AUBERTON-HERVE ANDRE-JACQUES

SEC source: 0001104659-23-129309 · tm2333669-16_4seq1.xml · derivative · entry 4

AUBERTON-HERVE ANDRE-JACQUES · CIK 0001730329 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 145,335

Underlying: Class A Common Stock · 145,335 shares

Expires not disclosed

F5 · kind: Pursuant to the Subscription Agreement for the PIPE Investment, the Issuer has agreed to issue additional shares of Class A Common Stock if the volume weighted average price per share of Class A Common Stock during the 30-day period (the "Adjustment Period") commencing on the date that is 30 days after the date on which a resale Registration Statement relating to the PIPE Investment is declared effective (the "Adjustment Period VWAP") is less than $10.00 per share. In such case, the Sponsor will be entitled to receive a number of shares of Class A Common Stock equal to the product of (x) the number of PIPE Shares held by the Sponsor through the end of the Adjustment Period multiplied by (y) a fraction, (A) the numerator of which is $10.00 minus the Adjustment Period VWAP and (B) the denominator of which is the Adjustment Period VWAP (the "Make-Whole Shares"). In the event that the Adjustment Period VWAP is less than $7.00, the Adjustment Period VWAP will be deemed to be $7.00.

F2 · shares: Number of shares reported represents shares indirectly attributable to the Reporting Person through his ownership interests in Sponsor.

F1 · price: Pursuant to a Subscription Agreement, Chavant Capital Partners LLC (the "Sponsor") purchased 199,737 shares of Class A Common Stock in connection with the closing (the "Closing") of Chavant Capital Acquisition Corp.'s initial business combination (the "Business Combination") with Mobix Labs, Inc. (the "Target"), on December 21, 2023 for aggregate consideration of $1,997,370, consisting of the forgiveness of certain indebtedness and certain expense reimbursement obligations owed by the Issuer to the Sponsor and its members (the "PIPE Investment" and such shares, the "PIPE Shares"). In connection with the entry into the Subscription Agreement, the Target issued the Sponsor a warrant to purchase 272,454 shares of stock of the Target, which was net exercised for 272,182 shares of common stock of the Target, which shares were automatically converted into shares of Class A Common Stock of the Issuer upon the Closing. In connection with the Closing, the Issuer was renamed "Mobix Labs, Inc."

F5 · price: Pursuant to the Subscription Agreement for the PIPE Investment, the Issuer has agreed to issue additional shares of Class A Common Stock if the volume weighted average price per share of Class A Common Stock during the 30-day period (the "Adjustment Period") commencing on the date that is 30 days after the date on which a resale Registration Statement relating to the PIPE Investment is declared effective (the "Adjustment Period VWAP") is less than $10.00 per share. In such case, the Sponsor will be entitled to receive a number of shares of Class A Common Stock equal to the product of (x) the number of PIPE Shares held by the Sponsor through the end of the Adjustment Period multiplied by (y) a fraction, (A) the numerator of which is $10.00 minus the Adjustment Period VWAP and (B) the denominator of which is the Adjustment Period VWAP (the "Make-Whole Shares"). In the event that the Adjustment Period VWAP is less than $7.00, the Adjustment Period VWAP will be deemed to be $7.00.

F5 · derivative.exercise_date: Pursuant to the Subscription Agreement for the PIPE Investment, the Issuer has agreed to issue additional shares of Class A Common Stock if the volume weighted average price per share of Class A Common Stock during the 30-day period (the "Adjustment Period") commencing on the date that is 30 days after the date on which a resale Registration Statement relating to the PIPE Investment is declared effective (the "Adjustment Period VWAP") is less than $10.00 per share. In such case, the Sponsor will be entitled to receive a number of shares of Class A Common Stock equal to the product of (x) the number of PIPE Shares held by the Sponsor through the end of the Adjustment Period multiplied by (y) a fraction, (A) the numerator of which is $10.00 minus the Adjustment Period VWAP and (B) the denominator of which is the Adjustment Period VWAP (the "Make-Whole Shares"). In the event that the Adjustment Period VWAP is less than $7.00, the Adjustment Period VWAP will be deemed to be $7.00.

F5 · derivative.expiration_date: Pursuant to the Subscription Agreement for the PIPE Investment, the Issuer has agreed to issue additional shares of Class A Common Stock if the volume weighted average price per share of Class A Common Stock during the 30-day period (the "Adjustment Period") commencing on the date that is 30 days after the date on which a resale Registration Statement relating to the PIPE Investment is declared effective (the "Adjustment Period VWAP") is less than $10.00 per share. In such case, the Sponsor will be entitled to receive a number of shares of Class A Common Stock equal to the product of (x) the number of PIPE Shares held by the Sponsor through the end of the Adjustment Period multiplied by (y) a fraction, (A) the numerator of which is $10.00 minus the Adjustment Period VWAP and (B) the denominator of which is the Adjustment Period VWAP (the "Make-Whole Shares"). In the event that the Adjustment Period VWAP is less than $7.00, the Adjustment Period VWAP will be deemed to be $7.00.

F2 · derivative.underlying_shares: Number of shares reported represents shares indirectly attributable to the Reporting Person through his ownership interests in Sponsor.

F5 · derivative.underlying_shares: Pursuant to the Subscription Agreement for the PIPE Investment, the Issuer has agreed to issue additional shares of Class A Common Stock if the volume weighted average price per share of Class A Common Stock during the 30-day period (the "Adjustment Period") commencing on the date that is 30 days after the date on which a resale Registration Statement relating to the PIPE Investment is declared effective (the "Adjustment Period VWAP") is less than $10.00 per share. In such case, the Sponsor will be entitled to receive a number of shares of Class A Common Stock equal to the product of (x) the number of PIPE Shares held by the Sponsor through the end of the Adjustment Period multiplied by (y) a fraction, (A) the numerator of which is $10.00 minus the Adjustment Period VWAP and (B) the denominator of which is the Adjustment Period VWAP (the "Make-Whole Shares"). In the event that the Adjustment Period VWAP is less than $7.00, the Adjustment Period VWAP will be deemed to be $7.00.

F2 · balance_after: Number of shares reported represents shares indirectly attributable to the Reporting Person through his ownership interests in Sponsor.

F4 · ownership.nature: The Sponsor is the record holder of the securities reported herein. The Reporting Person owns certain interests in the Sponsor and securities indirectly attributable to the Reporting Person are expected to be distributed to the Reporting Person over time. The Reporting Person disclaims any beneficial ownership of the securities held by the Sponsor other than to the extent of any pecuniary interest he may have therein, directly or indirectly.

SEC source: 0001104659-23-129309 · tm2333669-16_4seq1.xml · nonDerivative · entry 2

AUBERTON-HERVE ANDRE-JACQUES · CIK 0001730329 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 540,966

F1 · kind: Pursuant to a Subscription Agreement, Chavant Capital Partners LLC (the "Sponsor") purchased 199,737 shares of Class A Common Stock in connection with the closing (the "Closing") of Chavant Capital Acquisition Corp.'s initial business combination (the "Business Combination") with Mobix Labs, Inc. (the "Target"), on December 21, 2023 for aggregate consideration of $1,997,370, consisting of the forgiveness of certain indebtedness and certain expense reimbursement obligations owed by the Issuer to the Sponsor and its members (the "PIPE Investment" and such shares, the "PIPE Shares"). In connection with the entry into the Subscription Agreement, the Target issued the Sponsor a warrant to purchase 272,454 shares of stock of the Target, which was net exercised for 272,182 shares of common stock of the Target, which shares were automatically converted into shares of Class A Common Stock of the Issuer upon the Closing. In connection with the Closing, the Issuer was renamed "Mobix Labs, Inc."

F2 · shares: Number of shares reported represents shares indirectly attributable to the Reporting Person through his ownership interests in Sponsor.

F1 · price: Pursuant to a Subscription Agreement, Chavant Capital Partners LLC (the "Sponsor") purchased 199,737 shares of Class A Common Stock in connection with the closing (the "Closing") of Chavant Capital Acquisition Corp.'s initial business combination (the "Business Combination") with Mobix Labs, Inc. (the "Target"), on December 21, 2023 for aggregate consideration of $1,997,370, consisting of the forgiveness of certain indebtedness and certain expense reimbursement obligations owed by the Issuer to the Sponsor and its members (the "PIPE Investment" and such shares, the "PIPE Shares"). In connection with the entry into the Subscription Agreement, the Target issued the Sponsor a warrant to purchase 272,454 shares of stock of the Target, which was net exercised for 272,182 shares of common stock of the Target, which shares were automatically converted into shares of Class A Common Stock of the Issuer upon the Closing. In connection with the Closing, the Issuer was renamed "Mobix Labs, Inc."

F4 · ownership.nature: The Sponsor is the record holder of the securities reported herein. The Reporting Person owns certain interests in the Sponsor and securities indirectly attributable to the Reporting Person are expected to be distributed to the Reporting Person over time. The Reporting Person disclaims any beneficial ownership of the securities held by the Sponsor other than to the extent of any pecuniary interest he may have therein, directly or indirectly.

SEC source: 0001104659-23-129309 · tm2333669-16_4seq1.xml · nonDerivative · entry 1

AUBERTON-HERVE ANDRE-JACQUES · CIK 0001730329 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 342,917

F1 · kind: Pursuant to a Subscription Agreement, Chavant Capital Partners LLC (the "Sponsor") purchased 199,737 shares of Class A Common Stock in connection with the closing (the "Closing") of Chavant Capital Acquisition Corp.'s initial business combination (the "Business Combination") with Mobix Labs, Inc. (the "Target"), on December 21, 2023 for aggregate consideration of $1,997,370, consisting of the forgiveness of certain indebtedness and certain expense reimbursement obligations owed by the Issuer to the Sponsor and its members (the "PIPE Investment" and such shares, the "PIPE Shares"). In connection with the entry into the Subscription Agreement, the Target issued the Sponsor a warrant to purchase 272,454 shares of stock of the Target, which was net exercised for 272,182 shares of common stock of the Target, which shares were automatically converted into shares of Class A Common Stock of the Issuer upon the Closing. In connection with the Closing, the Issuer was renamed "Mobix Labs, Inc."

F2 · shares: Number of shares reported represents shares indirectly attributable to the Reporting Person through his ownership interests in Sponsor.

F1 · price: Pursuant to a Subscription Agreement, Chavant Capital Partners LLC (the "Sponsor") purchased 199,737 shares of Class A Common Stock in connection with the closing (the "Closing") of Chavant Capital Acquisition Corp.'s initial business combination (the "Business Combination") with Mobix Labs, Inc. (the "Target"), on December 21, 2023 for aggregate consideration of $1,997,370, consisting of the forgiveness of certain indebtedness and certain expense reimbursement obligations owed by the Issuer to the Sponsor and its members (the "PIPE Investment" and such shares, the "PIPE Shares"). In connection with the entry into the Subscription Agreement, the Target issued the Sponsor a warrant to purchase 272,454 shares of stock of the Target, which was net exercised for 272,182 shares of common stock of the Target, which shares were automatically converted into shares of Class A Common Stock of the Issuer upon the Closing. In connection with the Closing, the Issuer was renamed "Mobix Labs, Inc."

F3 · balance_after: Includes an additional 197,582 shares of Class A Common Stock that may be deemed to be indirectly owned by the Reporting Person through his direct and indirect ownership interests in Sponsor, which shares are expected to be distributed to the Reporting Person over time. In addition, the Reporting Person holds private placement warrants, exercisable to purchase shares of Class A Common Stock of the Issuer at an exercise price of $11.50 per share, subject to certain adjustments, which he received in a pro rata distribution from the Sponsor on December 21, 2023.

F4 · ownership.nature: The Sponsor is the record holder of the securities reported herein. The Reporting Person owns certain interests in the Sponsor and securities indirectly attributable to the Reporting Person are expected to be distributed to the Reporting Person over time. The Reporting Person disclaims any beneficial ownership of the securities held by the Sponsor other than to the extent of any pecuniary interest he may have therein, directly or indirectly.

SEC source: 0001104659-23-073231 · tm2319148-4_4seq1.xml · derivative · entry 4

AUBERTON-HERVE ANDRE-JACQUES · CIK 0001730329 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · Through Star SCI

Disclosed balance after: 1

Underlying: Common Stock, par value $0.001 per share · 366,667 shares

Expires 2024-06-01

F2 · derivative.exercise_price: The convertible promissory note (the "Note") will be convertible into common stock of the Issuer upon the following events on the following terms: (a) on June 1, 2024 without any action on the part of the reporting person, the outstanding principal and accrued and unpaid interest under the Note will be converted into shares of common stock at a conversion price equal to $0.60 per share; and (b) upon the consummation of the next equity or equity linked round of financing of the Issuer for cash proceeds (the "Qualified Financing"), without any action on the part of the reporting person, the outstanding principal and accrued and unpaid interest under the Note will be converted into shares of common stock at a conversion price equal to the lesser of (a) the issue price per share in the Qualified Financing and (b) $0.60 per share.

F2 · derivative.exercise_date: The convertible promissory note (the "Note") will be convertible into common stock of the Issuer upon the following events on the following terms: (a) on June 1, 2024 without any action on the part of the reporting person, the outstanding principal and accrued and unpaid interest under the Note will be converted into shares of common stock at a conversion price equal to $0.60 per share; and (b) upon the consummation of the next equity or equity linked round of financing of the Issuer for cash proceeds (the "Qualified Financing"), without any action on the part of the reporting person, the outstanding principal and accrued and unpaid interest under the Note will be converted into shares of common stock at a conversion price equal to the lesser of (a) the issue price per share in the Qualified Financing and (b) $0.60 per share.

F2 · derivative.expiration_date: The convertible promissory note (the "Note") will be convertible into common stock of the Issuer upon the following events on the following terms: (a) on June 1, 2024 without any action on the part of the reporting person, the outstanding principal and accrued and unpaid interest under the Note will be converted into shares of common stock at a conversion price equal to $0.60 per share; and (b) upon the consummation of the next equity or equity linked round of financing of the Issuer for cash proceeds (the "Qualified Financing"), without any action on the part of the reporting person, the outstanding principal and accrued and unpaid interest under the Note will be converted into shares of common stock at a conversion price equal to the lesser of (a) the issue price per share in the Qualified Financing and (b) $0.60 per share.

F2 · derivative.underlying_shares: The convertible promissory note (the "Note") will be convertible into common stock of the Issuer upon the following events on the following terms: (a) on June 1, 2024 without any action on the part of the reporting person, the outstanding principal and accrued and unpaid interest under the Note will be converted into shares of common stock at a conversion price equal to $0.60 per share; and (b) upon the consummation of the next equity or equity linked round of financing of the Issuer for cash proceeds (the "Qualified Financing"), without any action on the part of the reporting person, the outstanding principal and accrued and unpaid interest under the Note will be converted into shares of common stock at a conversion price equal to the lesser of (a) the issue price per share in the Qualified Financing and (b) $0.60 per share.

SEC source: 0001104659-23-073231 · tm2319148-4_4seq1.xml · nonDerivative · entry 1

AUBERTON-HERVE ANDRE-JACQUES · CIK 0001730329 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · Shares held through Star SCI

Disclosed balance after: 1,109,271

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: Effective as of June 13, 2023, approximately $310,185 of principal and accrued interest of a convertible promissory note issued to Star SCI, an affiliate of the reporting person, converted in accordance with its terms into 186,111 shares of the Issuer's common stock

SEC source: 0001104659-23-073228 · tm2319148-5_4seq1.xml · nonDerivative · entry 1

AUBERTON-HERVE ANDRE-JACQUES · CIK 0001730329 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · Shares held through Star SCI

Disclosed balance after: 923,160

F1 · price: The reporting person acquired the shares of common stock in lieu of cash payment of an aggregate of $390,000 in accrued and unpaid fees relating to reporting person's services as Chairman of the Board of the Issuer.

SEC source: 0001104659-22-027820 · tm227631-1_4seq1.xml · nonDerivative · entry 1

AUBERTON-HERVE ANDRE-JACQUES · CIK 0001730329 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,826

F1 · shares: The ordinary shares are described under the heading "Description of Securities" in the Issuer's Registration Statement on Form S-1 (File No. 333-257459) (the "Registration Statement") and have no expiration date. On February 24, 2022, the Reporting Person transferred 4,174 ordinary shares to Chavant Capital Partners LLC, the sponsor of the Issuer, for no consideration.

F1 · price: The ordinary shares are described under the heading "Description of Securities" in the Issuer's Registration Statement on Form S-1 (File No. 333-257459) (the "Registration Statement") and have no expiration date. On February 24, 2022, the Reporting Person transferred 4,174 ordinary shares to Chavant Capital Partners LLC, the sponsor of the Issuer, for no consideration.

SEC source: 0001104659-22-073086 · tm2218715-2_4seq1.xml · derivative · entry 5

AUBERTON-HERVE ANDRE-JACQUES · CIK 0001730329 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, par value $0.001 per share · 7,500 shares

Expires 2026-05-31

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 · derivative.exercise_price: Payment of exercise price was satisfied through the satisfaction of an Issuer promissory note held by the reporting person.

F2 · derivative.exercise_date: The options vest 2,500 on May 31, 2019, 2,500 on November 30, 2019 and 2,500 on May 31, 2020.

SEC source: 0001104659-22-073086 · tm2218715-2_4seq1.xml · derivative · entry 4

AUBERTON-HERVE ANDRE-JACQUES · CIK 0001730329 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,881

Underlying: Common Stock, par value $0.001 per share · 51,878 shares

Expires 2026-07-26

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 · derivative.exercise_price: Payment of exercise price was satisfied through the satisfaction of an Issuer promissory note held by the reporting person.

SEC source: 0001104659-22-073086 · tm2218715-2_4seq1.xml · nonDerivative · entry 2

AUBERTON-HERVE ANDRE-JACQUES · CIK 0001730329 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Shares held through Star SCI or 4A Consulting and Engineering

Disclosed balance after: 283,853

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: Payment of exercise price was satisfied through the satisfaction of an Issuer promissory note held by the reporting person.

SEC source: 0001104659-22-073086 · tm2218715-2_4seq1.xml · nonDerivative · entry 1

AUBERTON-HERVE ANDRE-JACQUES · CIK 0001730329 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Shares held through Star SCI or 4A Consulting and Engineering

Disclosed balance after: 276,353

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: Payment of exercise price was satisfied through the satisfaction of an Issuer promissory note held by the reporting person.

SEC source: 0001104659-21-045413 · tm2111532-2_4seq1.xml · nonDerivative · entry 1

AUBERTON-HERVE ANDRE-JACQUES · CIK 0001730329 · Director · Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 95,149

F1 · price: The reporting person acquired the shares of common stock in lieu of cash payment for an aggregate of $255,000 in accrued and unpaid fees relating to reporting person's services as a director of the Issuer.

SEC source: 0001144204-19-038541 · tv526242_4.xml · derivative · entry 1

AUBERTON-HERVE ANDRE-JACQUES · CIK 0001730329 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 115,759

Underlying: Common Stock, par value $0.001 · 115,759 shares

Expires 2026-07-26

F1 · derivative.exercise_date: The option shall be fully vested on the occurrence of any of the following conditions: (a) A Change of Control (as defined in the Company's 2014 Equity Incentive Plan) or (b) upon the Reporting Person not being Chairman of the Board of the Issuer for any reason.

SEC source: 0001144204-19-029709 · tv523059_4.xml · derivative · entry 1

AUBERTON-HERVE ANDRE-JACQUES · CIK 0001730329 · Director · Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,500

Underlying: Common Stock, par value $0.001 · 7,500 shares

Expires 2026-05-31

F1 · derivative.exercise_date: The options vest 2,500 on May 31, 2019, 2,500 on November 30, 2019 and 2,500 on May 31, 2020.

SEC source: 0001144204-19-018936 · tv518554_4.xml · nonDerivative · entry 1

AUBERTON-HERVE ANDRE-JACQUES · CIK 0001730329 · Director · Chairman

10b5-1 filing: Not disclosed

Ownership: Indirect · Shares held through Star SCI and 4A Consulting & Engineering

Disclosed balance after: 224,475

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 · date: Effective as of March 28, 2019, an aggregate amount of $316,800 of principal and accrued interest in convertible promissory notes issued to Star SCI (the "Notes") converted in accordance with their terms into 81,492 shares of the Issuer's common stock.

F2 · shares: The conversion price of the Notes was calculated using the VWAP (as defined in the Notes) average of the last 30 days before March 28, 2019.

F2 · price: The conversion price of the Notes was calculated using the VWAP (as defined in the Notes) average of the last 30 days before March 28, 2019.

SEC source: 0001144204-18-040074 · tv499375_4.xml · nonDerivative · entry 1

AUBERTON-HERVE ANDRE-JACQUES · CIK 0001730329 · Director · Chairman

10b5-1 filing: Not disclosed

Ownership: Indirect · Shares held through Star SCI and 4A Consulting & Engineering

Disclosed balance after: 21,447,183

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 · date: Effective as of July 20, 2018, an aggregate amount of $308,807 in convertible promissory notes issued to Star SCI (the "Notes") converted in accordance with their terms into 6,688,480 shares of the Issuer's common stock. For purposes of the filing of this Form 4, the transaction date is deemed to be July 24, 2018, as that was the date that the Issuer preliminarily determined the number of shares of common stock that the Notes were convertible into in accordance with the terms of the Notes.

F2 · shares: The conversion price of the Notes was calculated using the VWAP (as defined in the Notes) average of the last 30 days before July 20, 2018. As of the date hereof, the Issuer has not definitively determined the conversion price. In the event that the Issuer definitively determines that the conversion price was lower than $0.0513, the Reporting Person will file an amendment to this Form 4 to reflect the correct conversion price, number of shares acquired upon conversion, and the amount of securities beneficially owned following the reported transaction.

F2 · price: The conversion price of the Notes was calculated using the VWAP (as defined in the Notes) average of the last 30 days before July 20, 2018. As of the date hereof, the Issuer has not definitively determined the conversion price. In the event that the Issuer definitively determines that the conversion price was lower than $0.0513, the Reporting Person will file an amendment to this Form 4 to reflect the correct conversion price, number of shares acquired upon conversion, and the amount of securities beneficially owned following the reported transaction.

F2 · balance_after: The conversion price of the Notes was calculated using the VWAP (as defined in the Notes) average of the last 30 days before July 20, 2018. As of the date hereof, the Issuer has not definitively determined the conversion price. In the event that the Issuer definitively determines that the conversion price was lower than $0.0513, the Reporting Person will file an amendment to this Form 4 to reflect the correct conversion price, number of shares acquired upon conversion, and the amount of securities beneficially owned following the reported transaction.

SEC source: 0001144204-18-034393 · tv496575_4.xml · nonDerivative · entry 2

AUBERTON-HERVE ANDRE-JACQUES · CIK 0001730329 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Shares held through 4A Consulting and Engineering

Disclosed balance after: 14,758,703

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.

F2 · shares: As previously disclosed by the reporting person on a Form 4, filed with the Securities and Exchange Commission on April 3, 2018, as of March 31, 2018, the Issuer became obligated to issue 1,039,115 shares of common stock (the "4A Shares") to 4A Consulting and Engineering, an affiliate of the reporting person, as a result of the conversion of certain outstanding convertible promissory notes in accordance with their terms. The reporting person is filing this Form 4 to disclose that the Issuer issued the 4A Shares as of June 13, 2018.

SEC source: 0001144204-18-034393 · tv496575_4.xml · nonDerivative · entry 1

AUBERTON-HERVE ANDRE-JACQUES · CIK 0001730329 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Shares held through Star SCI

Disclosed balance after: 14,758,703

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: As previously disclosed by the reporting person on a Form 4, filed with the Securities and Exchange Commission on April 3, 2018, as of March 31, 2018, the Issuer became obligated to issue 1,010,152 shares of common stock (the "Star Shares") to Star SCI, an affiliate of the reporting person, as a result of the conversion of certain outstanding convertible promissory notes in accordance with their terms. The reporting person is filing this Form 4 to disclose that the Issuer issued the Star Shares as of June 13, 2018.

SEC source: 0001144204-18-019057 · tv490253_4.xml · nonDerivative · entry 2

AUBERTON-HERVE ANDRE-JACQUES · CIK 0001730329 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Shares held through 4A Consulting and Engineering

Disclosed balance after: 12,679,436

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.

F2 · shares: On March 31, 2018, an aggregate amount of $100,200 in convertible promissory notes converted in accordance with their terms into (i) 564,726 shares of the Issuer's common stock, and (ii) 1,039,115 shares of the Issuer's common stock (the "Pending Shares") that will be issued upon the earlier of (i) a reverse stock split of the Issuers's common stock that allows for the issuance of the Pending Shares without violating the authorized share number of the Issuer and (ii) an increase in the Issuer's authorized shares of common stock. The amounts set forth in this Form 4 do not reflect the issuance of the Pending Shares, and the Reporting Person will either amend this Form 4 or file a new Form 4 reflecting the issuance.

SEC source: 0001144204-18-019057 · tv490253_4.xml · nonDerivative · entry 1

AUBERTON-HERVE ANDRE-JACQUES · CIK 0001730329 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Shares held through Star SCI

Disclosed balance after: 12,679,436

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: On March 31, 2018, an aggregate amount of $821,850 in convertible promissory notes converted in accordance with their terms into (i) 12,114,710 shares of the Issuer's common stock, and (ii) 1,040,152 shares of the Issuer's common stock (the "Pending Shares") that will be issued upon the earlier of (i) a reverse stock split of the Issuers's common stock that allows for the issuance of the Pending Shares without violating the authorized share number of the Issuer and (ii) an increase in the Issuer's authorized shares of common stock. The amounts set forth in this Form 4 do not reflect the issuance of the Pending Shares, and the Reporting Person will either amend this Form 4 or file a new Form 4 reflecting the issuance.

SEC source: 0001144204-18-019057 · tv490253_4.xml · derivative · entry 3

AUBERTON-HERVE ANDRE-JACQUES · CIK 0001730329 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Warrants held through held through Star SCI

Disclosed balance after: 1,600,640

Underlying: Common Stock · 1,600,640 shares

Expires 2022-08-14

F3 · date: As of the transaction date, the number of shares of common stock underlying warrants and the exercise price were not yet determinable. Such number of shares and exercise price were each determined on March 31, 2018.

F3 · derivative.exercise_date: As of the transaction date, the number of shares of common stock underlying warrants and the exercise price were not yet determinable. Such number of shares and exercise price were each determined on March 31, 2018.