FTK

SEC source: 0000928054-22-000223 · wf-form4_167175805351295.xml · nonDerivative · entry 2

CLEMENT JAMES BOND · CIK 0001429215 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 347,934

F2 · shares: Vests ratably over three years.

SEC source: 0000928054-22-000223 · wf-form4_167175805351295.xml · nonDerivative · entry 1

CLEMENT JAMES BOND · CIK 0001429215 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

F1 · shares: Vests ratably over two years.

SEC source: 0000928054-23-000103 · wf-form4a_168634284116638.xml · nonDerivative · entry 1

CLEMENT JAMES BOND · CIK 0001429215 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 347,934

F1 · shares: Vests ratably over five years.

SEC source: 0000928054-22-000216 · wf-form4_167024046259481.xml · nonDerivative · entry 1

GIBSON JOHN W JR · CIK 0001189981 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 894,780

SEC source: 0000928054-22-000203 · wf-form4_166742686985309.xml · nonDerivative · entry 1

GIBSON JOHN W JR · CIK 0001189981 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 890,780

SEC source: 0000928054-22-000198 · wf-form4_166613686136687.xml · nonDerivative · entry 1

Farber Evan R · CIK 0001415894 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,980

F1 · shares: Grant of shares for board annual award. Shares vest at the earlier of one year from date of grant and the 2023 annual meeting.

SEC source: 0000928054-22-000185 · wf-form4_166491860680044.xml · nonDerivative · entry 1

Ezell Ryan Gillis · CIK 0001805598 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 423,292

F1 · shares: Shares sold to cover withholding tax liability at vesting.

SEC source: 0000928054-22-000183 · wf-form4_166491810435079.xml · nonDerivative · entry 1

GIBSON JOHN W JR · CIK 0001189981 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 886,780

SEC source: 0000928054-22-000181 · wf-form4_166206639570765.xml · nonDerivative · entry 1

GIBSON JOHN W JR · CIK 0001189981 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 882,780

SEC source: 0000928054-22-000165 · wf-form4_165999678412620.xml · nonDerivative · entry 1

Fucci Michael · CIK 0001830184 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 144,308

F1 · shares: Grant of shares for annual retainer. Shares vest at the earlier of one year from date of grant and the 2023 annual meeting.

SEC source: 0000928054-22-000169 · wf-form4_165999754542458.xml · nonDerivative · entry 1

Nierenberg David · CIK 0001040899 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 165,289

F1 · shares: Grant of shares for annual retainer and board fees, which Mr. Nierenberg elected to take in stock rather than cash. Shares vest at the earlier of one year from date of grant and the 2023 annual meeting.

SEC source: 0000928054-22-000167 · wf-form4_165999692445086.xml · nonDerivative · entry 1

Agadi Harshavardhan V · CIK 0001498132 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 267,439

F1 · shares: Grant of shares for annual retainer and board fees, which Mr. Agadi elected to take in stock rather than in cash. Shares vest at the earlier of one year from date of grant and the 2023 annual meeting.

SEC source: 0000928054-22-000163 · wf-form4_165999667467068.xml · nonDerivative · entry 1

Mayr Lisa · CIK 0001793283 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 129,815

F1 · shares: Grant of shares for annual retainer. Shares vest at the earlier of one year from date of grant and the 2023 annual meeting.

SEC source: 0000928054-22-000159 · wf-form4_165938571128266.xml · nonDerivative · entry 1

GIBSON JOHN W JR · CIK 0001189981 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 878,780

SEC source: 0000928054-22-000154 · wf-form4_165705758176578.xml · nonDerivative · entry 1

GIBSON JOHN W JR · CIK 0001189981 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 874,780

SEC source: 0000899243-22-029972 · doc4.xml · derivative · entry 1

ProFrac Holding Corp. · CIK 0001881487 · 10% owner

ProFrac Holdings, LLC · CIK 0001911179 · 10% owner

ProFrac Holdings II, LLC · CIK 0001918796 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By ProFrac Holdings II, LLC

Disclosed balance after: 13,104,839

Underlying: Common Stock · 13,104,839 shares

Expires not disclosed

F1 · security: ProFrac Holdings II, LLC, a Texas limited liability company ("ProFrac Holdings II"), directly holds the securities of the Issuer. ProFrac Holdings, LLC, a Texas limited liability company ("ProFrac Holdings") is the sole member of ProFrac Holdings II. ProFrac Holding Corp., a Delaware corporation ("PubCo"), is the sole managing member of ProFrac Holdings. As a result, each of ProFrac Holdings and PubCo may be deemed to beneficially own the securities directly held by ProFrac Holdings II. Each Reporting Person disclaims beneficial ownership of all securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any securities covered by this Form 4.

F2 · security: On June 21, 2022 (the "Closing Date"), pursuant to a Securities Purchase Agreement between the Issuer and ProFrac Holdings II, the Issuer issued to ProFrac Holdings II prefunded warrants (the "Warrants") permitting ProFrac Holdings II to purchase 13,104,839 shares of the Issuer's Common Stock (the "Warrant Shares").

F3 · derivative.exercise_price: The aggregate exercise price of the Warrants, except for a nominal exercise price of $0.0001 per Warrant Share (the "Exercise Price"), was pre-funded to the Issuer by ProFrac Holdings II and, consequently, except to the extent required to satisfy the condition described in clause (ii) below, no additional consideration (other than the nominal Exercise Price) is required to be paid to the Issuer to effect any exercise of the Warrants. ProFrac Holdings II and its affiliates may not receive any voting or consent rights in respect of the Warrants or the Warrant Shares unless and until (i) the Issuer has obtained approval from a majority of its shareholders excluding ProFrac Holdings II and its affiliates and (ii) ProFrac Holdings II has paid an additional $4,500,000 to the Issuer; provided, however, that ProFrac Holdings II may exercise the Warrants immediately prior to the sale of the Warrant Shares subject to such exercise to a non-affiliate of ProFrac Holdings II.

F3 · price: The aggregate exercise price of the Warrants, except for a nominal exercise price of $0.0001 per Warrant Share (the "Exercise Price"), was pre-funded to the Issuer by ProFrac Holdings II and, consequently, except to the extent required to satisfy the condition described in clause (ii) below, no additional consideration (other than the nominal Exercise Price) is required to be paid to the Issuer to effect any exercise of the Warrants. ProFrac Holdings II and its affiliates may not receive any voting or consent rights in respect of the Warrants or the Warrant Shares unless and until (i) the Issuer has obtained approval from a majority of its shareholders excluding ProFrac Holdings II and its affiliates and (ii) ProFrac Holdings II has paid an additional $4,500,000 to the Issuer; provided, however, that ProFrac Holdings II may exercise the Warrants immediately prior to the sale of the Warrant Shares subject to such exercise to a non-affiliate of ProFrac Holdings II.

F3 · derivative.exercise_date: The aggregate exercise price of the Warrants, except for a nominal exercise price of $0.0001 per Warrant Share (the "Exercise Price"), was pre-funded to the Issuer by ProFrac Holdings II and, consequently, except to the extent required to satisfy the condition described in clause (ii) below, no additional consideration (other than the nominal Exercise Price) is required to be paid to the Issuer to effect any exercise of the Warrants. ProFrac Holdings II and its affiliates may not receive any voting or consent rights in respect of the Warrants or the Warrant Shares unless and until (i) the Issuer has obtained approval from a majority of its shareholders excluding ProFrac Holdings II and its affiliates and (ii) ProFrac Holdings II has paid an additional $4,500,000 to the Issuer; provided, however, that ProFrac Holdings II may exercise the Warrants immediately prior to the sale of the Warrant Shares subject to such exercise to a non-affiliate of ProFrac Holdings II.

F4 · derivative.exercise_date: Subject to the conditions described in footnote 3 above, all or any part of the Warrants are exercisable by its registered holder at any time and from time to time on or after the Closing Date and until the Warrants are exercised in full.

F4 · derivative.expiration_date: Subject to the conditions described in footnote 3 above, all or any part of the Warrants are exercisable by its registered holder at any time and from time to time on or after the Closing Date and until the Warrants are exercised in full.

F1 · ownership.direct: ProFrac Holdings II, LLC, a Texas limited liability company ("ProFrac Holdings II"), directly holds the securities of the Issuer. ProFrac Holdings, LLC, a Texas limited liability company ("ProFrac Holdings") is the sole member of ProFrac Holdings II. ProFrac Holding Corp., a Delaware corporation ("PubCo"), is the sole managing member of ProFrac Holdings. As a result, each of ProFrac Holdings and PubCo may be deemed to beneficially own the securities directly held by ProFrac Holdings II. Each Reporting Person disclaims beneficial ownership of all securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any securities covered by this Form 4.

F2 · ownership.direct: On June 21, 2022 (the "Closing Date"), pursuant to a Securities Purchase Agreement between the Issuer and ProFrac Holdings II, the Issuer issued to ProFrac Holdings II prefunded warrants (the "Warrants") permitting ProFrac Holdings II to purchase 13,104,839 shares of the Issuer's Common Stock (the "Warrant Shares").

F1 · ownership.nature: ProFrac Holdings II, LLC, a Texas limited liability company ("ProFrac Holdings II"), directly holds the securities of the Issuer. ProFrac Holdings, LLC, a Texas limited liability company ("ProFrac Holdings") is the sole member of ProFrac Holdings II. ProFrac Holding Corp., a Delaware corporation ("PubCo"), is the sole managing member of ProFrac Holdings. As a result, each of ProFrac Holdings and PubCo may be deemed to beneficially own the securities directly held by ProFrac Holdings II. Each Reporting Person disclaims beneficial ownership of all securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any securities covered by this Form 4.

F2 · ownership.nature: On June 21, 2022 (the "Closing Date"), pursuant to a Securities Purchase Agreement between the Issuer and ProFrac Holdings II, the Issuer issued to ProFrac Holdings II prefunded warrants (the "Warrants") permitting ProFrac Holdings II to purchase 13,104,839 shares of the Issuer's Common Stock (the "Warrant Shares").

SEC source: 0000928054-22-000144 · wf-form4_165464026238638.xml · nonDerivative · entry 2

Agadi Harshavardhan V · CIK 0001498132 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · IRA Account

Disclosed balance after: 90,000

SEC source: 0000928054-22-000144 · wf-form4_165464026238638.xml · nonDerivative · entry 1

Agadi Harshavardhan V · CIK 0001498132 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · IRA Account

Disclosed balance after: 70,000

SEC source: 0000928054-22-000142 · wf-form4_165429601612646.xml · nonDerivative · entry 2

Agadi Harshavardhan V · CIK 0001498132 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · IRA Account

Disclosed balance after: 50,000

SEC source: 0000928054-22-000142 · wf-form4_165429601612646.xml · nonDerivative · entry 1

Agadi Harshavardhan V · CIK 0001498132 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · IRA Account

Disclosed balance after: 30,000

SEC source: 0000928054-22-000140 · wf-form4_165420028959193.xml · nonDerivative · entry 1

GIBSON JOHN W JR · CIK 0001189981 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 870,833

SEC source: 0000928054-22-000137 · wf-form4_165334097972044.xml · nonDerivative · entry 1

Carson Seham Saleh · CIK 0001930140 · Interim CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 117,327

F1 · shares: Vests ratably over three years from date of grant

SEC source: 0000899243-22-019116 · doc4.xml · derivative · entry 1

ProFrac Holding Corp. · CIK 0001881487 · 10% owner

ProFrac Holdings, LLC · CIK 0001911179 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By ProFrac Holdings, LLC

Disclosed balance after: 50,000,000

Underlying: Common Stock · 45,950,604 shares

Expires 2023-05-17

F1 · security: ProFrac Holdings, LLC, a Texas limited liability company ("ProFrac Holdings"), directly holds the securities of the Issuer. ProFrac Holding Corp., a Delaware corporation, as the sole managing member of ProFrac Holdings, has exclusive voting and investment control over the securities of the Issuer held by ProFrac Holdings, and therefore may be deemed to beneficially own such securities.

F2 · security: Each Reporting Person disclaims beneficial ownership of all securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any securities covered by this Form 4.

F3 · security: Reflects the acquisition by ProFrac Holdings from the Issuer of $50,000,000 in principal amount of 10% Convertible PIK Notes of the Issuer (the "Notes") in connection with the closing of a Securities Purchase Agreement dated as of February 16, 2022 (the "Securities Purchase Agreement").

F4 · derivative.exercise_price: Subject to earlier conversion in accordance with their terms, the entire outstanding and unpaid principal balance of the Notes, plus any accrued and unpaid interest thereon, will become due and payable on May 17, 2023 (the "Maturity Date") in a number of shares of the Issuer's Common Stock, par value $0.0001 per share ("Common Stock"), equal to the quotient obtained by dividing (a) the amount of such outstanding principal and accrued and unpaid interest through the date immediately prior to the Maturity Date, by (b) the lesser of (i) $1.088125 (the "Conversion Price") and (ii) $0.8705, in each case, subject to certain anti-dilution adjustments in accordance with their terms.

F5 · derivative.exercise_price: Subject to the terms and conditions of the Notes, all or any portion of the outstanding principal and accrued and unpaid interest owing under the Notes may be converted at the election of ProFrac Holdings at any time into a number of shares of Common Stock equal to the quotient obtained by dividing (a) the amount of such outstanding aggregate principal amount plus accrued and unpaid interest through the date immediately prior to the date of conversion, by (b) the Conversion Price.

F7 · price: Pursuant to the Securities Purchase Agreement, the Notes were issued to ProFrac Holdings in consideration of the execution and delivery by ProFrac Services, LLC, an indirect subsidiary of ProFrac Holdings ("ProFrac Services"), of an amendment to that certain Chemical Supply Agreement by and between ProFrac Services and Flotek Chemistry, LLC, the Issuer's wholly-owned subsidiary, dated as of February 2, 2022.

F4 · derivative.exercise_date: Subject to earlier conversion in accordance with their terms, the entire outstanding and unpaid principal balance of the Notes, plus any accrued and unpaid interest thereon, will become due and payable on May 17, 2023 (the "Maturity Date") in a number of shares of the Issuer's Common Stock, par value $0.0001 per share ("Common Stock"), equal to the quotient obtained by dividing (a) the amount of such outstanding principal and accrued and unpaid interest through the date immediately prior to the Maturity Date, by (b) the lesser of (i) $1.088125 (the "Conversion Price") and (ii) $0.8705, in each case, subject to certain anti-dilution adjustments in accordance with their terms.

F5 · derivative.exercise_date: Subject to the terms and conditions of the Notes, all or any portion of the outstanding principal and accrued and unpaid interest owing under the Notes may be converted at the election of ProFrac Holdings at any time into a number of shares of Common Stock equal to the quotient obtained by dividing (a) the amount of such outstanding aggregate principal amount plus accrued and unpaid interest through the date immediately prior to the date of conversion, by (b) the Conversion Price.

F4 · derivative.expiration_date: Subject to earlier conversion in accordance with their terms, the entire outstanding and unpaid principal balance of the Notes, plus any accrued and unpaid interest thereon, will become due and payable on May 17, 2023 (the "Maturity Date") in a number of shares of the Issuer's Common Stock, par value $0.0001 per share ("Common Stock"), equal to the quotient obtained by dividing (a) the amount of such outstanding principal and accrued and unpaid interest through the date immediately prior to the Maturity Date, by (b) the lesser of (i) $1.088125 (the "Conversion Price") and (ii) $0.8705, in each case, subject to certain anti-dilution adjustments in accordance with their terms.

F5 · derivative.expiration_date: Subject to the terms and conditions of the Notes, all or any portion of the outstanding principal and accrued and unpaid interest owing under the Notes may be converted at the election of ProFrac Holdings at any time into a number of shares of Common Stock equal to the quotient obtained by dividing (a) the amount of such outstanding aggregate principal amount plus accrued and unpaid interest through the date immediately prior to the date of conversion, by (b) the Conversion Price.

F6 · derivative.underlying_shares: This number represents the number of shares of Common Stock issuable upon conversion of the Notes if ProFrac Holdings elects to convert the Notes based on the aggregate principal amount of the Notes identified in footnote 3 above, not including the conversion of any accrued but unpaid interest on any Notes, and the Conversion Price applicable to the Notes (as described in footnote 5 above).

F1 · ownership.direct: ProFrac Holdings, LLC, a Texas limited liability company ("ProFrac Holdings"), directly holds the securities of the Issuer. ProFrac Holding Corp., a Delaware corporation, as the sole managing member of ProFrac Holdings, has exclusive voting and investment control over the securities of the Issuer held by ProFrac Holdings, and therefore may be deemed to beneficially own such securities.

F2 · ownership.direct: Each Reporting Person disclaims beneficial ownership of all securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any securities covered by this Form 4.

F3 · ownership.direct: Reflects the acquisition by ProFrac Holdings from the Issuer of $50,000,000 in principal amount of 10% Convertible PIK Notes of the Issuer (the "Notes") in connection with the closing of a Securities Purchase Agreement dated as of February 16, 2022 (the "Securities Purchase Agreement").

F1 · ownership.nature: ProFrac Holdings, LLC, a Texas limited liability company ("ProFrac Holdings"), directly holds the securities of the Issuer. ProFrac Holding Corp., a Delaware corporation, as the sole managing member of ProFrac Holdings, has exclusive voting and investment control over the securities of the Issuer held by ProFrac Holdings, and therefore may be deemed to beneficially own such securities.

F2 · ownership.nature: Each Reporting Person disclaims beneficial ownership of all securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any securities covered by this Form 4.

F3 · ownership.nature: Reflects the acquisition by ProFrac Holdings from the Issuer of $50,000,000 in principal amount of 10% Convertible PIK Notes of the Issuer (the "Notes") in connection with the closing of a Securities Purchase Agreement dated as of February 16, 2022 (the "Securities Purchase Agreement").

SEC source: 0000928054-22-000104 · wf-form4_165161351307273.xml · nonDerivative · entry 1

GIBSON JOHN W JR · CIK 0001189981 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 866,833

SEC source: 0000928054-22-000099 · wf-form4_165057228254293.xml · nonDerivative · entry 1

Silas James A · CIK 0001771630 · SVP Research and Innovation

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 412,076

F1 · shares: Shares sold to cover withholding tax liability at vesting.

SEC source: 0000928054-22-000098 · wf-form4_165057221156924.xml · nonDerivative · entry 1

Ezell Ryan Gillis · CIK 0001805598 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 424,916

F1 · shares: Shares sold to cover withholding tax liability at vesting.

SEC source: 0000928054-22-000096 · wf-form4_165057207559564.xml · nonDerivative · entry 1

Bigney Nicholas J. · CIK 0001801480 · SVP General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 286,227

F1 · shares: Shares sold to cover withholding tax liability at vesting.

SEC source: 0000928054-22-000097 · wf-form4_165057214618320.xml · nonDerivative · entry 1

Borton Michael E. · CIK 0001817633 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 403,979

F1 · shares: Shares sold to cover withholding tax liability at vesting.

SEC source: 0000928054-22-000074 · wf-form4_164911271765261.xml · nonDerivative · entry 1

GIBSON JOHN W JR · CIK 0001189981 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 862,833

SEC source: 0000928054-22-000054 · wf-form4_164806738493581.xml · derivative · entry 6

Nierenberg David · CIK 0001040899 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Haredale Limited

Disclosed balance after: Not disclosed

Underlying: Common Shares · Not disclosed shares

Expires 2023-02-02

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 · reported_value: Includes 10% PIK interest accrued through the date prior to the conversion date.

F3 · price: Convertible Debt was purchased on Feb 2, 2022 by The D3 Family Fund, LP, the D3 Family Bulldog Fund, LP and Haredale Ltd. for a cumulative amount of $3,000,000

SEC source: 0000928054-22-000054 · wf-form4_164806738493581.xml · derivative · entry 5

Nierenberg David · CIK 0001040899 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · D3 Family Bulldog Fund, LP

Disclosed balance after: Not disclosed

Underlying: Common Shares · Not disclosed shares

Expires 2023-02-03

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 · reported_value: Includes 10% PIK interest accrued through the date prior to the conversion date.

F3 · price: Convertible Debt was purchased on Feb 2, 2022 by The D3 Family Fund, LP, the D3 Family Bulldog Fund, LP and Haredale Ltd. for a cumulative amount of $3,000,000

SEC source: 0000928054-22-000054 · wf-form4_164806738493581.xml · derivative · entry 4

Nierenberg David · CIK 0001040899 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · D3 Family Fund, LP

Disclosed balance after: Not disclosed

Underlying: Common Shares · Not disclosed shares

Expires 2023-02-02

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 · reported_value: Includes 10% PIK interest accrued through the date prior to the conversion date.

F3 · price: Convertible Debt was purchased on Feb 2, 2022 by The D3 Family Fund, LP, the D3 Family Bulldog Fund, LP and Haredale Ltd. for a cumulative amount of $3,000,000

SEC source: 0000928054-22-000054 · wf-form4_164806738493581.xml · nonDerivative · entry 3

Nierenberg David · CIK 0001040899 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Haredale Ltd.

Disclosed balance after: 242,656

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 · shares: Shares from conversion of convertible debt listed in Table II.

SEC source: 0000928054-22-000054 · wf-form4_164806738493581.xml · nonDerivative · entry 2

Nierenberg David · CIK 0001040899 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By The D3 Family Bulldog Fund, LP

Disclosed balance after: 4,795,960

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 · shares: Shares from conversion of convertible debt listed in Table II.

SEC source: 0000928054-22-000054 · wf-form4_164806738493581.xml · nonDerivative · entry 1

Nierenberg David · CIK 0001040899 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By The D3 Family Fund, LP

Disclosed balance after: 2,595,383

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 · shares: Shares from conversion of convertible debt listed in Table II.

SEC source: 0000928054-22-000045 · wf-form4_164696307298718.xml · nonDerivative · entry 1

Bigney Nicholas J. · CIK 0001801480 · SVP General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 293,986

F1 · shares: Vests ratably over three years from date of grant

SEC source: 0000928054-22-000043 · wf-form4_164696281209464.xml · nonDerivative · entry 1

Silas James A · CIK 0001771630 · SVP Research and Innovation

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 420,125

F1 · shares: Vests ratably over three years from date of grant

SEC source: 0000928054-22-000041 · wf-form4_164696263134943.xml · nonDerivative · entry 1

Ezell Ryan Gillis · CIK 0001805598 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 436,533

F1 · shares: Vests ratably over three years from date of grant

SEC source: 0000928054-22-000032 · wf-form4_164669244889593.xml · nonDerivative · entry 1

Silas James A · CIK 0001771630 · SVP Research and Innovation

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 362,322

SEC source: 0000928054-22-000030 · wf-form4_164669228516844.xml · nonDerivative · entry 1

Ezell Ryan Gillis · CIK 0001805598 · President, Chem. Technologies

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 349,828

SEC source: 0000928054-22-000028 · wf-form4_164669211867978.xml · nonDerivative · entry 1

Bigney Nicholas J. · CIK 0001801480 · SVP General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 236,183

SEC source: 0000928054-22-000026 · wf-form4_164625952957024.xml · nonDerivative · entry 1

GIBSON JOHN W JR · CIK 0001189981 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 858,833

SEC source: 0000928054-22-000014 · wf-form4_164427902844830.xml · nonDerivative · entry 1

Bigney Nicholas J. · CIK 0001801480 · SVP General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 244,628

SEC source: 0000928054-22-000012 · wf-form4_164400921442369.xml · derivative · entry 3

Nierenberg David · CIK 0001040899 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Haredale Limited

Disclosed balance after: Not disclosed

Underlying: Common Shares · 94,773 shares

Expires 2023-02-02

F1 · date: Debt bears 10% PIK interest and converts to common stock at $0.8705 in one year at maturity. Conversion may also take place prior to maturity at $1.088125 under certain circumstances.

SEC source: 0000928054-22-000012 · wf-form4_164400921442369.xml · derivative · entry 2

Nierenberg David · CIK 0001040899 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · D3 Family Bulldog Fund, LP

Disclosed balance after: Not disclosed

Underlying: Common Shares · 2,072,946 shares

Expires 2023-02-03

F1 · date: Debt bears 10% PIK interest and converts to common stock at $0.8705 in one year at maturity. Conversion may also take place prior to maturity at $1.088125 under certain circumstances.

SEC source: 0000928054-22-000012 · wf-form4_164400921442369.xml · derivative · entry 1

Nierenberg David · CIK 0001040899 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · D3 Family Fund, LP

Disclosed balance after: Not disclosed

Underlying: Common Shares · 1,278,576 shares

Expires 2023-02-02

F1 · date: Debt bears 10% PIK interest and converts to common stock at $0.8705 in one year at maturity. Conversion may also take place prior to maturity at $1.088125 under certain circumstances.

SEC source: 0000928054-22-000006 · wf-form4_164385187959086.xml · nonDerivative · entry 1

GIBSON JOHN W JR · CIK 0001189981 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 854,833

SEC source: 0000928054-22-000004 · wf-form4_164133413966682.xml · nonDerivative · entry 1

Silas James A · CIK 0001771630 · SVP Research and Innovation

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 371,949

SEC source: 0000928054-22-000003 · wf-form4_164133409280776.xml · nonDerivative · entry 1

GIBSON JOHN W JR · CIK 0001189981 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 850,833

SEC source: 0000928054-21-000176 · wf-form4_164065736959499.xml · nonDerivative · entry 1

GIBSON JOHN W JR · CIK 0001189981 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 846,833