BBLG

SEC source: 0001493152-21-025816 · ownership.xml · nonDerivative · entry 4

Hankey Don · CIK 0001561288 · Director · Chairman of the Board · 10% owner

HANKEY CAPITAL, LLC · CIK 0001675964 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · BY HANKEY CAPITAL, LLC

Disclosed balance after: 7,025,802

F4 · kind: Represents shares gifted to third parties.

SEC source: 0001493152-21-025816 · ownership.xml · nonDerivative · entry 3

Hankey Don · CIK 0001561288 · Director · Chairman of the Board · 10% owner

HANKEY CAPITAL, LLC · CIK 0001675964 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · BY HANKEY CAPITAL, LLC

Disclosed balance after: 8,030,112

F3 · kind: Represents shares purchased in the Issuer's public offering of units, with each unit consisting of one share of Common Stock and one Warrant. The allocation of a unit is $5.24 for a common share, and $0.01 for a warrant.

SEC source: 0001493152-21-025816 · ownership.xml · nonDerivative · entry 2

Hankey Don · CIK 0001561288 · Director · Chairman of the Board · 10% owner

HANKEY CAPITAL, LLC · CIK 0001675964 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · BY HANKEY CAPITAL, LLC

Disclosed balance after: 7,553,922

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · kind: Represents cancelation of collateral shares issued to secure the debt.

SEC source: 0001493152-21-025816 · ownership.xml · nonDerivative · entry 1

Hankey Don · CIK 0001561288 · Director · Chairman of the Board · 10% owner

HANKEY CAPITAL, LLC · CIK 0001675964 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · BY HANKEY CAPITAL, LLC

Disclosed balance after: 16,915,624

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: Represents shares issued upon conversion of debt at a conversion rate of $2.50 per share.

SEC source: 0001493152-20-000773 · ownership.xml · nonDerivative · entry 1

Hankey Don · CIK 0001561288 · Director · Chairman of the Board · 10% owner

HANKEY CAPITAL, LLC · CIK 0001675964 · 10% owner

Don Hankey Trust · CIK 0001747743 · affiliate of 10% owner/dir

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Hankey Capital, LLC

Disclosed balance after: 28,563,398

F1 · shares: Consists of shares transferred from H&H Funding LLC ("H&H") to Hankey Capital LLC ("Hankey Capital"). Hankey Capital is owned by Hankey Investment Company LP ("HIC") of which the Don Hankey Trust (the "Trust") owns a 66.09% interest. HIC is owned by Knight Services Inc. of which the Trust is the sole owner. Don Hankey is the sole trustee of the Trust. Mr. Hankey is the sole manager of H&H. Mr. Hankey disclaims beneficial ownership in the shares held by Hankey Capital and H&H except to the extent of his pecuniary interest.

F2 · balance_after: Mr. Hankey is the beneficial owner of 28,563,398 shares of the Company consisting of 4,062,870 shares owned by Hankey Capital, 23,404,255 Collateral Shares for which Hankey Capital has voting rights, 335,000 shares issuable to Hankey Capital upon conversion of debt, 361,640 shares owned by the Don Hankey Trust (the "Trust") of which Mr. Hankey is the Trustee, 79,240 shares held by H&H Funding LLC and 320,393 shares issuable upon exercise of warrants issued to Hankey Capital.

SEC source: 0001493152-20-000776 · ownership.xml · nonDerivative · entry 1

Hankey Bret · CIK 0001747562 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Hankey Capital, LLC

Disclosed balance after: 28,122,518

F1 · shares: Consists of shares transferred from H&H Funding LLC to Hankey Capital LLC ("Hankey Capital"). Hankey Capital is owned by Hankey Investment Company LP ("HIC") of which the Bret Hankey Trust (the "Bret Trust") owns a 5.83% interest, the Rufus and Bret Hankey Trust (the "RB Trust") owns a 0.94% interest and the Hankey Children's Trust (the "Children's Trust") owns a 0.99% interest. Mr. Hankey is the settlor and trustee of the Bret Trust and Mr. Hankey's immediate family are beneficiaries of the Bret Trust; Mr. Hankey is one of the settlors of the RB Trust, of which, the Bret Trust is one of the beneficiaries and Mr. Hankey is a successor trustee of the Children's Trust. Mr. Hankey disclaims beneficial ownership in the shares held by Hankey Capital except to the extent of his or his immediate family's pecuniary interest.

F2 · balance_after: Consists of shares held by Hankey Capital. Mr. Hankey disclaims beneficial ownership in the shares held by Hankey Capital except to the extent of his or his immediate family's pecuniary interest.

SEC source: 0001493152-19-011867 · ownership.xml · nonDerivative · entry 1

Hankey Bret · CIK 0001747562 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Hankey Capital, LLC

Disclosed balance after: 27,829,860

F1 · shares: Consists of shares held by Hankey Capital LLC ("Hankey Capital") as collateral for the repayment of convertible notes (the "Notes") issued to Hankey Capital (the "Collateral Shares"). Hankey Capital may not transfer, sell or otherwise dispose of any of the Collateral Shares, except during the existence of Event of Default under the Notes in connection with the exercise of its rights and remedies as a secured lender.

F2 · shares: Hankey Capital is owned by Hankey Investment Company LP ("HIC") of which the Bret Hankey Trust (the "Bret Trust") owns a 5.83% interest, the Rufus and Bret Hankey Trust (the "RB Trust") owns a 0.94% interest and the Hankey Children's Trust (the "Children's Trust") owns a 0.99% interest. Mr. Hankey is the settlor and trustee of the Bret Trust and Mr. Hankey's immediate family are beneficiaries of the Bret Trust; Mr. Hankey is one of the settlors of the RB Trust, of which, the Bret Trust is one of the beneficiaries and Mr. Hankey is a successor trustee of the Children's Trust. Mr. Hankey disclaims beneficial ownership in the shares held by Hankey Capital except to the extent of his or his immediate family's pecuniary interest.

F3 · balance_after: Consists of shares held by Hankey Capital. Mr. Hankey disclaims beneficial ownership in the shares held by Hankey Capital except to the extent of his or his immediate family's pecuniary interest.

SEC source: 0001493152-19-011866 · ownership.xml · nonDerivative · entry 1

Hankey Don · CIK 0001561288 · Director · Chairman of the Board · 10% owner

HANKEY CAPITAL, LLC · CIK 0001675964 · 10% owner

Don Hankey Trust · CIK 0001747743 · affiliate of 10% owner/dir

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Hankey Capital, LLC

Disclosed balance after: 28,465,740

F1 · shares: Consists of shares held by Hankey Capital LLC ("Hankey Capital") as collateral for the repayment of convertible notes (the "Notes") issued to Hankey Capital (the "Collateral Shares"). Hankey Capital may not transfer, sell or otherwise dispose of any of the Collateral Shares, except during the existence of Event of Default under the Notes in connection with the exercise of its rights and remedies as a secured lender. Hankey Capital is owned by Hankey Investment Company LP ("HIC") of which the Don Hankey Trust (the "Trust") owns a 66.09% interest. HIC is owned by Knight Services Inc. of which the Trust is the sole owner. Don Hankey is the sole trustee of the Trust. Mr. Hankey disclaims beneficial ownership in the shares held by Hankey Capital except to the extent of his pecuniary interest.

F2 · balance_after: Mr. Hankey is the beneficial owner of 28,465,740 shares of the Company consisting of 3,867,870 shares owned by Hankey Capital, 23,404,255 Collateral Shares for which Hankey Capital has voting rights, 361,640 shares owned by the Don Hankey Trust (the "Trust") of which Mr. Hankey is the Trustee, 274,240 shares held by H&H Funding LLC of which Mr. Hankey is the sole manager and 557,735 shares issuable upon exercise of warrants issued to Hankey Capital.

SEC source: 0001493152-19-010727 · ownership.xml · nonDerivative · entry 1

Hankey Don · CIK 0001561288 · Director · Chairman of the Board · 10% owner

HANKEY CAPITAL, LLC · CIK 0001675964 · 10% owner

Don Hankey Trust · CIK 0001747743 · affiliate of 10% owner/dir

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Hankey Capital, LLC

Disclosed balance after: 27,912,549

F1 · shares: Consists of shares held by Hankey Capital LLC ("Hankey Capital") as collateral for the repayment of convertible notes (the "Notes") issued to Hankey Capital (the "Collateral Shares"). Hankey Capital may not transfer, sell or otherwise dispose of any of the Collateral Shares, except during the existence of Event of Default under the Notes in connection with the exercise of its rights and remedies as a secured lender. Hankey Capital is owned by Hankey Investment Company LP ("HIC") of which the Don Hankey Trust (the "Trust") owns a 66.09% interest. HIC is owned by Knight Services Inc. of which the Trust is the sole owner. Don Hankey is the sole trustee of the Trust. Mr. Hankey disclaims beneficial ownership in the shares held by Hankey Capital except to the extent of his pecuniary interest.

F2 · balance_after: Mr. Hankey is the beneficial owner of 27,912,549 shares of the Company consisting of 3,867,870 shares owned by Hankey Capital, 22,851,064 Collateral Shares for which Hankey Capital has voting rights, 361,640 shares owned by the Don Hankey Trust (the "Trust") of which Mr. Hankey is the Trustee, 274,240 shares held by H&H Funding LLC of which Mr. Hankey is the sole manager and 557,735 shares issuable upon exercise of warrants issued to Hankey Capital.

SEC source: 0001493152-19-010724 · ownership.xml · nonDerivative · entry 1

Hankey Bret · CIK 0001747562 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · BY HANKEY CAPITAL, LLC

Disclosed balance after: Not disclosed

F1 · shares: Consists of shares held by Hankey Capital LLC ("Hankey Capital") as collateral for the repayment of convertible notes (the "Notes") issued to Hankey Capital (the "Collateral Shares"). Hankey Capital may not transfer, sell or otherwise dispose of any of the Collateral Shares, except during the existence of Event of Default under the Notes in connection with the exercise of its rights and remedies as a secured lender.

F2 · shares: Hankey Capital is owned by Hankey Investment Company LP ("HIC") of which the Bret Hankey Trust (the "Bret Trust") owns a 5.83% interest, the Rufus and Bret Hankey Trust (the "RB Trust") owns a 0.94% interest and the Hankey Children's Trust (the "Children's Trust") owns a 0.99% interest. Mr. Hankey is the settlor and trustee of the Bret Trust and Mr. Hankey's immediate family are beneficiaries of the Bret Trust; Mr. Hankey is one of the settlors of the RB Trust, of which, the Bret Trust is one of the beneficiaries and Mr. Hankey is a successor trustee of the Children's Trust. Mr. Hankey disclaims beneficial ownership in the shares held by Hankey Capital except to the extent of his or his immediate family's pecuniary interest.

F3 · valueOwnedAfter: Consists of shares held by Hankey Capital. Mr. Hankey disclaims beneficial ownership in the shares held by Hankey Capital except to the extent of his or his immediate family's pecuniary interest.

SEC source: 0001493152-19-009561 · ownership.xml · nonDerivative · entry 1

Hankey Don · CIK 0001561288 · Director · Chairman of the Board · 10% owner

HANKEY CAPITAL, LLC · CIK 0001675964 · 10% owner

Don Hankey Trust · CIK 0001747743 · affiliate of 10% owner/dir

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Hankey Capital, LLC

Disclosed balance after: Not disclosed

F1 · shares: Consists of shares held by Hankey Capital LLC ("Hankey Capital") as collateral for the repayment of convertible notes (the "Notes") issued to Hankey Capital (the "Collateral Shares"). Hankey Capital may not transfer, sell or otherwise dispose of any of the Collateral Shares, except during the existence of Event of Default under the Notes in connection with the exercise of its rights and remedies as a secured lender. Hankey Capital is owned by Hankey Investment Company LP ("HIC") of which the Don Hankey Trust (the "Trust") owns a 66.09% interest. HIC is owned by Knight Services Inc. of which the Trust is the sole owner. Don Hankey is the sole trustee of the Trust. Mr. Hankey disclaims beneficial ownership in the shares held by Hankey Capital except to the extent of his pecuniary interest.

F2 · valueOwnedAfter: Mr. Hankey is the beneficial owner of 27,827,443 shares of the Company consisting of 3,867,870 shares owned by Hankey Capital, 22,765,958 Collateral Shares for which Hankey Capital has voting rights, 361,640 shares owned by the Don Hankey Trust (the "Trust") of which Mr. Hankey is the Trustee, 274,240 shares held by H&H Funding LLC of which Mr. Hankey is the sole manager and 557,735 shares issuable upon exercise of warrants issued to Hankey Capital.

SEC source: 0001493152-19-009559 · ownership.xml · nonDerivative · entry 1

Hankey Bret · CIK 0001747562 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Hankey Capital, LLC

Disclosed balance after: 27,191,563

F1 · shares: Consists of shares held by Hankey Capital LLC ("Hankey Capital") as collateral for the repayment of convertible notes (the "Notes") issued to Hankey Capital (the "Collateral Shares"). Hankey Capital may not transfer, sell or otherwise dispose of any of the Collateral Shares, except during the existence of Event of Default under the Notes in connection with the exercise of its rights and remedies as a secured lender.

F2 · shares: Hankey Capital is owned by Hankey Investment Company LP ("HIC") of which the Bret Hankey Trust (the "Bret Trust") owns a 5.83% interest, the Rufus and Bret Hankey Trust (the "RB Trust") owns a 0.94% interest and the Hankey Children's Trust (the "Children's Trust") owns a 0.99% interest. Mr. Hankey is the settlor and trustee of the Bret Trust and Mr. Hankey's immediate family are beneficiaries of the Bret Trust; Mr. Hankey is one of the settlors of the RB Trust, of which, the Bret Trust is one of the beneficiaries and Mr. Hankey is a successor trustee of the Children's Trust. Mr. Hankey disclaims beneficial ownership in the shares held by Hankey Capital except to the extent of his or his immediate family's pecuniary interest.

F3 · balance_after: Consists of shares held by Hankey Capital. Mr. Hankey disclaims beneficial ownership in the shares held by Hankey Capital except to the extent of his or his immediate family's pecuniary interest.

SEC source: 0001493152-19-008227 · ownership.xml · nonDerivative · entry 1

Hankey Don · CIK 0001561288 · Director · Chairman of the Board · 10% owner

HANKEY CAPITAL, LLC · CIK 0001675964 · 10% owner

Don Hankey Trust · CIK 0001747743 · affiliate of 10% owner/dir

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Hankey Capital, LLC

Disclosed balance after: 26,763,613

F1 · shares: Consists of shares held by Hankey Capital LLC ("Hankey Capital") as collateral for the repayment of convertible notes (the "Notes") issued to Hankey Capital (the "Collateral Shares"). Hankey Capital may not transfer, sell or otherwise dispose of any of the Collateral Shares, except during the existence of Event of Default under the Notes in connection with the exercise of its rights and remedies as a secured lender. Hankey Capital is owned by Hankey Investment Company LP ("HIC") of which the Don Hankey Trust (the "Trust") owns a 66.09% interest. HIC is owned by Knight Services Inc. of which the Trust is the sole owner. Don Hankey is the sole trustee of the Trust. Mr. Hankey disclaims beneficial ownership in the shares held by Hankey Capital except to the extent of his pecuniary interest.

F2 · balance_after: Mr. Hankey is the beneficial owner of 26,763,613 shares of the Company consisting of 3,867,870 shares owned by Hankey Capital, 21,702,128 Collateral Shares for which Hankey Capital has voting rights, 361,640 shares owned by the Don Hankey Trust (the "Trust") of which Mr. Hankey is the Trustee, 274,240 shares held by H&H Funding LLC of which Mr. Hankey is the sole manager and 557,735 shares issuable upon exercise of warrants issued to Hankey Capital.

SEC source: 0001493152-19-008226 · ownership.xml · nonDerivative · entry 1

Hankey Bret · CIK 0001747562 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Hankey Capital, LLC

Disclosed balance after: 26,127,733

F1 · shares: Consists of shares held by Hankey Capital LLC ("Hankey Capital") as collateral for the repayment of convertible notes (the "Notes") issued to Hankey Capital (the "Collateral Shares"). Hankey Capital may not transfer, sell or otherwise dispose of any of the Collateral Shares, except during the existence of Event of Default under the Notes in connection with the exercise of its rights and remedies as a secured lender.

F2 · shares: Hankey Capital is owned by Hankey Investment Company LP ("HIC") of which the Bret Hankey Trust (the "Bret Trust") owns a 5.83% interest, the Rufus and Bret Hankey Trust (the "RB Trust") owns a 0.94% interest and the Hankey Children's Trust (the "Children's Trust") owns a 0.99% interest. Mr. Hankey is the settlor and trustee of the Bret Trust and Mr. Hankey's immediate family are beneficiaries of the Bret Trust; Mr. Hankey is one of the settlors of the RB Trust, of which, the Bret Trust is one of the beneficiaries and Mr. Hankey is a successor trustee of the Children's Trust. Mr. Hankey disclaims beneficial ownership in the shares held by Hankey Capital except to the extent of his or his immediate family's pecuniary interest.

F3 · balance_after: Consists of shares held by Hankey Capital. Mr. Hankey disclaims beneficial ownership in the shares held by Hankey Capital except to the extent of his or his immediate family's pecuniary interest.

SEC source: 0001493152-19-003931 · ownership.xml · nonDerivative · entry 2

Hankey Don · CIK 0001561288 · Director · Chairman of the Board · 10% owner

HANKEY CAPITAL, LLC · CIK 0001675964 · 10% owner

Don Hankey Trust · CIK 0001747743 · affiliate of 10% owner/dir

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Hankey Capital, LLC

Disclosed balance after: 25,699,783

F1 · shares: Consists of shares held by Hankey Capital LLC ("Hankey Capital") as collateral for the repayment of convertible notes (the "Notes") issued to Hankey Capital (the "Collateral Shares"). Hankey Capital may not transfer, sell or otherwise dispose of any of the Collateral Shares, except during the existence of Event of Default under the Notes in connection with the exercise of its rights and remedies as a secured lender. Hankey Capital is owned by Hankey Investment Company LP ("HIC") of which the Don Hankey Trust (the "Trust") owns a 66.09% interest. HIC is owned by Knight Services Inc. of which the Trust is the sole owner. Don Hankey is the sole trustee of the Trust. Mr. Hankey disclaims beneficial ownership in the shares held by Hankey Capital except to the extent of his pecuniary interest.

F2 · balance_after: Mr. Hankey is the beneficial owner of 25,699,783 shares of the Company consisting of 3,867,870 shares owned by Hankey Capital, 20,638,298 Collateral Shares for which Hankey Capital has voting rights, 361,640 shares owned by the Don Hankey Trust (the "Trust") of which Mr. Hankey is the Trustee, 274,240 shares held by H&H Funding LLC of which Mr. Hankey is the sole manager and 557,735 shares issuable upon exercise of warrants issued to Hankey Capital.

SEC source: 0001493152-19-003934 · ownership.xml · nonDerivative · entry 3

Hankey Bret · CIK 0001747562 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · BY HANKEY CAPITAL, LLC

Disclosed balance after: 25,063,903

F1 · shares: Consists of shares held by Hankey Capital LLC ("Hankey Capital") as collateral for the repayment of convertible notes (the "Notes") issued to Hankey Capital (the "Collateral Shares"). Hankey Capital may not transfer, sell or otherwise dispose of any of the Collateral Shares, except during the existence of Event of Default under the Notes in connection with the exercise of its rights and remedies as a secured lender.

F2 · shares: Hankey Capital is owned by Hankey Investment Company LP ("HIC") of which the Bret Hankey Trust (the "Bret Trust") owns a 5.83% interest, the Rufus and Bret Hankey Trust (the "RB Trust") owns a 0.94% interest and the Hankey Children's Trust (the "Children's Trust") owns a 0.99% interest. Mr. Hankey is the settlor and trustee of the Bret Trust and Mr. Hankey's immediate family are beneficiaries of the Bret Trust; Mr. Hankey is one of the settlors of the RB Trust, of which, the Bret Trust is one of the beneficiaries and Mr. Hankey is a successor trustee of the Children's Trust. Mr. Hankey disclaims beneficial ownership in the shares held by Hankey Capital except to the extent of his or his immediate family's pecuniary interest.

F3 · balance_after: Consists of shares held by Hankey Capital. Mr. Hankey disclaims beneficial ownership in the shares held by Hankey Capital except to the extent of his or his immediate family's pecuniary interest.

SEC source: 0001493152-19-005760 · ownership.xml · derivative · entry 1

Booth John J · CIK 0001655227 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,054

Underlying: Common Stock · 54,909 shares

Expires 2029-01-01

F1 · derivative.exercise_date: Vests in four (4) successive equal quarterly installments over the one year period measured from the date of grant.

SEC source: 0001493152-19-003931 · ownership.xml · nonDerivative · entry 1

Hankey Don · CIK 0001561288 · Director · Chairman of the Board · 10% owner

HANKEY CAPITAL, LLC · CIK 0001675964 · 10% owner

Don Hankey Trust · CIK 0001747743 · affiliate of 10% owner/dir

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Hankey Capital, LLC

Disclosed balance after: 24,210,421

F1 · shares: Consists of shares held by Hankey Capital LLC ("Hankey Capital") as collateral for the repayment of convertible notes (the "Notes") issued to Hankey Capital (the "Collateral Shares"). Hankey Capital may not transfer, sell or otherwise dispose of any of the Collateral Shares, except during the existence of Event of Default under the Notes in connection with the exercise of its rights and remedies as a secured lender. Hankey Capital is owned by Hankey Investment Company LP ("HIC") of which the Don Hankey Trust (the "Trust") owns a 66.09% interest. HIC is owned by Knight Services Inc. of which the Trust is the sole owner. Don Hankey is the sole trustee of the Trust. Mr. Hankey disclaims beneficial ownership in the shares held by Hankey Capital except to the extent of his pecuniary interest.

SEC source: 0001493152-19-003934 · ownership.xml · nonDerivative · entry 2

Hankey Bret · CIK 0001747562 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · BY HANKEY CAPITAL, LLC

Disclosed balance after: 23,013,754

F1 · shares: Consists of shares held by Hankey Capital LLC ("Hankey Capital") as collateral for the repayment of convertible notes (the "Notes") issued to Hankey Capital (the "Collateral Shares"). Hankey Capital may not transfer, sell or otherwise dispose of any of the Collateral Shares, except during the existence of Event of Default under the Notes in connection with the exercise of its rights and remedies as a secured lender.

F2 · shares: Hankey Capital is owned by Hankey Investment Company LP ("HIC") of which the Bret Hankey Trust (the "Bret Trust") owns a 5.83% interest, the Rufus and Bret Hankey Trust (the "RB Trust") owns a 0.94% interest and the Hankey Children's Trust (the "Children's Trust") owns a 0.99% interest. Mr. Hankey is the settlor and trustee of the Bret Trust and Mr. Hankey's immediate family are beneficiaries of the Bret Trust; Mr. Hankey is one of the settlors of the RB Trust, of which, the Bret Trust is one of the beneficiaries and Mr. Hankey is a successor trustee of the Children's Trust. Mr. Hankey disclaims beneficial ownership in the shares held by Hankey Capital except to the extent of his or his immediate family's pecuniary interest.

SEC source: 0001493152-18-003653 · form4.xml · derivative · entry 1

Walsh Deina H · CIK 0001651572 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,530

Underlying: Common Stock · 28,426 shares

Expires not disclosed

F1 · derivative.exercise_date: On February 16, 2018, the Reporting Person was granted 28,426 shares of restricted stock units which will become fully vested 2 years from the grant date on February 16, 2020, provided the Reporting Person is still providing services to the issuer on the respective date.

F1 · derivative.expiration_date: On February 16, 2018, the Reporting Person was granted 28,426 shares of restricted stock units which will become fully vested 2 years from the grant date on February 16, 2020, provided the Reporting Person is still providing services to the issuer on the respective date.

SEC source: 0001493152-18-003651 · form4.xml · derivative · entry 1

La Neve Stephen R. · CIK 0001644740 · CEO & President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 176,546

Underlying: Common Stock · 142,132 shares

Expires not disclosed

F1 · derivative.exercise_date: On February 16, 2018, the Reporting Person was granted 142,132 shares of restricted stock units which will become fully vested 2 years from the grant date on February 16, 2020, provided the Reporting Person is still providing services to the issuer on the respective date.

F1 · derivative.expiration_date: On February 16, 2018, the Reporting Person was granted 142,132 shares of restricted stock units which will become fully vested 2 years from the grant date on February 16, 2020, provided the Reporting Person is still providing services to the issuer on the respective date.

SEC source: 0001493152-18-003733 · form4.xml · derivative · entry 1

Frelick Jeff · CIK 0001645093 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 77,377

Underlying: Common Stock · 60,914 shares

Expires not disclosed

F1 · derivative.exercise_date: On February 16, 2018, the Reporting Person was granted 60,914 shares of restricted stock units which will become fully vested 2 years from the grant date on February 16, 2020, provided the Reporting Person is still providing services to the issuer on the respective date.

F1 · derivative.expiration_date: On February 16, 2018, the Reporting Person was granted 60,914 shares of restricted stock units which will become fully vested 2 years from the grant date on February 16, 2020, provided the Reporting Person is still providing services to the issuer on the respective date.

SEC source: 0001493152-18-003652 · form4.xml · derivative · entry 1

Delshad Jim · CIK 0001605790 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 121,442

Underlying: Common Stock · 26,109 shares

Expires 2028-01-01

F1 · derivative.exercise_date: Vests in four (4) equal quarterly installments over the one year period from the date of grant.

SEC source: 0001493152-18-003650 · form4.xml · derivative · entry 1

Booth John J · CIK 0001655227 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 121,442

Underlying: Common Stock · 26,109 shares

Expires 2028-01-01

F1 · derivative.exercise_date: Vests in four (4) successive equal quarterly installments over the one year period measured from the date of grant.

SEC source: 0001615774-17-007141 · s108359_form4.xml · nonDerivative · entry 4

Heshmatpour Amir F · CIK 0001443035 · 10% owner

AFH Holding & Advisory, LLC · CIK 0001414636 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By H&H Funding, LLC

Disclosed balance after: 2,942,393

F3 · ownership.direct: AFH Holding beneficially owns 80% of H&H's capital and may be deemed to beneficially own the shares held by H&H. Mr. Heshmatpour, as the sole member and managing director of AFH Holding, may be deemed to beneficially own the shares held by H&H. Mr. Heshmatpour and AFH Holding disclaim beneficial ownership of the shares owned by H&H except to the extent of their respective pecuniary interests therein.

SEC source: 0001615774-17-007141 · s108359_form4.xml · nonDerivative · entry 3

Heshmatpour Amir F · CIK 0001443035 · 10% owner

AFH Holding & Advisory, LLC · CIK 0001414636 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By H&H Funding, LLC

Disclosed balance after: 2,026,779

F4 · kind: The reported shares reflect the transfer of securities held directly by H&H (Hong Kong) Holdings Co, of which Mr. Heshmatpour is the sole stockholder, to H&H.

F2 · ownership.direct: Amir Farrokh Heshmatpour is the sole member and managing director of AFH Holding and has sole voting and investment power over the shares held by AFH Holding and may be deemed to beneficially own the shares held by AFH Holding.

F3 · ownership.direct: AFH Holding beneficially owns 80% of H&H's capital and may be deemed to beneficially own the shares held by H&H. Mr. Heshmatpour, as the sole member and managing director of AFH Holding, may be deemed to beneficially own the shares held by H&H. Mr. Heshmatpour and AFH Holding disclaim beneficial ownership of the shares owned by H&H except to the extent of their respective pecuniary interests therein.

SEC source: 0001615774-17-007141 · s108359_form4.xml · nonDerivative · entry 2

Heshmatpour Amir F · CIK 0001443035 · 10% owner

AFH Holding & Advisory, LLC · CIK 0001414636 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By H&H Funding, LLC

Disclosed balance after: 1,826,779

F1 · kind: The reported shares reflect the transfer of shares held directly by AFH Holding & Advisory LLC ("AFH Holding") to H&H Funding, LLC ("H&H").

F2 · ownership.direct: Amir Farrokh Heshmatpour is the sole member and managing director of AFH Holding and has sole voting and investment power over the shares held by AFH Holding and may be deemed to beneficially own the shares held by AFH Holding.

F3 · ownership.direct: AFH Holding beneficially owns 80% of H&H's capital and may be deemed to beneficially own the shares held by H&H. Mr. Heshmatpour, as the sole member and managing director of AFH Holding, may be deemed to beneficially own the shares held by H&H. Mr. Heshmatpour and AFH Holding disclaim beneficial ownership of the shares owned by H&H except to the extent of their respective pecuniary interests therein.

SEC source: 0001615774-17-007141 · s108359_form4.xml · nonDerivative · entry 1

Heshmatpour Amir F · CIK 0001443035 · 10% owner

AFH Holding & Advisory, LLC · CIK 0001414636 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By AFH Holding & Advisory LLC

Disclosed balance after: 1,941,579

F1 · kind: The reported shares reflect the transfer of shares held directly by AFH Holding & Advisory LLC ("AFH Holding") to H&H Funding, LLC ("H&H").

F2 · ownership.direct: Amir Farrokh Heshmatpour is the sole member and managing director of AFH Holding and has sole voting and investment power over the shares held by AFH Holding and may be deemed to beneficially own the shares held by AFH Holding.

SEC source: 0001493152-17-004282 · form4.xml · derivative · entry 1

Delshad Jim · CIK 0001605790 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 95,333

Underlying: Common Stock · 26,780 shares

Expires 2027-01-01

F1 · derivative.exercise_date: Vests in four (4) successive equal quarterly installments over the one-year period measured from the date of grant.

SEC source: 0001493152-17-004362 · form4.xml · derivative · entry 1

Booth John J · CIK 0001655227 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 95,333

Underlying: Common Stock · 26,780 shares

Expires 2027-01-01

F1 · derivative.exercise_date: Vests in four (4) successive equal quarterly installments over the one-year period measured from the date of grant.

SEC source: 0001493152-17-004285 · form4.xml · derivative · entry 1

La Neve Stephen R. · CIK 0001644740 · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,653,895

Underlying: Common Stock · 538,290 shares

Expires 2026-05-26

F1 · derivative.exercise_date: On May 27, 2016, the Reporting Person was granted 538,290 stock option, 1/3 of the shares subject to the option vest on each anniversary of the Vesting Commencement Date, subject to the option holder's Continuous Service (as defined in the Plan) on each vesting date, provided the Reporting Person is still providing services to the Issuer on the respective date.

SEC source: 0001493152-17-004280 · form4.xml · derivative · entry 1

Frelick Jeff · CIK 0001645093 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,326,204

Underlying: Common Stock · 269,145 shares

Expires 2026-05-26

F1 · derivative.exercise_date: On May 27, 2016, the Reporting Person was granted 269,145 stock options, 1/3 of the shares subject to the option vest on each anniversary of the Vesting Commencement Date, subject to the option holder's Continuous Service (as defined in the Plan) on each vesting date, provided the Reporting Person is still providing services to the Issuer on the respective date.