PLISKA ADAM J

SEC source: 0000929638-24-000769 · form4.xml · nonDerivative · entry 1

PLISKA ADAM J · CIK 0001431523 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 22,190

F1 · shares: Consists of a grant of restricted stock units ("RSU"). Each RSU represents the right to receive one share of common stock, par value $0.0001 per share, of the Issuer (the "Common Stock"). The RSUs shall vest: (i) twenty-five percent (25%) immediately upon granting and (ii) the remaining shares shall vest in three (3) equal successive installments upon the Reporting Person's completion of each six (6) month period of service over the eighteen (18) month period measured from the date of grant.

F2 · balance_after: Includes 15,000 shares of the Issuer's Common Stock subject to RSUs granted on February 22, 2024.

SEC source: 0001179110-21-010253 · edgar.xml · derivative · entry 2

PLISKA ADAM J · CIK 0001431523 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2031-11-11

F1 · derivative.exercise_date: Option vests as follows: 6,250 shares vest on each of 11/11/2022, 11/11/2023, 11/11/2024 and 11/11/2025. Subject to accelerated vesting upon the consummation of a qualified acquisition.

SEC source: 0000929638-24-000769 · form4.xml · derivative · entry 2

PLISKA ADAM J · CIK 0001431523 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2031-11-11

F3 · derivative.exercise_date: Option vests as follows: 6,250 shares vest on each of 11/11/2022, 11/11/2023, 11/11/2024, and 11/11/2025. Subject to accelerated vesting upon the consummation of a qualified acquisition.

SEC source: 0001179110-21-009899 · edgar.xml · nonDerivative · entry 2

PLISKA ADAM J · CIK 0001431523 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,190

F1 · kind: The sale of common stock reflected in this Form 4 was pursuant to a Rule 10b5-1 trading plan dated September 15, 2021.

F3 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.91 to $1.93, 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 sold at each separate price within the ranges set forth.

SEC source: 0001179110-21-009899 · edgar.xml · nonDerivative · entry 1

PLISKA ADAM J · CIK 0001431523 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,895

F1 · kind: The sale of common stock reflected in this Form 4 was pursuant to a Rule 10b5-1 trading plan dated September 15, 2021.

F2 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.90 to $2.02, 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 sold at each separate price within the ranges set forth.

SEC source: 0001179110-21-008761 · edgar.xml · nonDerivative · entry 2

PLISKA ADAM J · CIK 0001431523 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 112,038

F3 · kind: Shares forfeited to cover withholding tax obligations payable as a result of the lapse of forfeiture restrictions on shares.

F3 · price: Shares forfeited to cover withholding tax obligations payable as a result of the lapse of forfeiture restrictions on shares.

SEC source: 0001179110-21-008761 · edgar.xml · nonDerivative · entry 1

PLISKA ADAM J · CIK 0001431523 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 117,799

F1 · kind: The reporting person acquired the stock in a private transfer of shares by another director of the issuer. The transfer was in settlement of a debt in the amount of $25,000.

F2 · kind: The reporting person has been advised that his acquisition of 10,373 shares reported herein at an effective value of $2.41 per share may be considered a purchase under Section 16(b) of the Securities Exchange Act of 1934 that is not exempt under applicable rules. In that event, such a purchase could be matched with the previously reported market sale of shares by the reporting person on February 10, 2021 in a market transaction at the gross sale price of $2.75 per share. The reporting person has agreed to pay to the issuer $2,677.78, representing the profit that would result from such matching, net of transaction costs.

F1 · price: The reporting person acquired the stock in a private transfer of shares by another director of the issuer. The transfer was in settlement of a debt in the amount of $25,000.

SEC source: 0001179110-21-001590 · edgar.xml · nonDerivative · entry 1

PLISKA ADAM J · CIK 0001431523 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 107,426

F1 · shares: The sale of common stock reflected in this Form 4 was pursuant to Rule 10b5-1 trading plans dated August 13, 2020 and August 18, 2020.

F2 · balance_after: Includes 11,521 shares issued to the reporting person pursuant to a restricted stock grant which restrictions lapse on 8/18/2021.

SEC source: 0001179110-20-011113 · edgar.xml · nonDerivative · entry 1

PLISKA ADAM J · CIK 0001431523 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 158,289

F1 · kind: Shares forfeited to cover withholding tax obligations payable as a result of the lapse of forfeiture restrictions on shares.

F2 · balance_after: Includes 11,521 shares issued to the reporting person pursuant to a restricted stock grant which restrictions lapse on 8/18/2021.

SEC source: 0001179110-20-009201 · edgar.xml · nonDerivative · entry 5

PLISKA ADAM J · CIK 0001431523 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 162,265

F1 · kind: The sales of common stock reflected in this Form 4 are pursuant to a Rule 10b-5 trading plans dated August 13, 2020 and August 18, 2020.

F5 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.68 to $1.72, 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 sold at each separate price within the ranges set forth.

F6 · balance_after: Includes 19,472 shares issued to the reporting person pursuant to restricted stock grants. Restrictions lapse on 3,534 shares on 9/20/2020; 4,417 shares on 11/12/2020; and 11,521 shares on 8/18/2021.

SEC source: 0001179110-20-009201 · edgar.xml · nonDerivative · entry 4

PLISKA ADAM J · CIK 0001431523 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 177,478

F1 · kind: The sales of common stock reflected in this Form 4 are pursuant to a Rule 10b-5 trading plans dated August 13, 2020 and August 18, 2020.

F3 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.62 to $2.63, 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 sold at each separate price within the ranges set forth.

SEC source: 0001179110-20-009201 · edgar.xml · nonDerivative · entry 3

PLISKA ADAM J · CIK 0001431523 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 183,201

F1 · kind: The sales of common stock reflected in this Form 4 are pursuant to a Rule 10b-5 trading plans dated August 13, 2020 and August 18, 2020.

F4 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.61 to $2.63, 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 sold at each separate price within the ranges set forth.

SEC source: 0001179110-20-009201 · edgar.xml · nonDerivative · entry 2

PLISKA ADAM J · CIK 0001431523 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 213,201

F1 · kind: The sales of common stock reflected in this Form 4 are pursuant to a Rule 10b-5 trading plans dated August 13, 2020 and August 18, 2020.

F3 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.62 to $2.63, 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 sold at each separate price within the ranges set forth.

SEC source: 0001179110-20-009201 · edgar.xml · nonDerivative · entry 1

PLISKA ADAM J · CIK 0001431523 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 233,201

F1 · kind: The sales of common stock reflected in this Form 4 are pursuant to a Rule 10b-5 trading plans dated August 13, 2020 and August 18, 2020.

F2 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.31 to $1.55, 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 sold at each separate price within the ranges set forth.

SEC source: 0001179110-20-009096 · edgar.xml · nonDerivative · entry 3

PLISKA ADAM J · CIK 0001431523 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 405,781

F1 · kind: The sale of common stock reflected in this Form 4 was pursuant to a Rule 10b-5 trading plan dated August 13, 2020.

F4 · price: The price reported in column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.53 to $1.72, 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 sold at each separate price within the ranges set forth.

F5 · balance_after: Includes 19,472 shares issued to the reporting person pursuant to restricted stock grants. Restrictions lapse on 3,534 shares on 9/20/2020; 4,417 shares on 11/12/2020; and 11,521 shares on 8/18/2021

SEC source: 0001179110-20-009096 · edgar.xml · nonDerivative · entry 2

PLISKA ADAM J · CIK 0001431523 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 408,209

F1 · kind: The sale of common stock reflected in this Form 4 was pursuant to a Rule 10b-5 trading plan dated August 13, 2020.

F3 · price: The price reported in column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.53 to $1.74, 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 sold at each separate price within the ranges set forth.

SEC source: 0001179110-20-009096 · edgar.xml · nonDerivative · entry 1

PLISKA ADAM J · CIK 0001431523 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 412,771

F1 · kind: The sale of common stock reflected in this Form 4 was pursuant to a Rule 10b-5 trading plan dated August 13, 2020.

F2 · price: The price reported in column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from 1.61 to $1.79, 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 sold at each separate price within the ranges set forth.

SEC source: 0001179110-20-008920 · edgar.xml · derivative · entry 2

PLISKA ADAM J · CIK 0001431523 · Director · President

10b5-1 filing: Not disclosed

Ownership: Indirect · by Lipscomb/Visoli Children's Trust

Disclosed balance after: 117,648

Underlying: Common Stock · 117,648 shares

Expires 2022-02-23

F1 · derivative.exercise_price: Includes 117,648 shares that will be issuable to the Lipscomb/Visoli Children's Trust, of which Mr. Pliska is trustee, if the trust elects to convert the $1 million promissory note issued to such trust on or about May 17, 2019. Mr. Pliska disclaims any pecuniary interest in such shares.

F1 · kind: Includes 117,648 shares that will be issuable to the Lipscomb/Visoli Children's Trust, of which Mr. Pliska is trustee, if the trust elects to convert the $1 million promissory note issued to such trust on or about May 17, 2019. Mr. Pliska disclaims any pecuniary interest in such shares.

F1 · price: Includes 117,648 shares that will be issuable to the Lipscomb/Visoli Children's Trust, of which Mr. Pliska is trustee, if the trust elects to convert the $1 million promissory note issued to such trust on or about May 17, 2019. Mr. Pliska disclaims any pecuniary interest in such shares.

F1 · derivative.exercise_date: Includes 117,648 shares that will be issuable to the Lipscomb/Visoli Children's Trust, of which Mr. Pliska is trustee, if the trust elects to convert the $1 million promissory note issued to such trust on or about May 17, 2019. Mr. Pliska disclaims any pecuniary interest in such shares.

SEC source: 0001179110-20-008923 · edgar.xml · nonDerivative · entry 2

PLISKA ADAM J · CIK 0001431523 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 416,505

F2 · price: Grant of restricted stock; which restrictions lapse on 8/18/2021.

F3 · balance_after: Includes 7,951 shares issued to the reporting person pursuant to restricted stock grants. Restrictions lapse on 3,534 shares on 9/20/2020 and 4,417 shares on 11/12/2020.

SEC source: 0001179110-20-008923 · edgar.xml · nonDerivative · entry 1

PLISKA ADAM J · CIK 0001431523 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 404,984

F1 · price: Stock grant pursuant to 16b-3.

SEC source: 0001179110-20-007525 · edgar.xml · nonDerivative · entry 4

PLISKA ADAM J · CIK 0001431523 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 319,466

F5 · kind: The sale of common stock reflected in this Form 4 was pursuant to a Rule 10b-5 trading plan dated June 11, 2020. The price reported in column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.98 to $2.22, 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 sold at each separate price within the ranges set forth.

F5 · price: The sale of common stock reflected in this Form 4 was pursuant to a Rule 10b-5 trading plan dated June 11, 2020. The price reported in column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.98 to $2.22, 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 sold at each separate price within the ranges set forth.

F2 · balance_after: Inludes 7,951 shares issued to the reporting person pursuant to a restricted stock grant. Restrictions lapse on 9/20/2020.

SEC source: 0001179110-20-007525 · edgar.xml · nonDerivative · entry 3

PLISKA ADAM J · CIK 0001431523 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 470,966

F4 · kind: The sale of common stock reflected in this Form 4 was pursuant to a Rule 10b-5 trading plan dated June 11, 2020. The price reported in column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.18 to $2.47, 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 sold at each separate price within the ranges set forth.

F4 · price: The sale of common stock reflected in this Form 4 was pursuant to a Rule 10b-5 trading plan dated June 11, 2020. The price reported in column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.18 to $2.47, 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 sold at each separate price within the ranges set forth.

SEC source: 0001179110-20-007525 · edgar.xml · nonDerivative · entry 2

PLISKA ADAM J · CIK 0001431523 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 508,831

F3 · kind: The sale of common stock reflected in this Form 4 was pursuant to a Rule 10b-5 trading plan dated June 11, 2020. The price reported in column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.05 to $2.31, 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 sold at each separate price within the ranges set forth.

F3 · price: The sale of common stock reflected in this Form 4 was pursuant to a Rule 10b-5 trading plan dated June 11, 2020. The price reported in column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.05 to $2.31, 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 sold at each separate price within the ranges set forth.

SEC source: 0001179110-20-007446 · edgar.xml · nonDerivative · entry 3

PLISKA ADAM J · CIK 0001431523 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 630,481

F4 · kind: The sale of common stock reflected in this Form 4 was pursuant to a Rule 10b-5 trading plan dated June 11, 2020. The price reported in column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.26 to $2.72, 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 sold at each separate price within the ranges set forth.

F4 · price: The sale of common stock reflected in this Form 4 was pursuant to a Rule 10b-5 trading plan dated June 11, 2020. The price reported in column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.26 to $2.72, 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 sold at each separate price within the ranges set forth.

F2 · balance_after: Inludes 7,951 shares issued to the reporting person pursuant to a restricted stock grant. Restrictions lapse on 9/20/2020.

SEC source: 0001179110-20-007446 · edgar.xml · nonDerivative · entry 2

PLISKA ADAM J · CIK 0001431523 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 800,741

F3 · kind: The sale of common stock reflected in this Form 4 was pursuant to a Rule 10b-5 trading plan dated June 11, 2020. The price reported in column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.30 to $2.83, 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 sold at each separate price within the ranges set forth.

F3 · price: The sale of common stock reflected in this Form 4 was pursuant to a Rule 10b-5 trading plan dated June 11, 2020. The price reported in column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.30 to $2.83, 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 sold at each separate price within the ranges set forth.

SEC source: 0001179110-19-012519 · edgar.xml · derivative · entry 3

PLISKA ADAM J · CIK 0001431523 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 170,000

Underlying: Common Stock · 170,000 shares

Expires 2029-11-21

F3 · derivative.exercise_date: 42,500 shares vest on each of 11/21/2020, 11/21/2021 11/21/2022 and 11/21/2023.

SEC source: 0000929638-24-000769 · form4.xml · derivative · entry 3

PLISKA ADAM J · CIK 0001431523 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 170,000

Underlying: Common Stock · 170,000 shares

Expires 2029-11-21

F4 · derivative.exercise_date: 42,500 shares vest on each of 11/21/2020, 11/21/2021, 11/21/2022, and 11/21/2023.

SEC source: 0001179110-19-010584 · edgar.xml · derivative · entry 3

PLISKA ADAM J · CIK 0001431523 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2029-09-20

F3 · derivative.exercise_date: 10,000 shares vest on each of 9/20/2020, 9/20/2021, 9/20/2022 and 9/20/2023.

SEC source: 0001179110-19-010584 · edgar.xml · nonDerivative · entry 2

PLISKA ADAM J · CIK 0001431523 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 865,767

F2 · shares: Issued to the reporting person pursuant to a restricted stock grant. Restrictions lapse on 9/20/2020.

SEC source: 0000929638-24-000769 · form4.xml · derivative · entry 4

PLISKA ADAM J · CIK 0001431523 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2029-09-20

F5 · derivative.exercise_date: 10,000 shares vest on each of 9/20/2020, 9/20/2021, 9/20/2022, and 9/20/2023.

SEC source: 0001179110-19-009865 · edgar.xml · derivative · entry 4

PLISKA ADAM J · CIK 0001431523 · Director · President

10b5-1 filing: Not disclosed

Ownership: Indirect · by Lipscomb/Visoli Children's Trust

Disclosed balance after: 140,024

Underlying: Common Stock · 38,000 shares

Expires 2024-08-09

F4 · security: 38,000 warrants to purchase common stock issuable to the Lipscomb/Visoli Children's Trust, of which Mr. Pliska is trustee, on account of a $1 million promissory note issued to such trust on or about May 17, 2019. Mr. Pliska disclaims any pecuniary interest in such warrants.

SEC source: 0001179110-19-009865 · edgar.xml · derivative · entry 3

PLISKA ADAM J · CIK 0001431523 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 102,024

Underlying: Common Stock · 102,024 shares

Expires 2024-08-09

F2 · security: The reporting person acquired warrants to purchase 102,024 shares of issuer common stock in exchange for 311,516 shares of AEM previously held by the reporting person pursuant to AEM's merger with the issuer. Of the 102,024 warrants issued to the reporting person in the merger, 10,202 warrants are currently being held in escrow and are subject to forfeiture during the one-year period following the merger to satisfy claims arising as a result of AEM's breach of the merger agreement. The closing price of the warrants on August 9, 2019 was $0.02005 per warrant.

SEC source: 0001179110-19-009865 · edgar.xml · nonDerivative · entry 2

PLISKA ADAM J · CIK 0001431523 · Director · President

10b5-1 filing: Not disclosed

Ownership: Indirect · by Lipscomb/Visoli Children's Trust

Disclosed balance after: 117,647

F5 · security: Includes 117,647 shares that will be issuable to the Lipscomb/Visoli Children's Trust, of which Mr. Pliska is trustee, if the trust elects to convert the $1 million promissory note issued to such trust on or about May 17, 2019. Mr. Pliska disclaims any pecuniary interest in such shares.

SEC source: 0001179110-19-009865 · edgar.xml · nonDerivative · entry 1

PLISKA ADAM J · CIK 0001431523 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 857,816

F1 · price: The reporting person acquired 311,516 shares of issuer common stock in exchange for 311,516 shares of Allied Esports Media, Inc. ("AEM") previously held by the reporting person pursuant to AEM's merger with the issuer. Of the 311,516 shares issued to the reporting person in the merger, 31,152 shares are currently being held in escrow and are subject to forfeiture during the one-year period following the merger to satisfy claims arising as a result of AEM's breach of any of the merger agreement. Excludes 103,263 additional shares of the issuer's common stock that the reporting person, as a former shareholder of AEM, will be entitled to receive as additional consideration under the merger agreement if the last reported sales price of the issuer's Common Stock equals or exceeds $13.00 per share (as adjusted for stock splits, stock dividends, reorganizations, and recapitalizations) for any consecutive 30 calendar days during the 5-year period commencing on August 9, 2019.

F3 · price: Also includes 546,300 shares issued in satisfaction of AEM's obligation to the reporting person for prior services rendered and shares issued as consideration under profit sharing and introduction agreement, payable in connection with the foregoing merger. The closing price of the shares on August 9, 2019 was $4.42 per share.