PMNT · Perfect Moment Ltd.
Substantial doubt about the company's ability to continue as a going concern.
“These matters raise substantial doubt about our ability to continue as a going concern.”View the 10-K filed Jun 29, 2026
Trades by corporate insiders — officers, directors and holders of more than 10% of the shares — disclosed to the SEC on Forms 3, 4 and 5. Form 4 must be filed within two business days of the trade.
| Date | Insider | Role | Type | Security | Shares |
|---|---|---|---|---|---|
| 2026-02-25 | Gottschalk Max |
Director, 10% Owner |
Buy↑
Filing footnotes — Common Stock (Indirect)
The aggregate number of shares of Issuer's common stock (the "Shares") purchased by the Reporting Person on the same day at different prices. Represents the weighted average purchase price. The Shares were purchased at prices ranging from $0.2500 to $0.24980 per share. Full information regarding the number of Shares sold at each price shall be provided to the Securities and Exchange Commission staff ("Staff"), Issuer or any security holder, upon request. The Gottschalk Family Trust is the 100% owner of Joachim Gottschalk & Associates Ltd. and Credit Suisse Trust Limited is the Trustee of the Gottschalk Family Trust. Credit Suisse Trust Limited takes direction from the Reporting Person's Spouse, as a beneficiary of the Gottschalk Family Trust. The Reporting Person disclaims beneficial ownership of the shares reported herein except to the extent of his pecuniary interest therein, if any, and the inclusion of these shares in this report shall not be deemed an admission that the Reporting Person is a beneficial owner of the securities reported in this filing for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). |
Common Stock
(I)
|
25,000 |
| 2026-02-25 | Gottschalk Max |
Director, 10% Owner |
Buy↑
Filing footnotes — Common Stock (Direct)
The aggregate number of shares of Issuer's common stock (the "Shares") purchased by the Reporting Person on the same day at different prices. Represents the weighted average purchase price. The Shares were purchased at prices ranging from $0.256540 to $0.24910 per share. Full information regarding the number of Shares sold at each price shall be provided to the Staff, Issuer or any security holder, upon request. |
Common Stock
|
4,050 |
| 2026-01-15 | Epstein Adam Zachary |
Director |
Other↓
Filing footnotes — Series AA Preferred Stock (Indirect)
Conversion of shares of preferred stock of Issuer held directly by MAZE Focus Fund LC ("Focus"), which was automatically convertible into shares of common stock of Issuer pursuant to the provisions of the Certificate of Designation of the 12% Series AA Convertible Preferred Stock, as amended. Reporting Person is the managing member of MAZE Investments LLC, which is the general partner of Focus, and has sole investment and dispositive power over such shares. Reporting Person disclaims beneficial ownership of such shares except to the extent of his pecuniary interest, if any, therein. |
Series AA Preferred Stock
(I)
|
60,340 |
| 2026-01-15 | Epstein Adam Zachary |
Director |
Other↑
Filing footnotes — Common Stock (Indirect)
Shares acquired pursuant to the automatic conversion of 12% Series AA Convertible Preferred Stock. See also footnotes 1 and 4. The 12% Series AA Convertible Preferred Stock automatically converted into common stock at the original purchase price of the Series AA Preferred Stock divided by $0.46822 for a conversion rate of $12.388 per share. Reporting Person is the managing member of MAZE Investments LLC, which is the general partner of Blue, and has sole investment and dispositive power over such shares. Reporting Person disclaims beneficial ownership of such shares except to the extent of his pecuniary interest, if any, therein. |
Common Stock
(I)
|
961,093 |
| 2026-01-15 | Gottschalk Max |
Director, 10% Owner |
Other↓
Filing footnotes — Series AA Preferred Stock (Indirect)
Conversion of shares of preferred stock of Issuer held by Joachim Gottschalk and Associates, which was automatically convertible into shares of common stock of Issuer pursuant to the provisions of the Certificate of Designation of the 12% Series AA Convertible Preferred Stock, as amended. The Gottschalk Family Trust is the 100% owner of Joachim Gottschalk & Associates Ltd. and Credit Suisse Trust Limited is the Trustee of the Gottschalk Family Trust. Credit Suisse Trust Limited takes direction from the Reporting Person's Spouse, as a beneficiary of the Gottschalk Family Trust. The Reporting Person disclaims beneficial ownership of the shares reported herein except to the extent of his pecuniary interest therein, if any, and the inclusion of these shares in this report shall not be deemed an admission that the Reporting Person is a beneficial owner of the securities reported in this filing for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). |
Series AA Preferred Stock
(I)
|
344,797 |
| 2026-01-15 | Epstein Adam Zachary |
Director |
Other↑
Filing footnotes — Common Stock (Indirect)
Shares acquired pursuant to the automatic conversion of 12% Series AA Convertible Preferred Stock. See also footnotes 5 and 4. The 12% Series AA Convertible Preferred Stock automatically converted into common stock at the original purchase price of the Series AA Preferred Stock divided by $0.46822 for a conversion rate of $12.388 per share. Reporting Person is the managing member of MAZE Investments LLC, which is the general partner of Focus, and has sole investment and dispositive power over such shares. Reporting Person disclaims beneficial ownership of such shares except to the extent of his pecuniary interest, if any, therein. |
Common Stock
(I)
|
747,517 |
| 2026-01-15 | Gottschalk Jane |
Director, President, 10% Owner |
Other↑
Filing footnotes — Common Stock (Indirect)
Shares acquired pursuant to the automatic conversion of 12% Series AA Convertible Preferred Stock. See also footnotes 1 and 4. The 12% Series AA Convertible Preferred Stock automatically converted into common stock at the original purchase price of the Series AA Preferred Stock divided by $0.46822 for a conversion rate of $12.388 per share. The Gottschalk Family Trust is the 100% owner of Joachim Gottschalk & Associates Ltd. and Credit Suisse Trust Limited is the Trustee of the Gottschalk Family Trust. Credit Suisse Trust Limited takes direction from Reporting Person as a beneficiary of the Gottschalk Family Trust. The Reporting Person disclaims beneficial ownership of the shares reported herein except to the extent of her pecuniary interest therein, if any, and the inclusion of these shares in this report shall not be deemed an admission that the Reporting Person is a beneficial owner of the securities reported in this filing for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). |
Common Stock
(I)
|
4,271,486 |
| 2026-01-15 | Gottschalk Max |
Director, 10% Owner |
Other↑
Filing footnotes — Common Stock (Indirect)
Shares acquired pursuant to the automatic conversion of 12% Series AA Convertible Preferred Stock. See also footnotes 1 and 4. The 12% Series AA Convertible Preferred Stock automatically converted into common stock at the original purchase price of the Series AA Preferred Stock divided by $0.46822 for a conversion rate of $12.388 per share. The Gottschalk Family Trust is the 100% owner of Joachim Gottschalk & Associates Ltd. and Credit Suisse Trust Limited is the Trustee of the Gottschalk Family Trust. Credit Suisse Trust Limited takes direction from the Reporting Person's Spouse, as a beneficiary of the Gottschalk Family Trust. The Reporting Person disclaims beneficial ownership of the shares reported herein except to the extent of his pecuniary interest therein, if any, and the inclusion of these shares in this report shall not be deemed an admission that the Reporting Person is a beneficial owner of the securities reported in this filing for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). |
Common Stock
(I)
|
4,271,486 |
| 2026-01-15 | Epstein Adam Zachary |
Director |
Other↓
Filing footnotes — Series AA Preferred Stock (Indirect)
Conversion of shares of preferred stock of Issuer held directly by Blue Opportunity Fund LP ("Blue"), which was automatically convertible into shares of common stock of Issuer pursuant to the provisions of the Certificate of Designation of the 12% Series AA Convertible Preferred Stock, as amended. Reporting Person is the managing member of MAZE Investments LLC, which is the general partner of Blue, and has sole investment and dispositive power over such shares. Reporting Person disclaims beneficial ownership of such shares except to the extent of his pecuniary interest, if any, therein. |
Series AA Preferred Stock
(I)
|
77,580 |
| 2025-10-01 | Hauptkorn Berndt Dieter |
Director |
Award↑
Filing footnotes — Common Stock (Direct)
Restricted stock units ("RSUs") granted pursuant to Issuer's 2021 Equity Incentive Plan, as amended. Such RSUs are common stock equivalents and represent a contingent right to receive common stock of Issuer upon vesting. RSUs vest in four installments of 13,587 shares on December 31, 2025, March 31, 2026, June 30, 2026 and September 30, 2026. Not applicable. |
Common Stock
|
54,348 |
| 2025-10-01 | Nixdorff Tim Bernd |
Director |
Award↑
Filing footnotes — Common Stock (Direct)
Restricted stock units ("RSUs") granted pursuant to Issuer's 2021 Equity Incentive Plan, as amended. Such RSUs are common stock equivalents and represent a contingent right to receive common stock of Issuer upon vesting. RSUs vest in four installments of 13,587 shares on December 31, 2025, March 31, 2026, June 30, 2026 and September 30, 2026. Not applicable. |
Common Stock
|
54,348 |
| 2025-10-01 | Epstein Adam Zachary |
Director |
Award↑
Filing footnotes — Employee Stock Options (right to buy) (Direct)
Employee stock options (right to buy) ("Options") granted pursuant to Issuer's 2021 Equity Incentive Plan, as amended. Not applicable. Options vest and are exercisable as follows: 16,440 Options on December 31, 2025 and March 31, 2026, and 16,439 Options on June 30, 2026 and September 30, 2026. |
Employee Stock Options (right to buy)
|
65,758 |
| 2025-10-01 | Keijsers Andre Ruben |
Director |
Award↑
Filing footnotes — Employee Stock Options (right to buy) (Direct)
Employee stock options (right to buy) ("Options") granted pursuant to Issuer's 2021 Equity Incentive Plan, as amended. Not applicable. Options vest and are exercisable as follows: 16,440 Options on December 31, 2025 and March 31, 2026, and 16,439 Options on June 30, 2026 and September 30, 2026. |
Employee Stock Options (right to buy)
|
65,758 |
| 2025-09-18 | Gottschalk Max |
Director, 10% Owner |
Award↑
Filing footnotes — Common Stock (Direct)
Restricted stock units ("RSUs") granted pursuant to Issuer's 2021 Equity Incentive Plan, as amended. Such RSUs are common stock equivalents and represent a contingent right to receive common stock of Issuer upon vesting. Such RSUs vest in equal installments beginning on December 31, 2025, and thereafter on March 31, June 30, September 30 and December 31 of 2026, 2027 and 2028, and March 31, June 30, and September 30, 2029. Not applicable. |
Common Stock
|
200,000 |
| 2025-09-18 | WEERASINGHE CHATH J. |
CFO, COO |
Award↑
Filing footnotes — Common Stock (Direct)
Restricted stock units ("RSUs") pursuant to Issuer's 2021 Equity Incentive Plan, as amended. Such RSUs are common stock equivalents and represent a contingent right to receive common stock of Issuer upon vesting. The RSUs vest in equal installments commencing on December 31, 2025, and thereafter on March 31, June 31, September 30, and December 31 of 2026, 2027, 2028, and March 31, June 30 and September 30, 2029. Not applicable. |
Common Stock
|
250,000 |
| 2025-09-18 | Keijsers Andre Ruben |
Director |
Award↑
Filing footnotes — Employee Stock Options (right to buy) (Direct)
Employee stock options (right to buy) ("Options") granted pursuant to Issuer's 2021 Equity Incentive Plan, as amended. Not applicable. Options vest as follows: 20,000 Options vest on September 18, 2025. Thereafter, Options vest and are exercisable in installments of 2,500 shares on October 1, 2025, January 1, April 1, July 1, and October 1, 2026, and January 1, April 1, and July 1, 2027. |
Employee Stock Options (right to buy)
|
40,000 |
| 2025-09-18 | Gottschalk Jane |
Director, President, 10% Owner |
Award↑
Filing footnotes — Common Stock (Direct)
Restricted stock units ("RSUs") granted pursuant to Issuer's 2021 Equity Incentive Plan, as amended. Such RSUs are common stock equivalents and represent a contingent right to receive common stock of Issuer upon vesting. RSUs vest in equal installments beginning on December 31, 2025, and thereafter thereafter on March 31, June 30, September 30, and December 31 of 2026, 2027 and 2028, and March 31, June 30 and September 30, 2029. Not applicable. |
Common Stock
|
250,000 |
| 2025-08-26 | Gottschalk Max |
Director, 10% Owner |
Award↑
Filing footnotes — Common Stock (Direct)
Restricted stock units ("RSUs") granted pursuant to Issuer's 2021 Equity Incentive Plan, as amended. Such RSUs are common stock equivalents and represent a contingent right to receive common stock of Issuer upon vesting. Such RSUs vested immediately upon grant. |
Common Stock
|
521,802 |
| 2025-08-26 | Gottschalk Max |
Director, 10% Owner |
Award↑
Filing footnotes — Restricted Stock Units (Direct)
Restricted stock units ("RSUs") granted pursuant to Issuer's 2021 Equity Incentive Plan, as amended. Such RSUs are common stock equivalents and represent a contingent right to receive common stock of Issuer upon vesting. Such RSUs are tied to satisfaction of certain performance criteria (other than the price of Issuer's common stock). Reporting Person may acquire shares of Issuer's common stock to the extent that the performance criteria are satisfied. Not applicable. See footnote 6. See footnote 6. |
Restricted Stock Units
|
130,451 |
| 2025-07-07 | Gottschalk Max |
Director, 10% Owner |
Buy↑
Filing footnotes — Common Stock (Direct)
The aggregate number of shares of Issuer's Class A common stock (the "Shares") purchased by the Reporting Person on the same day at different prices. |
Common Stock
|
5,900 |
| 2025-07-07 | Gottschalk Max |
Director, 10% Owner |
Buy↑
Filing footnotes — Common Stock (Indirect)
The aggregate number of shares of Issuer's Class A common stock (the "Shares") purchased by the Reporting Person on the same day at different prices. Represents the weighted average purchase price. The Shares were purchased at prices ranging from $0.27 to $0.2725 per share. Full information regarding the number of Shares sold at each price shall be provided to the Securities and Exchange Commission staff, Issuer or any security holder, upon request. The Gottschalk Family Trust is the 100% owner of Joachim Gottschalk & Associates Ltd. and Credit Suisse Trust Limited is the Trustee of the Gottschalk Family Trust. Credit Suisse Trust Limited takes direction from the Reporting Person's Spouse, as a beneficiary of the Gottschalk Family Trust. The Reporting Person disclaims beneficial ownership of the shares reported herein except to the extent of his pecuniary interest therein, if any, and the inclusion of these shares in this report shall not be deemed an admission that the Reporting Person is a beneficial owner of the securities reported in this filing for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). |
Common Stock
(I)
|
20,000 |
| 2025-07-03 | Gottschalk Max |
Director, 10% Owner |
Buy↑
Filing footnotes — Common Stock (Indirect)
The aggregate number of shares of Issuer's Class A common stock (the "Shares") purchased by the Reporting Person on the same day at different prices. Represents the weighted average purchase price. The Shares were purchased at prices ranging from $0.283 to $0.2990 per share. Full information regarding the number of Shares sold at each price shall be provided to the Securities and Exchange Commission staff (the "Staff"), Issuer or any security holder, upon request. The Gottschalk Family Trust is the 100% owner of Joachim Gottschalk & Associates Ltd. and Credit Suisse Trust Limited is the Trustee of the Gottschalk Family Trust. Credit Suisse Trust Limited takes direction from the Reporting Person's Spouse, as a beneficiary of the Gottschalk Family Trust. The Reporting Person disclaims beneficial ownership of the shares reported herein except to the extent of his pecuniary interest therein, if any, and the inclusion of these shares in this report shall not be deemed an admission that the Reporting Person is a beneficial owner of the securities reported in this filing for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). |
Common Stock
(I)
|
20,000 |
| 2025-06-30 | Benaron Reeve |
10% Owner |
Buy↑
Filing footnotes — Common Stock (Indirect)
Such securities include 861,995 shares of common stock issuable upon conversion of 172,399 shares of 12% Series AA Convertible Preferred Stock of Issuer (the "Preferred Stock") held by Kahala19 LLC. The Preferred Stock is convertible, at holder's option, at any time and from time to time, without payment of additional consideration, into shares of common stock determined by dividing the Original Issue Price by the Conversion Price in effect at the time of conversion, each subject to adjustment. Kahala19 LLC is the direct holder of such shares. The Reporting Person is the sole manager of Vantage19 LLC, the manager of Kahala19 LLC. Reporting Person has sole voting and dispositive power over all securities reported herein but disclaims beneficial ownership of such securities except to the extent of his pecuniary interest, if any, therein. |
Common Stock
(I)
|
1,000,000 |
| 2025-06-30 | Gottschalk Max |
Director, 10% Owner |
Buy↑
Filing footnotes — Common Stock (Indirect)
Issuer entered into a Securities Purchase Agreement (the "Agreement") with Joachim Gottschalk & Associates ("JGA"). Further to the Agreement, JGA, converted all principal and unpaid interest owing further to a promissory note evidencing a $500,000 loan previously made by JGA to the Issuer into 1,692,694 shares of common stock at a per share conversion rate of $0.30. See also footnote 2. The Gottschalk Family Trust is the 100% owner of Joachim Gottschalk & Associates Ltd. and Credit Suisse Trust Limited is the Trustee of the Gottschalk Family Trust. Credit Suisse Trust Limited takes direction from the Reporting Person's Spouse, as a beneficiary of the Gottschalk Family Trust. The Reporting Person disclaims beneficial ownership of the shares reported herein except to the extent of his pecuniary interest therein, if any, and the inclusion of these shares in this report shall not be deemed an admission that the Reporting Person is a beneficial owner of the securities reported in this filing for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). |
Common Stock
(I)
|
1,692,694 |
| 2025-03-28 | Gottschalk Max |
Director, 10% Owner |
Buy↑
Filing footnotes — Series AA Preferred Stock (Indirect)
Joachim Gottschalk & Associates Ltd. is 100% owned by the Gottschalk Family Trust (the "Trust") of which the Reporting Person is a beneficiary. Credit Suisse Trust Limited is the Trustee ("Trustee") of the Trust and takes direction from Reporting Person. Reporting Person disclaims beneficial ownership of the shares reported herein except to the extent of his pecuniary interest in the Trust. |
Series AA Preferred Stock
(I)
|
344,797 |
| 2025-03-07 | Gottschalk Max |
Director, 10% Owner |
Buy↑
Filing footnotes — Common Stock (Indirect)
The aggregate number of shares (the "Shares") of common stock of Issuer purchased by the Reporting Person on the same date at different prices. Represents the weighted average purchase price. The Shares were purchased at prices ranging from $1.07 to $1.10 per share. Full information regarding the number of Shares sold at each price shall be provided to the Staff, Issuer or any security holder, upon request. The Gottschalk Family Trust is the 100% owner of Joachim Gottschalk & Associates Ltd. and Credit Suisse Trust Limited is the Trustee of the Gottschalk Family Trust. Credit Suisse Trust Limited takes direction from the Reporting Person's Spouse, as a beneficiary of the Gottschalk Family Trust. The Reporting Person disclaims beneficial ownership of the shares reported herein except to the extent of his pecuniary interest therein, if any, and the inclusion of these shares in this report shall not be deemed an admission that the Reporting Person is a beneficial owner of the securities reported in this filing for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). |
Common Stock
(I)
|
3,500 |
| 2025-03-07 | Gottschalk Max |
Director, 10% Owner |
Buy↑
Filing footnotes — Common Stock (Direct)
The aggregate number of shares (the "Shares") of common stock of Issuer purchased by the Reporting Person on the same date at different prices. Represents the weighted average purchase price. The Shares were purchased at prices ranging from $1.045 to $1.108 per share. Full information regarding the number of Shares sold at each price shall be provided to the Staff, Issuer or any security holder, upon request. |
Common Stock
|
1,060 |
| 2025-03-06 | Gottschalk Max |
Director, 10% Owner |
Buy↑
Filing footnotes — Common Stock (Direct)
The aggregate number of shares (the "Shares") of common stock of Issuer purchased by the Reporting Person on the same date at different prices. Represents the weighted average purchase price. The Shares were purchased at prices ranging from $0.97 to $1.02 per share. Full information regarding the number of Shares sold at each price shall be provided to the Securities and Exchange Commission staff (the "Staff"), Issuer or any security holder, upon request. |
Common Stock
|
9,860 |
| 2025-03-05 | Gottschalk Max |
Director, 10% Owner |
Buy↑
Filing footnotes — Common Stock (Direct)
The aggregate number of shares (the "Shares") of common stock of Issuer purchased by the Reporting Person on the same date at different prices. Represents the weighted average purchase price. The Shares were purchased at prices ranging from $0.92 to $0.9905 per share. Full information regarding the number of Shares sold at each price shall be provided to the Securities and Exchange Commission staff (the "Staff"), Issuer or any security holder, upon request. |
Common Stock
|
8,761 |
| 2025-03-05 | Gottschalk Max |
Director, 10% Owner |
Buy↑
Filing footnotes — Common Stock (Indirect)
The aggregate number of shares (the "Shares") of common stock of Issuer purchased by the Reporting Person on the same date at different prices. Represents the weighted average purchase price. The Shares were purchased at prices ranging from $0.9799 to $0.99 per share. Full information regarding the number of Shares sold at each price shall be provided to the Staff, Issuer or any security holder, upon request. The Gottschalk Family Trust is the 100% owner of Joachim Gottschalk & Associates Ltd. and Credit Suisse Trust Limited is the Trustee of the Gottschalk Family Trust. Credit Suisse Trust Limited takes direction from the Reporting Person's Spouse, as a beneficiary of the Gottschalk Family Trust. The Reporting Person disclaims beneficial ownership of the shares reported herein except to the extent of his pecuniary interest therein, if any, and the inclusion of these shares in this report shall not be deemed an admission that the Reporting Person is a beneficial owner of the securities reported in this filing for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). |
Common Stock
(I)
|
3,000 |
| 2025-03-04 | Gottschalk Max |
Director, 10% Owner |
Buy↑
Filing footnotes — Common Stock (Direct)
The aggregate number of shares (the "Shares") of common stock of Issuer purchased by the Reporting Person on the same date at different prices. Represents the weighted average purchase price. The Shares were purchased at prices ranging from $0.0.93015 to $0.0.98505 per share. Full information regarding the number of Shares sold at each price shall be provided to the Securities and Exchange Commission staff (the "Staff"), Issuer or any security holder, upon request. |
Common Stock
|
9,739 |
| 2025-03-04 | Gottschalk Max |
Director, 10% Owner |
Buy↑
Filing footnotes — Common Stock (Indirect)
The Gottschalk Family Trust is the 100% owner of Joachim Gottschalk & Associates Ltd. and Credit Suisse Trust Limited is the Trustee of the Gottschalk Family Trust. Credit Suisse Trust Limited takes direction from the Reporting Person's Spouse, as a beneficiary of the Gottschalk Family Trust. The Reporting Person disclaims beneficial ownership of the shares reported herein except to the extent of his pecuniary interest therein, if any, and the inclusion of these shares in this report shall not be deemed an admission that the Reporting Person is a beneficial owner of the securities reported in this filing for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). |
Common Stock
(I)
|
4,000 |
| 2025-03-03 | Gottschalk Max |
Director, 10% Owner |
Buy↑
Filing footnotes — Common Stock (Direct)
The aggregate number of shares of Issuer's Class A common stock (the "Shares") purchased by the Reporting Person on the same day at different prices. Represents the weighted average purchase price. The Shares were purchased at prices ranging from $0.895 to $0.91 per share. Full information regarding the number of Shares sold at each price shall be provided to the Staff, Issuer or any security holder, upon request. |
Common Stock
|
1,000 |
| 2025-03-03 | Gottschalk Max |
Director, 10% Owner |
Buy↑
Filing footnotes — Common Stock (Indirect)
The aggregate number of shares of Issuer's Class A common stock (the "Shares") purchased by the Reporting Person on the same day at different prices. Represents the weighted average purchase price. The Shares were purchased at prices ranging from $0.8999 to $0.96 per share. Full information regarding the number of Shares sold at each price shall be provided to the Securities and Exchange Commission staff the "Staff"), Issuer or any security holder, upon request. The Gottschalk Family Trust is the 100% owner of Joachim Gottschalk & Associates Ltd. and Credit Suisse Trust Limited is the Trustee of the Gottschalk Family Trust. Credit Suisse Trust Limited takes direction from the Reporting Person's Spouse, as a beneficiary of the Gottschalk Family Trust. The Reporting Person disclaims beneficial ownership of the shares reported herein except to the extent of his pecuniary interest therein, if any, and the inclusion of these shares in this report shall not be deemed an admission that the Reporting Person is a beneficial owner of the securities reported in this filing for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). |
Common Stock
(I)
|
7,000 |
| 2025-02-27 | Gottschalk Max |
Director, 10% Owner |
Buy↑
Filing footnotes — Common Stock (Indirect)
The Gottschalk Family Trust is the 100% owner of Joachim Gottschalk & Associates Ltd. and Credit Suisse Trust Limited is the Trustee of the Gottschalk Family Trust. Credit Suisse Trust Limited takes direction from the Reporting Person's Spouse, as a beneficiary of the Gottschalk Family Trust. The Reporting Person disclaims beneficial ownership of the shares reported herein except to the extent of his pecuniary interest therein, if any, and the inclusion of these shares in this report shall not be deemed an admission that the Reporting Person is a beneficial owner of the securities reported in this filing for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). |
Common Stock
(I)
|
10,000 |
| 2025-02-25 | Gottschalk Max |
Director, 10% Owner |
Buy↑
Filing footnotes — Common Stock (Indirect)
The aggregate number of shares (the "Shares") of common stock of Issuer purchased by the Reporting Person on the same date at different prices. Represents the weighted average purchase price. The Shares were purchased at prices ranging from $1.005 to $1.030 per share. Full information regarding the number of Shares sold at each price shall be provided to the Staff, Issuer or any security holder, upon request. The Gottschalk Family Trust (the "Trust") is the 100% owner of Joachim Gottschalk & Associates Ltd. Credit Suisse Trust Limited is the Trustee ("Trustee") of the Trust and takes direction from Reporting Person, who is a beneficiary of the Trust. Reporting Person disclaims beneficial ownership of the shares reported herein except to the extent of his pecuniary interest in the Trust. |
Common Stock
(I)
|
23,000 |
| 2025-02-24 | Gottschalk Max |
Director, 10% Owner |
Buy↑
Filing footnotes — Common Stock (Indirect)
The aggregate number of shares (the "Shares") of common stock of Issuer purchased by the Reporting Person on the same date at different prices. Represents the weighted average purchase price. The Shares were purchased at prices ranging from $1.010 to $1.020 per share. Full information regarding the number of Shares sold at each price shall be provided to the Securities and Exchange Commission staff (the "Staff"), Issuer or any security holder, upon request. The Gottschalk Family Trust (the "Trust") is the 100% owner of Joachim Gottschalk & Associates Ltd. Credit Suisse Trust Limited is the Trustee ("Trustee") of the Trust and takes direction from Reporting Person, who is a beneficiary of the Trust. Reporting Person disclaims beneficial ownership of the shares reported herein except to the extent of his pecuniary interest in the Trust. |
Common Stock
(I)
|
15,000 |
| 2025-02-21 | Gottschalk Max |
Director, 10% Owner |
Buy↑
Filing footnotes — Common Stock (Indirect)
The Gottschalk Family Trust (the "Trust") is the 100% owner of Joachim Gottschalk & Associates Ltd. Credit Suisse Trust Limited is the Trustee ("Trustee") of the Trust and takes direction from Reporting Person, who is a beneficiary of the Trust. Reporting Person disclaims beneficial ownership of the shares reported herein except to the extent of his pecuniary interest in the Trust. |
Common Stock
(I)
|
13,000 |
| 2025-02-03 | WEERASINGHE CHATH J. |
CFO, COO |
Other↑
|
No Securities Owned
|
0 |
| 2025-02-03 | WEERASINGHE CHATH J. |
CFO, COO |
Award↑
Filing footnotes — Common Stock (Direct)
Grant of restricted stock units ("RSUs") pursuant to Issuer's 2021 Equity Incentive Plan. Such RSUs are common stock equivalents and represent a contingent right to receive common stock of Issuer upon vesting. The RSUs will vest 25% on the one year anniversary of the date of grant. The remaining 75% will vest quarterly over the following three years in 1/16th installments of 18,750 RSUs on each quarterly vesting date. Not applicable. |
Common Stock
|
300,000 |
| 2025-01-15 | Gottschalk Jane |
Director, President, 10% Owner |
Other↓
Filing footnotes — Series AA Preferred Stock (Indirect)
Conversion of shares of preferred stock of Issuer held by Joachim Gottschalk and Associates, which was automatically convertible into shares of common stock of Issuer pursuant to the provisions of the Certificate of Designation of the 12% Series AA Convertible Preferred Stock, as amended. The Gottschalk Family Trust is the 100% owner of Joachim Gottschalk & Associates Ltd. and Credit Suisse Trust Limited is the Trustee of the Gottschalk Family Trust. Credit Suisse Trust Limited takes direction from Reporting Person as a beneficiary of the Gottschalk Family Trust. The Reporting Person disclaims beneficial ownership of the shares reported herein except to the extent of her pecuniary interest therein, if any, and the inclusion of these shares in this report shall not be deemed an admission that the Reporting Person is a beneficial owner of the securities reported in this filing for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). |
Series AA Preferred Stock
(I)
|
344,797 |
| 2024-12-05 | Gottschalk Max |
Director, 10% Owner |
Other↓
Filing footnotes — Employee Stock Options (right to buy) (Indirect)
On December 5, 2024, the board of directors of Issuer cancelled such options. |
Employee Stock Options (right to buy)
(I)
|
300,000 |
| 2024-12-05 | CLAYBORNE JEFF |
Chief Financial Officer |
Other↓
Filing footnotes — Employee Stock Options (right to buy) (Direct)
On December 5, 2024, the board of directors of Issuer cancelled such options. |
Employee Stock Options (right to buy)
|
300,000 |
| 2024-12-05 | Gottschalk Jane |
Director, President, 10% Owner |
Award↑
Filing footnotes — Common Stock (Direct)
Grant of restricted stock units ("RSUs"). Such RSUs are common stock equivalents and represent a contingent right to receive common stock of Issuer upon vesting. RSUs vest 25% on December 5, 2024, and 25% thereafter on October 20th of 2025, 2026 and 2027. Not applicable. |
Common Stock
|
300,000 |
| 2024-12-05 | CLAYBORNE JEFF |
Chief Financial Officer |
Award↑
Filing footnotes — Common Stock (Direct)
Grant of restricted stock units ("RSUs"). The RSUs are common stock equivalents and represent a contingent right to receive common stock of Issuer upon vesting. RSUs vest 25% on October 20th of 2025, 2026, 2027 and 2028. Not applicable. |
Common Stock
|
106,667 |
| 2024-12-05 | Gottschalk Jane |
Director, President, 10% Owner |
Other↓
Filing footnotes — Employee Stock Options (right to buy) (Direct)
On December 5, 2024, the board of directors of Issuer cancelled such options. |
Employee Stock Options (right to buy)
|
300,000 |
| 2024-12-05 | CLAYBORNE JEFF |
Chief Financial Officer |
Award↑
Filing footnotes — Common Stock (Direct)
Grant of restricted stock units ("RSUs"). The RSUs are common stock equivalents and represent a contingent right to receive common stock of Issuer upon vesting. RSUs vest 25% on December 5, 2024, and 25% thereafter on October 20th of 2025, 2026 and 2027. Not applicable. |
Common Stock
|
300,000 |
| 2024-12-05 | Gottschalk Max |
Director, 10% Owner |
Award↑
Filing footnotes — Common Stock (Indirect)
Grant of restricted stock units ("RSUs") made by Issuer to Reporting Person's spouse. The RSUs are common stock equivalents and represent a contingent right to receive common stock of Issuer upon vesting. RSUs vest 25% on December 5, 2024, and 25% thereafter on October 20th of 2025, 2026 and 2027. Not applicable. Shares owned by Reporting Person's spouse Jane Gottschalk. Reporting Person and his spouse each share voting and dispositive control over the shares of common stock beneficially owned by the other. |
Common Stock
(I)
|
300,000 |
| 2024-07-17 | Gottschalk Jane |
Director, President, 10% Owner |
Buy↑
Filing footnotes — Common Stock (Indirect)
The Gottschalk Family Trust is the 100% owner of Joachim Gottschalk & Associates Ltd. and Credit Suisse Trust Limited is the Trustee of the Gottschalk Family Trust. Credit Suisse Trust Limited takes direction from the Reporting Person's Spouse, as a beneficiary of the Gottschalk Family Trust. The Reporting Person disclaims beneficial ownership of the shares reported herein except to the extent of his pecuniary interest therein, if any, and the inclusion of these shares in this report shall not be deemed an admission that the Reporting Person is a beneficial owner of the securities reported in this filing for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). |
Common Stock
(I)
|
2,400 |
| 2024-07-17 | Gottschalk Max |
Director, 10% Owner |
Buy↑
Filing footnotes — Common Stock (Indirect)
The Gottschalk Family Trust is the 100% owner of Joachim Gottschalk & Associates Ltd. and Credit Suisse Trust Limited is the Trustee of the Gottschalk Family Trust. Credit Suisse Trust Limited takes direction from the Reporting Person, as a beneficiary of the Gottschalk Family Trust. The Reporting Person disclaims beneficial ownership of the shares reported herein except to the extent of his pecuniary interest therein, if any, and the inclusion of these shares in this report shall not be deemed an admission that the Reporting Person is a beneficial owner of the securities reported in this filing for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). |
Common Stock
(I)
|
2,400 |