organization · Reporting owner

Warlock Partners LLC

Disclosed activity across 1 company

Tapewire entity: 94819
SEC CIK: 0001973283

Reported relationships

Latest disclosed role at each company.

Company	Last reported as	Report date	Published
Paradium.AI, Inc.AREN · Entity 7275	See Remarks	January 17, 2024	January 30, 2024

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.

Paradium.AI, Inc.

Report date January 17, 2024 · Filed January 30, 2024

Jointly reported with Heckman James Charles Jr, STROME MARK E, Roundtable LLC Series 1111, Pierce Brock Jeffrey

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common Stock, par value $0.01SEC Table I · non-derivative	Direct	186,123	Reported balance Holding disclosure · report date 2024-01-17 · row 1 Holding and transaction disclosures are not merged. 1 source row Row 1 · Balance 186,123 F1: The reported securities are beneficially owned by James C. Heckman. F4: Each of the Reporting Persons specifically disclaims beneficial ownership of the securities reported herein as beneficially owned by the other Reporting Persons. This report shall not be deemed an admission that any Reporting Person is a beneficial owner of any other Reporting Person's securities for purposes of Section 16 of the Exchange Act or for any other purpose.
Common Stock, par value $0.01SEC Table I · non-derivative	IndirectSee Footnotes	1,488,617	Reported balance Holding disclosure · report date 2024-01-17 · row 2 Holding and transaction disclosures are not merged. 1 source row Row 2 · Balance 1,488,617 F2: The reported securities are directly owned by the Warlock Partners, LLC ("Warlock"), and may be deemed beneficially owned by The Roundtable LLC, Series 1111 ("Roundtable LLC") as manager of Warlock and by Brock Pierce as the manager of Roundtable LLC. Each of Roundtable LLC and Mr. Pierce disclaims beneficial ownership of the reported securities directly owned by Warlock, except to the extent of its or his pecuniary interest therein. F4: Each of the Reporting Persons specifically disclaims beneficial ownership of the securities reported herein as beneficially owned by the other Reporting Persons. This report shall not be deemed an admission that any Reporting Person is a beneficial owner of any other Reporting Person's securities for purposes of Section 16 of the Exchange Act or for any other purpose.
Common Stock, par value $0.01SEC Table I · non-derivative	IndirectSee Footnotes	1,108,194	Reported balance Holding disclosure · report date 2024-01-17 · row 3 Holding and transaction disclosures are not merged. 1 source row Row 3 · Balance 1,108,194 F3: The reported securities are directly owned by certain trusts and private funds (the "Strome Investors") managed, directly or indirectly, by Mark E. Strome. Mr. Strome disclaims beneficial ownership of the reported securities directly owned by the Strome Investors, except to the extent of his pecuniary interest therein. F4: Each of the Reporting Persons specifically disclaims beneficial ownership of the securities reported herein as beneficially owned by the other Reporting Persons. This report shall not be deemed an admission that any Reporting Person is a beneficial owner of any other Reporting Person's securities for purposes of Section 16 of the Exchange Act or for any other purpose.
Options (right to buy)SEC Table II · derivative / convertible security	Direct	Not disclosed	Reported balance Holding disclosure · report date 2024-01-17 · row 4 Instrument identity requires review; Table II rows are not merged. 1 source row Row 4 · Balance Not disclosed F5: The reported option granted pursuant to the Issuer's 2016 Stock Incentive Plan (the "2016 Option") vested monthly over the three years following the initial grant date. On September 14, 2018, the Issuer's Board of Directors (the "Board') approved an amendment to the 2016 Option so that it remained exercisable for the full the term of the option. F6: The reported option granted pursuant to the Issuer's 2019 Stock Incentive Plan (the "2019 Option") vested one-third on the first anniversary of the grant date, and then monthly over the next two years, subject to certain target stock price and daily liquidity conditions. On April 10, 2019, the Board approved an amendment to the 2019 Option so that it remained exercisable for the full term, and changed the vesting schedule to provide for immediate vesting of a portion of the option, with the remainder subject to performance-based vesting tied to certain target stock price and daily liquidity conditions. F1: The reported securities are beneficially owned by James C. Heckman. F4: Each of the Reporting Persons specifically disclaims beneficial ownership of the securities reported herein as beneficially owned by the other Reporting Persons. This report shall not be deemed an admission that any Reporting Person is a beneficial owner of any other Reporting Person's securities for purposes of Section 16 of the Exchange Act or for any other purpose.
Options (right to buy)SEC Table II · derivative / convertible security	Direct	Not disclosed	Reported balance Holding disclosure · report date 2024-01-17 · row 5 Instrument identity requires review; Table II rows are not merged. 1 source row Row 5 · Balance Not disclosed F6: The reported option granted pursuant to the Issuer's 2019 Stock Incentive Plan (the "2019 Option") vested one-third on the first anniversary of the grant date, and then monthly over the next two years, subject to certain target stock price and daily liquidity conditions. On April 10, 2019, the Board approved an amendment to the 2019 Option so that it remained exercisable for the full term, and changed the vesting schedule to provide for immediate vesting of a portion of the option, with the remainder subject to performance-based vesting tied to certain target stock price and daily liquidity conditions. F1: The reported securities are beneficially owned by James C. Heckman. F4: Each of the Reporting Persons specifically disclaims beneficial ownership of the securities reported herein as beneficially owned by the other Reporting Persons. This report shall not be deemed an admission that any Reporting Person is a beneficial owner of any other Reporting Person's securities for purposes of Section 16 of the Exchange Act or for any other purpose.
Series H Preferred StockSEC Table II · derivative / convertible security	IndirectSee Footnotes	Not disclosed	Reported balance Holding disclosure · report date 2024-01-17 · row 6 Instrument identity requires review; Table II rows are not merged. 1 source row Row 6 · Balance Not disclosed F7: Subject to the blocker (described below), the shares of Series H Preferred Stock (the "Preferred Stock") are convertible into the common stock, par value $0.01, of the Issuer (the "Common Stock") at any time, and have no expiration date, but are subject to mandatory conversion on the fifth anniversary of the original issuance date. The Preferred Stock are subject to a blocker that prohibits the Issuer from effecting a conversion of the Preferred Stock into Common Stock if giving effect to the conversion would cause the holder to beneficially own F8: (together with its affiliates or any "group" members) in excess of 4.99% of the Common Stock (or, upon notice by the holder, in excess of 9.99% of the Common Stock). As the group owns more than 10% of the Common Stock, the members of the group are effectively barred from converting their Preferred Stock into additional shares of Common Stock. Absent this blocker, the 2,200 shares of Preferred Stock held by Warlock would be convertible into 303,600 shares of the Common Stock at its election. F2: The reported securities are directly owned by the Warlock Partners, LLC ("Warlock"), and may be deemed beneficially owned by The Roundtable LLC, Series 1111 ("Roundtable LLC") as manager of Warlock and by Brock Pierce as the manager of Roundtable LLC. Each of Roundtable LLC and Mr. Pierce disclaims beneficial ownership of the reported securities directly owned by Warlock, except to the extent of its or his pecuniary interest therein. F4: Each of the Reporting Persons specifically disclaims beneficial ownership of the securities reported herein as beneficially owned by the other Reporting Persons. This report shall not be deemed an admission that any Reporting Person is a beneficial owner of any other Reporting Person's securities for purposes of Section 16 of the Exchange Act or for any other purpose.

Filing footnotes · ownership attribution and instrument terms

F1: The reported securities are beneficially owned by James C. Heckman.

F2: The reported securities are directly owned by the Warlock Partners, LLC ("Warlock"), and may be deemed beneficially owned by The Roundtable LLC, Series 1111 ("Roundtable LLC") as manager of Warlock and by Brock Pierce as the manager of Roundtable LLC. Each of Roundtable LLC and Mr. Pierce disclaims beneficial ownership of the reported securities directly owned by Warlock, except to the extent of its or his pecuniary interest therein.

F3: The reported securities are directly owned by certain trusts and private funds (the "Strome Investors") managed, directly or indirectly, by Mark E. Strome. Mr. Strome disclaims beneficial ownership of the reported securities directly owned by the Strome Investors, except to the extent of his pecuniary interest therein.

F4: Each of the Reporting Persons specifically disclaims beneficial ownership of the securities reported herein as beneficially owned by the other Reporting Persons. This report shall not be deemed an admission that any Reporting Person is a beneficial owner of any other Reporting Person's securities for purposes of Section 16 of the Exchange Act or for any other purpose.

F5: The reported option granted pursuant to the Issuer's 2016 Stock Incentive Plan (the "2016 Option") vested monthly over the three years following the initial grant date. On September 14, 2018, the Issuer's Board of Directors (the "Board') approved an amendment to the 2016 Option so that it remained exercisable for the full the term of the option.

F6: The reported option granted pursuant to the Issuer's 2019 Stock Incentive Plan (the "2019 Option") vested one-third on the first anniversary of the grant date, and then monthly over the next two years, subject to certain target stock price and daily liquidity conditions. On April 10, 2019, the Board approved an amendment to the 2019 Option so that it remained exercisable for the full term, and changed the vesting schedule to provide for immediate vesting of a portion of the option, with the remainder subject to performance-based vesting tied to certain target stock price and daily liquidity conditions.

F7: Subject to the blocker (described below), the shares of Series H Preferred Stock (the "Preferred Stock") are convertible into the common stock, par value $0.01, of the Issuer (the "Common Stock") at any time, and have no expiration date, but are subject to mandatory conversion on the fifth anniversary of the original issuance date. The Preferred Stock are subject to a blocker that prohibits the Issuer from effecting a conversion of the Preferred Stock into Common Stock if giving effect to the conversion would cause the holder to beneficially own

F8: (together with its affiliates or any "group" members) in excess of 4.99% of the Common Stock (or, upon notice by the holder, in excess of 9.99% of the Common Stock). As the group owns more than 10% of the Common Stock, the members of the group are effectively barred from converting their Preferred Stock into additional shares of Common Stock. Absent this blocker, the 2,200 shares of Preferred Stock held by Warlock would be convertible into 303,600 shares of the Common Stock at its election.

Transaction history

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