BCHT

SEC source: 0000945836-18-000018 · primary_doc.xml · derivative · entry 2

Grantham Allan T · CIK 0001676619 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,000

Underlying: Common Stock · 6,000 shares

Expires 2023-07-06

SEC source: 0000945836-18-000018 · primary_doc.xml · derivative · entry 1

Grantham Allan T · CIK 0001676619 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,000

Underlying: Common Stock · 6,000 shares

Expires 2023-07-06

SEC source: 0000945836-18-000017 · primary_doc.xml · derivative · entry 2

Greenberg Christopher · CIK 0001543046 · Director · Chairman of the Board

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,333

Underlying: Common Stock · 8,333 shares

Expires 2023-07-06

SEC source: 0000945836-18-000017 · primary_doc.xml · derivative · entry 1

Greenberg Christopher · CIK 0001543046 · Director · Chairman of the Board

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,333

Underlying: Common Stock · 8,333 shares

Expires 2023-07-06

SEC source: 0000945836-18-000016 · primary_doc.xml · derivative · entry 2

MacPherson Richard · CIK 0001524386 · Director · President and CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,458

Underlying: Common Stock · 16,458 shares

Expires 2023-07-06

SEC source: 0000945836-18-000016 · primary_doc.xml · derivative · entry 1

MacPherson Richard · CIK 0001524386 · Director · President and CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,229

Underlying: Common Stock · 8,229 shares

Expires 2023-07-06

SEC source: 0000945836-18-000015 · primary_doc.xml · derivative · entry 1

Gross Richard H · CIK 0001532933 · Vice Pres. and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,375

Underlying: Common Stock · 9,375 shares

Expires 2023-06-30

SEC source: 0000945836-18-000014 · primary_doc.xml · derivative · entry 1

Pavlish John · CIK 0001626324 · Senior VP/Chief Tech Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,750

Underlying: Common Stock · 13,750 shares

Expires 2023-06-30

SEC source: 0000945836-18-000013 · primary_doc.xml · derivative · entry 1

Trettel James · CIK 0001654233 · Vice President of Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,500

Underlying: Common Stock · 12,500 shares

Expires 2023-06-30

SEC source: 0000945836-18-000011 · primary_doc.xml · derivative · entry 1

Trettel James · CIK 0001654233 · Vice President of Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,250

Underlying: Common Stock · 6,250 shares

Expires 2023-06-08

SEC source: 0000945836-18-000010 · primary_doc.xml · derivative · entry 1

Gross Richard H · CIK 0001532933 · VP and Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,687

Underlying: Common Stock · 4,687 shares

Expires 2023-06-08

SEC source: 0000945836-18-000009 · primary_doc.xml · derivative · entry 1

Trettel James · CIK 0001654233 · Vice President of Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,250

Underlying: Common Stock · 6,250 shares

Expires 2023-06-08

SEC source: 0000945836-18-000008 · primary_doc.xml · derivative · entry 1

Pavlish John · CIK 0001626324 · Senior VP/Chief Tech Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,875

Underlying: Common Stock · 6,875 shares

Expires 2023-06-08

SEC source: 0000945836-18-000007 · primary_doc.xml · derivative · entry 1

Pavlish John · CIK 0001626324 · Senior VP/Chief Tech Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2023-02-23

SEC source: 0000945836-18-000006 · primary_doc.xml · derivative · entry 1

Trettel James · CIK 0001654233 · Vice President of Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2023-02-23

SEC source: 0000945836-18-000005 · primary_doc.xml · derivative · entry 1

Gross Richard H · CIK 0001532933 · VP and Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2023-02-23

SEC source: 0000945836-18-000003 · primary_doc.xml · derivative · entry 1

MacPherson Richard · CIK 0001524386 · Director · President and CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 250,000

Underlying: Common Stock · 250,000 shares

Expires 2023-02-05

SEC source: 0000945836-18-000002 · primary_doc.xml · derivative · entry 1

Grantham Allan T · CIK 0001676619 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 108,000

Underlying: Common Stock · 108,000 shares

Expires 2023-02-05

SEC source: 0000945836-18-000001 · primary_doc.xml · derivative · entry 1

Greenberg Christopher · CIK 0001543046 · Director · Chairman of the Board

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,000

Underlying: Common Stock · 150,000 shares

Expires 2023-02-05

SEC source: 0000945836-17-000017 · primary_doc.xml · nonDerivative · entry 1

Grantham Allan T · CIK 0001676619 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Grantham Investments Limited

Disclosed balance after: 1,062,245

F1 · kind: Common stock acquired through open market purchase.

F2 · ownership.nature: The Reporting Person is the President, Secretary and sole Director of Grantham Investments Limited, and principal trustee of the family trust which is the controlling shareholder of Grantham Investments Limited.

SEC source: 0000945836-17-000016 · primary_doc.xml · nonDerivative · entry 2

Greenberg Christopher · CIK 0001543046 · Director · Chairman of the Board

10b5-1 filing: Not disclosed

Ownership: Indirect · by SRA

Disclosed balance after: 50,000

F1 · kind: Common stock acquired through open market purchase.

SEC source: 0000945836-17-000016 · primary_doc.xml · nonDerivative · entry 1

Greenberg Christopher · CIK 0001543046 · Director · Chairman of the Board

10b5-1 filing: Not disclosed

Ownership: Indirect · by SRA

Disclosed balance after: 40,700

F1 · kind: Common stock acquired through open market purchase.

SEC source: 0000945836-17-000014 · primary_doc.xml · nonDerivative · entry 1

Greenberg Christopher · CIK 0001543046 · Director · Chairman of the Board

10b5-1 filing: Not disclosed

Ownership: Indirect · by SRA

Disclosed balance after: 25,000

F1 · kind: Common stock acquired through open market purchase.

SEC source: 0000945836-17-000013 · primary_doc.xml · nonDerivative · entry 1

Pavlish John · CIK 0001626324 · Senior VP/Chief Tech Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,035,945

F1 · price: No cash consideration was paid. Such shares were issued pursuant to a Recipient Agreement executed by the Reporting Person pursuant to a Closing Agreement effective as of April 21, 2017 by and between the Issuer and Energy & Environmental Research Center Foundation ("EERCF") whereby the Issuer acquired certain patent rights for the purchase price of $2,500,000 paid to EERCF in cash, 628,998 shares of common stock to EERCF and 296,002 shares to inventors designated by EERCF. The Reporting Person is one of the designated inventors. The shares issued to the Reporting Person were valued at $0.56 per share, representing the value as of the transaction date.

SEC source: 0000945836-17-000012 · primary_doc.xml · derivative · entry 1

Johnson Brian Lee · CIK 0001626862 · Former Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 125,000

Underlying: Common Stock · 125,000 shares

Expires 2022-04-27

SEC source: 0000945836-17-000011 · primary_doc.xml · derivative · entry 1

Lee Christopher Joel · CIK 0001635389 · Former Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 125,000

Underlying: Common Stock · 125,000 shares

Expires 2022-04-27

SEC source: 0000945836-17-000005 · primary_doc.xml · derivative · entry 1

Trettel James · CIK 0001654233 · Vice Pres of Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 500,000

Underlying: Common Stock · 500,000 shares

Expires 2022-02-10

SEC source: 0000945836-17-000007 · primary_doc.xml · derivative · entry 1

Gross Richard H · CIK 0001532933 · Vice Pres and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,000

Underlying: Common Stock · 150,000 shares

Expires 2022-02-10

SEC source: 0000945836-17-000006 · primary_doc.xml · derivative · entry 1

Pavlish John · CIK 0001626324 · Senior VP/Chief Tech Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2022-02-10

SEC source: 0000945836-17-000004 · primary_doc.xml · derivative · entry 1

Lee Christopher Joel · CIK 0001635389 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2022-02-01

SEC source: 0000945836-17-000003 · primary_doc.xml · derivative · entry 1

Grantham Allan T · CIK 0001676619 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2022-02-01

SEC source: 0000945836-17-000002 · primary_doc.xml · derivative · entry 1

Johnson Brian Lee · CIK 0001626862 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2022-02-01

SEC source: 0000945836-17-000001 · primary_doc.xml · derivative · entry 1

Greenberg Christopher · CIK 0001543046 · Director · Chairman of the Board

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2022-02-01

SEC source: 0001565778-16-000030 · primary_doc.xml · derivative · entry 10

Alterna Core Capital Assets Fund II, L.P. · CIK 0001565778 · 10% owner

Alterna Capital Partners LLC · CIK 0001619571 · 10% owner

Alterna General Partner II LLC · CIK 0001619585 · 10% owner

AC Midwest Energy LLC · CIK 0001619570 · 10% owner

Toll Harry V. · CIK 0001617820 · 10% owner

Press Eric M. · CIK 0001619289 · 10% owner

Goldin Earle · CIK 0001618838 · 10% owner

Miller Roger P. · CIK 0001619288 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By AC Midwest Energy LLC

Disclosed balance after: 11,700,000

Underlying: Common Stock, par value $.0001 · 11,903,927 shares

Expires 2021-01-28

F12 · shares: AC Midwest also held a third warrant to acquire up 2,0000,000 shares of Common Stock (the "Third Warrant"). The Third Warrant was subject to percentage based anti-dilution protection requiring that the aggregate number of shares of Common Stock purchasable upon its initial exercise not be less than an amount equal to 7.2% of the Issuer's then outstanding shares of capital stock on a fully diluted basis. In accordance with the terms of the Restated Financing Agreement the Third Warrant was surrendered for cancellation at the closing of the transaction contemplated therein.

F12 · price: AC Midwest also held a third warrant to acquire up 2,0000,000 shares of Common Stock (the "Third Warrant"). The Third Warrant was subject to percentage based anti-dilution protection requiring that the aggregate number of shares of Common Stock purchasable upon its initial exercise not be less than an amount equal to 7.2% of the Issuer's then outstanding shares of capital stock on a fully diluted basis. In accordance with the terms of the Restated Financing Agreement the Third Warrant was surrendered for cancellation at the closing of the transaction contemplated therein.

F8 · derivative.exercise_date: Immediately convertible or exercisable.

F12 · derivative.underlying_shares: AC Midwest also held a third warrant to acquire up 2,0000,000 shares of Common Stock (the "Third Warrant"). The Third Warrant was subject to percentage based anti-dilution protection requiring that the aggregate number of shares of Common Stock purchasable upon its initial exercise not be less than an amount equal to 7.2% of the Issuer's then outstanding shares of capital stock on a fully diluted basis. In accordance with the terms of the Restated Financing Agreement the Third Warrant was surrendered for cancellation at the closing of the transaction contemplated therein.

F2 · ownership.direct: This statement is jointly filed by and on behalf of each of Alterna Core Capital Assets Fund II, L.P. ("Fund II"), Alterna Capital Partners LLC ("Alterna"), Alterna General Partner II LLC ("Fund II General Partner"), AC Midwest, Harry V. Toll, Eric M. Press, Roger P. Miller and Earle Goldin. AC Midwest is the record and direct beneficial owner of the securities covered by this statement. Fund II owns all of the outstanding equity interests of AC Midwest and may be deemed to beneficially own securities held by AC Midwest.

F3 · ownership.direct: Alterna, in its capacity as investment adviser to Fund II, has the ability to direct the investment decisions of the Fund II, including the power to vote and dispose of securities held by AC Midwest and may be deemed to beneficially own securities held by AC Midwest. Fund II General Partner, in its capacity as the general partner of Fund II, has the ability to direct the management of Fund II's business, including the power to direct the decisions of Fund II regarding the vote and disposition of securities held by AC Midwest and may be deemed to beneficially own securities held by AC Midwest.

F4 · ownership.direct: Each of Messrs. Toll, Press and Miller, by virtue of their role as managing members of Alterna, and Mr. Goldin, by virtue of his role as a member of Alterna, may be deemed to have shared power regarding the vote and disposition of securities held by AC Midwest and may be deemed to beneficially own securities held by AC Midwest.

F2 · ownership.nature: This statement is jointly filed by and on behalf of each of Alterna Core Capital Assets Fund II, L.P. ("Fund II"), Alterna Capital Partners LLC ("Alterna"), Alterna General Partner II LLC ("Fund II General Partner"), AC Midwest, Harry V. Toll, Eric M. Press, Roger P. Miller and Earle Goldin. AC Midwest is the record and direct beneficial owner of the securities covered by this statement. Fund II owns all of the outstanding equity interests of AC Midwest and may be deemed to beneficially own securities held by AC Midwest.

F3 · ownership.nature: Alterna, in its capacity as investment adviser to Fund II, has the ability to direct the investment decisions of the Fund II, including the power to vote and dispose of securities held by AC Midwest and may be deemed to beneficially own securities held by AC Midwest. Fund II General Partner, in its capacity as the general partner of Fund II, has the ability to direct the management of Fund II's business, including the power to direct the decisions of Fund II regarding the vote and disposition of securities held by AC Midwest and may be deemed to beneficially own securities held by AC Midwest.

F4 · ownership.nature: Each of Messrs. Toll, Press and Miller, by virtue of their role as managing members of Alterna, and Mr. Goldin, by virtue of his role as a member of Alterna, may be deemed to have shared power regarding the vote and disposition of securities held by AC Midwest and may be deemed to beneficially own securities held by AC Midwest.

SEC source: 0001565778-16-000030 · primary_doc.xml · derivative · entry 9

Alterna Core Capital Assets Fund II, L.P. · CIK 0001565778 · 10% owner

Alterna Capital Partners LLC · CIK 0001619571 · 10% owner

Alterna General Partner II LLC · CIK 0001619585 · 10% owner

AC Midwest Energy LLC · CIK 0001619570 · 10% owner

Toll Harry V. · CIK 0001617820 · 10% owner

Press Eric M. · CIK 0001619289 · 10% owner

Goldin Earle · CIK 0001618838 · 10% owner

Miller Roger P. · CIK 0001619288 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By AC Midwest Energy LLC

Disclosed balance after: 11,700,000

Underlying: Common Stock, par value $.0001 · 6,887,716 shares

Expires 2020-11-16

F11 · shares: The Second Warrant was subject to percentage based anti-dilution protection requiring that the aggregate number of shares of Common Stock purchasable upon its initial exercise not be less than an amount equal to 4.3% of the Issuer's then outstanding shares of capital stock on a fully diluted basis. In accordance with the terms of the Restated Financing Agreement the Second Warrant was surrendered for cancellation at the closing of the transaction contemplated therein.

F11 · price: The Second Warrant was subject to percentage based anti-dilution protection requiring that the aggregate number of shares of Common Stock purchasable upon its initial exercise not be less than an amount equal to 4.3% of the Issuer's then outstanding shares of capital stock on a fully diluted basis. In accordance with the terms of the Restated Financing Agreement the Second Warrant was surrendered for cancellation at the closing of the transaction contemplated therein.

F8 · derivative.exercise_date: Immediately convertible or exercisable.

F11 · derivative.underlying_shares: The Second Warrant was subject to percentage based anti-dilution protection requiring that the aggregate number of shares of Common Stock purchasable upon its initial exercise not be less than an amount equal to 4.3% of the Issuer's then outstanding shares of capital stock on a fully diluted basis. In accordance with the terms of the Restated Financing Agreement the Second Warrant was surrendered for cancellation at the closing of the transaction contemplated therein.

F2 · ownership.direct: This statement is jointly filed by and on behalf of each of Alterna Core Capital Assets Fund II, L.P. ("Fund II"), Alterna Capital Partners LLC ("Alterna"), Alterna General Partner II LLC ("Fund II General Partner"), AC Midwest, Harry V. Toll, Eric M. Press, Roger P. Miller and Earle Goldin. AC Midwest is the record and direct beneficial owner of the securities covered by this statement. Fund II owns all of the outstanding equity interests of AC Midwest and may be deemed to beneficially own securities held by AC Midwest.

F3 · ownership.direct: Alterna, in its capacity as investment adviser to Fund II, has the ability to direct the investment decisions of the Fund II, including the power to vote and dispose of securities held by AC Midwest and may be deemed to beneficially own securities held by AC Midwest. Fund II General Partner, in its capacity as the general partner of Fund II, has the ability to direct the management of Fund II's business, including the power to direct the decisions of Fund II regarding the vote and disposition of securities held by AC Midwest and may be deemed to beneficially own securities held by AC Midwest.

F4 · ownership.direct: Each of Messrs. Toll, Press and Miller, by virtue of their role as managing members of Alterna, and Mr. Goldin, by virtue of his role as a member of Alterna, may be deemed to have shared power regarding the vote and disposition of securities held by AC Midwest and may be deemed to beneficially own securities held by AC Midwest.

F2 · ownership.nature: This statement is jointly filed by and on behalf of each of Alterna Core Capital Assets Fund II, L.P. ("Fund II"), Alterna Capital Partners LLC ("Alterna"), Alterna General Partner II LLC ("Fund II General Partner"), AC Midwest, Harry V. Toll, Eric M. Press, Roger P. Miller and Earle Goldin. AC Midwest is the record and direct beneficial owner of the securities covered by this statement. Fund II owns all of the outstanding equity interests of AC Midwest and may be deemed to beneficially own securities held by AC Midwest.

F3 · ownership.nature: Alterna, in its capacity as investment adviser to Fund II, has the ability to direct the investment decisions of the Fund II, including the power to vote and dispose of securities held by AC Midwest and may be deemed to beneficially own securities held by AC Midwest. Fund II General Partner, in its capacity as the general partner of Fund II, has the ability to direct the management of Fund II's business, including the power to direct the decisions of Fund II regarding the vote and disposition of securities held by AC Midwest and may be deemed to beneficially own securities held by AC Midwest.

F4 · ownership.nature: Each of Messrs. Toll, Press and Miller, by virtue of their role as managing members of Alterna, and Mr. Goldin, by virtue of his role as a member of Alterna, may be deemed to have shared power regarding the vote and disposition of securities held by AC Midwest and may be deemed to beneficially own securities held by AC Midwest.

SEC source: 0001565778-16-000030 · primary_doc.xml · derivative · entry 8

Alterna Core Capital Assets Fund II, L.P. · CIK 0001565778 · 10% owner

Alterna Capital Partners LLC · CIK 0001619571 · 10% owner

Alterna General Partner II LLC · CIK 0001619585 · 10% owner

AC Midwest Energy LLC · CIK 0001619570 · 10% owner

Toll Harry V. · CIK 0001617820 · 10% owner

Press Eric M. · CIK 0001619289 · 10% owner

Goldin Earle · CIK 0001618838 · 10% owner

Miller Roger P. · CIK 0001619288 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By AC Midwest Energy LLC

Disclosed balance after: 11,700,000

Underlying: Common Stock, par value $.0001 · 2,654,639 shares

Expires 2020-11-16

F6 · shares: Represents shares of the Issuer's Common Stock acquired by AC Midwest through the net cashless exercise of a warrant to acquire up 3,600,000 shares of Common Stock (the "Second Warrant"), pursuant to which 1,751,701 shares were issued to AC Midwest and 902,939 shares were withheld by the Issuer to pay the exercise price.

F6 · price: Represents shares of the Issuer's Common Stock acquired by AC Midwest through the net cashless exercise of a warrant to acquire up 3,600,000 shares of Common Stock (the "Second Warrant"), pursuant to which 1,751,701 shares were issued to AC Midwest and 902,939 shares were withheld by the Issuer to pay the exercise price.

F8 · derivative.exercise_date: Immediately convertible or exercisable.

F6 · derivative.underlying_shares: Represents shares of the Issuer's Common Stock acquired by AC Midwest through the net cashless exercise of a warrant to acquire up 3,600,000 shares of Common Stock (the "Second Warrant"), pursuant to which 1,751,701 shares were issued to AC Midwest and 902,939 shares were withheld by the Issuer to pay the exercise price.

F2 · ownership.direct: This statement is jointly filed by and on behalf of each of Alterna Core Capital Assets Fund II, L.P. ("Fund II"), Alterna Capital Partners LLC ("Alterna"), Alterna General Partner II LLC ("Fund II General Partner"), AC Midwest, Harry V. Toll, Eric M. Press, Roger P. Miller and Earle Goldin. AC Midwest is the record and direct beneficial owner of the securities covered by this statement. Fund II owns all of the outstanding equity interests of AC Midwest and may be deemed to beneficially own securities held by AC Midwest.

F3 · ownership.direct: Alterna, in its capacity as investment adviser to Fund II, has the ability to direct the investment decisions of the Fund II, including the power to vote and dispose of securities held by AC Midwest and may be deemed to beneficially own securities held by AC Midwest. Fund II General Partner, in its capacity as the general partner of Fund II, has the ability to direct the management of Fund II's business, including the power to direct the decisions of Fund II regarding the vote and disposition of securities held by AC Midwest and may be deemed to beneficially own securities held by AC Midwest.

F4 · ownership.direct: Each of Messrs. Toll, Press and Miller, by virtue of their role as managing members of Alterna, and Mr. Goldin, by virtue of his role as a member of Alterna, may be deemed to have shared power regarding the vote and disposition of securities held by AC Midwest and may be deemed to beneficially own securities held by AC Midwest.

F2 · ownership.nature: This statement is jointly filed by and on behalf of each of Alterna Core Capital Assets Fund II, L.P. ("Fund II"), Alterna Capital Partners LLC ("Alterna"), Alterna General Partner II LLC ("Fund II General Partner"), AC Midwest, Harry V. Toll, Eric M. Press, Roger P. Miller and Earle Goldin. AC Midwest is the record and direct beneficial owner of the securities covered by this statement. Fund II owns all of the outstanding equity interests of AC Midwest and may be deemed to beneficially own securities held by AC Midwest.

F3 · ownership.nature: Alterna, in its capacity as investment adviser to Fund II, has the ability to direct the investment decisions of the Fund II, including the power to vote and dispose of securities held by AC Midwest and may be deemed to beneficially own securities held by AC Midwest. Fund II General Partner, in its capacity as the general partner of Fund II, has the ability to direct the management of Fund II's business, including the power to direct the decisions of Fund II regarding the vote and disposition of securities held by AC Midwest and may be deemed to beneficially own securities held by AC Midwest.

F4 · ownership.nature: Each of Messrs. Toll, Press and Miller, by virtue of their role as managing members of Alterna, and Mr. Goldin, by virtue of his role as a member of Alterna, may be deemed to have shared power regarding the vote and disposition of securities held by AC Midwest and may be deemed to beneficially own securities held by AC Midwest.

SEC source: 0001565778-16-000030 · primary_doc.xml · derivative · entry 7

Alterna Core Capital Assets Fund II, L.P. · CIK 0001565778 · 10% owner

Alterna Capital Partners LLC · CIK 0001619571 · 10% owner

Alterna General Partner II LLC · CIK 0001619585 · 10% owner

AC Midwest Energy LLC · CIK 0001619570 · 10% owner

Toll Harry V. · CIK 0001617820 · 10% owner

Press Eric M. · CIK 0001619289 · 10% owner

Goldin Earle · CIK 0001618838 · 10% owner

Miller Roger P. · CIK 0001619288 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By AC Midwest Energy LLC

Disclosed balance after: 11,700,000

Underlying: Common Stock, par value $.0001 · 8,133,181 shares

Expires 2019-08-14

F10 · shares: The First Warrant was subject to percentage based anti-dilution protection requiring that the aggregate number of shares of Common Stock purchasable upon its initial exercise not be less than an amount equal to 15% of the Issuer's then outstanding shares of capital stock on a fully diluted basis. In accordance with the terms of the Restated Financing Agreement the First Warrant was surrendered for cancellation at the closing of the transaction contemplated therein.

F10 · price: The First Warrant was subject to percentage based anti-dilution protection requiring that the aggregate number of shares of Common Stock purchasable upon its initial exercise not be less than an amount equal to 15% of the Issuer's then outstanding shares of capital stock on a fully diluted basis. In accordance with the terms of the Restated Financing Agreement the First Warrant was surrendered for cancellation at the closing of the transaction contemplated therein.

F8 · derivative.exercise_date: Immediately convertible or exercisable.

F10 · derivative.underlying_shares: The First Warrant was subject to percentage based anti-dilution protection requiring that the aggregate number of shares of Common Stock purchasable upon its initial exercise not be less than an amount equal to 15% of the Issuer's then outstanding shares of capital stock on a fully diluted basis. In accordance with the terms of the Restated Financing Agreement the First Warrant was surrendered for cancellation at the closing of the transaction contemplated therein.

F2 · ownership.direct: This statement is jointly filed by and on behalf of each of Alterna Core Capital Assets Fund II, L.P. ("Fund II"), Alterna Capital Partners LLC ("Alterna"), Alterna General Partner II LLC ("Fund II General Partner"), AC Midwest, Harry V. Toll, Eric M. Press, Roger P. Miller and Earle Goldin. AC Midwest is the record and direct beneficial owner of the securities covered by this statement. Fund II owns all of the outstanding equity interests of AC Midwest and may be deemed to beneficially own securities held by AC Midwest.

F3 · ownership.direct: Alterna, in its capacity as investment adviser to Fund II, has the ability to direct the investment decisions of the Fund II, including the power to vote and dispose of securities held by AC Midwest and may be deemed to beneficially own securities held by AC Midwest. Fund II General Partner, in its capacity as the general partner of Fund II, has the ability to direct the management of Fund II's business, including the power to direct the decisions of Fund II regarding the vote and disposition of securities held by AC Midwest and may be deemed to beneficially own securities held by AC Midwest.

F4 · ownership.direct: Each of Messrs. Toll, Press and Miller, by virtue of their role as managing members of Alterna, and Mr. Goldin, by virtue of his role as a member of Alterna, may be deemed to have shared power regarding the vote and disposition of securities held by AC Midwest and may be deemed to beneficially own securities held by AC Midwest.

F2 · ownership.nature: This statement is jointly filed by and on behalf of each of Alterna Core Capital Assets Fund II, L.P. ("Fund II"), Alterna Capital Partners LLC ("Alterna"), Alterna General Partner II LLC ("Fund II General Partner"), AC Midwest, Harry V. Toll, Eric M. Press, Roger P. Miller and Earle Goldin. AC Midwest is the record and direct beneficial owner of the securities covered by this statement. Fund II owns all of the outstanding equity interests of AC Midwest and may be deemed to beneficially own securities held by AC Midwest.

F3 · ownership.nature: Alterna, in its capacity as investment adviser to Fund II, has the ability to direct the investment decisions of the Fund II, including the power to vote and dispose of securities held by AC Midwest and may be deemed to beneficially own securities held by AC Midwest. Fund II General Partner, in its capacity as the general partner of Fund II, has the ability to direct the management of Fund II's business, including the power to direct the decisions of Fund II regarding the vote and disposition of securities held by AC Midwest and may be deemed to beneficially own securities held by AC Midwest.

F4 · ownership.nature: Each of Messrs. Toll, Press and Miller, by virtue of their role as managing members of Alterna, and Mr. Goldin, by virtue of his role as a member of Alterna, may be deemed to have shared power regarding the vote and disposition of securities held by AC Midwest and may be deemed to beneficially own securities held by AC Midwest.

SEC source: 0001565778-16-000030 · primary_doc.xml · derivative · entry 6

Alterna Core Capital Assets Fund II, L.P. · CIK 0001565778 · 10% owner

Alterna Capital Partners LLC · CIK 0001619571 · 10% owner

Alterna General Partner II LLC · CIK 0001619585 · 10% owner

AC Midwest Energy LLC · CIK 0001619570 · 10% owner

Toll Harry V. · CIK 0001617820 · 10% owner

Press Eric M. · CIK 0001619289 · 10% owner

Goldin Earle · CIK 0001618838 · 10% owner

Miller Roger P. · CIK 0001619288 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By AC Midwest Energy LLC

Disclosed balance after: 11,700,000

Underlying: Common Stock, par value $.0001 · 12,500,000 shares

Expires 2019-08-14

F1 · shares: Represents shares of the Issuer's common stock, par value $0.001 per share (the "Common Stock") acquired by AC Midwest Energy LLC ("AC Midwest") through the net cashless exercise of a warrant to acquire up 12,5000,000 shares of Common Stock (the "First Warrant"), pursuant to which 8,248,299 shares were issued to AC Midwest and 4,251,701 shares were withheld by the Issuer to pay the exercise price.

F1 · price: Represents shares of the Issuer's common stock, par value $0.001 per share (the "Common Stock") acquired by AC Midwest Energy LLC ("AC Midwest") through the net cashless exercise of a warrant to acquire up 12,5000,000 shares of Common Stock (the "First Warrant"), pursuant to which 8,248,299 shares were issued to AC Midwest and 4,251,701 shares were withheld by the Issuer to pay the exercise price.

F8 · derivative.exercise_date: Immediately convertible or exercisable.

F1 · derivative.underlying_shares: Represents shares of the Issuer's common stock, par value $0.001 per share (the "Common Stock") acquired by AC Midwest Energy LLC ("AC Midwest") through the net cashless exercise of a warrant to acquire up 12,5000,000 shares of Common Stock (the "First Warrant"), pursuant to which 8,248,299 shares were issued to AC Midwest and 4,251,701 shares were withheld by the Issuer to pay the exercise price.

F2 · ownership.direct: This statement is jointly filed by and on behalf of each of Alterna Core Capital Assets Fund II, L.P. ("Fund II"), Alterna Capital Partners LLC ("Alterna"), Alterna General Partner II LLC ("Fund II General Partner"), AC Midwest, Harry V. Toll, Eric M. Press, Roger P. Miller and Earle Goldin. AC Midwest is the record and direct beneficial owner of the securities covered by this statement. Fund II owns all of the outstanding equity interests of AC Midwest and may be deemed to beneficially own securities held by AC Midwest.

F3 · ownership.direct: Alterna, in its capacity as investment adviser to Fund II, has the ability to direct the investment decisions of the Fund II, including the power to vote and dispose of securities held by AC Midwest and may be deemed to beneficially own securities held by AC Midwest. Fund II General Partner, in its capacity as the general partner of Fund II, has the ability to direct the management of Fund II's business, including the power to direct the decisions of Fund II regarding the vote and disposition of securities held by AC Midwest and may be deemed to beneficially own securities held by AC Midwest.

F4 · ownership.direct: Each of Messrs. Toll, Press and Miller, by virtue of their role as managing members of Alterna, and Mr. Goldin, by virtue of his role as a member of Alterna, may be deemed to have shared power regarding the vote and disposition of securities held by AC Midwest and may be deemed to beneficially own securities held by AC Midwest.

F2 · ownership.nature: This statement is jointly filed by and on behalf of each of Alterna Core Capital Assets Fund II, L.P. ("Fund II"), Alterna Capital Partners LLC ("Alterna"), Alterna General Partner II LLC ("Fund II General Partner"), AC Midwest, Harry V. Toll, Eric M. Press, Roger P. Miller and Earle Goldin. AC Midwest is the record and direct beneficial owner of the securities covered by this statement. Fund II owns all of the outstanding equity interests of AC Midwest and may be deemed to beneficially own securities held by AC Midwest.

F3 · ownership.nature: Alterna, in its capacity as investment adviser to Fund II, has the ability to direct the investment decisions of the Fund II, including the power to vote and dispose of securities held by AC Midwest and may be deemed to beneficially own securities held by AC Midwest. Fund II General Partner, in its capacity as the general partner of Fund II, has the ability to direct the management of Fund II's business, including the power to direct the decisions of Fund II regarding the vote and disposition of securities held by AC Midwest and may be deemed to beneficially own securities held by AC Midwest.

F4 · ownership.nature: Each of Messrs. Toll, Press and Miller, by virtue of their role as managing members of Alterna, and Mr. Goldin, by virtue of his role as a member of Alterna, may be deemed to have shared power regarding the vote and disposition of securities held by AC Midwest and may be deemed to beneficially own securities held by AC Midwest.

SEC source: 0001565778-16-000030 · primary_doc.xml · derivative · entry 5

Alterna Core Capital Assets Fund II, L.P. · CIK 0001565778 · 10% owner

Alterna Capital Partners LLC · CIK 0001619571 · 10% owner

Alterna General Partner II LLC · CIK 0001619585 · 10% owner

AC Midwest Energy LLC · CIK 0001619570 · 10% owner

Toll Harry V. · CIK 0001617820 · 10% owner

Press Eric M. · CIK 0001619289 · 10% owner

Goldin Earle · CIK 0001618838 · 10% owner

Miller Roger P. · CIK 0001619288 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By AC Midwest Energy LLC

Disclosed balance after: 11,700,000

Underlying: Common Stock, par value $.0001 · Not disclosed shares

Expires not disclosed

F7 · reported_value: In accordance with the terms of that certain Amended and Restated Financing Agreement, dated November 1, 2016 (the "Restated Financing Agreement"), by and among the Issuer, the Issuer's wholly-owned subsidiary and AC Midwest, the 12% Senior Secured Convertible Note was surrendered for cancellation at the closing of the transaction contemplated therein.

F7 · price: In accordance with the terms of that certain Amended and Restated Financing Agreement, dated November 1, 2016 (the "Restated Financing Agreement"), by and among the Issuer, the Issuer's wholly-owned subsidiary and AC Midwest, the 12% Senior Secured Convertible Note was surrendered for cancellation at the closing of the transaction contemplated therein.

F8 · derivative.exercise_date: Immediately convertible or exercisable.

F9 · derivative.expiration_date: The maturity date of the note was the earlier of (i) July 31, 2018, or (ii) the date on which the unpaid balance became due and payable pursuant to the terms thereof.

F7 · underlyingValue: In accordance with the terms of that certain Amended and Restated Financing Agreement, dated November 1, 2016 (the "Restated Financing Agreement"), by and among the Issuer, the Issuer's wholly-owned subsidiary and AC Midwest, the 12% Senior Secured Convertible Note was surrendered for cancellation at the closing of the transaction contemplated therein.

F2 · ownership.direct: This statement is jointly filed by and on behalf of each of Alterna Core Capital Assets Fund II, L.P. ("Fund II"), Alterna Capital Partners LLC ("Alterna"), Alterna General Partner II LLC ("Fund II General Partner"), AC Midwest, Harry V. Toll, Eric M. Press, Roger P. Miller and Earle Goldin. AC Midwest is the record and direct beneficial owner of the securities covered by this statement. Fund II owns all of the outstanding equity interests of AC Midwest and may be deemed to beneficially own securities held by AC Midwest.

F3 · ownership.direct: Alterna, in its capacity as investment adviser to Fund II, has the ability to direct the investment decisions of the Fund II, including the power to vote and dispose of securities held by AC Midwest and may be deemed to beneficially own securities held by AC Midwest. Fund II General Partner, in its capacity as the general partner of Fund II, has the ability to direct the management of Fund II's business, including the power to direct the decisions of Fund II regarding the vote and disposition of securities held by AC Midwest and may be deemed to beneficially own securities held by AC Midwest.

F4 · ownership.direct: Each of Messrs. Toll, Press and Miller, by virtue of their role as managing members of Alterna, and Mr. Goldin, by virtue of his role as a member of Alterna, may be deemed to have shared power regarding the vote and disposition of securities held by AC Midwest and may be deemed to beneficially own securities held by AC Midwest.

F2 · ownership.nature: This statement is jointly filed by and on behalf of each of Alterna Core Capital Assets Fund II, L.P. ("Fund II"), Alterna Capital Partners LLC ("Alterna"), Alterna General Partner II LLC ("Fund II General Partner"), AC Midwest, Harry V. Toll, Eric M. Press, Roger P. Miller and Earle Goldin. AC Midwest is the record and direct beneficial owner of the securities covered by this statement. Fund II owns all of the outstanding equity interests of AC Midwest and may be deemed to beneficially own securities held by AC Midwest.

F3 · ownership.nature: Alterna, in its capacity as investment adviser to Fund II, has the ability to direct the investment decisions of the Fund II, including the power to vote and dispose of securities held by AC Midwest and may be deemed to beneficially own securities held by AC Midwest. Fund II General Partner, in its capacity as the general partner of Fund II, has the ability to direct the management of Fund II's business, including the power to direct the decisions of Fund II regarding the vote and disposition of securities held by AC Midwest and may be deemed to beneficially own securities held by AC Midwest.

F4 · ownership.nature: Each of Messrs. Toll, Press and Miller, by virtue of their role as managing members of Alterna, and Mr. Goldin, by virtue of his role as a member of Alterna, may be deemed to have shared power regarding the vote and disposition of securities held by AC Midwest and may be deemed to beneficially own securities held by AC Midwest.

SEC source: 0001565778-16-000030 · primary_doc.xml · nonDerivative · entry 4

Alterna Core Capital Assets Fund II, L.P. · CIK 0001565778 · 10% owner

Alterna Capital Partners LLC · CIK 0001619571 · 10% owner

Alterna General Partner II LLC · CIK 0001619585 · 10% owner

AC Midwest Energy LLC · CIK 0001619570 · 10% owner

Toll Harry V. · CIK 0001617820 · 10% owner

Press Eric M. · CIK 0001619289 · 10% owner

Goldin Earle · CIK 0001618838 · 10% owner

Miller Roger P. · CIK 0001619288 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By AC Midwest Energy LLC

Disclosed balance after: 11,700,000

F6 · shares: Represents shares of the Issuer's Common Stock acquired by AC Midwest through the net cashless exercise of a warrant to acquire up 3,600,000 shares of Common Stock (the "Second Warrant"), pursuant to which 1,751,701 shares were issued to AC Midwest and 902,939 shares were withheld by the Issuer to pay the exercise price.

F5 · price: The price reflects the closing sale price of one share of the Issuer's Common Stock on the trading day immediately preceding the date of exercise.

F2 · ownership.direct: This statement is jointly filed by and on behalf of each of Alterna Core Capital Assets Fund II, L.P. ("Fund II"), Alterna Capital Partners LLC ("Alterna"), Alterna General Partner II LLC ("Fund II General Partner"), AC Midwest, Harry V. Toll, Eric M. Press, Roger P. Miller and Earle Goldin. AC Midwest is the record and direct beneficial owner of the securities covered by this statement. Fund II owns all of the outstanding equity interests of AC Midwest and may be deemed to beneficially own securities held by AC Midwest.

F3 · ownership.direct: Alterna, in its capacity as investment adviser to Fund II, has the ability to direct the investment decisions of the Fund II, including the power to vote and dispose of securities held by AC Midwest and may be deemed to beneficially own securities held by AC Midwest. Fund II General Partner, in its capacity as the general partner of Fund II, has the ability to direct the management of Fund II's business, including the power to direct the decisions of Fund II regarding the vote and disposition of securities held by AC Midwest and may be deemed to beneficially own securities held by AC Midwest.

F4 · ownership.direct: Each of Messrs. Toll, Press and Miller, by virtue of their role as managing members of Alterna, and Mr. Goldin, by virtue of his role as a member of Alterna, may be deemed to have shared power regarding the vote and disposition of securities held by AC Midwest and may be deemed to beneficially own securities held by AC Midwest.

F2 · ownership.nature: This statement is jointly filed by and on behalf of each of Alterna Core Capital Assets Fund II, L.P. ("Fund II"), Alterna Capital Partners LLC ("Alterna"), Alterna General Partner II LLC ("Fund II General Partner"), AC Midwest, Harry V. Toll, Eric M. Press, Roger P. Miller and Earle Goldin. AC Midwest is the record and direct beneficial owner of the securities covered by this statement. Fund II owns all of the outstanding equity interests of AC Midwest and may be deemed to beneficially own securities held by AC Midwest.

F3 · ownership.nature: Alterna, in its capacity as investment adviser to Fund II, has the ability to direct the investment decisions of the Fund II, including the power to vote and dispose of securities held by AC Midwest and may be deemed to beneficially own securities held by AC Midwest. Fund II General Partner, in its capacity as the general partner of Fund II, has the ability to direct the management of Fund II's business, including the power to direct the decisions of Fund II regarding the vote and disposition of securities held by AC Midwest and may be deemed to beneficially own securities held by AC Midwest.

F4 · ownership.nature: Each of Messrs. Toll, Press and Miller, by virtue of their role as managing members of Alterna, and Mr. Goldin, by virtue of his role as a member of Alterna, may be deemed to have shared power regarding the vote and disposition of securities held by AC Midwest and may be deemed to beneficially own securities held by AC Midwest.

SEC source: 0001565778-16-000030 · primary_doc.xml · nonDerivative · entry 3

Alterna Core Capital Assets Fund II, L.P. · CIK 0001565778 · 10% owner

Alterna Capital Partners LLC · CIK 0001619571 · 10% owner

Alterna General Partner II LLC · CIK 0001619585 · 10% owner

AC Midwest Energy LLC · CIK 0001619570 · 10% owner

Toll Harry V. · CIK 0001617820 · 10% owner

Press Eric M. · CIK 0001619289 · 10% owner

Goldin Earle · CIK 0001618838 · 10% owner

Miller Roger P. · CIK 0001619288 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By AC Midwest Energy LLC

Disclosed balance after: 11,700,000

F6 · shares: Represents shares of the Issuer's Common Stock acquired by AC Midwest through the net cashless exercise of a warrant to acquire up 3,600,000 shares of Common Stock (the "Second Warrant"), pursuant to which 1,751,701 shares were issued to AC Midwest and 902,939 shares were withheld by the Issuer to pay the exercise price.

F2 · ownership.direct: This statement is jointly filed by and on behalf of each of Alterna Core Capital Assets Fund II, L.P. ("Fund II"), Alterna Capital Partners LLC ("Alterna"), Alterna General Partner II LLC ("Fund II General Partner"), AC Midwest, Harry V. Toll, Eric M. Press, Roger P. Miller and Earle Goldin. AC Midwest is the record and direct beneficial owner of the securities covered by this statement. Fund II owns all of the outstanding equity interests of AC Midwest and may be deemed to beneficially own securities held by AC Midwest.

F3 · ownership.direct: Alterna, in its capacity as investment adviser to Fund II, has the ability to direct the investment decisions of the Fund II, including the power to vote and dispose of securities held by AC Midwest and may be deemed to beneficially own securities held by AC Midwest. Fund II General Partner, in its capacity as the general partner of Fund II, has the ability to direct the management of Fund II's business, including the power to direct the decisions of Fund II regarding the vote and disposition of securities held by AC Midwest and may be deemed to beneficially own securities held by AC Midwest.

F4 · ownership.direct: Each of Messrs. Toll, Press and Miller, by virtue of their role as managing members of Alterna, and Mr. Goldin, by virtue of his role as a member of Alterna, may be deemed to have shared power regarding the vote and disposition of securities held by AC Midwest and may be deemed to beneficially own securities held by AC Midwest.

F2 · ownership.nature: This statement is jointly filed by and on behalf of each of Alterna Core Capital Assets Fund II, L.P. ("Fund II"), Alterna Capital Partners LLC ("Alterna"), Alterna General Partner II LLC ("Fund II General Partner"), AC Midwest, Harry V. Toll, Eric M. Press, Roger P. Miller and Earle Goldin. AC Midwest is the record and direct beneficial owner of the securities covered by this statement. Fund II owns all of the outstanding equity interests of AC Midwest and may be deemed to beneficially own securities held by AC Midwest.

F3 · ownership.nature: Alterna, in its capacity as investment adviser to Fund II, has the ability to direct the investment decisions of the Fund II, including the power to vote and dispose of securities held by AC Midwest and may be deemed to beneficially own securities held by AC Midwest. Fund II General Partner, in its capacity as the general partner of Fund II, has the ability to direct the management of Fund II's business, including the power to direct the decisions of Fund II regarding the vote and disposition of securities held by AC Midwest and may be deemed to beneficially own securities held by AC Midwest.

F4 · ownership.nature: Each of Messrs. Toll, Press and Miller, by virtue of their role as managing members of Alterna, and Mr. Goldin, by virtue of his role as a member of Alterna, may be deemed to have shared power regarding the vote and disposition of securities held by AC Midwest and may be deemed to beneficially own securities held by AC Midwest.

SEC source: 0001565778-16-000030 · primary_doc.xml · nonDerivative · entry 2

Alterna Core Capital Assets Fund II, L.P. · CIK 0001565778 · 10% owner

Alterna Capital Partners LLC · CIK 0001619571 · 10% owner

Alterna General Partner II LLC · CIK 0001619585 · 10% owner

AC Midwest Energy LLC · CIK 0001619570 · 10% owner

Toll Harry V. · CIK 0001617820 · 10% owner

Press Eric M. · CIK 0001619289 · 10% owner

Goldin Earle · CIK 0001618838 · 10% owner

Miller Roger P. · CIK 0001619288 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By AC Midwest Energy LLC

Disclosed balance after: 11,700,000

F1 · shares: Represents shares of the Issuer's common stock, par value $0.001 per share (the "Common Stock") acquired by AC Midwest Energy LLC ("AC Midwest") through the net cashless exercise of a warrant to acquire up 12,5000,000 shares of Common Stock (the "First Warrant"), pursuant to which 8,248,299 shares were issued to AC Midwest and 4,251,701 shares were withheld by the Issuer to pay the exercise price.

F5 · price: The price reflects the closing sale price of one share of the Issuer's Common Stock on the trading day immediately preceding the date of exercise.

F2 · ownership.direct: This statement is jointly filed by and on behalf of each of Alterna Core Capital Assets Fund II, L.P. ("Fund II"), Alterna Capital Partners LLC ("Alterna"), Alterna General Partner II LLC ("Fund II General Partner"), AC Midwest, Harry V. Toll, Eric M. Press, Roger P. Miller and Earle Goldin. AC Midwest is the record and direct beneficial owner of the securities covered by this statement. Fund II owns all of the outstanding equity interests of AC Midwest and may be deemed to beneficially own securities held by AC Midwest.

F3 · ownership.direct: Alterna, in its capacity as investment adviser to Fund II, has the ability to direct the investment decisions of the Fund II, including the power to vote and dispose of securities held by AC Midwest and may be deemed to beneficially own securities held by AC Midwest. Fund II General Partner, in its capacity as the general partner of Fund II, has the ability to direct the management of Fund II's business, including the power to direct the decisions of Fund II regarding the vote and disposition of securities held by AC Midwest and may be deemed to beneficially own securities held by AC Midwest.

F4 · ownership.direct: Each of Messrs. Toll, Press and Miller, by virtue of their role as managing members of Alterna, and Mr. Goldin, by virtue of his role as a member of Alterna, may be deemed to have shared power regarding the vote and disposition of securities held by AC Midwest and may be deemed to beneficially own securities held by AC Midwest.

F2 · ownership.nature: This statement is jointly filed by and on behalf of each of Alterna Core Capital Assets Fund II, L.P. ("Fund II"), Alterna Capital Partners LLC ("Alterna"), Alterna General Partner II LLC ("Fund II General Partner"), AC Midwest, Harry V. Toll, Eric M. Press, Roger P. Miller and Earle Goldin. AC Midwest is the record and direct beneficial owner of the securities covered by this statement. Fund II owns all of the outstanding equity interests of AC Midwest and may be deemed to beneficially own securities held by AC Midwest.

F3 · ownership.nature: Alterna, in its capacity as investment adviser to Fund II, has the ability to direct the investment decisions of the Fund II, including the power to vote and dispose of securities held by AC Midwest and may be deemed to beneficially own securities held by AC Midwest. Fund II General Partner, in its capacity as the general partner of Fund II, has the ability to direct the management of Fund II's business, including the power to direct the decisions of Fund II regarding the vote and disposition of securities held by AC Midwest and may be deemed to beneficially own securities held by AC Midwest.

F4 · ownership.nature: Each of Messrs. Toll, Press and Miller, by virtue of their role as managing members of Alterna, and Mr. Goldin, by virtue of his role as a member of Alterna, may be deemed to have shared power regarding the vote and disposition of securities held by AC Midwest and may be deemed to beneficially own securities held by AC Midwest.

SEC source: 0001565778-16-000030 · primary_doc.xml · nonDerivative · entry 1

Alterna Core Capital Assets Fund II, L.P. · CIK 0001565778 · 10% owner

Alterna Capital Partners LLC · CIK 0001619571 · 10% owner

Alterna General Partner II LLC · CIK 0001619585 · 10% owner

AC Midwest Energy LLC · CIK 0001619570 · 10% owner

Toll Harry V. · CIK 0001617820 · 10% owner

Press Eric M. · CIK 0001619289 · 10% owner

Goldin Earle · CIK 0001618838 · 10% owner

Miller Roger P. · CIK 0001619288 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By AC Midwest Energy LLC

Disclosed balance after: 11,700,000

F1 · shares: Represents shares of the Issuer's common stock, par value $0.001 per share (the "Common Stock") acquired by AC Midwest Energy LLC ("AC Midwest") through the net cashless exercise of a warrant to acquire up 12,5000,000 shares of Common Stock (the "First Warrant"), pursuant to which 8,248,299 shares were issued to AC Midwest and 4,251,701 shares were withheld by the Issuer to pay the exercise price.

F2 · ownership.direct: This statement is jointly filed by and on behalf of each of Alterna Core Capital Assets Fund II, L.P. ("Fund II"), Alterna Capital Partners LLC ("Alterna"), Alterna General Partner II LLC ("Fund II General Partner"), AC Midwest, Harry V. Toll, Eric M. Press, Roger P. Miller and Earle Goldin. AC Midwest is the record and direct beneficial owner of the securities covered by this statement. Fund II owns all of the outstanding equity interests of AC Midwest and may be deemed to beneficially own securities held by AC Midwest.

F3 · ownership.direct: Alterna, in its capacity as investment adviser to Fund II, has the ability to direct the investment decisions of the Fund II, including the power to vote and dispose of securities held by AC Midwest and may be deemed to beneficially own securities held by AC Midwest. Fund II General Partner, in its capacity as the general partner of Fund II, has the ability to direct the management of Fund II's business, including the power to direct the decisions of Fund II regarding the vote and disposition of securities held by AC Midwest and may be deemed to beneficially own securities held by AC Midwest.

F4 · ownership.direct: Each of Messrs. Toll, Press and Miller, by virtue of their role as managing members of Alterna, and Mr. Goldin, by virtue of his role as a member of Alterna, may be deemed to have shared power regarding the vote and disposition of securities held by AC Midwest and may be deemed to beneficially own securities held by AC Midwest.

F2 · ownership.nature: This statement is jointly filed by and on behalf of each of Alterna Core Capital Assets Fund II, L.P. ("Fund II"), Alterna Capital Partners LLC ("Alterna"), Alterna General Partner II LLC ("Fund II General Partner"), AC Midwest, Harry V. Toll, Eric M. Press, Roger P. Miller and Earle Goldin. AC Midwest is the record and direct beneficial owner of the securities covered by this statement. Fund II owns all of the outstanding equity interests of AC Midwest and may be deemed to beneficially own securities held by AC Midwest.

F3 · ownership.nature: Alterna, in its capacity as investment adviser to Fund II, has the ability to direct the investment decisions of the Fund II, including the power to vote and dispose of securities held by AC Midwest and may be deemed to beneficially own securities held by AC Midwest. Fund II General Partner, in its capacity as the general partner of Fund II, has the ability to direct the management of Fund II's business, including the power to direct the decisions of Fund II regarding the vote and disposition of securities held by AC Midwest and may be deemed to beneficially own securities held by AC Midwest.

F4 · ownership.nature: Each of Messrs. Toll, Press and Miller, by virtue of their role as managing members of Alterna, and Mr. Goldin, by virtue of his role as a member of Alterna, may be deemed to have shared power regarding the vote and disposition of securities held by AC Midwest and may be deemed to beneficially own securities held by AC Midwest.

SEC source: 0001565778-16-000029 · primary_doc.xml · nonDerivative · entry 1

Alterna Core Capital Assets Fund II, L.P. · CIK 0001565778 · 10% owner

Alterna Capital Partners LLC · CIK 0001619571 · 10% owner

Alterna General Partner II LLC · CIK 0001619585 · 10% owner

AC Midwest Energy LLC · CIK 0001619570 · 10% owner

Toll Harry V. · CIK 0001617820 · 10% owner

Press Eric M. · CIK 0001619289 · 10% owner

Goldin Earle · CIK 0001618838 · 10% owner

Miller Roger P. · CIK 0001619288 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By AC Midwest Energy LLC

Disclosed balance after: 51,497,819

F1 · balance_after: As previously reported, on August 14, 2014, the Issuer, the Issuer's wholly-owned subsidiary and AC Midwest Energy LLC ("AC Midwest") entered into a series of agreements, including a certain Financing Agreement (the "Original Financing Agreement"), pursuant to the terms of which AC Midwest purchased from the Issuer a 12% senior secured convertible note in the principal amount of $10 million (the "Original Convertible Note") and a five year warrant (the "First Warrant") to purchase up to an additional 12,500,000 shares of the Issuer's common stock, par value $0.001 per share (the "Common Stock"). The First Warrant is subject to percentage based anti-dilution protection requiring that the aggregate number of shares of Common Stock purchasable upon its initial exercise not be less than an amount equal to 15% of the Issuer's then outstanding shares of capital stock on a fully diluted basis.

F2 · balance_after: On March 16, 2015, the above-referenced parties entered into series of amendments related to the Original Financing Agreement, including (i) a Wavier and Amendment to Financing Agreement and Reaffirmation of Guaranty (the "Amended Financing Agreement"), pursuant to which the Issuer made a $3 million payment toward the principal balance of the Original Convertible Note and the conversion price of the Original Convertible Note was adjusted to $0.50 per share of Common Stock, and (ii) an amendment to the First Warrant, pursuant to which the exercise price of the First Warrant was adjusted to $0.50 per share of Common Stock.

F3 · balance_after: On November 16, 2015, the above-referenced parties entered into a second series of amendments related to the Amended Financing Agreement (the "Second Amended Financing Agreement"), pursuant to which AC Midwest purchased from the Issuer an additional 12% senior secured convertible note in the principal amount of $600,000 with a conversion price of $0.50 per share of Common Stock (the "Second Convertible Note" and, together with the Original Convertible Note, the "Notes") and a five year warrant to purchase up to an additional 3,600,000 shares of Common Stock at an exercise price of $0.35 per share of Common Stock (the "Second Warrant"). The Second Warrant is subject to percentage based anti-dilution protection requiring that the aggregate number of shares of Common Stock purchasable upon any exercise date not be less than an amount equal to 4.3% of the Issuer's then outstanding shares of capital stock on a fully diluted basis.

F4 · balance_after: Interest on the Notes was payable at a rate of 2% in cash and 10% in kind (the "PIK Interest") through August 13, 2016 and thereafter is payable entirely in cash. Interest is calculated on the basis of a 360-day year and actual days elapsed, and it accrues or is payable, as applicable, monthly in arrears on or before the last day of each calendar month. As of August 31, 2016, the outstanding principal balance of the Notes together with all accrued interest thereon was $9,647,217.

F5 · balance_after: On January 28, 2016, the above-referenced parties entered into a third series of amendments related to the Second Amended Financing Agreement (the "Third Amended Financing Agreement" and, together with the Original Financing Agreement, Amended Financing Agreement and Second Amended Financing Agreement, the "Financing Agreement"), pursuant to which AC Midwest caused its bank to issue a standby letter of credit on behalf of the Issuer, in consideration of, among other things, the Issuer's issuance of a five year warrant to purchase up to an additional 2,000,000 shares of Common Stock at an exercise price of $0.35 per share of Common Stock (the "Third Warrant"). The Third Warrant is subject to percentage based anti-dilution protection requiring that the aggregate number of shares of Common Stock purchasable upon its initial exercise not be less than an amount equal to 7.2% of the Issuer's then outstanding shares of capital stock on a fully diluted basis.

F6 · balance_after: On November 18, 2016, AC Midwest purchased 1,700,000 shares of the Issuer's Common Stock, at a price of $1.20 per share, as part of a private offering transaction.

F7 · ownership.direct: This statement is jointly filed by and on behalf of each of Alterna Core Capital Assets Fund II, L.P. ("Fund II"), Alterna Capital Partners LLC ("Alterna"), Alterna General Partner II LLC ("Fund II General Partner"), AC Midwest, Harry V. Toll, Eric M. Press, Roger P. Miller and Earle Goldin. AC Midwest is the record and direct beneficial owner of the securities covered by this statement. Fund II owns all of the outstanding equity interests of AC Midwest and may be deemed to beneficially own securities held by AC Midwest.

F8 · ownership.direct: Alterna, in its capacity as investment adviser to Fund II, has the ability to direct the investment decisions of the Fund II, including the power to vote and dispose of securities held by AC Midwest and may be deemed to beneficially own securities held by AC Midwest. Fund II General Partner, in its capacity as the general partner of Fund II, has the ability to direct the management of Fund II's business, including the power to direct the decisions of Fund II regarding the vote and disposition of securities held by AC Midwest and may be deemed to beneficially own securities held by AC Midwest.

F9 · ownership.direct: Each of Messrs. Toll, Furnivall, Press and Miller, by virtue of their role as managing members of Alterna, and Mr. Goldin, by virtue of his role as a member of Alterna, may be deemed to have shared power regarding the vote and disposition of securities held by AC Midwest and may be deemed to beneficially own securities held by AC Midwest.

F7 · ownership.nature: This statement is jointly filed by and on behalf of each of Alterna Core Capital Assets Fund II, L.P. ("Fund II"), Alterna Capital Partners LLC ("Alterna"), Alterna General Partner II LLC ("Fund II General Partner"), AC Midwest, Harry V. Toll, Eric M. Press, Roger P. Miller and Earle Goldin. AC Midwest is the record and direct beneficial owner of the securities covered by this statement. Fund II owns all of the outstanding equity interests of AC Midwest and may be deemed to beneficially own securities held by AC Midwest.

F8 · ownership.nature: Alterna, in its capacity as investment adviser to Fund II, has the ability to direct the investment decisions of the Fund II, including the power to vote and dispose of securities held by AC Midwest and may be deemed to beneficially own securities held by AC Midwest. Fund II General Partner, in its capacity as the general partner of Fund II, has the ability to direct the management of Fund II's business, including the power to direct the decisions of Fund II regarding the vote and disposition of securities held by AC Midwest and may be deemed to beneficially own securities held by AC Midwest.

F9 · ownership.nature: Each of Messrs. Toll, Furnivall, Press and Miller, by virtue of their role as managing members of Alterna, and Mr. Goldin, by virtue of his role as a member of Alterna, may be deemed to have shared power regarding the vote and disposition of securities held by AC Midwest and may be deemed to beneficially own securities held by AC Midwest.