Abiopharma

🔍 Kay Jeffrey R. (Executive)

Company: SHF Holdings, Inc. (SHFS)

Report Date: 2025-09-30

Detailed Transactions and Holdings:

• Acquired 8,114 shares of Series B Convertible Preferred Stock at $7.7644 per share (Derivative)
  Date: 2025-09-30 | Code: P | Exercise: 2025-09-30 | equity_swap_involved: 0 | shares_owned_after: 63.00 | transaction_form_type: 4 | Footnotes: F1, F3
• Acquired 4,057 shares of Series B Warrant to Purchase Common Stock (Right to Buy) at $7.7644 per share (Derivative)
  Date: 2025-09-30 | Code: P | Expires: 2029-05-10 | Exercise: 2026-05-11 | equity_swap_involved: 0 | shares_owned_after: 4,057.00 | transaction_form_type: 4 | Footnotes: F1
• Sold 7,986 shares of Series B Convertible Preferred Stock at $7.7644 per share (Derivative)
  Date: 2025-12-10 | Code: J | Exercise: 2025-09-30 | equity_swap_involved: 0 | shares_owned_after: 62.00 | transaction_form_type: 4 | Footnotes: F1, F4, F3
• Sold 7,858 shares of Series B Convertible Preferred Stock at $7.7644 per share (Derivative)
  Date: 2025-12-31 | Code: J | Exercise: 2025-09-30 | equity_swap_involved: 0 | shares_owned_after: 61.00 | transaction_form_type: 4 | Footnotes: F1, F5, F3

Footnotes:

• F1: This transaction is being reported late due to an inadvertent administrative oversight.
• F2: On September 30, 2025, the Reporting Person entered into a Securities Purchase Agreement with SHF Holdings, Inc. (the "Issuer"), pursuant to which the Issuer issued and sold to the Reporting Person 63 shares of the Issuer's Series B Convertible Preferred Stock (the "Series B Preferred Stock") and common stock purchase warrants (the "Series B Warrants") to initially acquire up to 4,057 shares of the Issuer's common stock on the same terms and conditions as the other participants in the transaction. The Reporting Person's acquisition of the Series B Preferred Stock and the Series B Warrants was subject to shareholder approval, which was obtained on November 6, 2025.
• F3: The Series B Preferred Stock is perpetual and therefore has no expiration date.
• F4: On December 10, 2025, the Issuer redeemed one share of the Reporting Person's Series B Preferred Stock in accordance with the terms of the Series B Preferred Stock's Certificate of Designation.
• F5: On December 31, 2025, the Issuer redeemed one share of the Reporting Person's Series B Preferred Stock in accordance with the terms of the Series B Preferred Stock's Certificate of Designation.