GTE

SEC source: 0001106191-20-000036 · primary_doc.xml · nonDerivative · entry 1

GMT CAPITAL CORP · CIK 0001106191 · 10% owner

BAY RESOURCE PARTNERS LP · CIK 0000899037 · 10% owner

BAY II RESOURCE PARTNERS LP · CIK 0001161416 · 10% owner

BAY RESOURCE PARTNERS OFFSHORE MASTER FUND, L.P. · CIK 0001733113 · 10% owner

CLAUGUS THOMAS E · CIK 0001075617 · 10% owner

GMT Exploration Co LLC · CIK 0001396794 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 69,308,929

F1 · security: This Form 4 is being jointly filed by Bay Resource Partners, L.P. (Bay), a Delaware limited partnership, Bay II Resource Partners, L.P. (Bay II), a Delaware limited partnership, Bay Resource Partners Offshore Master Fund, L.P. (Bay Offshore), an exempted limited partnership organized under the laws of the Cayman Islands, GMT Exploration Company LLC (GMT Exploration), a Delaware limited liability company, GMT Capital Corp., a Georgia corporation (GMT Capital), and Thomas E. Claugus (Claugus), a United States citizen. The foregoing persons are hereinafter sometimes collectively referred to as the Reporting Persons.

F2 · security: GMT Capital is the general partner of Bay and Bay II and has the power to direct the affairs of Bay and Bay II, including voting and disposition of shares. As the discretionary investment manager of Bay Offshore, GMT Capital has power to direct voting and disposition of shares held by Bay Offshore. Claugus is the President of GMT Capital and in that capacity, directs the operations of each of Bay and Bay II and voting and disposition of shares held by Bay Offshore. GMT Capital is also the non-discretionary manager of GMT Exploration through a separately managed account relationship. In addition, Claugus owns a controlling interest in GMT Exploration. GMT Capital and Claugus may be deemed to beneficially own indirect pecuniary interest as the result of performance-based fees and profit allocations. Each of GMT Capital and Claugus disclaims such beneficial ownership except to the extent ultimately realized.

F3 · security: The aggregate number of shares of common stock sold on December 03, 2020, was 300,000 shares, at a price of $0.29 per share, resulting in an aggregate number of shares owned by the Reporting Persons of 69,308,929. Such shares were sold, and thereafter beneficially owned by the Reporting Persons in the following amounts: Bay = 89,600 shares sold resulting in ownership of 20,143,590 shares; Bay II = 71,900 shares sold resulting in ownership of 16,270,430 shares; Offshore Fund = 126,600 shares sold resulting in ownership of 28,534,609 shares; GMT Capital = 0 shares sold resulting in ownership of 147,000 shares; Claugus =11,900 shares sold resulting in ownership of 2,686,400 shares; GMT Exploration = 0 shares sold resulting in ownership of 1,526,900 shares.

SEC source: 0001106191-20-000034 · primary_doc.xml · nonDerivative · entry 2

GMT CAPITAL CORP · CIK 0001106191 · 10% owner

BAY RESOURCE PARTNERS LP · CIK 0000899037 · 10% owner

BAY II RESOURCE PARTNERS LP · CIK 0001161416 · 10% owner

BAY RESOURCE PARTNERS OFFSHORE MASTER FUND, L.P. · CIK 0001733113 · 10% owner

CLAUGUS THOMAS E · CIK 0001075617 · 10% owner

GMT Exploration Co LLC · CIK 0001396794 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 69,608,929

F1 · security: This Form 4 is being jointly filed by Bay Resource Partners, L.P. (Bay), a Delaware limited partnership, Bay II Resource Partners, L.P. (Bay II), a Delaware limited partnership, Bay Resource Partners Offshore Master Fund, L.P. (Bay Offshore), an exempted limited partnership organized under the laws of the Cayman Islands, GMT Exploration Company LLC (GMT Exploration), a Delaware limited liability company, GMT Capital Corp., a Georgia corporation (GMT Capital), and Thomas E. Claugus (Claugus), a United States citizen. The foregoing persons are hereinafter sometimes collectively referred to as the Reporting Persons.

F2 · security: GMT Capital is the general partner of Bay and Bay II and has the power to direct the affairs of Bay and Bay II, including voting and disposition of shares. As the discretionary investment manager of Bay Offshore, GMT Capital has power to direct voting and disposition of shares held by Bay Offshore. Claugus is the President of GMT Capital and in that capacity, directs the operations of each of Bay and Bay II and voting and disposition of shares held by Bay Offshore. GMT Capital is also the non-discretionary manager of GMT Exploration through a separately managed account relationship. In addition, Claugus owns a controlling interest in GMT Exploration. GMT Capital and Claugus may be deemed to beneficially own indirect pecuniary interest as the result of performance-based fees and profit allocations. Each of GMT Capital and Claugus disclaims such beneficial ownership except to the extent ultimately realized.

F4 · security: The aggregate number of shares of common stock sold on December 02, 2020, was 53,500 shares, at a price of $0.28 per share, resulting in an aggregate number of shares owned by the Reporting Persons of 69,608,929. Such shares were sold, and thereafter beneficially owned by the Reporting Persons in the following amounts: Bay = 16,000 shares sold resulting in ownership of 20,233,190 shares; Bay II = 12,800 shares sold resulting in ownership of 16,342,330 shares; Offshore Fund = 22,600 shares sold resulting in ownership of 28,661,209 shares; GMT Capital = 0 shares sold resulting in ownership of 147,000 shares; Claugus = 2,100 shares sold resulting in ownership of 2,698,300 shares; GMT Exploration = 0 shares sold resulting in ownership of 1,526,900 shares.

SEC source: 0001106191-20-000034 · primary_doc.xml · nonDerivative · entry 1

GMT CAPITAL CORP · CIK 0001106191 · 10% owner

BAY RESOURCE PARTNERS LP · CIK 0000899037 · 10% owner

BAY II RESOURCE PARTNERS LP · CIK 0001161416 · 10% owner

BAY RESOURCE PARTNERS OFFSHORE MASTER FUND, L.P. · CIK 0001733113 · 10% owner

CLAUGUS THOMAS E · CIK 0001075617 · 10% owner

GMT Exploration Co LLC · CIK 0001396794 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 69,662,429

F1 · security: This Form 4 is being jointly filed by Bay Resource Partners, L.P. (Bay), a Delaware limited partnership, Bay II Resource Partners, L.P. (Bay II), a Delaware limited partnership, Bay Resource Partners Offshore Master Fund, L.P. (Bay Offshore), an exempted limited partnership organized under the laws of the Cayman Islands, GMT Exploration Company LLC (GMT Exploration), a Delaware limited liability company, GMT Capital Corp., a Georgia corporation (GMT Capital), and Thomas E. Claugus (Claugus), a United States citizen. The foregoing persons are hereinafter sometimes collectively referred to as the Reporting Persons.

F2 · security: GMT Capital is the general partner of Bay and Bay II and has the power to direct the affairs of Bay and Bay II, including voting and disposition of shares. As the discretionary investment manager of Bay Offshore, GMT Capital has power to direct voting and disposition of shares held by Bay Offshore. Claugus is the President of GMT Capital and in that capacity, directs the operations of each of Bay and Bay II and voting and disposition of shares held by Bay Offshore. GMT Capital is also the non-discretionary manager of GMT Exploration through a separately managed account relationship. In addition, Claugus owns a controlling interest in GMT Exploration. GMT Capital and Claugus may be deemed to beneficially own indirect pecuniary interest as the result of performance-based fees and profit allocations. Each of GMT Capital and Claugus disclaims such beneficial ownership except to the extent ultimately realized.

F3 · security: The aggregate number of shares of common stock sold on December 01, 2020, was 155,324 shares, at a price of $0.28 per share, resulting in an aggregate number of shares owned by the Reporting Persons of 69,662,429. Such shares were sold, and thereafter beneficially owned by the Reporting Persons in the following amounts: Bay = 46,400 shares sold resulting in ownership of 20,249,190 shares; Bay II = 37,200 shares sold resulting in ownership of 16,355,130 shares; Offshore Fund = 65,524 shares sold resulting in ownership of 28,683,809 shares; GMT Capital = 0 shares sold resulting in ownership of 147,000 shares; Claugus = 6,200 shares sold resulting in ownership of 2,700,400 shares; GMT Exploration = 0 shares sold resulting in ownership of 1,526,900 shares.

SEC source: 0001106191-20-000033 · primary_doc.xml · nonDerivative · entry 2

GMT CAPITAL CORP · CIK 0001106191 · 10% owner

BAY RESOURCE PARTNERS LP · CIK 0000899037 · 10% owner

BAY II RESOURCE PARTNERS LP · CIK 0001161416 · 10% owner

BAY RESOURCE PARTNERS OFFSHORE MASTER FUND, L.P. · CIK 0001733113 · 10% owner

CLAUGUS THOMAS E · CIK 0001075617 · 10% owner

GMT Exploration Co LLC · CIK 0001396794 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 69,817,753

F1 · security: This Form 4 is being jointly filed by Bay Resource Partners, L.P. (Bay), a Delaware limited partnership, Bay II Resource Partners, L.P. (Bay II), a Delaware limited partnership, Bay Resource Partners Offshore Master Fund, L.P. (Bay Offshore), an exempted limited partnership organized under the laws of the Cayman Islands, GMT Exploration Company LLC (GMT Exploration), a Delaware limited liability company, GMT Capital Corp., a Georgia corporation (GMT Capital), and Thomas E. Claugus (Claugus), a United States citizen. The foregoing persons are hereinafter sometimes collectively referred to as the Reporting Persons.

F2 · security: GMT Capital is the general partner of Bay and Bay II and has the power to direct the affairs of Bay and Bay II, including voting and disposition of shares. As the discretionary investment manager of Bay Offshore, GMT Capital has power to direct voting and disposition of shares held by Bay Offshore. Claugus is the President of GMT Capital and in that capacity, directs the operations of each of Bay and Bay II and voting and disposition of shares held by Bay Offshore. GMT Capital is also the non-discretionary manager of GMT Exploration through a separately managed account relationship. In addition, Claugus owns a controlling interest in GMT Exploration. GMT Capital and Claugus may be deemed to beneficially own indirect pecuniary interest as the result of performance-based fees and profit allocations. Each of GMT Capital and Claugus disclaims such beneficial ownership except to the extent ultimately realized.

F4 · security: The aggregate number of shares of common stock sold on November 30, 2020, was 100,000 shares, at a price of $0.29 per share, resulting in an aggregate number of shares owned by the Reporting Persons of 69,817,753. Such shares were sold, and thereafter beneficially owned by the Reporting Persons in the following amounts: Bay = 29,900 shares sold resulting in ownership of 20,295,590 shares; Bay II = 24,000 shares sold resulting in ownership of 16,392,330 shares; Offshore Fund = 42,100 shares sold resulting in ownership of 28,749,333 shares; GMT Capital = 0 shares sold resulting in ownership of 147,000 shares; Claugus = 4,000 shares sold resulting in ownership of 2,706,600 shares; GMT Exploration = 0 shares sold resulting in ownership of 1,526,900 shares.

SEC source: 0001106191-20-000033 · primary_doc.xml · nonDerivative · entry 1

GMT CAPITAL CORP · CIK 0001106191 · 10% owner

BAY RESOURCE PARTNERS LP · CIK 0000899037 · 10% owner

BAY II RESOURCE PARTNERS LP · CIK 0001161416 · 10% owner

BAY RESOURCE PARTNERS OFFSHORE MASTER FUND, L.P. · CIK 0001733113 · 10% owner

CLAUGUS THOMAS E · CIK 0001075617 · 10% owner

GMT Exploration Co LLC · CIK 0001396794 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 69,917,753

F1 · security: This Form 4 is being jointly filed by Bay Resource Partners, L.P. (Bay), a Delaware limited partnership, Bay II Resource Partners, L.P. (Bay II), a Delaware limited partnership, Bay Resource Partners Offshore Master Fund, L.P. (Bay Offshore), an exempted limited partnership organized under the laws of the Cayman Islands, GMT Exploration Company LLC (GMT Exploration), a Delaware limited liability company, GMT Capital Corp., a Georgia corporation (GMT Capital), and Thomas E. Claugus (Claugus), a United States citizen. The foregoing persons are hereinafter sometimes collectively referred to as the Reporting Persons.

F2 · security: GMT Capital is the general partner of Bay and Bay II and has the power to direct the affairs of Bay and Bay II, including voting and disposition of shares. As the discretionary investment manager of Bay Offshore, GMT Capital has power to direct voting and disposition of shares held by Bay Offshore. Claugus is the President of GMT Capital and in that capacity, directs the operations of each of Bay and Bay II and voting and disposition of shares held by Bay Offshore. GMT Capital is also the non-discretionary manager of GMT Exploration through a separately managed account relationship. In addition, Claugus owns a controlling interest in GMT Exploration. GMT Capital and Claugus may be deemed to beneficially own indirect pecuniary interest as the result of performance-based fees and profit allocations. Each of GMT Capital and Claugus disclaims such beneficial ownership except to the extent ultimately realized.

F3 · security: The aggregate number of shares of common stock sold on November 27, 2020, was 241,500 shares, at a price of $0.30 per share, resulting in an aggregate number of shares owned by the Reporting Persons of 69,917,753. Such shares were sold, and thereafter beneficially owned by the Reporting Persons in the following amounts: Bay = 72,100 shares sold resulting in ownership of 20,325,490 shares; Bay II = 57,900 shares sold resulting in ownership of 16,416,330 shares; Offshore Fund = 101,900 shares sold resulting in ownership of 28,791,433 shares; GMT Capital = 0 shares sold resulting in ownership of 147,000 shares; Claugus = 9,600 shares sold resulting in ownership of 2,710,600 shares; GMT Exploration = 0 shares sold resulting in ownership of 1,526,900 shares.

SEC source: 0001106191-20-000032 · primary_doc.xml · nonDerivative · entry 1

GMT CAPITAL CORP · CIK 0001106191 · 10% owner

BAY RESOURCE PARTNERS LP · CIK 0000899037 · 10% owner

BAY II RESOURCE PARTNERS LP · CIK 0001161416 · 10% owner

BAY RESOURCE PARTNERS OFFSHORE MASTER FUND, L.P. · CIK 0001733113 · 10% owner

CLAUGUS THOMAS E · CIK 0001075617 · 10% owner

GMT Exploration Co LLC · CIK 0001396794 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,159,253

F1 · security: This Form 4 is being jointly filed by Bay Resource Partners, L.P. (Bay), a Delaware limited partnership, Bay II Resource Partners, L.P. (Bay II), a Delaware limited partnership, Bay Resource Partners Offshore Master Fund, L.P. (Bay Offshore), an exempted limited partnership organized under the laws of the Cayman Islands, GMT Exploration Company LLC (GMT Exploration), a Delaware limited liability company, GMT Capital Corp., a Georgia corporation (GMT Capital), and Thomas E. Claugus (Claugus), a United States citizen. The foregoing persons are hereinafter sometimes collectively referred to as the Reporting Persons.

F2 · security: GMT Capital is the general partner of Bay and Bay II and has the power to direct the affairs of Bay and Bay II, including voting and disposition of shares. As the discretionary investment manager of Bay Offshore, GMT Capital has power to direct voting and disposition of shares held by Bay Offshore. Claugus is the President of GMT Capital and in that capacity, directs the operations of each of Bay and Bay II and voting and disposition of shares held by Bay Offshore. GMT Capital is also the non-discretionary manager of GMT Exploration through a separately managed account relationship. In addition, Claugus owns a controlling interest in GMT Exploration. GMT Capital and Claugus may be deemed to beneficially own indirect pecuniary interest as the result of performance-based fees and profit allocations. Each of GMT Capital and Claugus disclaims such beneficial ownership except to the extent ultimately realized.

F3 · security: The aggregate number of shares of common stock sold on November 24, 2020, was 2,082,800 shares, at a price of $0.31 per share, resulting in an aggregate number of shares owned by the Reporting Persons of 70,159,253. Such shares were sold, and thereafter beneficially owned by the Reporting Persons in the following amounts: Bay = 622,000 shares sold resulting in ownership of 20,397,590 shares; Bay II = 499,300 shares sold resulting in ownership of 16,474,230 shares; Offshore Fund = 878,700 shares sold resulting in ownership of 28,893,333 shares; GMT Capital = 0 shares sold resulting in ownership of 147,000 shares; Claugus = 82,800 shares sold resulting in ownership of 2,720,200 shares; GMT Exploration = 0 shares sold resulting in ownership of 1,526,900 shares.

SEC source: 0001106191-20-000031 · primary_doc.xml · nonDerivative · entry 2

GMT CAPITAL CORP · CIK 0001106191 · 10% owner

BAY RESOURCE PARTNERS LP · CIK 0000899037 · 10% owner

BAY II RESOURCE PARTNERS LP · CIK 0001161416 · 10% owner

BAY RESOURCE PARTNERS OFFSHORE MASTER FUND, L.P. · CIK 0001733113 · 10% owner

CLAUGUS THOMAS E · CIK 0001075617 · 10% owner

GMT Exploration Co LLC · CIK 0001396794 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 72,242,053

F1 · security: This Form 4 is being jointly filed by Bay Resource Partners, L.P. (Bay), a Delaware limited partnership, Bay II Resource Partners, L.P. (Bay II), a Delaware limited partnership, Bay Resource Partners Offshore Master Fund, L.P. (Bay Offshore), an exempted limited partnership organized under the laws of the Cayman Islands, GMT Exploration Company LLC (GMT Exploration), a Delaware limited liability company, GMT Capital Corp., a Georgia corporation (GMT Capital), and Thomas E. Claugus (Claugus), a United States citizen. The foregoing persons are hereinafter sometimes collectively referred to as the Reporting Persons.

F2 · security: GMT Capital is the general partner of Bay and Bay II and has the power to direct the affairs of Bay and Bay II, including voting and disposition of shares. As the discretionary investment manager of Bay Offshore, GMT Capital has power to direct voting and disposition of shares held by Bay Offshore. Claugus is the President of GMT Capital and in that capacity, directs the operations of each of Bay and Bay II and voting and disposition of shares held by Bay Offshore. GMT Capital is also the non-discretionary manager of GMT Exploration through a separately managed account relationship. In addition, Claugus owns a controlling interest in GMT Exploration. GMT Capital and Claugus may be deemed to beneficially own indirect pecuniary interest as the result of performance-based fees and profit allocations. Each of GMT Capital and Claugus disclaims such beneficial ownership except to the extent ultimately realized.

F4 · security: The aggregate number of shares of common stock sold on November 20, 2020, was 1,500 shares, at a price of $0.22 per share, resulting in an aggregate number of shares owned by the Reporting Persons of 72,242,053. Such shares were sold, and thereafter beneficially owned by the Reporting Persons in the following amounts: Bay = 400 shares sold resulting in ownership of 21,019,590 shares; Bay II = 400 shares sold resulting in ownership of 16,973,530 shares; Offshore Fund = 600 shares sold resulting in ownership of 29,772,033 shares; GMT Capital = 0 shares sold resulting in ownership of 147,000 shares; Claugus = 100 shares sold resulting in ownership of 2,803,000 shares; GMT Exploration = 0 shares sold resulting in ownership of 1,526,900 shares.

SEC source: 0001106191-20-000031 · primary_doc.xml · nonDerivative · entry 1

GMT CAPITAL CORP · CIK 0001106191 · 10% owner

BAY RESOURCE PARTNERS LP · CIK 0000899037 · 10% owner

BAY II RESOURCE PARTNERS LP · CIK 0001161416 · 10% owner

BAY RESOURCE PARTNERS OFFSHORE MASTER FUND, L.P. · CIK 0001733113 · 10% owner

CLAUGUS THOMAS E · CIK 0001075617 · 10% owner

GMT Exploration Co LLC · CIK 0001396794 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 72,243,553

F1 · security: This Form 4 is being jointly filed by Bay Resource Partners, L.P. (Bay), a Delaware limited partnership, Bay II Resource Partners, L.P. (Bay II), a Delaware limited partnership, Bay Resource Partners Offshore Master Fund, L.P. (Bay Offshore), an exempted limited partnership organized under the laws of the Cayman Islands, GMT Exploration Company LLC (GMT Exploration), a Delaware limited liability company, GMT Capital Corp., a Georgia corporation (GMT Capital), and Thomas E. Claugus (Claugus), a United States citizen. The foregoing persons are hereinafter sometimes collectively referred to as the Reporting Persons.

F2 · security: GMT Capital is the general partner of Bay and Bay II and has the power to direct the affairs of Bay and Bay II, including voting and disposition of shares. As the discretionary investment manager of Bay Offshore, GMT Capital has power to direct voting and disposition of shares held by Bay Offshore. Claugus is the President of GMT Capital and in that capacity, directs the operations of each of Bay and Bay II and voting and disposition of shares held by Bay Offshore. GMT Capital is also the non-discretionary manager of GMT Exploration through a separately managed account relationship. In addition, Claugus owns a controlling interest in GMT Exploration. GMT Capital and Claugus may be deemed to beneficially own indirect pecuniary interest as the result of performance-based fees and profit allocations. Each of GMT Capital and Claugus disclaims such beneficial ownership except to the extent ultimately realized.

F3 · security: The aggregate number of shares of common stock sold on November 19, 2020, was 54,442 shares, at a price of $0.22 per share, resulting in an aggregate number of shares owned by the Reporting Persons of 72,243,553. Such shares were sold, and thereafter beneficially owned by the Reporting Persons in the following amounts: Bay = 16,300 shares sold resulting in ownership of 21,019,990 shares; Bay II = 13,000 shares sold resulting in ownership of 16,973,930 shares; Offshore Fund = 23,042 shares sold resulting in ownership of 29,772,633 shares; GMT Capital = 0 shares sold resulting in ownership of 147,000 shares; Claugus = 2,100 shares sold resulting in ownership of 2,803,100 shares; GMT Exploration = 0 shares sold resulting in ownership of 1,526,900 shares.

SEC source: 0001106191-20-000030 · primary_doc.xml · nonDerivative · entry 2

GMT CAPITAL CORP · CIK 0001106191 · 10% owner

BAY RESOURCE PARTNERS LP · CIK 0000899037 · 10% owner

BAY II RESOURCE PARTNERS LP · CIK 0001161416 · 10% owner

BAY RESOURCE PARTNERS OFFSHORE MASTER FUND, L.P. · CIK 0001733113 · 10% owner

CLAUGUS THOMAS E · CIK 0001075617 · 10% owner

GMT Exploration Co LLC · CIK 0001396794 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 72,297,995

F1 · security: This Form 4 is being jointly filed by Bay Resource Partners, L.P. (Bay), a Delaware limited partnership, Bay II Resource Partners, L.P. (Bay II), a Delaware limited partnership, Bay Resource Partners Offshore Master Fund, L.P. (Bay Offshore), an exempted limited partnership organized under the laws of the Cayman Islands, GMT Exploration Company LLC (GMT Exploration), a Delaware limited liability company, GMT Capital Corp., a Georgia corporation (GMT Capital), and Thomas E. Claugus (Claugus), a United States citizen. The foregoing persons are hereinafter sometimes collectively referred to as the Reporting Persons.

F2 · security: GMT Capital is the general partner of Bay and Bay II and has the power to direct the affairs of Bay and Bay II, including voting and disposition of shares. As the discretionary investment manager of Bay Offshore, GMT Capital has power to direct voting and disposition of shares held by Bay Offshore. Claugus is the President of GMT Capital and in that capacity, directs the operations of each of Bay and Bay II and voting and disposition of shares held by Bay Offshore. GMT Capital is also the non-discretionary manager of GMT Exploration through a separately managed account relationship. In addition, Claugus owns a controlling interest in GMT Exploration. GMT Capital and Claugus may be deemed to beneficially own indirect pecuniary interest as the result of performance-based fees and profit allocations. Each of GMT Capital and Claugus disclaims such beneficial ownership except to the extent ultimately realized.

F4 · security: The aggregate number of shares of common stock sold on November 18, 2020, was 319,633 shares, at a price of $0.23 per share, resulting in an aggregate number of shares owned by the Reporting Persons of 72,297,995. Such shares were sold, and thereafter beneficially owned by the Reporting Persons in the following amounts: Bay = 95,500 shares sold resulting in ownership of 21,036,290 shares; Bay II = 76,700 shares sold resulting in ownership of 16,986,930 shares; Offshore Fund = 134,733 shares sold resulting in ownership of 29,795,675 shares; GMT Capital = 0 shares sold resulting in ownership of 147,000 shares; Claugus = 12,700 shares sold resulting in ownership of 2,805,200 shares; GMT Exploration = 0 shares sold resulting in ownership of 1,526,900 shares.

SEC source: 0001104659-20-127165 · tm2036396d4_4.xml · nonDerivative · entry 1

Evans Jim · CIK 0001642276 · VP, Corporate Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 274,999

F1 · kind: These shares were acquired on November 18, 2020 through the Gran Tierra Inc. Employee Stock Purchase Plan in a transaction that was exempt under both Rule 16b-3(d) and Rule 16b-3(c).

F2 · price: Purchase price of security was transacted in Canadian currency and converted to U.S. currency.

SEC source: 0001104659-20-127164 · tm2036396d3_4.xml · nonDerivative · entry 1

Ellson Ryan · CIK 0001642213 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 416,325

F1 · kind: These shares were acquired on November 18, 2020 through the Gran Tierra Inc. Employee Stock Purchase Plan in a transaction that was exempt under both Rule 16b-3(d) and Rule 16b-3(c).

F2 · price: Purchase price of security was transacted in Canadian currency and converted to U.S. currency.

SEC source: 0001104659-20-127163 · tm2036396d2_4.xml · nonDerivative · entry 1

Guidry Gary · CIK 0001642424 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,630,727

F1 · kind: These shares were acquired on November 18, 2020 through the Gran Tierra Inc. Employee Stock Purchase Plan in a transaction that was exempt under both Rule 16b-3(d) and Rule 16b-3(c).

F2 · price: Purchase price of security was transacted in Canadian currency and converted to U.S. currency.

SEC source: 0001104659-20-127162 · tm2036396d1_4.xml · nonDerivative · entry 1

Trimble Rodger Derrick · CIK 0001678494 · VP, Investor Relations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 184,012

F1 · kind: These shares were acquired on November 18, 2020 through the Gran Tierra Inc. Employee Stock Purchase Plan in a transaction that was exempt under both Rule 16b-3(d) and Rule 16b-3(c).

F2 · price: Purchase price of security was transacted in Canadian currency and converted to U.S. currency.

SEC source: 0001106191-20-000030 · primary_doc.xml · nonDerivative · entry 1

GMT CAPITAL CORP · CIK 0001106191 · 10% owner

BAY RESOURCE PARTNERS LP · CIK 0000899037 · 10% owner

BAY II RESOURCE PARTNERS LP · CIK 0001161416 · 10% owner

BAY RESOURCE PARTNERS OFFSHORE MASTER FUND, L.P. · CIK 0001733113 · 10% owner

CLAUGUS THOMAS E · CIK 0001075617 · 10% owner

GMT Exploration Co LLC · CIK 0001396794 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 72,617,628

F1 · security: This Form 4 is being jointly filed by Bay Resource Partners, L.P. (Bay), a Delaware limited partnership, Bay II Resource Partners, L.P. (Bay II), a Delaware limited partnership, Bay Resource Partners Offshore Master Fund, L.P. (Bay Offshore), an exempted limited partnership organized under the laws of the Cayman Islands, GMT Exploration Company LLC (GMT Exploration), a Delaware limited liability company, GMT Capital Corp., a Georgia corporation (GMT Capital), and Thomas E. Claugus (Claugus), a United States citizen. The foregoing persons are hereinafter sometimes collectively referred to as the Reporting Persons.

F2 · security: GMT Capital is the general partner of Bay and Bay II and has the power to direct the affairs of Bay and Bay II, including voting and disposition of shares. As the discretionary investment manager of Bay Offshore, GMT Capital has power to direct voting and disposition of shares held by Bay Offshore. Claugus is the President of GMT Capital and in that capacity, directs the operations of each of Bay and Bay II and voting and disposition of shares held by Bay Offshore. GMT Capital is also the non-discretionary manager of GMT Exploration through a separately managed account relationship. In addition, Claugus owns a controlling interest in GMT Exploration. GMT Capital and Claugus may be deemed to beneficially own indirect pecuniary interest as the result of performance-based fees and profit allocations. Each of GMT Capital and Claugus disclaims such beneficial ownership except to the extent ultimately realized.

F3 · security: The aggregate number of shares of common stock sold on November 17, 2020, was 665,825 shares, at a price of $0.22 per share, resulting in an aggregate number of shares owned by the Reporting Persons of 72,617,628. Such shares were sold, and thereafter beneficially owned by the Reporting Persons in the following amounts: Bay = 198,800 shares sold resulting in ownership of 21,131,790 shares; Bay II = 159,600 shares sold resulting in ownership of 17,063,630 shares; Offshore Fund = 280,925 shares sold resulting in ownership of 29,930,408 shares; GMT Capital = 0 shares sold resulting in ownership of 147,000 shares; Claugus = 26,500 shares sold resulting in ownership of 2,817,900 shares; GMT Exploration = 0 shares sold resulting in ownership of 1,526,900 shares.

SEC source: 0001106191-20-000029 · primary_doc.xml · nonDerivative · entry 2

GMT CAPITAL CORP · CIK 0001106191 · 10% owner

BAY RESOURCE PARTNERS LP · CIK 0000899037 · 10% owner

BAY II RESOURCE PARTNERS LP · CIK 0001161416 · 10% owner

BAY RESOURCE PARTNERS OFFSHORE MASTER FUND, L.P. · CIK 0001733113 · 10% owner

CLAUGUS THOMAS E · CIK 0001075617 · 10% owner

GMT Exploration Co LLC · CIK 0001396794 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 73,283,453

F1 · security: This Form 4 is being jointly filed by Bay Resource Partners, L.P. (Bay), a Delaware limited partnership, Bay II Resource Partners, L.P. (Bay II), a Delaware limited partnership, Bay Resource Partners Offshore Master Fund, L.P. (Bay Offshore), an exempted limited partnership organized under the laws of the Cayman Islands, GMT Exploration Company LLC (GMT Exploration), a Delaware limited liability company, GMT Capital Corp., a Georgia corporation (GMT Capital), and Thomas E. Claugus (Claugus), a United States citizen. The foregoing persons are hereinafter sometimes collectively referred to as the Reporting Persons.

F2 · security: GMT Capital is the general partner of Bay and Bay II and has the power to direct the affairs of Bay and Bay II, including voting and disposition of shares. As the discretionary investment manager of Bay Offshore, GMT Capital has power to direct voting and disposition of shares held by Bay Offshore. Claugus is the President of GMT Capital and in that capacity, directs the operations of each of Bay and Bay II and voting and disposition of shares held by Bay Offshore. GMT Capital is also the non-discretionary manager of GMT Exploration through a separately managed account relationship. In addition, Claugus owns a controlling interest in GMT Exploration. GMT Capital and Claugus may be deemed to beneficially own indirect pecuniary interest as the result of performance-based fees and profit allocations. Each of GMT Capital and Claugus disclaims such beneficial ownership except to the extent ultimately realized.

F4 · security: The aggregate number of shares of common stock sold on November 13, 2020, was 621,075 shares, at a price of $0.21 per share, resulting in an aggregate number of shares owned by the Reporting Persons of 73,283,453. Such shares were sold, and thereafter beneficially owned by the Reporting Persons in the following amounts: Bay = 185,500 shares sold resulting in ownership of 21,330,590 shares; Bay II = 148,900 shares sold resulting in ownership of 17,223,230 shares; Offshore Fund = 261,975 shares sold resulting in ownership of 30,211,333 shares; GMT Capital = 0 shares sold resulting in ownership of 147,000 shares; Claugus = 24,700 shares sold resulting in ownership of 2,844,400 shares; GMT Exploration = 0 shares sold resulting in ownership of 1,526,900 shares.

SEC source: 0001106191-20-000029 · primary_doc.xml · nonDerivative · entry 1

GMT CAPITAL CORP · CIK 0001106191 · 10% owner

BAY RESOURCE PARTNERS LP · CIK 0000899037 · 10% owner

BAY II RESOURCE PARTNERS LP · CIK 0001161416 · 10% owner

BAY RESOURCE PARTNERS OFFSHORE MASTER FUND, L.P. · CIK 0001733113 · 10% owner

CLAUGUS THOMAS E · CIK 0001075617 · 10% owner

GMT Exploration Co LLC · CIK 0001396794 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 73,904,528

F1 · security: This Form 4 is being jointly filed by Bay Resource Partners, L.P. (Bay), a Delaware limited partnership, Bay II Resource Partners, L.P. (Bay II), a Delaware limited partnership, Bay Resource Partners Offshore Master Fund, L.P. (Bay Offshore), an exempted limited partnership organized under the laws of the Cayman Islands, GMT Exploration Company LLC (GMT Exploration), a Delaware limited liability company, GMT Capital Corp., a Georgia corporation (GMT Capital), and Thomas E. Claugus (Claugus), a United States citizen. The foregoing persons are hereinafter sometimes collectively referred to as the Reporting Persons.

F2 · security: GMT Capital is the general partner of Bay and Bay II and has the power to direct the affairs of Bay and Bay II, including voting and disposition of shares. As the discretionary investment manager of Bay Offshore, GMT Capital has power to direct voting and disposition of shares held by Bay Offshore. Claugus is the President of GMT Capital and in that capacity, directs the operations of each of Bay and Bay II and voting and disposition of shares held by Bay Offshore. GMT Capital is also the non-discretionary manager of GMT Exploration through a separately managed account relationship. In addition, Claugus owns a controlling interest in GMT Exploration. GMT Capital and Claugus may be deemed to beneficially own indirect pecuniary interest as the result of performance-based fees and profit allocations. Each of GMT Capital and Claugus disclaims such beneficial ownership except to the extent ultimately realized.

F3 · security: The aggregate number of shares of common stock sold on November 12, 2020, was 116,000 shares, at a price of $0.22 per share, resulting in an aggregate number of shares owned by the Reporting Persons of 73,904,528. Such shares were sold, and thereafter beneficially owned by the Reporting Persons in the following amounts: Bay = 34,600 shares sold resulting in ownership of 21,516,090 shares; Bay II = 27,800 shares sold resulting in ownership of 17,372,130 shares; Offshore Fund = 49,000 shares sold resulting in ownership of 30,473,308 shares; GMT Capital = 0 shares sold resulting in ownership of 147,000 shares; Claugus = 4,600 shares sold resulting in ownership of 2,869,100 shares; GMT Exploration = 0 shares sold resulting in ownership of 1,526,900 shares.

SEC source: 0001106191-20-000028 · primary_doc.xml · nonDerivative · entry 2

GMT CAPITAL CORP · CIK 0001106191 · 10% owner

BAY RESOURCE PARTNERS LP · CIK 0000899037 · 10% owner

BAY II RESOURCE PARTNERS LP · CIK 0001161416 · 10% owner

BAY RESOURCE PARTNERS OFFSHORE MASTER FUND, L.P. · CIK 0001733113 · 10% owner

CLAUGUS THOMAS E · CIK 0001075617 · 10% owner

GMT Exploration Co LLC · CIK 0001396794 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 74,020,528

F1 · security: This Form 4 is being jointly filed by Bay Resource Partners, L.P. (Bay), a Delaware limited partnership, Bay II Resource Partners, L.P. (Bay II), a Delaware limited partnership, Bay Resource Partners Offshore Master Fund, L.P. (Bay Offshore), an exempted limited partnership organized under the laws of the Cayman Islands, GMT Exploration Company LLC (GMT Exploration), a Delaware limited liability company, GMT Capital Corp., a Georgia corporation (GMT Capital), and Thomas E. Claugus (Claugus), a United States citizen. The foregoing persons are hereinafter sometimes collectively referred to as the Reporting Persons.

F2 · security: GMT Capital is the general partner of Bay and Bay II and has the power to direct the affairs of Bay and Bay II, including voting and disposition of shares. As the discretionary investment manager of Bay Offshore, GMT Capital has power to direct voting and disposition of shares held by Bay Offshore. Claugus is the President of GMT Capital and in that capacity, directs the operations of each of Bay and Bay II and voting and disposition of shares held by Bay Offshore. GMT Capital is also the non-discretionary manager of GMT Exploration through a separately managed account relationship. In addition, Claugus owns a controlling interest in GMT Exploration. GMT Capital and Claugus may be deemed to beneficially own indirect pecuniary interest as the result of performance-based fees and profit allocations. Each of GMT Capital and Claugus disclaims such beneficial ownership except to the extent ultimately realized.

F4 · security: The aggregate number of shares of common stock sold on November 11, 2020, was 444,000 shares, at a price of $0.24 per share, resulting in an aggregate number of shares owned by the Reporting Persons of 74,020,528. Such shares were sold, and thereafter beneficially owned by the Reporting Persons in the following amounts: Bay = 132,600 shares sold resulting in ownership of 21,550,690 shares; Bay II = 106,500 shares sold resulting in ownership of 17,399,930 shares; Offshore Fund = 187,200 shares sold resulting in ownership of 30,522,308 shares; GMT Capital = 0 shares sold resulting in ownership of 147,000 shares; Claugus = 17,700 shares sold resulting in ownership of 2,873,700 shares; GMT Exploration = 0 shares sold resulting in ownership of 1,526,900 shares.

SEC source: 0001106191-20-000028 · primary_doc.xml · nonDerivative · entry 1

GMT CAPITAL CORP · CIK 0001106191 · 10% owner

BAY RESOURCE PARTNERS LP · CIK 0000899037 · 10% owner

BAY II RESOURCE PARTNERS LP · CIK 0001161416 · 10% owner

BAY RESOURCE PARTNERS OFFSHORE MASTER FUND, L.P. · CIK 0001733113 · 10% owner

CLAUGUS THOMAS E · CIK 0001075617 · 10% owner

GMT Exploration Co LLC · CIK 0001396794 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 74,464,528

F1 · security: This Form 4 is being jointly filed by Bay Resource Partners, L.P. (Bay), a Delaware limited partnership, Bay II Resource Partners, L.P. (Bay II), a Delaware limited partnership, Bay Resource Partners Offshore Master Fund, L.P. (Bay Offshore), an exempted limited partnership organized under the laws of the Cayman Islands, GMT Exploration Company LLC (GMT Exploration), a Delaware limited liability company, GMT Capital Corp., a Georgia corporation (GMT Capital), and Thomas E. Claugus (Claugus), a United States citizen. The foregoing persons are hereinafter sometimes collectively referred to as the Reporting Persons.

F2 · security: GMT Capital is the general partner of Bay and Bay II and has the power to direct the affairs of Bay and Bay II, including voting and disposition of shares. As the discretionary investment manager of Bay Offshore, GMT Capital has power to direct voting and disposition of shares held by Bay Offshore. Claugus is the President of GMT Capital and in that capacity, directs the operations of each of Bay and Bay II and voting and disposition of shares held by Bay Offshore. GMT Capital is also the non-discretionary manager of GMT Exploration through a separately managed account relationship. In addition, Claugus owns a controlling interest in GMT Exploration. GMT Capital and Claugus may be deemed to beneficially own indirect pecuniary interest as the result of performance-based fees and profit allocations. Each of GMT Capital and Claugus disclaims such beneficial ownership except to the extent ultimately realized.

F3 · security: The aggregate number of shares of common stock sold on November 10, 2020, was 325,000 shares, at a price of $0.22 per share, resulting in an aggregate number of shares owned by the Reporting Persons of 74,464,528. Such shares were sold, and thereafter beneficially owned by the Reporting Persons in the following amounts: Bay = 97,000 shares sold resulting in ownership of 21,683,290 shares; Bay II = 77,900 shares sold resulting in ownership of 17,506,430 shares; Offshore Fund = 137,200 shares sold resulting in ownership of 30,709,508 shares; GMT Capital = 0 shares sold resulting in ownership of 147,000 shares; Claugus = 12,900 shares sold resulting in ownership of 2,891,400 shares; GMT Exploration = 0 shares sold resulting in ownership of 1,526,900 shares.

SEC source: 0001106191-20-000027 · primary_doc.xml · nonDerivative · entry 2

GMT CAPITAL CORP · CIK 0001106191 · 10% owner

BAY RESOURCE PARTNERS LP · CIK 0000899037 · 10% owner

BAY II RESOURCE PARTNERS LP · CIK 0001161416 · 10% owner

BAY RESOURCE PARTNERS OFFSHORE MASTER FUND, L.P. · CIK 0001733113 · 10% owner

CLAUGUS THOMAS E · CIK 0001075617 · 10% owner

GMT Exploration Co LLC · CIK 0001396794 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 74,789,528

F1 · security: This Form 4 is being jointly filed by Bay Resource Partners, L.P. (Bay), a Delaware limited partnership, Bay II Resource Partners, L.P. (Bay II), a Delaware limited partnership, Bay Resource Partners Offshore Master Fund, L.P. (Bay Offshore), an exempted limited partnership organized under the laws of the Cayman Islands, GMT Exploration Company LLC (GMT Exploration), a Delaware limited liability company, GMT Capital Corp., a Georgia corporation (GMT Capital), and Thomas E. Claugus (Claugus), a United States citizen. The foregoing persons are hereinafter sometimes collectively referred to as the Reporting Persons.

F2 · security: GMT Capital is the general partner of Bay and Bay II and has the power to direct the affairs of Bay and Bay II, including voting and disposition of shares. As the discretionary investment manager of Bay Offshore, GMT Capital has power to direct voting and disposition of shares held by Bay Offshore. Claugus is the President of GMT Capital and in that capacity, directs the operations of each of Bay and Bay II and voting and disposition of shares held by Bay Offshore. GMT Capital is also the non-discretionary manager of GMT Exploration through a separately managed account relationship. In addition, Claugus owns a controlling interest in GMT Exploration. GMT Capital and Claugus may be deemed to beneficially own indirect pecuniary interest as the result of performance-based fees and profit allocations. Each of GMT Capital and Claugus disclaims such beneficial ownership except to the extent ultimately realized.

F4 · security: The aggregate number of shares of common stock sold on November 09, 2020, was 432,500 shares, at a price of $0.21 per share, resulting in an aggregate number of shares owned by the Reporting Persons of 74,789,528. Such shares were sold, and thereafter beneficially owned by the Reporting Persons in the following amounts: Bay = 129,200 shares sold resulting in ownership of 21,780,290 shares; Bay II = 103,700 shares sold resulting in ownership of 17,584,330 shares; Offshore Fund = 182,400 shares sold resulting in ownership of 30,846,708 shares; GMT Capital = 0 shares sold resulting in ownership of 147,000 shares; Claugus = 17,200 shares sold resulting in ownership of 2,904,300 shares; GMT Exploration = 0 shares sold resulting in ownership of 1,526,900 shares.

SEC source: 0001106191-20-000027 · primary_doc.xml · nonDerivative · entry 1

GMT CAPITAL CORP · CIK 0001106191 · 10% owner

BAY RESOURCE PARTNERS LP · CIK 0000899037 · 10% owner

BAY II RESOURCE PARTNERS LP · CIK 0001161416 · 10% owner

BAY RESOURCE PARTNERS OFFSHORE MASTER FUND, L.P. · CIK 0001733113 · 10% owner

CLAUGUS THOMAS E · CIK 0001075617 · 10% owner

GMT Exploration Co LLC · CIK 0001396794 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,222,028

F1 · security: This Form 4 is being jointly filed by Bay Resource Partners, L.P. (Bay), a Delaware limited partnership, Bay II Resource Partners, L.P. (Bay II), a Delaware limited partnership, Bay Resource Partners Offshore Master Fund, L.P. (Bay Offshore), an exempted limited partnership organized under the laws of the Cayman Islands, GMT Exploration Company LLC (GMT Exploration), a Delaware limited liability company, GMT Capital Corp., a Georgia corporation (GMT Capital), and Thomas E. Claugus (Claugus), a United States citizen. The foregoing persons are hereinafter sometimes collectively referred to as the Reporting Persons.

F2 · security: GMT Capital is the general partner of Bay and Bay II and has the power to direct the affairs of Bay and Bay II, including voting and disposition of shares. As the discretionary investment manager of Bay Offshore, GMT Capital has power to direct voting and disposition of shares held by Bay Offshore. Claugus is the President of GMT Capital and in that capacity, directs the operations of each of Bay and Bay II and voting and disposition of shares held by Bay Offshore. GMT Capital is also the non-discretionary manager of GMT Exploration through a separately managed account relationship. In addition, Claugus owns a controlling interest in GMT Exploration. GMT Capital and Claugus may be deemed to beneficially own indirect pecuniary interest as the result of performance-based fees and profit allocations. Each of GMT Capital and Claugus disclaims such beneficial ownership except to the extent ultimately realized.

F3 · security: The aggregate number of shares of common stock sold on November 06, 2020, was 53,000 shares, at a price of $0.19 per share, resulting in an aggregate number of shares owned by the Reporting Persons of 75,222,028. Such shares were sold, and thereafter beneficially owned by the Reporting Persons in the following amounts: Bay = 15,800 shares sold resulting in ownership of 21,909,490 shares; Bay II = 12,700 shares sold resulting in ownership of 17,688,030 shares; Offshore Fund = 22,400 shares sold resulting in ownership of 31,029,108 shares; GMT Capital = 0 shares sold resulting in ownership of 147,000 shares; Claugus = 2,100 shares sold resulting in ownership of 2,921,500 shares; GMT Exploration = 0 shares sold resulting in ownership of 1,526,900 shares.

SEC source: 0001106191-20-000026 · primary_doc.xml · nonDerivative · entry 2

GMT CAPITAL CORP · CIK 0001106191 · 10% owner

BAY RESOURCE PARTNERS LP · CIK 0000899037 · 10% owner

BAY II RESOURCE PARTNERS LP · CIK 0001161416 · 10% owner

BAY RESOURCE PARTNERS OFFSHORE MASTER FUND, L.P. · CIK 0001733113 · 10% owner

CLAUGUS THOMAS E · CIK 0001075617 · 10% owner

GMT Exploration Co LLC · CIK 0001396794 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,275,028

F1 · security: This Form 4 is being jointly filed by Bay Resource Partners, L.P. (Bay), a Delaware limited partnership, Bay II Resource Partners, L.P. (Bay II), a Delaware limited partnership, Bay Resource Partners Offshore Master Fund, L.P. (Bay Offshore), an exempted limited partnership organized under the laws of the Cayman Islands, GMT Exploration Company LLC (GMT Exploration), a Delaware limited liability company, GMT Capital Corp., a Georgia corporation (GMT Capital), and Thomas E. Claugus (Claugus), a United States citizen. The foregoing persons are hereinafter sometimes collectively referred to as the Reporting Persons.

F2 · security: GMT Capital is the general partner of Bay and Bay II and has the power to direct the affairs of Bay and Bay II, including voting and disposition of shares. As the discretionary investment manager of Bay Offshore, GMT Capital has power to direct voting and disposition of shares held by Bay Offshore. Claugus is the President of GMT Capital and in that capacity, directs the operations of each of Bay and Bay II and voting and disposition of shares held by Bay Offshore. GMT Capital is also the non-discretionary manager of GMT Exploration through a separately managed account relationship. In addition, Claugus owns a controlling interest in GMT Exploration. GMT Capital and Claugus may be deemed to beneficially own indirect pecuniary interest as the result of performance-based fees and profit allocations. Each of GMT Capital and Claugus disclaims such beneficial ownership except to the extent ultimately realized.

F4 · security: The aggregate number of shares of common stock sold on November 05, 2020, was 151,500 shares, at a price of $0.19 per share, resulting in an aggregate number of shares owned by the Reporting Persons of 75,275,028. Such shares were sold, and thereafter beneficially owned by the Reporting Persons in the following amounts: Bay = 45,200 shares sold resulting in ownership of 21,925,290 shares; Bay II = 36,300 shares sold resulting in ownership of 17,700,730 shares; Offshore Fund = 64,000 shares sold resulting in ownership of 31,051,508 shares; GMT Capital = 0 shares sold resulting in ownership of 147,000 shares; Claugus = 6,000 shares sold resulting in ownership of 2,923,600 shares; GMT Exploration = 0 shares sold resulting in ownership of 1,526,900 shares.

SEC source: 0001104659-20-121543 · tm2035056-3_4.xml · nonDerivative · entry 1

Guidry Gary · CIK 0001642424 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,613,909

F1 · kind: These shares were acquired on November 4, 2020 through the Gran Tierra Inc. Employee Stock Purchase Plan in a transaction that was exempt under both Rule 16b-3(d) and Rule 16b-3(c).

F2 · price: Purchase price of security was transacted in Canadian currency and converted to U.S. currency.

SEC source: 0001104659-20-121549 · tm2035056-4_4.xml · nonDerivative · entry 1

Trimble Rodger Derrick · CIK 0001678494 · VP, Investor Relations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 175,603

F1 · kind: These shares were acquired on November 4, 2020 through the Gran Tierra Inc. Employee Stock Purchase Plan in a transaction that was exempt under both Rule 16b-3(d) and Rule 16b-3(c).

F2 · price: Purchase price of security was transacted in Canadian currency and converted to U.S. currency.

SEC source: 0001104659-20-121541 · tm2035056-2_4.xml · nonDerivative · entry 1

Evans Jim · CIK 0001642276 · VP, Corporate Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 269,743

F1 · kind: These shares were acquired on November 4, 2020 through the Gran Tierra Inc. Employee Stock Purchase Plan in a transaction that was exempt under both Rule 16b-3(d) and Rule 16b-3(c).

F2 · price: Purchase price of security was transacted in Canadian currency and converted to U.S. currency.

SEC source: 0001104659-20-121537 · tm2035056-1_4.xml · nonDerivative · entry 1

Ellson Ryan · CIK 0001642213 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 404,413

F1 · kind: These shares were acquired on November 4, 2020 through the Gran Tierra Inc. Employee Stock Purchase Plan in a transaction that was exempt under both Rule 16b-3(d) and Rule 16b-3(c).

F2 · price: Purchase price of security was transacted in Canadian currency and converted to U.S. currency.

SEC source: 0001106191-20-000026 · primary_doc.xml · nonDerivative · entry 1

GMT CAPITAL CORP · CIK 0001106191 · 10% owner

BAY RESOURCE PARTNERS LP · CIK 0000899037 · 10% owner

BAY II RESOURCE PARTNERS LP · CIK 0001161416 · 10% owner

BAY RESOURCE PARTNERS OFFSHORE MASTER FUND, L.P. · CIK 0001733113 · 10% owner

CLAUGUS THOMAS E · CIK 0001075617 · 10% owner

GMT Exploration Co LLC · CIK 0001396794 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,426,528

F1 · security: This Form 4 is being jointly filed by Bay Resource Partners, L.P. (Bay), a Delaware limited partnership, Bay II Resource Partners, L.P. (Bay II), a Delaware limited partnership, Bay Resource Partners Offshore Master Fund, L.P. (Bay Offshore), an exempted limited partnership organized under the laws of the Cayman Islands, GMT Exploration Company LLC (GMT Exploration), a Delaware limited liability company, GMT Capital Corp., a Georgia corporation (GMT Capital), and Thomas E. Claugus (Claugus), a United States citizen. The foregoing persons are hereinafter sometimes collectively referred to as the Reporting Persons.

F2 · security: GMT Capital is the general partner of Bay and Bay II and has the power to direct the affairs of Bay and Bay II, including voting and disposition of shares. As the discretionary investment manager of Bay Offshore, GMT Capital has power to direct voting and disposition of shares held by Bay Offshore. Claugus is the President of GMT Capital and in that capacity, directs the operations of each of Bay and Bay II and voting and disposition of shares held by Bay Offshore. GMT Capital is also the non-discretionary manager of GMT Exploration through a separately managed account relationship. In addition, Claugus owns a controlling interest in GMT Exploration. GMT Capital and Claugus may be deemed to beneficially own indirect pecuniary interest as the result of performance-based fees and profit allocations. Each of GMT Capital and Claugus disclaims such beneficial ownership except to the extent ultimately realized.

F3 · security: The aggregate number of shares of common stock sold on November 04, 2020, was 44,500 shares, at a price of $0.20 per share, resulting in an aggregate number of shares owned by the Reporting Persons of 75,426,528. Such shares were sold, and thereafter beneficially owned by the Reporting Persons in the following amounts: Bay = 13,300 shares sold resulting in ownership of 21,970,490 shares; Bay II = 10,700 shares sold resulting in ownership of 17,737,030 shares; Offshore Fund = 18,700 shares sold resulting in ownership of 31,115,508 shares; GMT Capital = 0 shares sold resulting in ownership of 147,000 shares; Claugus = 1,800 shares sold resulting in ownership of 2,929,600 shares; GMT Exploration = 0 shares sold resulting in ownership of 1,526,900 shares.

SEC source: 0001106191-20-000025 · primary_doc.xml · nonDerivative · entry 2

GMT CAPITAL CORP · CIK 0001106191 · 10% owner

BAY RESOURCE PARTNERS LP · CIK 0000899037 · 10% owner

BAY II RESOURCE PARTNERS LP · CIK 0001161416 · 10% owner

BAY RESOURCE PARTNERS OFFSHORE MASTER FUND, L.P. · CIK 0001733113 · 10% owner

CLAUGUS THOMAS E · CIK 0001075617 · 10% owner

GMT Exploration Co LLC · CIK 0001396794 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,471,028

F1 · security: This Form 4 is being jointly filed by Bay Resource Partners, L.P. (Bay), a Delaware limited partnership, Bay II Resource Partners, L.P. (Bay II), a Delaware limited partnership, Bay Resource Partners Offshore Master Fund, L.P. (Bay Offshore), an exempted limited partnership organized under the laws of the Cayman Islands, GMT Exploration Company LLC (GMT Exploration), a Delaware limited liability company, GMT Capital Corp., a Georgia corporation (GMT Capital), and Thomas E. Claugus (Claugus), a United States citizen. The foregoing persons are hereinafter sometimes collectively referred to as the Reporting Persons.

F2 · security: GMT Capital is the general partner of Bay and Bay II and has the power to direct the affairs of Bay and Bay II, including voting and disposition of shares. As the discretionary investment manager of Bay Offshore, GMT Capital has power to direct voting and disposition of shares held by Bay Offshore. Claugus is the President of GMT Capital and in that capacity, directs the operations of each of Bay and Bay II and voting and disposition of shares held by Bay Offshore. GMT Capital is also the non-discretionary manager of GMT Exploration through a separately managed account relationship. In addition, Claugus owns a controlling interest in GMT Exploration. GMT Capital and Claugus may be deemed to beneficially own indirect pecuniary interest as the result of performance-based fees and profit allocations. Each of GMT Capital and Claugus disclaims such beneficial ownership except to the extent ultimately realized.

F4 · security: The aggregate number of shares of common stock sold on October 30, 2020, was 38,800 shares, at a price of $0.19 per share, resulting in an aggregate number of shares owned by the Reporting Persons of 75,471,028. Such shares were sold, and thereafter beneficially owned by the Reporting Persons in the following amounts: Bay = 11,600 shares sold resulting in ownership of 21,983,790 shares; Bay II = 9,300 shares sold resulting in ownership of 17,747,730 shares; Offshore Fund = 16,400 shares sold resulting in ownership of 31,134,208 shares; GMT Capital = 0 shares sold resulting in ownership of 147,000 shares; Claugus = 1,500 shares sold resulting in ownership of 2,931,400 shares; GMT Exploration = 0 shares sold resulting in ownership of 1,526,900 shares.

SEC source: 0001106191-20-000025 · primary_doc.xml · nonDerivative · entry 1

GMT CAPITAL CORP · CIK 0001106191 · 10% owner

BAY RESOURCE PARTNERS LP · CIK 0000899037 · 10% owner

BAY II RESOURCE PARTNERS LP · CIK 0001161416 · 10% owner

BAY RESOURCE PARTNERS OFFSHORE MASTER FUND, L.P. · CIK 0001733113 · 10% owner

CLAUGUS THOMAS E · CIK 0001075617 · 10% owner

GMT Exploration Co LLC · CIK 0001396794 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,509,828

F1 · security: This Form 4 is being jointly filed by Bay Resource Partners, L.P. (Bay), a Delaware limited partnership, Bay II Resource Partners, L.P. (Bay II), a Delaware limited partnership, Bay Resource Partners Offshore Master Fund, L.P. (Bay Offshore), an exempted limited partnership organized under the laws of the Cayman Islands, GMT Exploration Company LLC (GMT Exploration), a Delaware limited liability company, GMT Capital Corp., a Georgia corporation (GMT Capital), and Thomas E. Claugus (Claugus), a United States citizen. The foregoing persons are hereinafter sometimes collectively referred to as the Reporting Persons.

F2 · security: GMT Capital is the general partner of Bay and Bay II and has the power to direct the affairs of Bay and Bay II, including voting and disposition of shares. As the discretionary investment manager of Bay Offshore, GMT Capital has power to direct voting and disposition of shares held by Bay Offshore. Claugus is the President of GMT Capital and in that capacity, directs the operations of each of Bay and Bay II and voting and disposition of shares held by Bay Offshore. GMT Capital is also the non-discretionary manager of GMT Exploration through a separately managed account relationship. In addition, Claugus owns a controlling interest in GMT Exploration. GMT Capital and Claugus may be deemed to beneficially own indirect pecuniary interest as the result of performance-based fees and profit allocations. Each of GMT Capital and Claugus disclaims such beneficial ownership except to the extent ultimately realized.

F3 · security: The aggregate number of shares of common stock sold on October 29, 2020, was 18,400 shares, at a price of $0.19 per share, resulting in an aggregate number of shares owned by the Reporting Persons of 75,509,828. Such shares were sold, and thereafter beneficially owned by the Reporting Persons in the following amounts: Bay = 5,500 shares sold resulting in ownership of 21,995,390 shares; Bay II = 4,400 shares sold resulting in ownership of 17,757,030 shares; Offshore Fund = 7,800 shares sold resulting in ownership of 31,150,608 shares; GMT Capital = 0 shares sold resulting in ownership of 147,000 shares; Claugus = 700 shares sold resulting in ownership of 2,932,900 shares; GMT Exploration = 0 shares sold resulting in ownership of 1,526,900 shares.

SEC source: 0001106191-20-000024 · primary_doc.xml · nonDerivative · entry 1

GMT CAPITAL CORP · CIK 0001106191 · 10% owner

BAY RESOURCE PARTNERS LP · CIK 0000899037 · 10% owner

BAY II RESOURCE PARTNERS LP · CIK 0001161416 · 10% owner

BAY RESOURCE PARTNERS OFFSHORE MASTER FUND, L.P. · CIK 0001733113 · 10% owner

CLAUGUS THOMAS E · CIK 0001075617 · 10% owner

GMT Exploration Co LLC · CIK 0001396794 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,528,228

F1 · security: This Form 4 is being jointly filed by Bay Resource Partners, L.P. (Bay), a Delaware limited partnership, Bay II Resource Partners, L.P. (Bay II), a Delaware limited partnership, Bay Resource Partners Offshore Master Fund, L.P. (Bay Offshore), an exempted limited partnership organized under the laws of the Cayman Islands, GMT Exploration Company LLC (GMT Exploration), a Delaware limited liability company, GMT Capital Corp., a Georgia corporation (GMT Capital), and Thomas E. Claugus (Claugus), a United States citizen. The foregoing persons are hereinafter sometimes collectively referred to as the Reporting Persons.

F2 · security: GMT Capital is the general partner of Bay and Bay II and has the power to direct the affairs of Bay and Bay II, including voting and disposition of shares. As the discretionary investment manager of Bay Offshore, GMT Capital has power to direct voting and disposition of shares held by Bay Offshore. Claugus is the President of GMT Capital and in that capacity, directs the operations of each of Bay and Bay II and voting and disposition of shares held by Bay Offshore. GMT Capital is also the non-discretionary manager of GMT Exploration through a separately managed account relationship. In addition, Claugus owns a controlling interest in GMT Exploration. GMT Capital and Claugus may be deemed to beneficially own indirect pecuniary interest as the result of performance-based fees and profit allocations. Each of GMT Capital and Claugus disclaims such beneficial ownership except to the extent ultimately realized.

F3 · security: The aggregate number of shares of common stock sold on October 27, 2020, was 103,000 shares, at a price of $0.20 per share, resulting in an aggregate number of shares owned by the Reporting Persons of 75,528,228. Such shares were sold, and thereafter beneficially owned by the Reporting Persons in the following amounts: Bay = 30,800 shares sold resulting in ownership of 22,000,890 shares; Bay II = 24,700 shares sold resulting in ownership of 17,761,430 shares; Offshore Fund = 43,400 shares sold resulting in ownership of 31,158,408 shares; GMT Capital = 0 shares sold resulting in ownership of 147,000 shares; Claugus = 4,100 shares sold resulting in ownership of 2,933,600 shares; GMT Exploration = 0 shares sold resulting in ownership of 1,526,900 shares.

SEC source: 0001106191-20-000023 · primary_doc.xml · nonDerivative · entry 2

GMT CAPITAL CORP · CIK 0001106191 · 10% owner

BAY RESOURCE PARTNERS LP · CIK 0000899037 · 10% owner

BAY II RESOURCE PARTNERS LP · CIK 0001161416 · 10% owner

BAY RESOURCE PARTNERS OFFSHORE MASTER FUND, L.P. · CIK 0001733113 · 10% owner

CLAUGUS THOMAS E · CIK 0001075617 · 10% owner

GMT Exploration Co LLC · CIK 0001396794 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,631,228

F1 · security: This Form 4 is being jointly filed by Bay Resource Partners, L.P. (Bay), a Delaware limited partnership, Bay II Resource Partners, L.P. (Bay II), a Delaware limited partnership, Bay Resource Partners Offshore Master Fund, L.P. (Bay Offshore), an exempted limited partnership organized under the laws of the Cayman Islands, GMT Exploration Company LLC (GMT Exploration), a Delaware limited liability company, GMT Capital Corp., a Georgia corporation (GMT Capital), and Thomas E. Claugus (Claugus), a United States citizen. The foregoing persons are hereinafter sometimes collectively referred to as the Reporting Persons.

F2 · security: GMT Capital is the general partner of Bay and Bay II and has the power to direct the affairs of Bay and Bay II, including voting and disposition of shares. As the discretionary investment manager of Bay Offshore, GMT Capital has power to direct voting and disposition of shares held by Bay Offshore. Claugus is the President of GMT Capital and in that capacity, directs the operations of each of Bay and Bay II and voting and disposition of shares held by Bay Offshore. GMT Capital is also the non-discretionary manager of GMT Exploration through a separately managed account relationship. In addition, Claugus owns a controlling interest in GMT Exploration. GMT Capital and Claugus may be deemed to beneficially own indirect pecuniary interest as the result of performance-based fees and profit allocations. Each of GMT Capital and Claugus disclaims such beneficial ownership except to the extent ultimately realized.

F4 · security: The aggregate number of shares of common stock sold on October 23, 2020, was 303,000 shares, at a price of $0.21 per share, resulting in an aggregate number of shares owned by the Reporting Persons of 75,631,228. Such shares were sold, and thereafter beneficially owned by the Reporting Persons in the following amounts: Bay = 90,500 shares sold resulting in ownership of 22,031,690 shares; Bay II = 72,600 shares sold resulting in ownership of 17,786,130 shares; Offshore Fund = 127,900 shares sold resulting in ownership of 31,201,808 shares; GMT Capital = 0 shares sold resulting in ownership of 147,000 shares; Claugus = 12,000 shares sold resulting in ownership of 2,937,700 shares; GMT Exploration = 0 shares sold resulting in ownership of 1,526,900 shares.

SEC source: 0001106191-20-000023 · primary_doc.xml · nonDerivative · entry 1

GMT CAPITAL CORP · CIK 0001106191 · 10% owner

BAY RESOURCE PARTNERS LP · CIK 0000899037 · 10% owner

BAY II RESOURCE PARTNERS LP · CIK 0001161416 · 10% owner

BAY RESOURCE PARTNERS OFFSHORE MASTER FUND, L.P. · CIK 0001733113 · 10% owner

CLAUGUS THOMAS E · CIK 0001075617 · 10% owner

GMT Exploration Co LLC · CIK 0001396794 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,934,228

F1 · security: This Form 4 is being jointly filed by Bay Resource Partners, L.P. (Bay), a Delaware limited partnership, Bay II Resource Partners, L.P. (Bay II), a Delaware limited partnership, Bay Resource Partners Offshore Master Fund, L.P. (Bay Offshore), an exempted limited partnership organized under the laws of the Cayman Islands, GMT Exploration Company LLC (GMT Exploration), a Delaware limited liability company, GMT Capital Corp., a Georgia corporation (GMT Capital), and Thomas E. Claugus (Claugus), a United States citizen. The foregoing persons are hereinafter sometimes collectively referred to as the Reporting Persons.

F2 · security: GMT Capital is the general partner of Bay and Bay II and has the power to direct the affairs of Bay and Bay II, including voting and disposition of shares. As the discretionary investment manager of Bay Offshore, GMT Capital has power to direct voting and disposition of shares held by Bay Offshore. Claugus is the President of GMT Capital and in that capacity, directs the operations of each of Bay and Bay II and voting and disposition of shares held by Bay Offshore. GMT Capital is also the non-discretionary manager of GMT Exploration through a separately managed account relationship. In addition, Claugus owns a controlling interest in GMT Exploration. GMT Capital and Claugus may be deemed to beneficially own indirect pecuniary interest as the result of performance-based fees and profit allocations. Each of GMT Capital and Claugus disclaims such beneficial ownership except to the extent ultimately realized.

F3 · security: The aggregate number of shares of common stock sold on October 22, 2020, was 500,000 shares, at a price of $0.21 per share, resulting in an aggregate number of shares owned by the Reporting Persons of 75,934,228. Such shares were sold, and thereafter beneficially owned by the Reporting Persons in the following amounts: Bay = 149,300 shares sold resulting in ownership of 22,122,190 shares; Bay II = 119,800 shares sold resulting in ownership of 17,858,730 shares; Offshore Fund = 211,000 shares sold resulting in ownership of 31,329,708 shares; GMT Capital = 0 shares sold resulting in ownership of 147,000 shares; Claugus = 19,900 shares sold resulting in ownership of 2,949,700 shares; GMT Exploration = 0 shares sold resulting in ownership of 1,526,900 shares.

SEC source: 0001104659-20-116431 · tm2033913d4_form4.xml · nonDerivative · entry 1

Ellson Ryan · CIK 0001642213 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 390,791

F1 · kind: These shares were acquired on October 20, 2020 through the Gran Tierra Inc. Employee Stock Purchase Plan in a transaction that was exempt under both Rule 16b-3(d) and Rule 16b-3(c).

F2 · price: Purchase price of security was transacted in Canadian currency and converted to U.S. currency.

SEC source: 0001104659-20-116429 · tm2033913d3_form4.xml · nonDerivative · entry 1

Trimble Rodger Derrick · CIK 0001678494 · VP, Investor Relations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 165,988

F1 · kind: These shares were acquired on October 20, 2020 through the Gran Tierra Inc. Employee Stock Purchase Plan in a transaction that was exempt under both Rule 16b-3(d) and Rule 16b-3(c).

F2 · price: Purchase price of security was transacted in Canadian currency and converted to U.S. currency.

SEC source: 0001104659-20-116428 · tm2033913d2_form4.xml · nonDerivative · entry 1

Evans Jim · CIK 0001642276 · VP, Corporate Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 263,733

F1 · kind: These shares were acquired on October 20, 2020 through the Gran Tierra Inc. Employee Stock Purchase Plan in a transaction that was exempt under both Rule 16b-3(d) and Rule 16b-3(c).

F2 · price: Purchase price of security was transacted in Canadian currency and converted to U.S. currency.

SEC source: 0001104659-20-116426 · tm2033913d1_form4.xml · nonDerivative · entry 1

Guidry Gary · CIK 0001642424 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,594,678

F1 · kind: These shares were acquired on October 20, 2020 through the Gran Tierra Inc. Employee Stock Purchase Plan in a transaction that was exempt under both Rule 16b-3(d) and Rule 16b-3(c).

F2 · price: Purchase price of security was transacted in Canadian currency and converted to U.S. currency.

SEC source: 0001106191-20-000022 · primary_doc.xml · nonDerivative · entry 2

GMT CAPITAL CORP · CIK 0001106191 · 10% owner

BAY RESOURCE PARTNERS LP · CIK 0000899037 · 10% owner

BAY II RESOURCE PARTNERS LP · CIK 0001161416 · 10% owner

BAY RESOURCE PARTNERS OFFSHORE MASTER FUND, L.P. · CIK 0001733113 · 10% owner

CLAUGUS THOMAS E · CIK 0001075617 · 10% owner

GMT Exploration Co LLC · CIK 0001396794 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 76,434,228

F1 · security: This Form 4 is being jointly filed by Bay Resource Partners, L.P. (Bay), a Delaware limited partnership, Bay II Resource Partners, L.P. (Bay II), a Delaware limited partnership, Bay Resource Partners Offshore Master Fund, L.P. (Bay Offshore), an exempted limited partnership organized under the laws of the Cayman Islands, GMT Exploration Company LLC (GMT Exploration), a Delaware limited liability company, GMT Capital Corp., a Georgia corporation (GMT Capital), and Thomas E. Claugus (Claugus), a United States citizen. The foregoing persons are hereinafter sometimes collectively referred to as the Reporting Persons.

F2 · security: GMT Capital is the general partner of Bay and Bay II and has the power to direct the affairs of Bay and Bay II, including voting and disposition of shares. As the discretionary investment manager of Bay Offshore, GMT Capital has power to direct voting and disposition of shares held by Bay Offshore. Claugus is the President of GMT Capital and in that capacity, directs the operations of each of Bay and Bay II and voting and disposition of shares held by Bay Offshore. GMT Capital is also the non-discretionary manager of GMT Exploration through a separately managed account relationship. In addition, Claugus owns a controlling interest in GMT Exploration. GMT Capital and Claugus may be deemed to beneficially own indirect pecuniary interest as the result of performance-based fees and profit allocations. Each of GMT Capital and Claugus disclaims such beneficial ownership except to the extent ultimately realized.

F4 · security: The aggregate number of shares of common stock sold on October 16, 2020, was 500,000 shares, at a price of $0.21 per share, resulting in an aggregate number of shares owned by the Reporting Persons of 76,434,228. Such shares were sold, and thereafter beneficially owned by the Reporting Persons in the following amounts: Bay = 149,300 shares sold resulting in ownership of 22,271,490 shares; Bay II = 119,800 shares sold resulting in ownership of 17,978,530 shares; Offshore Fund = 211,000 shares sold resulting in ownership of 31,540,708 shares; GMT Capital = 0 shares sold resulting in ownership of 147,000 shares; Claugus = 19,900 shares sold resulting in ownership of 2,969,600 shares; GMT Exploration = 0 shares sold resulting in ownership of 1,526,900 shares.

SEC source: 0001106191-20-000022 · primary_doc.xml · nonDerivative · entry 1

GMT CAPITAL CORP · CIK 0001106191 · 10% owner

BAY RESOURCE PARTNERS LP · CIK 0000899037 · 10% owner

BAY II RESOURCE PARTNERS LP · CIK 0001161416 · 10% owner

BAY RESOURCE PARTNERS OFFSHORE MASTER FUND, L.P. · CIK 0001733113 · 10% owner

CLAUGUS THOMAS E · CIK 0001075617 · 10% owner

GMT Exploration Co LLC · CIK 0001396794 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 76,934,228

F1 · security: This Form 4 is being jointly filed by Bay Resource Partners, L.P. (Bay), a Delaware limited partnership, Bay II Resource Partners, L.P. (Bay II), a Delaware limited partnership, Bay Resource Partners Offshore Master Fund, L.P. (Bay Offshore), an exempted limited partnership organized under the laws of the Cayman Islands, GMT Exploration Company LLC (GMT Exploration), a Delaware limited liability company, GMT Capital Corp., a Georgia corporation (GMT Capital), and Thomas E. Claugus (Claugus), a United States citizen. The foregoing persons are hereinafter sometimes collectively referred to as the Reporting Persons.

F2 · security: GMT Capital is the general partner of Bay and Bay II and has the power to direct the affairs of Bay and Bay II, including voting and disposition of shares. As the discretionary investment manager of Bay Offshore, GMT Capital has power to direct voting and disposition of shares held by Bay Offshore. Claugus is the President of GMT Capital and in that capacity, directs the operations of each of Bay and Bay II and voting and disposition of shares held by Bay Offshore. GMT Capital is also the non-discretionary manager of GMT Exploration through a separately managed account relationship. In addition, Claugus owns a controlling interest in GMT Exploration. GMT Capital and Claugus may be deemed to beneficially own indirect pecuniary interest as the result of performance-based fees and profit allocations. Each of GMT Capital and Claugus disclaims such beneficial ownership except to the extent ultimately realized.

F3 · security: The aggregate number of shares of common stock sold on October 15, 2020, was 140,500 shares, at a price of $0.21 per share, resulting in an aggregate number of shares owned by the Reporting Persons of 76,934,228. Such shares were sold, and thereafter beneficially owned by the Reporting Persons in the following amounts: Bay = 42,000 shares sold resulting in ownership of 22,420,790 shares; Bay II = 33,700 shares sold resulting in ownership of 18,098,330 shares; Offshore Fund = 59,200 shares sold resulting in ownership of 31,751,708 shares; GMT Capital = 0 shares sold resulting in ownership of 147,000 shares; Claugus = 5,600 shares sold resulting in ownership of 2,989,500 shares; GMT Exploration = 0 shares sold resulting in ownership of 1,526,900 shares.

SEC source: 0001106191-20-000021 · primary_doc.xml · nonDerivative · entry 2

GMT CAPITAL CORP · CIK 0001106191 · 10% owner

BAY RESOURCE PARTNERS LP · CIK 0000899037 · 10% owner

BAY II RESOURCE PARTNERS LP · CIK 0001161416 · 10% owner

BAY RESOURCE PARTNERS OFFSHORE MASTER FUND, L.P. · CIK 0001733113 · 10% owner

CLAUGUS THOMAS E · CIK 0001075617 · 10% owner

GMT Exploration Co LLC · CIK 0001396794 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 77,074,728

F1 · security: This Form 4 is being jointly filed by Bay Resource Partners, L.P. (Bay), a Delaware limited partnership, Bay II Resource Partners, L.P. (Bay II), a Delaware limited partnership, Bay Resource Partners Offshore Master Fund, L.P. (Bay Offshore), an exempted limited partnership organized under the laws of the Cayman Islands, GMT Exploration Company LLC (GMT Exploration), a Delaware limited liability company, GMT Capital Corp., a Georgia corporation (GMT Capital), and Thomas E. Claugus (Claugus), a United States citizen. The foregoing persons are hereinafter sometimes collectively referred to as the Reporting Persons.

F2 · security: GMT Capital is the general partner of Bay and Bay II and has the power to direct the affairs of Bay and Bay II, including voting and disposition of shares. As the discretionary investment manager of Bay Offshore, GMT Capital has power to direct voting and disposition of shares held by Bay Offshore. Claugus is the President of GMT Capital and in that capacity, directs the operations of each of Bay and Bay II and voting and disposition of shares held by Bay Offshore. GMT Capital is also the non-discretionary manager of GMT Exploration through a separately managed account relationship. In addition, Claugus owns a controlling interest in GMT Exploration. GMT Capital and Claugus may be deemed to beneficially own indirect pecuniary interest as the result of performance-based fees and profit allocations. Each of GMT Capital and Claugus disclaims such beneficial ownership except to the extent ultimately realized.

F4 · security: The aggregate number of shares of common stock sold on October 14, 2020, was 500,000 shares, at a price of $0.22 per share, resulting in an aggregate number of shares owned by the Reporting Persons of 77,074,728. Such shares were sold, and thereafter beneficially owned by the Reporting Persons in the following amounts: Bay = 149,300 shares sold resulting in ownership of 22,462,790 shares; Bay II = 119,900 shares sold resulting in ownership of 18,132,030 shares; Offshore Fund = 210,900 shares sold resulting in ownership of 31,810,908 shares; GMT Capital = 0 shares sold resulting in ownership of 147,000 shares; Claugus = 19,900 shares sold resulting in ownership of 2,995,100 shares; GMT Exploration = 0 shares sold resulting in ownership of 1,526,900 shares.

SEC source: 0001106191-20-000021 · primary_doc.xml · nonDerivative · entry 1

GMT CAPITAL CORP · CIK 0001106191 · 10% owner

BAY RESOURCE PARTNERS LP · CIK 0000899037 · 10% owner

BAY II RESOURCE PARTNERS LP · CIK 0001161416 · 10% owner

BAY RESOURCE PARTNERS OFFSHORE MASTER FUND, L.P. · CIK 0001733113 · 10% owner

CLAUGUS THOMAS E · CIK 0001075617 · 10% owner

GMT Exploration Co LLC · CIK 0001396794 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 77,574,728

F1 · security: This Form 4 is being jointly filed by Bay Resource Partners, L.P. (Bay), a Delaware limited partnership, Bay II Resource Partners, L.P. (Bay II), a Delaware limited partnership, Bay Resource Partners Offshore Master Fund, L.P. (Bay Offshore), an exempted limited partnership organized under the laws of the Cayman Islands, GMT Exploration Company LLC (GMT Exploration), a Delaware limited liability company, GMT Capital Corp., a Georgia corporation (GMT Capital), and Thomas E. Claugus (Claugus), a United States citizen. The foregoing persons are hereinafter sometimes collectively referred to as the Reporting Persons.

F2 · security: GMT Capital is the general partner of Bay and Bay II and has the power to direct the affairs of Bay and Bay II, including voting and disposition of shares. As the discretionary investment manager of Bay Offshore, GMT Capital has power to direct voting and disposition of shares held by Bay Offshore. Claugus is the President of GMT Capital and in that capacity, directs the operations of each of Bay and Bay II and voting and disposition of shares held by Bay Offshore. GMT Capital is also the non-discretionary manager of GMT Exploration through a separately managed account relationship. In addition, Claugus owns a controlling interest in GMT Exploration. GMT Capital and Claugus may be deemed to beneficially own indirect pecuniary interest as the result of performance-based fees and profit allocations. Each of GMT Capital and Claugus disclaims such beneficial ownership except to the extent ultimately realized.

F3 · security: The aggregate number of shares of common stock sold on October 13, 2020, was 615,970 shares, at a price of $0.22 per share, resulting in an aggregate number of shares owned by the Reporting Persons of 77,574,728. Such shares were sold, and thereafter beneficially owned by the Reporting Persons in the following amounts: Bay = 184,000 shares sold resulting in ownership of 22,612,090 shares; Bay II = 147,700 shares sold resulting in ownership of 18,251,930 shares; Offshore Fund = 259,770 shares sold resulting in ownership of 32,021,808 shares; GMT Capital = 0 shares sold resulting in ownership of 147,000 shares; Claugus = 24,500 shares sold resulting in ownership of 3,015,000 shares; GMT Exploration = 0 shares sold resulting in ownership of 1,526,900 shares.

SEC source: 0001106191-20-000020 · primary_doc.xml · nonDerivative · entry 2

GMT CAPITAL CORP · CIK 0001106191 · 10% owner

BAY RESOURCE PARTNERS LP · CIK 0000899037 · 10% owner

BAY II RESOURCE PARTNERS LP · CIK 0001161416 · 10% owner

BAY RESOURCE PARTNERS OFFSHORE MASTER FUND, L.P. · CIK 0001733113 · 10% owner

CLAUGUS THOMAS E · CIK 0001075617 · 10% owner

GMT Exploration Co LLC · CIK 0001396794 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 78,190,698

F1 · security: This Form 4 is being jointly filed by Bay Resource Partners, L.P. (Bay), a Delaware limited partnership, Bay II Resource Partners, L.P.(Bay II), a Delaware limited partnership, Bay Resource Partners Offshore Master Fund, L.P. (Bay Offshore), an exempted limited partnership organized under the laws of the Cayman Islands, GMT Exploration Company LLC (GMT Exploration), a Delaware limited liability company, GMT Capital Corp., a Georgia corporation (GMT Capital), and Thomas E. Claugus (Claugus), a United States citizen. The foregoing persons are hereinafter sometimes collectively referred to as the Reporting Persons.

F2 · security: GMT Capital is the general partner of Bay and Bay II and has the power to direct the affairs of Bay and Bay II, including voting and disposition of shares. As the discretionary investment manager of Bay Offshore, GMT Capital has power to direct voting and disposition of shares held by Bay Offshore. Claugus is the President of GMT Capital and in that capacity, directs the operations of each of Bay and Bay II and voting and disposition of shares held by Bay Offshore. GMT Capital is also the non-discretionary manager of GMT Exploration through a separately managed account relationship. In addition, Claugus owns a controlling interest in GMT Exploration. GMT Capital and Claugus may be deemed to beneficially own indirect pecuniary interest as the result of performance-based fees and profit allocations. Each of GMT Capital and Claugus disclaims such beneficial ownership except to the extent ultimately realized.

F4 · security: The aggregate number of shares of common stock sold on October 12, 2020, was 235,181 shares, at a price of $0.22 per share, resulting in an aggregate number of shares owned by the Reporting Persons of 78,190,698. Such shares were sold, and thereafter beneficially owned by the Reporting Persons in the following amounts: Bay = 70,200 shares sold resulting in ownership of 22,796,090 shares; Bay II = 56,400 shares sold resulting in ownership of 18,399,630 shares; Offshore Fund = 99,281 shares sold resulting in ownership of 32,281,578 shares; GMT Capital = 0 shares sold resulting in ownership of 147,000 shares; Claugus = 9,300 shares sold resulting in ownership of 3,039,500 shares; GMT Exploration = 0 shares sold resulting in ownership of 1,526,900 shares.

SEC source: 0001106191-20-000020 · primary_doc.xml · nonDerivative · entry 1

GMT CAPITAL CORP · CIK 0001106191 · 10% owner

BAY RESOURCE PARTNERS LP · CIK 0000899037 · 10% owner

BAY II RESOURCE PARTNERS LP · CIK 0001161416 · 10% owner

BAY RESOURCE PARTNERS OFFSHORE MASTER FUND, L.P. · CIK 0001733113 · 10% owner

CLAUGUS THOMAS E · CIK 0001075617 · 10% owner

GMT Exploration Co LLC · CIK 0001396794 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 78,425,879

F1 · security: This Form 4 is being jointly filed by Bay Resource Partners, L.P. (Bay), a Delaware limited partnership, Bay II Resource Partners, L.P.(Bay II), a Delaware limited partnership, Bay Resource Partners Offshore Master Fund, L.P. (Bay Offshore), an exempted limited partnership organized under the laws of the Cayman Islands, GMT Exploration Company LLC (GMT Exploration), a Delaware limited liability company, GMT Capital Corp., a Georgia corporation (GMT Capital), and Thomas E. Claugus (Claugus), a United States citizen. The foregoing persons are hereinafter sometimes collectively referred to as the Reporting Persons.

F2 · security: GMT Capital is the general partner of Bay and Bay II and has the power to direct the affairs of Bay and Bay II, including voting and disposition of shares. As the discretionary investment manager of Bay Offshore, GMT Capital has power to direct voting and disposition of shares held by Bay Offshore. Claugus is the President of GMT Capital and in that capacity, directs the operations of each of Bay and Bay II and voting and disposition of shares held by Bay Offshore. GMT Capital is also the non-discretionary manager of GMT Exploration through a separately managed account relationship. In addition, Claugus owns a controlling interest in GMT Exploration. GMT Capital and Claugus may be deemed to beneficially own indirect pecuniary interest as the result of performance-based fees and profit allocations. Each of GMT Capital and Claugus disclaims such beneficial ownership except to the extent ultimately realized.

F3 · security: The aggregate number of shares of common stock sold on October 09, 2020, was 2,398,716 shares, at a price of $0.23 per share, resulting in an aggregate number of shares owned by the Reporting Persons of 78,425,879. Such shares were sold, and thereafter beneficially owned by the Reporting Persons in the following amounts: Bay = 716,400 shares sold resulting in ownership of 22,866,290 shares; Bay II = 575,100 shares sold resulting in ownership of 18,456,030 shares; Offshore Fund = 1,011,916 shares sold resulting in ownership of 32,380,859 shares; GMT Capital = 0 shares sold resulting in ownership of 147,000 shares; Claugus =95,300 shares sold resulting in ownership of 3,048,800 shares; GMT Exploration = 0 shares sold resulting in ownership of 1,526,900shares.

SEC source: 0001106191-20-000019 · primary_doc.xml · nonDerivative · entry 2

GMT CAPITAL CORP · CIK 0001106191 · 10% owner

BAY RESOURCE PARTNERS LP · CIK 0000899037 · 10% owner

BAY II RESOURCE PARTNERS LP · CIK 0001161416 · 10% owner

BAY RESOURCE PARTNERS OFFSHORE MASTER FUND, L.P. · CIK 0001733113 · 10% owner

CLAUGUS THOMAS E · CIK 0001075617 · 10% owner

GMT Exploration Co LLC · CIK 0001396794 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 80,824,595

F1 · security: This Form 4 is being jointly filed by Bay Resource Partners, L.P. (Bay), a Delaware limited partnership, Bay II Resource Partners, L.P. (Bay II), a Delaware limited partnership, Bay Resource Partners Offshore Master Fund, L.P. (Bay Offshore), an exempted limited partnership organized under the laws of the Cayman Islands, GMT Exploration Company LLC (GMT Exploration), a Delaware limited liability company, GMT Capital Corp., a Georgia corporation (GMT Capital), and Thomas E. Claugus (Claugus), a United States citizen. The foregoing persons are hereinafter sometimes collectively referred to as the Reporting Persons.

F2 · security: GMT Capital is the general partner of Bay and Bay II and has the power to direct the affairs of Bay and Bay II, including voting and disposition of shares. As the discretionary investment manager of Bay Offshore, GMT Capital has power to direct voting and disposition of shares held by Bay Offshore. Claugus is the President of GMT Capital and in that capacity, directs the operations of each of Bay and Bay II and voting and disposition of shares held by Bay Offshore. GMT Capital is also the non-discretionary manager of GMT Exploration through a separately managed account relationship. In addition, Claugus owns a controlling interest in GMT Exploration. GMT Capital and Claugus may be deemed to beneficially own indirect pecuniary interest as the result of performance-based fees and profit allocations. Each of GMT Capital and Claugus disclaims such beneficial ownership except to the extent ultimately realized.

F4 · security: The aggregate number of shares of common stock sold on October 08, 2020, was 1,344,384 shares, at a price of $0.22 per share, resulting in an aggregate number of shares owned by the Reporting Persons of 80,824,595. Such shares were sold, and thereafter beneficially owned by the Reporting Persons in the following amounts: Bay = 401,400 shares sold resulting in ownership of 23,582,690 shares; Bay II = 322,200 shares sold resulting in ownership of 19,031,130 shares; Offshore Fund = 567,284 shares sold resulting in ownership of 33,392,775 shares; GMT Capital = 0 shares sold resulting in ownership of 147,000 shares; Claugus = 53,500 shares sold resulting in ownership of 3,144,100 shares; GMT Exploration = 0 shares sold resulting in ownership of 1,526,900 shares.

SEC source: 0001106191-20-000019 · primary_doc.xml · nonDerivative · entry 1

GMT CAPITAL CORP · CIK 0001106191 · 10% owner

BAY RESOURCE PARTNERS LP · CIK 0000899037 · 10% owner

BAY II RESOURCE PARTNERS LP · CIK 0001161416 · 10% owner

BAY RESOURCE PARTNERS OFFSHORE MASTER FUND, L.P. · CIK 0001733113 · 10% owner

CLAUGUS THOMAS E · CIK 0001075617 · 10% owner

GMT Exploration Co LLC · CIK 0001396794 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 82,168,979

F1 · security: This Form 4 is being jointly filed by Bay Resource Partners, L.P. (Bay), a Delaware limited partnership, Bay II Resource Partners, L.P. (Bay II), a Delaware limited partnership, Bay Resource Partners Offshore Master Fund, L.P. (Bay Offshore), an exempted limited partnership organized under the laws of the Cayman Islands, GMT Exploration Company LLC (GMT Exploration), a Delaware limited liability company, GMT Capital Corp., a Georgia corporation (GMT Capital), and Thomas E. Claugus (Claugus), a United States citizen. The foregoing persons are hereinafter sometimes collectively referred to as the Reporting Persons.

F2 · security: GMT Capital is the general partner of Bay and Bay II and has the power to direct the affairs of Bay and Bay II, including voting and disposition of shares. As the discretionary investment manager of Bay Offshore, GMT Capital has power to direct voting and disposition of shares held by Bay Offshore. Claugus is the President of GMT Capital and in that capacity, directs the operations of each of Bay and Bay II and voting and disposition of shares held by Bay Offshore. GMT Capital is also the non-discretionary manager of GMT Exploration through a separately managed account relationship. In addition, Claugus owns a controlling interest in GMT Exploration. GMT Capital and Claugus may be deemed to beneficially own indirect pecuniary interest as the result of performance-based fees and profit allocations. Each of GMT Capital and Claugus disclaims such beneficial ownership except to the extent ultimately realized.

F3 · security: The aggregate number of shares of common stock sold on October 07, 2020, was 22,500 shares, at a price of $0.22 per share, resulting in an aggregate number of shares owned by the Reporting Persons of 82,168,979. Such shares were sold, and thereafter beneficially owned by the Reporting Persons in the following amounts: Bay = 6,700 shares sold resulting in ownership of 23,984,090 shares; Bay II = 5,400 shares sold resulting in ownership of 19,353,330 shares; Offshore Fund = 9,500 shares sold resulting in ownership of 33,960,059 shares; GMT Capital = 0 shares sold resulting in ownership of 147,000 shares; Claugus = 900 shares sold resulting in ownership of 3,197,600 shares; GMT Exploration = 0 shares sold resulting in ownership of 1,526,900 shares.

SEC source: 0001106191-20-000018 · primary_doc.xml · nonDerivative · entry 2

GMT CAPITAL CORP · CIK 0001106191 · 10% owner

BAY RESOURCE PARTNERS LP · CIK 0000899037 · 10% owner

BAY II RESOURCE PARTNERS LP · CIK 0001161416 · 10% owner

BAY RESOURCE PARTNERS OFFSHORE MASTER FUND, L.P. · CIK 0001733113 · 10% owner

CLAUGUS THOMAS E · CIK 0001075617 · 10% owner

GMT Exploration Co LLC · CIK 0001396794 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 82,191,479

F1 · security: This Form 4 is being jointly filed by Bay Resource Partners, L.P. (Bay), a Delaware limited partnership, Bay II Resource Partners, L.P. (Bay II), a Delaware limited partnership, Bay Resource Partners Offshore Master Fund, L.P. (Bay Offshore), an exempted limited partnership organized under the laws of the Cayman Islands, GMT Exploration Company LLC (GMT Exploration), a Delaware limited liability company, GMT Capital Corp., a Georgia corporation (GMT Capital), and Thomas E. Claugus (Claugus), a United States citizen. The foregoing persons are hereinafter sometimes collectively referred to as the Reporting Persons.

F2 · security: GMT Capital is the general partner of Bay and Bay II and has the power to direct the affairs of Bay and Bay II, including voting and disposition of shares. As the discretionary investment manager of Bay Offshore, GMT Capital has power to direct voting and disposition of shares held by Bay Offshore. Claugus is the President of GMT Capital and in that capacity, directs the operations of each of Bay and Bay II and voting and disposition of shares held by Bay Offshore. GMT Capital is also the non-discretionary manager of GMT Exploration through a separately managed account relationship. In addition, Claugus owns a controlling interest in GMT Exploration. GMT Capital and Claugus may be deemed to beneficially own indirect pecuniary interest as the result of performance-based fees and profit allocations. Each of GMT Capital and Claugus disclaims such beneficial ownership except to the extent ultimately realized.

F4 · security: The aggregate number of shares of common stock sold on October 06, 2020, was 267,500 shares, at a price of $0.22 per share, resulting in an aggregate number of shares owned by the Reporting Persons of 82,191,479. Such shares were sold, and thereafter beneficially owned by the Reporting Persons in the following amounts: Bay = 79,900 shares sold resulting in ownership of 23,990,790 shares; Bay II = 64,100 shares sold resulting in ownership of 19,358,730 shares; Offshore Fund = 112,900 shares sold resulting in ownership of 33,969,559 shares; GMT Capital = 0 shares sold resulting in ownership of 147,000 shares; Claugus = 10,600 shares sold resulting in ownership of 3,198,500 shares; GMT Exploration = 0 shares sold resulting in ownership of 1,526,900 shares.

SEC source: 0001104659-20-112188 · tm2032480d4_form4.xml · nonDerivative · entry 1

Evans Jim · CIK 0001642276 · VP, Corporate Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 258,366

F1 · kind: These shares were acquired on October 5, 2020 through the Gran Tierra Inc. Employee Stock Purchase Plan in a transaction that was exempt under both Rule 16b-3(d) and Rule 16b-3(c).

F2 · price: Purchase price of security was transacted in Canadian currency and converted to U.S. currency.

SEC source: 0001104659-20-112187 · tm2032480d3_form4.xml · nonDerivative · entry 1

Guidry Gary · CIK 0001642424 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,577,502

F1 · kind: These shares were acquired on October 5, 2020 through the Gran Tierra Inc. Employee Stock Purchase Plan in a transaction that was exempt under both Rule 16b-3(d) and Rule 16b-3(c).

F2 · price: Purchase price of security was transacted in Canadian currency and converted to U.S. currency.

SEC source: 0001104659-20-112186 · tm2032480d2_form4.xml · nonDerivative · entry 1

Ellson Ryan · CIK 0001642213 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 378,624

F1 · kind: These shares were acquired on October 5, 2020 through the Gran Tierra Inc. Employee Stock Purchase Plan in a transaction that was exempt under both Rule 16b-3(d) and Rule 16b-3(c).

F2 · price: Purchase price of security was transacted in Canadian currency and converted to U.S. currency.

SEC source: 0001104659-20-112184 · tm2032480d1_form4.xml · nonDerivative · entry 1

Trimble Rodger Derrick · CIK 0001678494 · VP, Investor Relations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 157,400

F1 · kind: These shares were acquired on October 5, 2020 through the Gran Tierra Inc. Employee Stock Purchase Plan in a transaction that was exempt under both Rule 16b-3(d) and Rule 16b-3(c).

F2 · price: Purchase price of security was transacted in Canadian currency and converted to U.S. currency.

SEC source: 0001106191-20-000018 · primary_doc.xml · nonDerivative · entry 1

GMT CAPITAL CORP · CIK 0001106191 · 10% owner

BAY RESOURCE PARTNERS LP · CIK 0000899037 · 10% owner

BAY II RESOURCE PARTNERS LP · CIK 0001161416 · 10% owner

BAY RESOURCE PARTNERS OFFSHORE MASTER FUND, L.P. · CIK 0001733113 · 10% owner

CLAUGUS THOMAS E · CIK 0001075617 · 10% owner

GMT Exploration Co LLC · CIK 0001396794 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 82,458,979

F1 · security: This Form 4 is being jointly filed by Bay Resource Partners, L.P. (Bay), a Delaware limited partnership, Bay II Resource Partners, L.P. (Bay II), a Delaware limited partnership, Bay Resource Partners Offshore Master Fund, L.P. (Bay Offshore), an exempted limited partnership organized under the laws of the Cayman Islands, GMT Exploration Company LLC (GMT Exploration), a Delaware limited liability company, GMT Capital Corp., a Georgia corporation (GMT Capital), and Thomas E. Claugus (Claugus), a United States citizen. The foregoing persons are hereinafter sometimes collectively referred to as the Reporting Persons.

F2 · security: GMT Capital is the general partner of Bay and Bay II and has the power to direct the affairs of Bay and Bay II, including voting and disposition of shares. As the discretionary investment manager of Bay Offshore, GMT Capital has power to direct voting and disposition of shares held by Bay Offshore. Claugus is the President of GMT Capital and in that capacity, directs the operations of each of Bay and Bay II and voting and disposition of shares held by Bay Offshore. GMT Capital is also the non-discretionary manager of GMT Exploration through a separately managed account relationship. In addition, Claugus owns a controlling interest in GMT Exploration. GMT Capital and Claugus may be deemed to beneficially own indirect pecuniary interest as the result of performance-based fees and profit allocations. Each of GMT Capital and Claugus disclaims such beneficial ownership except to the extent ultimately realized.

F3 · security: The aggregate number of shares of common stock sold on October 05, 2020, was 132,500 shares, at a price of $0.22 per share, resulting in an aggregate number of shares owned by the Reporting Persons of 82,458,979. Such shares were sold, and thereafter beneficially owned by the Reporting Persons in the following amounts: Bay = 39,600 shares sold resulting in ownership of 24,070,690 shares; Bay II = 31,800 shares sold resulting in ownership of 19,422,830 shares; Offshore Fund = 55,800 shares sold resulting in ownership of 34,082,459 shares; GMT Capital = 0 shares sold resulting in ownership of 147,000 shares; Claugus = 5,300 shares sold resulting in ownership of 3,209,100 shares; GMT Exploration = 0 shares sold resulting in ownership of 1,526,900 shares.

SEC source: 0001106191-20-000017 · primary_doc.xml · nonDerivative · entry 1

GMT CAPITAL CORP · CIK 0001106191 · 10% owner

BAY RESOURCE PARTNERS LP · CIK 0000899037 · 10% owner

BAY II RESOURCE PARTNERS LP · CIK 0001161416 · 10% owner

BAY RESOURCE PARTNERS OFFSHORE MASTER FUND, L.P. · CIK 0001733113 · 10% owner

CLAUGUS THOMAS E · CIK 0001075617 · 10% owner

GMT Exploration Co LLC · CIK 0001396794 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 82,591,479

F1 · security: This Form 4 is being jointly filed by Bay Resource Partners, L.P. (Bay), a Delaware limited partnership, Bay II Resource Partners, L.P. (Bay II), a Delaware limited partnership, Bay Resource Partners Offshore Master Fund, L.P. (Bay Offshore), an exempted limited partnership organized under the laws of the Cayman Islands, GMT Exploration Company LLC (GMT Exploration), a Delaware limited liability company, GMT Capital Corp., a Georgia corporation (GMT Capital), and Thomas E. Claugus (Claugus), a United States citizen. The foregoing persons are hereinafter sometimes collectively referred to as the Reporting Persons.

F2 · security: GMT Capital is the general partner of Bay and Bay II and has the power to direct the affairs of Bay and Bay II, including voting and disposition of shares. As the discretionary investment manager of Bay Offshore, GMT Capital has power to direct voting and disposition of shares held by Bay Offshore. Claugus is the President of GMT Capital and in that capacity, directs the operations of each of Bay and Bay II and voting and disposition of shares held by Bay Offshore. GMT Capital is also the non-discretionary manager of GMT Exploration through a separately managed account relationship. In addition, Claugus owns a controlling interest in GMT Exploration. GMT Capital and Claugus may be deemed to beneficially own indirect pecuniary interest as the result of performance-based fees and profit allocations. Each of GMT Capital and Claugus disclaims such beneficial ownership except to the extent ultimately realized.

F3 · security: The aggregate number of shares of common stock sold on October 02, 2020, was 334,000 shares, at a price of $0.22 per share, resulting in an aggregate number of shares owned by the Reporting Persons of 82,591,479. Such shares were sold, and thereafter beneficially owned by the Reporting Persons in the following amounts: Bay = 99,700 shares sold resulting in ownership of 24,110,290 shares; Bay II = 80,100 shares sold resulting in ownership of 19,454,630 shares; Offshore Fund = 140,900 shares sold resulting in ownership of 34,138,259 shares; GMT Capital = 0 shares sold resulting in ownership of 147,000 shares; Claugus = 13,300 shares sold resulting in ownership of 3,214,400 shares; GMT Exploration = 0 shares sold resulting in ownership of 1,526,900 shares.