Galvin Paul M.

SEC source: 0001213900-23-038133 · ownership.xml · nonDerivative · entry 3

Galvin Paul M. · CIK 0001532974 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,080,316

F1 · kind: Represents sales of common stock effected under the sole direction of American Stock Transfer & Trust Company, the issuer's transfer agent, to cover the Reporting Person's tax obligations.

F1 · shares: Represents sales of common stock effected under the sole direction of American Stock Transfer & Trust Company, the issuer's transfer agent, to cover the Reporting Person's tax obligations.

SEC source: 0001213900-23-038133 · ownership.xml · nonDerivative · entry 2

Galvin Paul M. · CIK 0001532974 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,093,916

F1 · kind: Represents sales of common stock effected under the sole direction of American Stock Transfer & Trust Company, the issuer's transfer agent, to cover the Reporting Person's tax obligations.

SEC source: 0001213900-23-038133 · ownership.xml · nonDerivative · entry 1

Galvin Paul M. · CIK 0001532974 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,096,616

F1 · kind: Represents sales of common stock effected under the sole direction of American Stock Transfer & Trust Company, the issuer's transfer agent, to cover the Reporting Person's tax obligations.

SEC source: 0001213900-22-074377 · ownership.xml · nonDerivative · entry 1

Galvin Paul M. · CIK 0001532974 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 991,355

F1 · shares: Represents a grant of restricted stock units ("RSUs") under the SG Blocks, Inc. Stock Incentive Plan. Each RSU represents the right to receive, upon vesting, one share of the issuer's common stock, par value $0.01. The RSUs will vest pro rata quarterly over 24 months, subject to the reporting person's continued service as an officer/director of the issuer through such date.

SEC source: 0001013762-21-000120 · ownership.xml · nonDerivative · entry 1

Galvin Paul M. · CIK 0001532974 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 741,355

F1 · shares: Represents a grant of restricted stock units ("RSUs") under the SG Blocks, Inc. Stock Incentive Plan. Each RSU represents the right to receive, upon vesting, one share of the issuer's common stock, par value $0.01. The RSUs will vest pro rata quarterly over 24 months, subject to the reporting person's continued service as an officer/director of the issuer through such date.

SEC source: 0001213900-20-042095 · ownership.xml · nonDerivative · entry 1

Galvin Paul M. · CIK 0001532974 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 391,355

F1 · shares: Represents a grant of restricted stock units ("RSUs") under the SG Blocks, Inc. Stock Incentive Plan. Each RSU represents the right to receive, upon vesting, one share of the issuer's common stock, par value $0.01. The RSUs will vest 50% on the issue date and the remainder on the one year anniversary of the grant date, subject to the reporting person's continued service as an officer/director of the issuer through such date.

SEC source: 0001213900-20-009326 · ownership.xml · nonDerivative · entry 1

Galvin Paul M. · CIK 0001532974 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,355

F1 · shares: Represents a grant of restricted stock units ("RSUs") under the SG Blocks, Inc. Stock Incentive Plan. Each RSU represents the right to receive, upon vesting, one share of the issuer's common stock, par value $0.01. The RSUs will vest in full on the one year anniversary of the grant date, subject to the reporting person's continued service as an officer/director of the issuer through such date.

F2 · balance_after: This amount reflects a 20-for-1 stock split that was effected on February 5, 2020.

SEC source: 0001213900-19-005589 · ownership.xml · nonDerivative · entry 1

Galvin Paul M. · CIK 0001532974 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,700

SEC source: 0001213900-19-006696 · ownership.xml · nonDerivative · entry 3

Galvin Paul M. · CIK 0001532974 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 160,485

F1 · balance_after: Represents a grant of restricted stock units ("RSUs") under the SG Blocks, Inc. Stock Incentive Plan. Each RSU represents the right to receive, upon vesting, one share of the issuer's common stock, par value $0.01. The number of RSUs was determined using the closing price of the issuer's common stock on February 26, 2019.

F2 · balance_after: The RSUs will vest in full on December 31, 2019, subject to the reporting person's continued service as an employee of the issuer through such date, and are deliverable January 1, 2020.

SEC source: 0001213900-19-006696 · ownership.xml · nonDerivative · entry 2

Galvin Paul M. · CIK 0001532974 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 119,597

F1 · balance_after: Represents a grant of restricted stock units ("RSUs") under the SG Blocks, Inc. Stock Incentive Plan. Each RSU represents the right to receive, upon vesting, one share of the issuer's common stock, par value $0.01. The number of RSUs was determined using the closing price of the issuer's common stock on February 26, 2019.

F3 · balance_after: The RSUs will vest in three equal annual installments, beginning on December 31, 2020, subject to the reporting person's continued service as an employee of the issuer through such date, and will be delivered within 90 days of when the reporting person is no longer employed by the issuer.

SEC source: 0001213900-19-006696 · ownership.xml · nonDerivative · entry 1

Galvin Paul M. · CIK 0001532974 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 72,375

F1 · balance_after: Represents a grant of restricted stock units ("RSUs") under the SG Blocks, Inc. Stock Incentive Plan. Each RSU represents the right to receive, upon vesting, one share of the issuer's common stock, par value $0.01. The number of RSUs was determined using the closing price of the issuer's common stock on February 26, 2019.

F2 · balance_after: The RSUs will vest in full on December 31, 2019, subject to the reporting person's continued service as an employee of the issuer through such date, and are deliverable January 1, 2020.

F5 · balance_after: Includes 12,700 shares purchased by Mr. Galvin on March 29, 2019, as reported on the Form 4 filed on April 2, 2019.

SEC source: 0001213900-18-011479 · ownership.xml · nonDerivative · entry 1

Galvin Paul M. · CIK 0001532974 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

SEC source: 0001213900-18-011302 · ownership.xml · nonDerivative · entry 1

Galvin Paul M. · CIK 0001532974 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,500

SEC source: 0001213900-18-003869 · f4033018galvin_sgblock.xml · derivative · entry 1

Galvin Paul M. · CIK 0001532974 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 82,154

Underlying: Common Stock · 82,154 shares

Expires 2028-03-30

F1 · derivative.exercise_price: Reflects the closing price of the issuer's common stock, as quoted on the Nasdaq Stock Market, on March 29, 2018, the last trading day prior to March 30, 2018.

F2 · derivative.exercise_date: The options were issued under the issuer's stock incentive plan as an award for the performance of the issuer during 2017 and vest over a two-year period in eight equal quarterly installments, beginning March 31, 2018.

SEC source: 0001213900-17-006977 · f4062717galvin_sgblocks.xml · nonDerivative · entry 1

Galvin Paul M. · CIK 0001532974 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,144

F1 · shares: The Reporting Person purchased the shares in connection with the public offering of the issuer's common stock pursuant to the prospectus, dated June 21, 2017, and accompanying registration statement on Form S-1/A, dated June 16, 2017.

SEC source: 0001213900-17-002300 · f4031017galvin_sgblocks.xml · derivative · entry 2

Galvin Paul M. · CIK 0001532974 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 79,468

Underlying: Common Stock · 79,468 shares

Expires 2027-03-10

F2 · derivative.exercise_price: The options, issued under the issuer's stock incentive plan, will have an exercise price equal to 120% of the price per share at which the public purchases shares of common stock in the offering pursuant to which a registration statement on Form S-1 was filed with the Securities and Exchange Commission on February 6, 2017.

F4 · price: The options were granted under the issuer's stock incentive plan and without payment of consideration in connection with the reporting person's employment with the issuer.

F3 · derivative.exercise_date: The options will vest and become exercisable in two tranches: 50% upon the achievement of the first performance target, and the remaining 50% upon the achievement of the second performance target.

SEC source: 0001213900-17-002300 · f4031017galvin_sgblocks.xml · derivative · entry 1

Galvin Paul M. · CIK 0001532974 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 105,957

Underlying: Common Stock · 105,957 shares

Expires 2027-03-10

F1 · derivative.exercise_price: The options, issued under the issuer's stock incentive plan, will have an exercise price equal to the price per share at which the public purchases shares of common stock in the offering pursuant to which a registration statement on Form S-1 was filed with the Securities and Exchange Commission on February 6, 2017.

F4 · price: The options were granted under the issuer's stock incentive plan and without payment of consideration in connection with the reporting person's employment with the issuer.

F3 · derivative.exercise_date: The options will vest and become exercisable in two tranches: 50% upon the achievement of the first performance target, and the remaining 50% upon the achievement of the second performance target.

SEC source: 0001213900-17-000900 · f4013117galvin_sgblocks.xml · derivative · entry 2

Galvin Paul M. · CIK 0001532974 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 208,421

Underlying: Common Stock · 77,014 shares

Expires 2027-01-31

F1 · shares: The securities reported herein are presented to give effect to a 1-for-3 reverse stock split to be completed by the Company after the filing of this report.

F4 · price: The options were granted under the issuer's stock incentive plan and without payment of consideration in connection with the reporting person's employment with the issuer.

F3 · derivative.exercise_date: The options were issued under the issuer's stock incentive plan and will vest in equal quarterly installments over two years from the grant date so long as the reporting person remains an employee of the issuer.

SEC source: 0001213900-17-000900 · f4013117galvin_sgblocks.xml · derivative · entry 1

Galvin Paul M. · CIK 0001532974 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 131,407

Underlying: Common Stock · 19,800 shares

Expires 2027-01-31

F1 · shares: The securities reported herein are presented to give effect to a 1-for-3 reverse stock split to be completed by the Company after the filing of this report.

F4 · price: The options were granted under the issuer's stock incentive plan and without payment of consideration in connection with the reporting person's employment with the issuer.

F2 · derivative.exercise_date: The options were issued under the issuer's stock incentive plan and vested in full on the grant date.

SEC source: 0001213900-16-017955 · f463016galvin_sgblocks.xml · derivative · entry 3

Galvin Paul M. · CIK 0001532974 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 294,819

Underlying: Common Stock · 294,819 shares

Expires 2026-10-31

F6 · derivative.exercise_price: The options are exercisable at the greater of $0.01 and fair market value, which will be determined within 90 days of the date of grant.

F7 · kind: The options were issued pursuant to the Plan under the Issuer's Stock Option Plan.

F8 · derivative.exercise_date: 131,031 of the underlying shares have vested as of the date of grant and 54,596 underlying shares vest, subject to the Reporting Person's continued employment, on each of the first, second and third anniversary of the date of grant.

SEC source: 0001213900-16-017955 · f463016galvin_sgblocks.xml · derivative · entry 2

Galvin Paul M. · CIK 0001532974 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2026-10-31

F3 · derivative.exercise_price: The options are exercisable at the greater of $1.00 and fair market value, which will be determined within 90 days of the date of grant.

F4 · kind: The options were issued pursuant to the Issuer's Stock Option Plan.

F5 · derivative.exercise_date: The options vest, subject to the Reporting Person's continued role as a director, in equal installments of 10,000 shares of underlying common stock on the last day of each fiscal quarter following the date of grant until the options are 100% vested.

SEC source: 0001213900-16-017955 · f463016galvin_sgblocks.xml · nonDerivative · entry 1

Galvin Paul M. · CIK 0001532974 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · By Tag Partners, LLC

Disclosed balance after: 30,432

F1 · kind: These securities were acquired pursuant to the Issuer's Amended Plan of Reorganization, approved by the U.S. Bankruptcy Court for the Southern District of New York on May 23, 2016 (the "Plan").

F2 · shares: Shares are held by Tag Partners, LLC, of which Paul Galvin is a managing member and in which he has a controlling interest. As a result, Mr. Galvin may be deemed to beneficially own the shares of common stock owned by Tag Partners, LLC. Mr. Galvin specifically disclaims beneficial ownership of the shares of common stock held by Tag Partners, LLC, except to the extent of his pecuniary interest therein, and this filing shall not be deemed to be an admission that Mr. Galvin is the beneficial owner of such shares of common stock.

F2 · ownership.direct: Shares are held by Tag Partners, LLC, of which Paul Galvin is a managing member and in which he has a controlling interest. As a result, Mr. Galvin may be deemed to beneficially own the shares of common stock owned by Tag Partners, LLC. Mr. Galvin specifically disclaims beneficial ownership of the shares of common stock held by Tag Partners, LLC, except to the extent of his pecuniary interest therein, and this filing shall not be deemed to be an admission that Mr. Galvin is the beneficial owner of such shares of common stock.