News is generally released by the company through newswire services such as BusinessWire and MarketWire. In the interest of fair disclosure to the general public, we refrain from answering questions from individual investors regarding the company's development progress.

Our shareholder records are managed by Continental Stock. Continental, in business for almost 50 years, is one of the nation’s leading providers of securities processing and record keeping, and is ranked number one in industry-wide customer satisfaction and performance surveys. Continental was the recipient of the Talon Award (Transfer Agent Leader Overall North America) for the last four (4) years and has been rated the value leader in the stock transfer industry.

You may contact Continental directly with inquiries regarding your stock holdings, restrictions, address changes, transfer instructions, share balance information and forms in several ways:

• Change of address


• Transfer ownership of stock


• Request stock certificate(s)


• Request account statement

You can contact Continental Stock in the following ways:

Telephone: (800) 509-5586	Web: www.continentalstock.com
Regular Mail: Continental Stock Transfer & Trust Company 17 Battery Place - 8th Floor New York, NY 10004	Courier Delivery: Continental Stock Transfer & Trust Company 17 Battery Place - 8th Floor New York, NY 10004

Shareholders can retrieve information on account holdings, review transaction histories, change addresses, sell shares and take advantage of other valuable services. In addition, there is a FAQ available and downloadable forms.

If you own shares through a brokerage account, you should contact your broker for information related to those shares.

When selling shares from physical certificates bearing a “restrictive” legend, a legal opinion from the company’s securities counsel is required. Your broker should be able to handle everything for you. The company’s securities counsel is: Richardson and Associates 1453 Third Street Promenade, Suite 315 Santa Monica, CA 90401 Tel: (310) 393-9992 Fax: (310) 393-2004 Email: [email protected]

On February 24, 2015, we effected a 1-for-26 reverse split. If you held shares in a brokerage account, the number of shares has been reduced for a factor of 26. If you held shares in certificate form, you can contact our transfer agent to obtain a new Sunworks certificate with the corrected number of shares. If you have held your certificate for a long time, there may be other reverse splits that further reduced the number of shares beyond the factor of 26 described here.

Sunworks, Inc. is a Delaware corporation with a year end of December 31.

As disclosed in our public filings, some of our officers and directors receive equity rewards based on performance. These rewards include restricted stock grants and incentive stock options. Specific details of these incentive plans, including performance goals, vesting schedules and conversion requirements are disclosed in documents filed with the Securities and Exchange Commission (SEC). Further, trading of the company's common stock by officers and directors is governed by certain SEC rules. In most cases, receipt of vested shares is a taxable event. In order to pay income taxes and other expenses, holders must often sell shares in the open market. Shares may be sold according to a broker managed 10b-5 selling plan. Once the plan is in place, a broker periodically sells shares, according to certain formula and guidelines in the plan, including possible impact on market prices. This removes the stockholder from the stock trading decision-making process and eliminates potential conflicts arising from the holder's knowledge of inside information. From time to time, we may issue shares of common stock to acquire other companies. As a result, members of an acquired company's management team may receive shares of Sunworks common stock, which may constitute a taxable event for the holders. Some or all of these shares may be sold in the open market, and may be subject to a 10b-5 selling plan disclosed in public filings. Our Board of Directors believes that it is in the best interest of our shareholders to provide equity incentives to key members of the management team, some of whom may be working full time at less than market rates. Even though equity incentives represent dilution for current shareholders, the Board believes that equity incentives help align the interests of management with the interests of our shareholders.

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