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THE RECIPIENT LISTED IN ITEM 12 IS PAID AN AMOUNT EQUAL TO A PERCENTAGE OF THE MANAGEMENT FEE PAID TO THE MANAGEMENT COMPANY (OR ITS AFFILIATE) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGEMENT AND/OR THE INCENTIVE ALLOCATION.

2023-02-17

D/A

$0.00

Yes

$0.00

Yes

2023-01-09

$504,704.00

Yes

$0.00

FOR THE OFFERING, LAIDLAW + COMPANY (UK), LTD. (EXCLUSIVE PLACEMENT AGENT) AND GP NURMEMKARI, INC. (SELECTED DEALER) RECEIVED AN AGGREGATE CASH FEE OF 10% OF GROSS PROCEEDS FROM INITIAL CLOSING AND 582,351 WARRANTS TO PURCHASE ISSUER COMMON STOCK.

2022-12-30

D/A

$1,418,000.00

Yes

$0.00

GP NUMENKARI INC. IS ENTITLED TO 8% OF THE GROSS PROCEEDS OF ITS PORTION OF THE OFFERING AND WARRANTS AMOUNTING TO 8% OF THE GROSS PROCEEDS OF ITS PORTION OF THE OFFERING.

2022-12-27

$106,030.00

$0.00

2022-08-24

$175,750.00

$0.00

2022-05-09

D/A

$243,250.00

$0.00

2022-05-05

$168,494.00

$0.00

2022-04-20

D/A

$242,400.00

Yes

$0.00

2022-02-18

D/A

$0.00

Yes

$0.00

Yes

2022-01-27

$160,000.00

$0.00

2022-01-05

D/A

$350,000.00

Yes

$0.00

Yes

2021-12-10

$98,204.00

$0.00

2021-11-05

$469,744.00

$0.00

PLACEMENT AGENT ALSO RECEIVED 183,100 WARRANTS TO PURCHASE COMMON STOCK (EXERCISE PRICE: $2.00 PER SHARE) AND WILL RECEIVE 275,000 SHARES OF COMMON STOCK UPON FINAL CLOSING OF THE PRIVATE PLACEMENT. ALSO REIMBURSED $25,000 OF LEGAL FEES.

2021-11-04

$43,700.00

$0.00

2021-08-25

$327,460.00

$0.00

2021-07-01

$738,900.00

$0.00

WE ALSO ISSUED 50,000 SHARES OF OUR COMMON STOCK AND WARRANTS TO PURCHASE 360,000 SHARES OF OUR COMMON STOCK TO THE PLACEMENT AGENT WITH AN EXERCISE PRICE OF $2.00 PER SHARE; WE ALSO REIMBURSED THE PLACEMENT AGENT APPROXIMATELY $35,000 OF EXPENSES.

2021-05-26

$382,560.00

$0.00

2021-05-03

$618,000.00

$0.00

GP NURMENKARI INC. IS ENTITLED TO 8% OF THE GROSS PROCEEDS OF ITS PORTION OF THE OFFERING AND WARRANTS AMOUNTING TO 8% OF THE GROSS PROCEEDS OF ITS PORTION OF THE OFFERING.

2021-04-30

$508,420.00

Yes

$0.00

THE SALES COMMISSION INCLUDES A $239,772.65 CASH FEE AND WARRANTS EXERCISABLE FOR $268,647.89.

2021-04-22

$103,960.00

$0.00

2021-04-13

$358,920.00

Yes

$0.00

SALES COMMISSION ALSO INCLUDES WARRANTS TO PURCHASE 100,130 SHARES OF COMMON STOCK OF THE ISSUER WITH A TERM OF 5 YEARS AND AN EXERCISE PRICE OF $4.00 PER SHARE.

2021-03-24

$25,000.00

Yes

$0.00

PLACEMENT AGENT ("PA") WILL RECEIVE A CASH COMMISSION EQUAL TO 10% OF THE GROSS OFFERING PROCEEDS FROM SALES TO INVESTORS INTRODUCED BY PA. PA SHALL RECEIVE A CASH PAYMENT OF $25,000. PA SHALL ALSO RECEIVE SELLING COMMISSION IN THE FORM OF A WARRANT.

2021-02-24

$1,971,066.00

$0.00

EXCLUDES VALUE OF OPTIONS TO PURCHASE UP TO 985,533 SHARES OF COMMON STOCK EXERCISABLE AT $2.00 PER SHARE

2021-02-19

D/A

$0.00

Yes

$0.00

Yes

2021-02-12

$1,400,333.00

$0.00

2020-11-25

D/A

$0.00

Yes

$0.00

Yes

PLACEMENT AGENT FEES ARE TO BE PAID BASED UPON AN ESTABLISHED FEE SCHEDULE

2020-11-19

$63,600.00

$0.00

2020-10-19

$2,527,560.00

$0.00

2020-09-17

$19,941.00

$0.00

2020-06-23

$4,000,000.00

Yes

$0.00

ASSUMES OFFERING IS FULLY SUBSCRIBED. EACH PLACEMENT AGENT ("PA") WILL ALSO RECEIVE WARRANTS EQUAL TO 10% OF THE TOTAL AMOUNT OF SHARES SOLD BY SUCH PA.

2020-05-15

$2,148,354.00

$0.00

2020-02-20

$156,600.00

$0.00

2020-01-27

$1,200,000.00

Yes

$0.00

ASSUMES OFFERING IS FULLY SUBSCRIBED. EACH PLACEMENT AGENT ("PA") WILL ALSO RECEIVE WARRANTS EQUAL TO 10% OF THE TOTAL AMOUNT OF SHARES SOLD BY SUCH PA.

2020-01-13

$563,200.00

Yes

$0.00

ASSUMES OFFERING IS FULLY SUBSCRIBED. EACH PLACEMENT AGENT ("PA") WILL ALSO RECEIVE WARRANTS EQUAL TO 10% OF THE TOTAL AMOUNT OF NOTES SOLD BY SUCH PA DIVIDED BY $15.

2019-12-26

$472,300.00

Yes

$0.00

WARRANTS WERE ALSO ISSUED, OF WHICH THE VALUE CANNOT BE DETERMINED

2019-11-05

$267,893.00

Yes

$0.00

WARRANTS WERE ALSO ISSUED, THEIR VALUE IS NOT CURRENTLY DETERMINABLE.

2019-10-25

$113,071.00

$0.00

2019-08-16

$295,429.00

$30,000.00

2019-07-23

$50,606.00

Yes

$0.00

THE ISSUER WILL ALSO ISSUE WARRANTS TO ACQUIRE SERIES B PREFERRED STOCK TO THE BROKER.

2019-07-11

$35,606.00

$0.00

2019-06-25

$315,712.00

Yes

$0.00

IN ADDITION TO CASH COMPENSATION, A SALES COMMISSION IN THE FORM OF WARRANTS TO ACQUIRE SHARES OF THE ISSUER IS ISSUED BASED ON A PERCENTAGE OF SHARES SOLD.

2019-05-28

D/A

$129,659.00

$0.00

2019-05-28

D/A

$191,000.00

$0.00

2019-05-28

D/A

$24,992.00

$0.00

2019-05-28

D/A

$72,912.00

$0.00

2019-05-28

D/A

$32,808.00

$0.00

2019-05-28

D/A

$78,913.00

$0.00

2019-05-28

D/A

$324,400.00

$0.00

2019-05-10

$324,400.00

$0.00

2019-05-07

$78,913.00

$0.00

2018-10-26

$32,808.00

$0.00

2018-07-17

$3,000,000.00

$0.00

SALES COMMISSION ASSUMES OFFERING IS FULLY SUBSCRIBED. EACH PLACEMENT AGENT ("PA") WILL ALSO RECEIVE UNIT WARRANTS EQUAL TO 10% OF THE TOTAL UNITS SOLD BY SUCH PA, WITH GPN RECEIVING A BONUS OF 50,000 UNIT WARRANTS IF THEY SELL MORE THAN $10M OF UNITS.

2018-06-15

$0.00

THE PLACEMENT AGENT WAS GRANTED 97 UNITS OF CLASS A EQUITY MEMBERSHIP INTERESTS AND 668 UNITS OF CLASS B EQUITY MEMBERSHIP INTERESTS

2018-05-30

D/A

$240,066.00

$0.00

2018-03-06

$129,659.00

$0.00

2018-02-13

$24,992.00

$0.00

2018-02-12

$0.00

$1,535,284.00

Yes

2018-02-09

D/A

$0.00

$286,925.00

Yes

2018-02-02

D/A

$500,000.00

Yes

$0.00

UP TO $500,000, BASED ON 5% OF CERTAIN INVESTMENTS, TOGETHER WITH 5% WARRANT COVERAGE ON CERTAIN INVESTMENTS.

2017-12-28

$335,124.00

Yes

$0.00

Yes

SALES COMMISSIONS INCLUDES $191,986.59 CASH AND WARRANTS FOR $143,138.27

2017-12-14

$0.00

$212,500.00

2017-12-01

$115,436.00

$0.00

IN ADDITION TO CASH COMMISSIONS, PLACEMENT AGENT ALSO RECEIVED 5-YEAR WARRANTS TO PURCHASE UNITS EQUAL TO 10% OF THE NUMBER OF UNITS SOLD TO INVESTORS IN THE OFFERING INTRODUCED BY THE PLACEMENT AGENT.

2017-12-01

$250,000.00

$0.00

IN ADDITION TO CASH COMMISSION, PLACEMENT AGENT RECEIVED A 5-YEAR WARRANTS TO PURCHASE 383,000 SHARES OF COMMON STOCK OF THE COMPANY AT AN EXERCISE PRICE OF $0.0001 PER SHARE.

2017-10-30

$72,912.00

$0.00

2017-10-30

$191,000.00

$0.00

2017-10-20

$135,700.00

$0.00

2017-10-19

$202,294.00

$0.00

SALES COMMISSION RELATES TO CASH FEE OF 10% FROM $2,022,944.28 GROSS PROCEEDS. AMOUNTS DO NOT INCLUDE ADDITIONAL COMPENSATION IN THE FORM OF WARRANTS FOR THE PURCHASE OF UP TO 10% OF THE NUMBER OF EQUITY SECURITIES SOLD.

2017-08-24

D/A

$293,681.00

$0.00

2017-08-09

D/A

$500,000.00

Yes

$0.00

UP TO $500,000, BASED ON 5% OF CERTAIN INVESTMENTS, TOGETHER WITH 5% WARRANT COVERAGE ON CERTAIN INVESTMENTS.

2017-07-06

D/A