Allan Marshall - Nov 15, 2023 Form 4 Insider Report for UPEXI, INC. (UPXI)

Role: CHIEF EXECUTIVE OFFICER, Director, 10%+ Owner
Signature: /s/ /Clint J. Gage/, Attorney-in-Fact
Stock symbol: UPXI
Transactions as of: Nov 15, 2023
Transactions value $: $0
Form type: 4
Date filed: 11/29/2023, 07:02 PM
Previous filing: Jul 7, 2023
Next filing: Dec 6, 2023

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	UPXI	Common Stock Warrants	Purchase	$0	+375K	+18%	$0.00	2.46M	Nov 15, 2023	Common Stock	375K	$1.10	Direct

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

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).