| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | UPXI | Common Stock | Purchase | $100K | +43.9K | +287.08% | $2.28 | 59.1K | Apr 17, 2025 | Direct | F1 |
| transaction | UPXI | Common Stock | Award | $0 | +100K | +169.1% | $0.00 | 159K | Apr 17, 2025 | Direct | F2 |
Buy Plan / Sale Plan: These are also open market purchases/sales of shares, but in this case the transaction is part of a trading plan. Rule 10b5-1 allows insiders to setup a trading plan to buy/sell stocks over a certain period of time. Since the purchases/sales are predetermined, this protects the insiders from violating insider trading law.
Transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c).
| Id | Content |
|---|---|
| F1 | The Reporting Person purchased these shares in a PIPE offering conducted by the Issuer. The shares are restricted securities subject to transfer restrictions under Rule 144 of the Securities Act until such time that they are registered pursuant to a registration statement or become eligible for resale otherwise. |
| F2 | This award of the Shares is being made pursuant to the Issuer's Restricted Stock Award Agreement, subject to the following vesting schedule: 10,000 Shares vest per month over a period of 10 months commencing April 17, 2025. A portion of all of this award may be forfeited in the event of termination of employment. |