC exchanged a warrant to purchase 20,000 units, each unit consisting of a share of common stock and a warrant to purchase a share of common stock, for two separate warrants to purchase 20,000 shares of common stock. Mr. Newman is the general partner of Ivy Cottage Group, LLC.

F1 · price: On November 12, 2018, Ivy Cottage Group, LLC exchanged a warrant to purchase 20,000 units, each unit consisting of a share of common stock and a warrant to purchase a share of common stock, for two separate warrants to purchase 20,000 shares of common stock. Mr. Newman is the general partner of Ivy Cottage Group, LLC.

SEC source: 0001213900-18-010089 · ownership.xml · derivative · entry 20

Newman James W. Jr. · CIK 0001718364 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2023-07-31

F13 · shares: On July 31, 2018, James W. Newman Jr. Roth IRA purchased 10,000 units (the "Units") in the initial public offering at a price of $5.00 per Unit, which corresponds to a price of $4.99 per share of common stock and $0.01 per warrant. Each Unit consisted of one share of common stock and a warrant to purchase one share of common stock. The shares of common stock and warrants were immediately separable upon issuance of the Units in the initial public offering.

F13 · price: On July 31, 2018, James W. Newman Jr. Roth IRA purchased 10,000 units (the "Units") in the initial public offering at a price of $5.00 per Unit, which corresponds to a price of $4.99 per share of common stock and $0.01 per warrant. Each Unit consisted of one share of common stock and a warrant to purchase one share of common stock. The shares of common stock and warrants were immediately separable upon issuance of the Units in the initial public offering.

F14 · ownership.direct: Shares are held by the James W. Newman Jr. Roth IRA.

SEC source: 0001213900-18-010089 · ownership.xml · derivative · entry 19

Newman James W. Jr. · CIK 0001718364 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Virga Ventures LLC

Disclosed balance after: 102,000

Underlying: Common Stock · 10,000 shares

Expires 2023-07-31

F12 · shares: On July 31, 2018, Virga Ventures LLC purchased 10,000 units (the "Units") in the initial public offering at a price of $5.00 per Unit, which corresponds to a price of $4.99 per share of common stock and $0.01 per warrant. Each Unit consisted of one share of common stock and a warrant to purchase one share of common stock. The shares of common stock and warrants were immediately separable upon issuance of the Units in the initial public offering.

F12 · price: On July 31, 2018, Virga Ventures LLC purchased 10,000 units (the "Units") in the initial public offering at a price of $5.00 per Unit, which corresponds to a price of $4.99 per share of common stock and $0.01 per warrant. Each Unit consisted of one share of common stock and a warrant to purchase one share of common stock. The shares of common stock and warrants were immediately separable upon issuance of the Units in the initial public offering.

SEC source: 0001213900-18-010089 · ownership.xml · derivative · entry 18

Newman James W. Jr. · CIK 0001718364 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Virga Ventures LLC

Disclosed balance after: 92,000

Underlying: Units · 184,000 shares

Expires 2023-07-31

F10 · shares: The warrant to purchase 92,000 units was received by the reporting person upon consummation of the initial public offering in accordance with a Securities Purchase Agreement dated February 22, 2018. Each unit consisted of a share of common stock and a warrant to purchase a share of common stock. The aggregate number of shares of common stock included in the units and underlying the warrants included in the units is 184,000 shares.

F10 · price: The warrant to purchase 92,000 units was received by the reporting person upon consummation of the initial public offering in accordance with a Securities Purchase Agreement dated February 22, 2018. Each unit consisted of a share of common stock and a warrant to purchase a share of common stock. The aggregate number of shares of common stock included in the units and underlying the warrants included in the units is 184,000 shares.

F10 · derivative.underlying: The warrant to purchase 92,000 units was received by the reporting person upon consummation of the initial public offering in accordance with a Securities Purchase Agreement dated February 22, 2018. Each unit consisted of a share of common stock and a warrant to purchase a share of common stock. The aggregate number of shares of common stock included in the units and underlying the warrants included in the units is 184,000 shares.

F4 · ownership.nature: James W. Newman is the sole member of Virga Ventures, LLC

SEC source: 0001213900-18-010089 · ownership.xml · derivative · entry 17

Newman James W. Jr. · CIK 0001718364 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Ivy Cottage Group, LLC

Disclosed balance after: 20,000

Underlying: Units · 40,000 shares

Expires 2023-07-31

F9 · shares: The warrant to purchase 20,000 units was received by the reporting person upon consummation of the initial public offering in accordance with a Securities Purchase Agreement dated February 22, 2018. Each unit consisted of a share of common stock and a warrant to purchase a share of common stock. The aggregate number of shares of common stock included in the units and underlying the warrants included in the units is 40,000 shares.

F9 · price: The warrant to purchase 20,000 units was received by the reporting person upon consummation of the initial public offering in accordance with a Securities Purchase Agreement dated February 22, 2018. Each unit consisted of a share of common stock and a warrant to purchase a share of common stock. The aggregate number of shares of common stock included in the units and underlying the warrants included in the units is 40,000 shares.

F9 · derivative.underlying: The warrant to purchase 20,000 units was received by the reporting person upon consummation of the initial public offering in accordance with a Securities Purchase Agreement dated February 22, 2018. Each unit consisted of a share of common stock and a warrant to purchase a share of common stock. The aggregate number of shares of common stock included in the units and underlying the warrants included in the units is 40,000 shares.

F6 · ownership.nature: James W. Newman is the general partner of Ivy Cottage Group, LLC

SEC source: 0001213900-18-010089 · ownership.xml · derivative · entry 16

Newman James W. Jr. · CIK 0001718364 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Virga Ventures LLC

Disclosed balance after: 92,000

Underlying: Common Stock · 92,000 shares

Expires 2023-07-31

F8 · shares: The 92,000 shares of common stock and warrants to purchase 92,000 shares of common stock were received by the reporting person upon consummation of the initial public offering in accordance with a Securities Purchase Agreement dated February 22, 2018.

F8 · price: The 92,000 shares of common stock and warrants to purchase 92,000 shares of common stock were received by the reporting person upon consummation of the initial public offering in accordance with a Securities Purchase Agreement dated February 22, 2018.

F4 · ownership.nature: James W. Newman is the sole member of Virga Ventures, LLC

SEC source: 0001213900-18-010089 · ownership.xml · derivative · entry 15

Newman James W. Jr. · CIK 0001718364 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Ivy Cottage Group, LLC

Disclosed balance after: 25,178

Underlying: Common Stock · 20,000 shares

Expires 2023-07-31

F7 · shares: The 20,000 shares of common stock and warrants to purchase 20,000 shares of common stock were received by the reporting person upon consummation of the initial public offering in accordance with a Securities Purchase Agreement dated February 22, 2018.

F7 · price: The 20,000 shares of common stock and warrants to purchase 20,000 shares of common stock were received by the reporting person upon consummation of the initial public offering in accordance with a Securities Purchase Agreement dated February 22, 2018.

F6 · ownership.nature: James W. Newman is the general partner of Ivy Cottage Group, LLC

SEC source: 0001213900-18-010089 · ownership.xml · derivative · entry 14

Newman James W. Jr. · CIK 0001718364 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Ivy Cottage Group, LLC

Disclosed balance after: 5,178

Underlying: Common Stock · 5,178 shares

Expires 2023-07-31

F5 · price: The 5,178 shares of common stock and a warrant to purchase 5,178 shares of common stock were issued upon automatic conversion of a convertible note in the principal amount of $1,729.95 at a conversion price of $0.44 per share upon consummation of the initial public offering.

F6 · ownership.nature: James W. Newman is the general partner of Ivy Cottage Group, LLC

SEC source: 0001213900-18-010089 · ownership.xml · derivative · entry 13

Newman James W. Jr. · CIK 0001718364 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Virga Ventures LLC

Disclosed balance after: 21,715

Underlying: Common Stock · 21,715 shares

Expires 2023-07-31

F3 · price: The 21,715 shares of common stock and a warrant to purchase 21,715 shares of common stock were issued upon automatic conversion of a convertible note in the principal amount of $7,255.02 at a conversion price of $0.44 per share upon consummation of the initial public offering.

F4 · ownership.nature: James W. Newman is the sole member of Virga Ventures, LLC

SEC source: 0001213900-18-010089 · ownership.xml · derivative · entry 12

Newman James W. Jr. · CIK 0001718364 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Newman GST Trust FBO James W. Newman Jr.

Disclosed balance after: 29,931

Underlying: Common Stock · 29,931 shares

Expires 2023-07-31

F1 · security: The 29,931 shares of common stock and a warrant to purchase 29,931 shares of common stock were issued upon automatic conversion of a convertible note in the principal amount of $10,000 together with accrued interest thereon at a conversion price of $0.44 per share upon consummation of the initial public offering on July 31, 2018.

F1 · price: The 29,931 shares of common stock and a warrant to purchase 29,931 shares of common stock were issued upon automatic conversion of a convertible note in the principal amount of $10,000 together with accrued interest thereon at a conversion price of $0.44 per share upon consummation of the initial public offering on July 31, 2018.

F2 · ownership.nature: James W. Newman is the trustee of the Newman GST Trust FBO James W. Neman Jr.

SEC source: 0001213900-18-010089 · ownership.xml · derivative · entry 11

Newman James W. Jr. · CIK 0001718364 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Ivy Cottage Group, LLC

Disclosed balance after: 0

Underlying: Common Stock · 5,178 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.

F5 · price: The 5,178 shares of common stock and a warrant to purchase 5,178 shares of common stock were issued upon automatic conversion of a convertible note in the principal amount of $1,729.95 at a conversion price of $0.44 per share upon consummation of the initial public offering.

F5 · derivative.exercise_date: The 5,178 shares of common stock and a warrant to purchase 5,178 shares of common stock were issued upon automatic conversion of a convertible note in the principal amount of $1,729.95 at a conversion price of $0.44 per share upon consummation of the initial public offering.

F5 · derivative.expiration_date: The 5,178 shares of common stock and a warrant to purchase 5,178 shares of common stock were issued upon automatic conversion of a convertible note in the principal amount of $1,729.95 at a conversion price of $0.44 per share upon consummation of the initial public offering.

F6 · ownership.nature: James W. Newman is the general partner of Ivy Cottage Group, LLC

SEC source: 0001213900-18-010089 · ownership.xml · derivative · entry 10

Newman James W. Jr. · CIK 0001718364 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Virga Ventures LLC

Disclosed balance after: 0

Underlying: Common Stock · 21,715 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.

F3 · price: The 21,715 shares of common stock and a warrant to purchase 21,715 shares of common stock were issued upon automatic conversion of a convertible note in the principal amount of $7,255.02 at a conversion price of $0.44 per share upon consummation of the initial public offering.

F3 · derivative.exercise_date: The 21,715 shares of common stock and a warrant to purchase 21,715 shares of common stock were issued upon automatic conversion of a convertible note in the principal amount of $7,255.02 at a conversion price of $0.44 per share upon consummation of the initial public offering.

F3 · derivative.expiration_date: The 21,715 shares of common stock and a warrant to purchase 21,715 shares of common stock were issued upon automatic conversion of a convertible note in the principal amount of $7,255.02 at a conversion price of $0.44 per share upon consummation of the initial public offering.

F4 · ownership.nature: James W. Newman is the sole member of Virga Ventures, LLC

SEC source: 0001213900-18-010089 · ownership.xml · derivative · entry 9

Newman James W. Jr. · CIK 0001718364 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Newman GST Trust FBO James W. Newman Jr.

Disclosed balance after: 0

Underlying: Common Stock · 29,931 shares

Expires not disclosed

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

F1 · price: The 29,931 shares of common stock and a warrant to purchase 29,931 shares of common stock were issued upon automatic conversion of a convertible note in the principal amount of $10,000 together with accrued interest thereon at a conversion price of $0.44 per share upon consummation of the initial public offering on July 31, 2018.

F1 · derivative.exercise_date: The 29,931 shares of common stock and a warrant to purchase 29,931 shares of common stock were issued upon automatic conversion of a convertible note in the principal amount of $10,000 together with accrued interest thereon at a conversion price of $0.44 per share upon consummation of the initial public offering on July 31, 2018.

F1 · derivative.expiration_date: The 29,931 shares of common stock and a warrant to purchase 29,931 shares of common stock were issued upon automatic conversion of a convertible note in the principal amount of $10,000 together with accrued interest thereon at a conversion price of $0.44 per share upon consummation of the initial public offering on July 31, 2018.

F2 · ownership.nature: James W. Newman is the trustee of the Newman GST Trust FBO James W. Neman Jr.

SEC source: 0001213900-18-010089 · ownership.xml · nonDerivative · entry 7

Newman James W. Jr. · CIK 0001718364 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

F13 · shares: On July 31, 2018, James W. Newman Jr. Roth IRA purchased 10,000 units (the "Units") in the initial public offering at a price of $5.00 per Unit, which corresponds to a price of $4.99 per share of common stock and $0.01 per warrant. Each Unit consisted of one share of common stock and a warrant to purchase one share of common stock. The shares of common stock and warrants were immediately separable upon issuance of the Units in the initial public offering.

F13 · price: On July 31, 2018, James W. Newman Jr. Roth IRA purchased 10,000 units (the "Units") in the initial public offering at a price of $5.00 per Unit, which corresponds to a price of $4.99 per share of common stock and $0.01 per warrant. Each Unit consisted of one share of common stock and a warrant to purchase one share of common stock. The shares of common stock and warrants were immediately separable upon issuance of the Units in the initial public offering.

F14 · ownership.direct: Shares are held by the James W. Newman Jr. Roth IRA.

SEC source: 0001213900-18-010089 · ownership.xml · nonDerivative · entry 6

Newman James W. Jr. · CIK 0001718364 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Virga Ventures, LLC

Disclosed balance after: 150,419

F12 · shares: On July 31, 2018, Virga Ventures LLC purchased 10,000 units (the "Units") in the initial public offering at a price of $5.00 per Unit, which corresponds to a price of $4.99 per share of common stock and $0.01 per warrant. Each Unit consisted of one share of common stock and a warrant to purchase one share of common stock. The shares of common stock and warrants were immediately separable upon issuance of the Units in the initial public offering.

F12 · price: On July 31, 2018, Virga Ventures LLC purchased 10,000 units (the "Units") in the initial public offering at a price of $5.00 per Unit, which corresponds to a price of $4.99 per share of common stock and $0.01 per warrant. Each Unit consisted of one share of common stock and a warrant to purchase one share of common stock. The shares of common stock and warrants were immediately separable upon issuance of the Units in the initial public offering.

SEC source: 0001213900-18-010089 · ownership.xml · nonDerivative · entry 5

Newman James W. Jr. · CIK 0001718364 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Virga Ventures, LLC

Disclosed balance after: 140,419

F8 · shares: The 92,000 shares of common stock and warrants to purchase 92,000 shares of common stock were received by the reporting person upon consummation of the initial public offering in accordance with a Securities Purchase Agreement dated February 22, 2018.

F8 · price: The 92,000 shares of common stock and warrants to purchase 92,000 shares of common stock were received by the reporting person upon consummation of the initial public offering in accordance with a Securities Purchase Agreement dated February 22, 2018.

F4 · ownership.nature: James W. Newman is the sole member of Virga Ventures, LLC

SEC source: 0001213900-18-010089 · ownership.xml · nonDerivative · entry 4

Newman James W. Jr. · CIK 0001718364 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Ivy Cottage Group, LLC

Disclosed balance after: 35,094

F7 · shares: The 20,000 shares of common stock and warrants to purchase 20,000 shares of common stock were received by the reporting person upon consummation of the initial public offering in accordance with a Securities Purchase Agreement dated February 22, 2018.

F7 · price: The 20,000 shares of common stock and warrants to purchase 20,000 shares of common stock were received by the reporting person upon consummation of the initial public offering in accordance with a Securities Purchase Agreement dated February 22, 2018.

F6 · ownership.nature: James W. Newman is the general partner of Ivy Cottage Group, LLC

SEC source: 0001213900-18-010089 · ownership.xml · nonDerivative · entry 3

Newman James W. Jr. · CIK 0001718364 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Ivy Cottage Group, LLC

Disclosed balance after: 15,221

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.

F5 · shares: The 5,178 shares of common stock and a warrant to purchase 5,178 shares of common stock were issued upon automatic conversion of a convertible note in the principal amount of $1,729.95 at a conversion price of $0.44 per share upon consummation of the initial public offering.

F5 · price: The 5,178 shares of common stock and a warrant to purchase 5,178 shares of common stock were issued upon automatic conversion of a convertible note in the principal amount of $1,729.95 at a conversion price of $0.44 per share upon consummation of the initial public offering.

F6 · ownership.nature: James W. Newman is the general partner of Ivy Cottage Group, LLC

SEC source: 0001213900-18-010089 · ownership.xml · nonDerivative · entry 2

Newman James W. Jr. · CIK 0001718364 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Virga Ventures, LLC

Disclosed balance after: 58,419

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.

F3 · shares: The 21,715 shares of common stock and a warrant to purchase 21,715 shares of common stock were issued upon automatic conversion of a convertible note in the principal amount of $7,255.02 at a conversion price of $0.44 per share upon consummation of the initial public offering.

F3 · price: The 21,715 shares of common stock and a warrant to purchase 21,715 shares of common stock were issued upon automatic conversion of a convertible note in the principal amount of $7,255.02 at a conversion price of $0.44 per share upon consummation of the initial public offering.

F4 · ownership.nature: James W. Newman is the sole member of Virga Ventures, LLC

SEC source: 0001213900-18-010089 · ownership.xml · nonDerivative · entry 1

Newman James W. Jr. · CIK 0001718364 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Newman GST Trust FBO James W. Newman Jr.

Disclosed balance after: 41,160

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

F1 · shares: The 29,931 shares of common stock and a warrant to purchase 29,931 shares of common stock were issued upon automatic conversion of a convertible note in the principal amount of $10,000 together with accrued interest thereon at a conversion price of $0.44 per share upon consummation of the initial public offering on July 31, 2018.

F1 · price: The 29,931 shares of common stock and a warrant to purchase 29,931 shares of common stock were issued upon automatic conversion of a convertible note in the principal amount of $10,000 together with accrued interest thereon at a conversion price of $0.44 per share upon consummation of the initial public offering on July 31, 2018.

F2 · ownership.nature: James W. Newman is the trustee of the Newman GST Trust FBO James W. Neman Jr.