Douglas Croxall - Jan 12, 2020 Form 4 Insider Report for Crown Electrokinetics Corp. (CRKN)

Role: Chief Executive Officer, Director, 10%+ Owner
Signature: /s/ Douglas Croxall
Stock symbol: CRKN
Transactions as of: Jan 12, 2020
Transactions value $: -$900,000
Form type: 4
Date filed: 3/31/2023, 04:10 PM
Next filing: Dec 17, 2021

Transactions Table

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Ownership	Footnotes
transaction	CRKN	Common Stock	Disposed to Issuer	$0	-238K	-7.76%	$0.00	2.83M	Jan 12, 2020	See Footnote	F1, F2, F3
transaction	CRKN	Common Stock	Sale	-$900K	-1M	-35.34%	$0.90	1.83M	Nov 10, 2021	See Footnote	F2, F3

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Underlying Class	Amount	Exercise Price	Ownership	Footnotes
transaction	CRKN	Restricted Stock Units	Award	$0	+150K		$0.00	150K	Sep 23, 2022	Common Stock	150K		See Footnote	F2, F3, F4, F5
transaction	CRKN	Options to Purchase Common Stock	Award	$0	+150K	+4.66%	$0.00	3.37M	Sep 23, 2022	Common Stock	150K	$0.34	See Footnote	F2, F3, F5

* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id	Content
F1	Reflects the forfeiture of certain incentive compensation for no consideration.
F2	Share amount reflects 3-for-1 reverse stock split effected January 25, 2021.
F3	Held through Croxall Family Revocable Trust dated February 20, 2004.
F4	Each restricted stock unit represents a contingent right to receive one share of the Issuer's Common Stock.
F5	Subject to the Reporting Person remaining in continuous service with the Issuer through each applicable vesting date, 4,166 of the restricted stock units will vest monthly for a period of 36 months, beginning September 23, 2022.