JAKK

SEC source: 0001019056-22-000217 · rosen.xml · nonDerivative · entry 3

Rosen Lawrence I · CIK 0001759132 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,059,748

F1 · price: The reported price is a weighted average price. The Reporting Person undertakes to provide to the Issuer or the Staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price.

SEC source: 0001019056-22-000217 · rosen.xml · nonDerivative · entry 2

Rosen Lawrence I · CIK 0001759132 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,043,654

F1 · price: The reported price is a weighted average price. The Reporting Person undertakes to provide to the Issuer or the Staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price.

SEC source: 0001019056-22-000217 · rosen.xml · nonDerivative · entry 1

Rosen Lawrence I · CIK 0001759132 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,026,263

F1 · price: The reported price is a weighted average price. The Reporting Person undertakes to provide to the Issuer or the Staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price.

SEC source: 0001019056-23-000078 · rosen.xml · nonDerivative · entry 11

Rosen Lawrence I · CIK 0001759132 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,005,919

F1 · security: These transactions should have been reported within two business days of the transaction date.

F2 · price: The reported price is a weighted average price. The Reporting Person undertakes to provide to the Issuer or the Staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price.

F3 · acquired: This sale resulted in a short swing profit of $20,868.30 which the Reporting Person is returning to the issuer, subject to the issuer's review of disgorgement calculation and calculation methodology and material agreement.

SEC source: 0001185185-21-001539 · ownership.xml · derivative · entry 3

BERMAN STEPHEN G · CIK 0001275342 · Director · CEO, President and Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 330,406

Underlying: Common Stock · 330,406 shares

Expires not disclosed

F5 · derivative.exercise_price: Disposition was the result of the conversion of restricted stock awards into RSUs. See Table II.

F6 · derivative.exercise_price: Pursuant to an amendment of Holder's Employment Agreement, existing shares of restricted stock were cancelled and replaced with an equivalent number of RSUs, which RSUs are subject to the exact same vesting provisions as the cancelled shares of restricted stock.

F7 · derivative.exercise_price: RSUs vest equally over four years from date of grant of original restricted stock award and upon vesting convert into shares of common stock at no cost.

F6 · kind: Pursuant to an amendment of Holder's Employment Agreement, existing shares of restricted stock were cancelled and replaced with an equivalent number of RSUs, which RSUs are subject to the exact same vesting provisions as the cancelled shares of restricted stock.

F5 · price: Disposition was the result of the conversion of restricted stock awards into RSUs. See Table II.

F6 · price: Pursuant to an amendment of Holder's Employment Agreement, existing shares of restricted stock were cancelled and replaced with an equivalent number of RSUs, which RSUs are subject to the exact same vesting provisions as the cancelled shares of restricted stock.

F7 · price: RSUs vest equally over four years from date of grant of original restricted stock award and upon vesting convert into shares of common stock at no cost.

F7 · derivative.exercise_date: RSUs vest equally over four years from date of grant of original restricted stock award and upon vesting convert into shares of common stock at no cost.

F7 · derivative.expiration_date: RSUs vest equally over four years from date of grant of original restricted stock award and upon vesting convert into shares of common stock at no cost.

F2 · derivative.underlying_shares: Certain of these shares may be restricted from transfer pursuant to the minimum stock ownership provision in Holder's Employment Agreement with the Issuer.

SEC source: 0001185185-21-001539 · ownership.xml · nonDerivative · entry 2

BERMAN STEPHEN G · CIK 0001275342 · Director · CEO, President and Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 135,227

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

F4 · shares: All share amounts have been adjusted to reflect the 1-10 reverse split effective July 9, 2020.

F1 · price: Represents the closing price of the Issuer's common stock on such date, as reported by Nasdaq.

F5 · acquired: Disposition was the result of the conversion of restricted stock awards into RSUs. See Table II.

F2 · balance_after: Certain of these shares may be restricted from transfer pursuant to the minimum stock ownership provision in Holder's Employment Agreement with the Issuer.

F4 · balance_after: All share amounts have been adjusted to reflect the 1-10 reverse split effective July 9, 2020.

SEC source: 0001185185-21-001554 · ownership.xml · derivative · entry 3

MCGRATH JOHN JOSEPH · CIK 0001527634 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,358

Underlying: Common Stock · 100,358 shares

Expires not disclosed

F5 · derivative.exercise_price: Disposition was the result of the conversion of restricted stock awards into RSUs. See Table II.

F6 · derivative.exercise_price: Pursuant to an amendment of Holder's Employment Agreement, existing shares of restricted stock were cancelled and replaced with an equivalent number of RSUs, which RSUs are subject to the exact same vesting provisions as the cancelled shares of restricted stock.

F7 · derivative.exercise_price: RSUs vest equally over four years from date of grant of original restricted stock award and upon vesting convert into shares of common stock at no cost.

F6 · kind: Pursuant to an amendment of Holder's Employment Agreement, existing shares of restricted stock were cancelled and replaced with an equivalent number of RSUs, which RSUs are subject to the exact same vesting provisions as the cancelled shares of restricted stock.

F5 · price: Disposition was the result of the conversion of restricted stock awards into RSUs. See Table II.

F6 · price: Pursuant to an amendment of Holder's Employment Agreement, existing shares of restricted stock were cancelled and replaced with an equivalent number of RSUs, which RSUs are subject to the exact same vesting provisions as the cancelled shares of restricted stock.

F7 · price: RSUs vest equally over four years from date of grant of original restricted stock award and upon vesting convert into shares of common stock at no cost.

F7 · derivative.exercise_date: RSUs vest equally over four years from date of grant of original restricted stock award and upon vesting convert into shares of common stock at no cost.

F7 · derivative.expiration_date: RSUs vest equally over four years from date of grant of original restricted stock award and upon vesting convert into shares of common stock at no cost.

F2 · derivative.underlying_shares: Certain of these shares may be restricted from transfer pursuant to the minimum stock ownership provision in Holder's Employment Agreement with the Issuer.

SEC source: 0001185185-21-001554 · ownership.xml · nonDerivative · entry 2

MCGRATH JOHN JOSEPH · CIK 0001527634 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,061

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

F4 · shares: All share amounts have been adjusted to reflect the 1-10 reverse split effective July 9, 2020.

F1 · price: Represents the closing price of the Issuer's common stock on such date, as reported by Nasdaq.

F5 · acquired: Disposition was the result of the conversion of restricted stock awards into RSUs. See Table II.

F2 · balance_after: Certain of these shares may be restricted from transfer pursuant to the minimum stock ownership provision in Holder's Employment Agreement with the Issuer.

F4 · balance_after: All share amounts have been adjusted to reflect the 1-10 reverse split effective July 9, 2020.

SEC source: 0001019056-23-000078 · rosen.xml · nonDerivative · entry 10

Rosen Lawrence I · CIK 0001759132 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,010,919

F1 · security: These transactions should have been reported within two business days of the transaction date.

F2 · price: The reported price is a weighted average price. The Reporting Person undertakes to provide to the Issuer or the Staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price.

SEC source: 0001019056-23-000078 · rosen.xml · nonDerivative · entry 9

Rosen Lawrence I · CIK 0001759132 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,005,789

F1 · security: These transactions should have been reported within two business days of the transaction date.

F2 · price: The reported price is a weighted average price. The Reporting Person undertakes to provide to the Issuer or the Staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price.

SEC source: 0000905718-21-000956 · jakks_form4jul222021.xml · derivative · entry 4

Benefit Street Partners LLC · CIK 0001543160 · 10% owner

Gahan Thomas · CIK 0001610124 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: Not disclosed

Underlying: Common Stock · 295,125 shares

Expires 2021-09-01

F3 · ownership.nature: The reported securities are held by one or more private funds and accounts (the "BSP Funds"). Benefit Street Partners L.L.C. ("BSP") is a registered investment adviser under Section 203 of the Investment Advisers Act of 1940, as amended. BSP serves as the investment adviser to each of the BSP Funds. Mr. Gahan controls BSP in his role as Chief Executive Officer of BSP's sole managing member. As a result, each of BSP and Mr. Gahan may be deemed to beneficially own the securities held by the BSP Funds. Each reporting person disclaims beneficial ownership of these securities, except to the extent of its or his pecuniary interest therein, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose.

F4 · ownership.nature: Pursuant to the certificate of designations for the Issuer's Series A Senior Preferred Stock and a voting agreement between the Issuer and certain holders party thereto, BSP has certain director designation rights with respect to the Issuer's board of directors. Matthew Winkler currently serves as BSP's designee.

SEC source: 0000905718-21-000956 · jakks_form4jul222021.xml · nonDerivative · entry 2

Benefit Street Partners LLC · CIK 0001543160 · 10% owner

Gahan Thomas · CIK 0001610124 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 1,356,639

F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $10.07 to $10.75, inclusive.

F3 · ownership.nature: The reported securities are held by one or more private funds and accounts (the "BSP Funds"). Benefit Street Partners L.L.C. ("BSP") is a registered investment adviser under Section 203 of the Investment Advisers Act of 1940, as amended. BSP serves as the investment adviser to each of the BSP Funds. Mr. Gahan controls BSP in his role as Chief Executive Officer of BSP's sole managing member. As a result, each of BSP and Mr. Gahan may be deemed to beneficially own the securities held by the BSP Funds. Each reporting person disclaims beneficial ownership of these securities, except to the extent of its or his pecuniary interest therein, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose.

F4 · ownership.nature: Pursuant to the certificate of designations for the Issuer's Series A Senior Preferred Stock and a voting agreement between the Issuer and certain holders party thereto, BSP has certain director designation rights with respect to the Issuer's board of directors. Matthew Winkler currently serves as BSP's designee.

SEC source: 0000905718-21-000956 · jakks_form4jul222021.xml · derivative · entry 3

Benefit Street Partners LLC · CIK 0001543160 · 10% owner

Gahan Thomas · CIK 0001610124 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: Not disclosed

Underlying: Common Stock · 265,628 shares

Expires 2021-09-01

F3 · ownership.nature: The reported securities are held by one or more private funds and accounts (the "BSP Funds"). Benefit Street Partners L.L.C. ("BSP") is a registered investment adviser under Section 203 of the Investment Advisers Act of 1940, as amended. BSP serves as the investment adviser to each of the BSP Funds. Mr. Gahan controls BSP in his role as Chief Executive Officer of BSP's sole managing member. As a result, each of BSP and Mr. Gahan may be deemed to beneficially own the securities held by the BSP Funds. Each reporting person disclaims beneficial ownership of these securities, except to the extent of its or his pecuniary interest therein, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose.

F4 · ownership.nature: Pursuant to the certificate of designations for the Issuer's Series A Senior Preferred Stock and a voting agreement between the Issuer and certain holders party thereto, BSP has certain director designation rights with respect to the Issuer's board of directors. Matthew Winkler currently serves as BSP's designee.

SEC source: 0000905718-21-000956 · jakks_form4jul222021.xml · nonDerivative · entry 1

Benefit Street Partners LLC · CIK 0001543160 · 10% owner

Gahan Thomas · CIK 0001610124 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 1,056,639

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $9.72 to $10.59, inclusive. The reporting persons undertake to provide to JAKKS Pacific, Inc. (the "Issuer"), any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in footnotes (1) and (2) to this Form 4.

F3 · ownership.nature: The reported securities are held by one or more private funds and accounts (the "BSP Funds"). Benefit Street Partners L.L.C. ("BSP") is a registered investment adviser under Section 203 of the Investment Advisers Act of 1940, as amended. BSP serves as the investment adviser to each of the BSP Funds. Mr. Gahan controls BSP in his role as Chief Executive Officer of BSP's sole managing member. As a result, each of BSP and Mr. Gahan may be deemed to beneficially own the securities held by the BSP Funds. Each reporting person disclaims beneficial ownership of these securities, except to the extent of its or his pecuniary interest therein, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose.

F4 · ownership.nature: Pursuant to the certificate of designations for the Issuer's Series A Senior Preferred Stock and a voting agreement between the Issuer and certain holders party thereto, BSP has certain director designation rights with respect to the Issuer's board of directors. Matthew Winkler currently serves as BSP's designee.

SEC source: 0001019056-23-000078 · rosen.xml · nonDerivative · entry 8

Rosen Lawrence I · CIK 0001759132 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,004,673

F1 · security: These transactions should have been reported within two business days of the transaction date.

F2 · price: The reported price is a weighted average price. The Reporting Person undertakes to provide to the Issuer or the Staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price.

SEC source: 0001019056-23-000078 · rosen.xml · nonDerivative · entry 7

Rosen Lawrence I · CIK 0001759132 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 998,873

F1 · security: These transactions should have been reported within two business days of the transaction date.

F2 · price: The reported price is a weighted average price. The Reporting Person undertakes to provide to the Issuer or the Staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price.

SEC source: 0001019056-23-000078 · rosen.xml · nonDerivative · entry 6

Rosen Lawrence I · CIK 0001759132 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 990,173

F1 · security: These transactions should have been reported within two business days of the transaction date.

F2 · price: The reported price is a weighted average price. The Reporting Person undertakes to provide to the Issuer or the Staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price.

SEC source: 0001019056-23-000078 · rosen.xml · nonDerivative · entry 5

Rosen Lawrence I · CIK 0001759132 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 979,373

F1 · security: These transactions should have been reported within two business days of the transaction date.

F2 · price: The reported price is a weighted average price. The Reporting Person undertakes to provide to the Issuer or the Staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price.

SEC source: 0001019056-23-000078 · rosen.xml · nonDerivative · entry 4

Rosen Lawrence I · CIK 0001759132 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 969,315

F1 · security: These transactions should have been reported within two business days of the transaction date.

F2 · price: The reported price is a weighted average price. The Reporting Person undertakes to provide to the Issuer or the Staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price.

SEC source: 0001019056-23-000078 · rosen.xml · nonDerivative · entry 3

Rosen Lawrence I · CIK 0001759132 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 949,315

F1 · security: These transactions should have been reported within two business days of the transaction date.

F2 · price: The reported price is a weighted average price. The Reporting Person undertakes to provide to the Issuer or the Staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price.

SEC source: 0001019056-23-000078 · rosen.xml · nonDerivative · entry 2

Rosen Lawrence I · CIK 0001759132 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 901,716

F1 · security: These transactions should have been reported within two business days of the transaction date.

F2 · price: The reported price is a weighted average price. The Reporting Person undertakes to provide to the Issuer or the Staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price.

SEC source: 0001019056-23-000078 · rosen.xml · nonDerivative · entry 1

Rosen Lawrence I · CIK 0001759132 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 889,716

F1 · security: These transactions should have been reported within two business days of the transaction date.

F2 · price: The reported price is a weighted average price. The Reporting Person undertakes to provide to the Issuer or the Staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price.

SEC source: 0001019056-23-000077 · rosen.xml · nonDerivative · entry 15

Rosen Lawrence I · CIK 0001759132 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 885,706

F1 · security: These transactions should have been reported within two business days of the transaction date.

F2 · price: The reported price is a weighted average price. The Reporting Person undertakes to provide to the Issuer or the Staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price.

SEC source: 0001019056-23-000077 · rosen.xml · nonDerivative · entry 14

Rosen Lawrence I · CIK 0001759132 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 850,706

F1 · security: These transactions should have been reported within two business days of the transaction date.

F2 · price: The reported price is a weighted average price. The Reporting Person undertakes to provide to the Issuer or the Staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price.

SEC source: 0001019056-23-000077 · rosen.xml · nonDerivative · entry 13

Rosen Lawrence I · CIK 0001759132 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 816,006

F1 · security: These transactions should have been reported within two business days of the transaction date.

F2 · price: The reported price is a weighted average price. The Reporting Person undertakes to provide to the Issuer or the Staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price.

SEC source: 0001019056-23-000077 · rosen.xml · nonDerivative · entry 12

Rosen Lawrence I · CIK 0001759132 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 805,306

F1 · security: These transactions should have been reported within two business days of the transaction date.

F2 · price: The reported price is a weighted average price. The Reporting Person undertakes to provide to the Issuer or the Staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price.

SEC source: 0001019056-23-000077 · rosen.xml · nonDerivative · entry 11

Rosen Lawrence I · CIK 0001759132 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 795,306

F1 · security: These transactions should have been reported within two business days of the transaction date.

F2 · price: The reported price is a weighted average price. The Reporting Person undertakes to provide to the Issuer or the Staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price.

SEC source: 0001019056-23-000077 · rosen.xml · nonDerivative · entry 10

Rosen Lawrence I · CIK 0001759132 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 792,806

F1 · security: These transactions should have been reported within two business days of the transaction date.

F2 · price: The reported price is a weighted average price. The Reporting Person undertakes to provide to the Issuer or the Staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price.

SEC source: 0001019056-23-000077 · rosen.xml · nonDerivative · entry 9

Rosen Lawrence I · CIK 0001759132 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 756,494

F1 · security: These transactions should have been reported within two business days of the transaction date.

F2 · price: The reported price is a weighted average price. The Reporting Person undertakes to provide to the Issuer or the Staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price.

SEC source: 0001019056-23-000077 · rosen.xml · nonDerivative · entry 8

Rosen Lawrence I · CIK 0001759132 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 750,694

F1 · security: These transactions should have been reported within two business days of the transaction date.

F2 · price: The reported price is a weighted average price. The Reporting Person undertakes to provide to the Issuer or the Staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price.

SEC source: 0001019056-23-000077 · rosen.xml · nonDerivative · entry 7

Rosen Lawrence I · CIK 0001759132 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 738,544

F1 · security: These transactions should have been reported within two business days of the transaction date.

F2 · price: The reported price is a weighted average price. The Reporting Person undertakes to provide to the Issuer or the Staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price.

SEC source: 0001019056-23-000077 · rosen.xml · nonDerivative · entry 6

Rosen Lawrence I · CIK 0001759132 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 722,344

F1 · security: These transactions should have been reported within two business days of the transaction date.

F2 · price: The reported price is a weighted average price. The Reporting Person undertakes to provide to the Issuer or the Staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price.

SEC source: 0001019056-23-000077 · rosen.xml · nonDerivative · entry 5

Rosen Lawrence I · CIK 0001759132 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 708,501

F1 · security: These transactions should have been reported within two business days of the transaction date.

F2 · price: The reported price is a weighted average price. The Reporting Person undertakes to provide to the Issuer or the Staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price.

SEC source: 0001019056-23-000077 · rosen.xml · nonDerivative · entry 4

Rosen Lawrence I · CIK 0001759132 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 631,746

F1 · security: These transactions should have been reported within two business days of the transaction date.

F2 · price: The reported price is a weighted average price. The Reporting Person undertakes to provide to the Issuer or the Staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price.

SEC source: 0001019056-23-000077 · rosen.xml · nonDerivative · entry 3

Rosen Lawrence I · CIK 0001759132 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 615,519

F1 · security: These transactions should have been reported within two business days of the transaction date.

F2 · price: The reported price is a weighted average price. The Reporting Person undertakes to provide to the Issuer or the Staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price.

SEC source: 0001019056-23-000077 · rosen.xml · nonDerivative · entry 2

Rosen Lawrence I · CIK 0001759132 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 571,401

F1 · security: These transactions should have been reported within two business days of the transaction date.

F2 · price: The reported price is a weighted average price. The Reporting Person undertakes to provide to the Issuer or the Staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price.

SEC source: 0001019056-23-000077 · rosen.xml · nonDerivative · entry 1

Rosen Lawrence I · CIK 0001759132 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 556,101

F1 · security: These transactions should have been reported within two business days of the transaction date.

F2 · price: The reported price is a weighted average price. The Reporting Person undertakes to provide to the Issuer or the Staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price.

SEC source: 0001185185-21-000029 · ownership.xml · nonDerivative · entry 2

MCGRATH JOHN JOSEPH · CIK 0001527634 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 160,164

F3 · shares: All share amounts have been adjusted to reflect the 1-10 reverse split effective July 9, 2020.

F5 · shares: Represents that number of shares surrendered by the Holder in order to satisfy a tax withholding obligation, as permitted by the terms of a previously reported Restricted Stock Award Agreement by and between the Holder and the Issuer and as approved by the Compensation Committee of the Issuer's Board of Directors.

F1 · price: Represents the closing price of the Issuer's common stock on 12/31/20, as reported by Nasdaq.

F2 · balance_after: Certain of these shares may be restricted from transfer pursuant to the minimum stock ownership provision in Holder's Employment Agreement with the Issuer.

F3 · balance_after: All share amounts have been adjusted to reflect the 1-10 reverse split effective July 9, 2020.

F6 · balance_after: Includes 25,532 shares, all or some of which are subject to forfeiture in the event previously disclosed performance based vesting measures are not met as of 12/31/20, but it is not currently determinable at this time if any of such vesting measures were met.

SEC source: 0001185185-21-000028 · ownership.xml · nonDerivative · entry 2

BERMAN STEPHEN G · CIK 0001275342 · Director · CEO, President and Secretary · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 538,241

F3 · shares: All share amounts have been adjusted to reflect the 1-10 reverse split effective July 9, 2020.

F5 · shares: Represents that number of shares surrendered by the Holder in order to satisfy a tax withholding obligation, as permitted by the terms of a previously reported Restricted Stock Award Agreement by and between the Holder and the Issuer and as approved by the Compensation Committee of the Issuer's Board of Directors.

F1 · price: Represents the closing price of the Issuer's common stock on 12/31/20, as reported by Nasdaq.

F2 · balance_after: Certain of these shares may be restricted from transfer pursuant to the minimum stock ownership provision in Holder's Employment Agreement with the Issuer.

F3 · balance_after: All share amounts have been adjusted to reflect the 1-10 reverse split effective July 9, 2020.

F6 · balance_after: Includes 89,363 shares, all or some of which are subject to forfeiture in the event previously disclosed performance based vesting measures are not met as of 12/31/20, but it is not currently determinable at this time if any of such vesting measures were met.

SEC source: 0001185185-21-000029 · ownership.xml · nonDerivative · entry 1

MCGRATH JOHN JOSEPH · CIK 0001527634 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 167,414

F3 · shares: All share amounts have been adjusted to reflect the 1-10 reverse split effective July 9, 2020.

F4 · shares: Such 28,474 shares were issued pursuant to the terms of Holder's Employment Agreement with the Issuer (as amended and clarified to date) and are further subject to the terms of that certain January 1, 2021 Restricted Stock Award Agreement (the "Agreement") by and between the Holder and the Issuer. Such 28,474 shares shall vest in four equal annual installments over four years. These shares have no voting rights until vested.

F1 · price: Represents the closing price of the Issuer's common stock on 12/31/20, as reported by Nasdaq.

F2 · balance_after: Certain of these shares may be restricted from transfer pursuant to the minimum stock ownership provision in Holder's Employment Agreement with the Issuer.

F3 · balance_after: All share amounts have been adjusted to reflect the 1-10 reverse split effective July 9, 2020.

SEC source: 0001185185-21-000028 · ownership.xml · nonDerivative · entry 1

BERMAN STEPHEN G · CIK 0001275342 · Director · CEO, President and Secretary · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 562,692

F3 · shares: All share amounts have been adjusted to reflect the 1-10 reverse split effective July 9, 2020.

F4 · shares: Such 85,422 shares were issued pursuant to the terms of Holder's Employment Agreement with the Issuer (as amended and clarified to date) and are further subject to the terms of that certain January 1, 2021 Restricted Stock Award Agreement (the "Agreement") by and between the Holder and the Issuer. Such 85,422 shares shall vest in four equal annual installments over four years. These shares have no voting rights until vested.

F1 · price: Represents the closing price of the Issuer's common stock on 12/31/20, as reported by Nasdaq.

F2 · balance_after: Certain of these shares may be restricted from transfer pursuant to the minimum stock ownership provision in Holder's Employment Agreement with the Issuer.

F3 · balance_after: All share amounts have been adjusted to reflect the 1-10 reverse split effective July 9, 2020.

SEC source: 0001185185-21-001539 · ownership.xml · nonDerivative · entry 1

BERMAN STEPHEN G · CIK 0001275342 · Director · CEO, President and Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 465,633

F3 · date: Reflects the forfeiture of 72,608 shares issued pursuant to the terms of Holder's Employment Agreement that failed to vest pursuant to the terms of that certain January 1, 2019 Restricted Stock Award Agreement by and between the Holder and the Issuer. Though calculation re vesting/forfeiture based upon performance could not be made until financial statements completed, forfeiture deemed affective as of such date.

F3 · shares: Reflects the forfeiture of 72,608 shares issued pursuant to the terms of Holder's Employment Agreement that failed to vest pursuant to the terms of that certain January 1, 2019 Restricted Stock Award Agreement by and between the Holder and the Issuer. Though calculation re vesting/forfeiture based upon performance could not be made until financial statements completed, forfeiture deemed affective as of such date.

F1 · price: Represents the closing price of the Issuer's common stock on such date, as reported by Nasdaq.

F2 · balance_after: Certain of these shares may be restricted from transfer pursuant to the minimum stock ownership provision in Holder's Employment Agreement with the Issuer.

F4 · balance_after: All share amounts have been adjusted to reflect the 1-10 reverse split effective July 9, 2020.

SEC source: 0001185185-21-001554 · ownership.xml · nonDerivative · entry 1

MCGRATH JOHN JOSEPH · CIK 0001527634 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 139,419

F3 · date: Reflects the forfeiture of 20,745 shares issued pursuant to the terms of Holder's Employment Agreement that failed to vest pursuant to the terms of that certain January 1, 2019 Restricted Stock Award Agreement by and between the Holder and the Issuer. Though calculation re vesting/forfeiture based upon performance could not be made until financial statements completed, forfeiture deemed affective as of such date.

F3 · shares: Reflects the forfeiture of 20,745 shares issued pursuant to the terms of Holder's Employment Agreement that failed to vest pursuant to the terms of that certain January 1, 2019 Restricted Stock Award Agreement by and between the Holder and the Issuer. Though calculation re vesting/forfeiture based upon performance could not be made until financial statements completed, forfeiture deemed affective as of such date.

F1 · price: Represents the closing price of the Issuer's common stock on such date, as reported by Nasdaq.

F2 · balance_after: Certain of these shares may be restricted from transfer pursuant to the minimum stock ownership provision in Holder's Employment Agreement with the Issuer.

F5 · balance_after: Disposition was the result of the conversion of restricted stock awards into RSUs. See Table II.

SEC source: 0001185185-22-000023 · ownership.xml · derivative · entry 5

BERMAN STEPHEN G · CIK 0001275342 · Director · CEO, President and Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 64,067

Underlying: Common Stock · 64,067 shares

Expires not disclosed

F5 · derivative.exercise_price: Previously reported. Issued on 1/1/21 under the Company's 2002 Stock Award and Incentive Plan and is subject to the terms of Agreement for Award of Restricted Stock Units between Issuer and Reporting Person. In accordance with such Agreement, securities so issued will have no voting rights and may not be sold, mortgaged, pledged, transferred, or otherwise encumbered prior to vesting. RSUs vest in 4 equal annual installments commencing on the first anniversary of the date of grant and on the second, third and fourth anniversaries thereafter. The Reporting Person must be employed by Issuer for an RSU to vest.

F5 · date: Previously reported. Issued on 1/1/21 under the Company's 2002 Stock Award and Incentive Plan and is subject to the terms of Agreement for Award of Restricted Stock Units between Issuer and Reporting Person. In accordance with such Agreement, securities so issued will have no voting rights and may not be sold, mortgaged, pledged, transferred, or otherwise encumbered prior to vesting. RSUs vest in 4 equal annual installments commencing on the first anniversary of the date of grant and on the second, third and fourth anniversaries thereafter. The Reporting Person must be employed by Issuer for an RSU to vest.

F5 · kind: Previously reported. Issued on 1/1/21 under the Company's 2002 Stock Award and Incentive Plan and is subject to the terms of Agreement for Award of Restricted Stock Units between Issuer and Reporting Person. In accordance with such Agreement, securities so issued will have no voting rights and may not be sold, mortgaged, pledged, transferred, or otherwise encumbered prior to vesting. RSUs vest in 4 equal annual installments commencing on the first anniversary of the date of grant and on the second, third and fourth anniversaries thereafter. The Reporting Person must be employed by Issuer for an RSU to vest.

F5 · shares: Previously reported. Issued on 1/1/21 under the Company's 2002 Stock Award and Incentive Plan and is subject to the terms of Agreement for Award of Restricted Stock Units between Issuer and Reporting Person. In accordance with such Agreement, securities so issued will have no voting rights and may not be sold, mortgaged, pledged, transferred, or otherwise encumbered prior to vesting. RSUs vest in 4 equal annual installments commencing on the first anniversary of the date of grant and on the second, third and fourth anniversaries thereafter. The Reporting Person must be employed by Issuer for an RSU to vest.

F8 · price: The closing price of the Company's common stock for the trading day preceding the date of grant, as reported by NASDAQ

F5 · derivative.exercise_date: Previously reported. Issued on 1/1/21 under the Company's 2002 Stock Award and Incentive Plan and is subject to the terms of Agreement for Award of Restricted Stock Units between Issuer and Reporting Person. In accordance with such Agreement, securities so issued will have no voting rights and may not be sold, mortgaged, pledged, transferred, or otherwise encumbered prior to vesting. RSUs vest in 4 equal annual installments commencing on the first anniversary of the date of grant and on the second, third and fourth anniversaries thereafter. The Reporting Person must be employed by Issuer for an RSU to vest.

F5 · derivative.expiration_date: Previously reported. Issued on 1/1/21 under the Company's 2002 Stock Award and Incentive Plan and is subject to the terms of Agreement for Award of Restricted Stock Units between Issuer and Reporting Person. In accordance with such Agreement, securities so issued will have no voting rights and may not be sold, mortgaged, pledged, transferred, or otherwise encumbered prior to vesting. RSUs vest in 4 equal annual installments commencing on the first anniversary of the date of grant and on the second, third and fourth anniversaries thereafter. The Reporting Person must be employed by Issuer for an RSU to vest.

F3 · balance_after: Certain of the underlying shares may be restricted from transfer pursuant to the minimum stock ownership provisions adopted by the Company's Board of Directors.

SEC source: 0001104659-20-129086 · tm2037068-1_4.xml · derivative · entry 5

Kimble John Louis · CIK 0001795096 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,200

Underlying: Common Stock · 100,200 shares

Expires not disclosed

F4 · derivative.exercise_price: Issued under the Company's 2002 Stock Award and Incentive Plan and is subject to the terms of Agreement for Award of Restricted Stock Units between Issuer and Reporting Person. In accordance with such Agreement, securities so issued will have no voting rights and may not be sold, mortgaged, pledged, transferred or otherwise encumbered prior to vesting.

F8 · price: Represents the closing price of the Company's common stock for the trading day preceding the date of grant, as reported by NASDAQ.

F7 · derivative.exercise_date: 60,120 of RSUs will be subject to three year "cliff vesting" (i.e. vesting is based upon performance at the close of the three year performance period), with vesting of each annual grant of RSUs determined by the following performance measures: (i) Total shareholder return as compared to the Russell 2000 Index (weighted 50%); (ii) Net revenue growth as compared to the Company's peer group (weighted 25%), and (iii) EBITDA growth as compared to the Company's peer group (weighted 25%). 40,080 of RSUs will vest in 3 equal annual installments commencing on the first anniversary of the date of grant and on the second and third anniversaries thereafter. The Reporting Person must be employed by Issuer for an RSU to vest.

F7 · derivative.expiration_date: 60,120 of RSUs will be subject to three year "cliff vesting" (i.e. vesting is based upon performance at the close of the three year performance period), with vesting of each annual grant of RSUs determined by the following performance measures: (i) Total shareholder return as compared to the Russell 2000 Index (weighted 50%); (ii) Net revenue growth as compared to the Company's peer group (weighted 25%), and (iii) EBITDA growth as compared to the Company's peer group (weighted 25%). 40,080 of RSUs will vest in 3 equal annual installments commencing on the first anniversary of the date of grant and on the second and third anniversaries thereafter. The Reporting Person must be employed by Issuer for an RSU to vest.

F3 · balance_after: Certain of the underlying shares may be restricted from transfer pursuant to the minimum stock ownership provisions adopted by the Company's Board of Directors.

SEC source: 0001104659-20-129086 · tm2037068-1_4.xml · derivative · entry 4

Kimble John Louis · CIK 0001795096 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,843

Underlying: Common Stock · 3,922 shares

Expires not disclosed

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

F4 · derivative.exercise_price: Issued under the Company's 2002 Stock Award and Incentive Plan and is subject to the terms of Agreement for Award of Restricted Stock Units between Issuer and Reporting Person. In accordance with such Agreement, securities so issued will have no voting rights and may not be sold, mortgaged, pledged, transferred or otherwise encumbered prior to vesting.

F6 · price: Represents the closing price of the Company's common stock on the date of vesting, as reported by NASDAQ.

F5 · derivative.exercise_date: Granted November 20, 2019. 17,647 of RSUs will be subject to three year "cliff vesting" (i.e. vesting is based upon performance at the close of the three year performance period), with vesting of each annual grant of RSUs determined by the following performance measures: (i) Total shareholder return as compared to the Russell 2000 Index (weighted 50%); (ii) Net revenue growth as compared to the Company's peer group (weighted 25%), and (iii) EBITDA growth as compared to the Company's peer group (weighted 25%). 11,765 of RSUs will vest in 3 equal annual installments commencing on the first anniversary of the date of grant and on the second and third anniversaries thereafter. The Reporting Person must be employed by Issuer for an RSU to vest.

F5 · derivative.expiration_date: Granted November 20, 2019. 17,647 of RSUs will be subject to three year "cliff vesting" (i.e. vesting is based upon performance at the close of the three year performance period), with vesting of each annual grant of RSUs determined by the following performance measures: (i) Total shareholder return as compared to the Russell 2000 Index (weighted 50%); (ii) Net revenue growth as compared to the Company's peer group (weighted 25%), and (iii) EBITDA growth as compared to the Company's peer group (weighted 25%). 11,765 of RSUs will vest in 3 equal annual installments commencing on the first anniversary of the date of grant and on the second and third anniversaries thereafter. The Reporting Person must be employed by Issuer for an RSU to vest.

F3 · balance_after: Certain of the underlying shares may be restricted from transfer pursuant to the minimum stock ownership provisions adopted by the Company's Board of Directors.

SEC source: 0001104659-20-129086 · tm2037068-1_4.xml · derivative · entry 3

Kimble John Louis · CIK 0001795096 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 29,762 shares

Expires not disclosed

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

F4 · derivative.exercise_price: Issued under the Company's 2002 Stock Award and Incentive Plan and is subject to the terms of Agreement for Award of Restricted Stock Units between Issuer and Reporting Person. In accordance with such Agreement, securities so issued will have no voting rights and may not be sold, mortgaged, pledged, transferred or otherwise encumbered prior to vesting.

F6 · price: Represents the closing price of the Company's common stock on the date of vesting, as reported by NASDAQ.

F2 · derivative.exercise_date: Vested on the one year anniversary of its grant.

F2 · derivative.expiration_date: Vested on the one year anniversary of its grant.

SEC source: 0001104659-20-129086 · tm2037068-1_4.xml · nonDerivative · entry 2

Kimble John Louis · CIK 0001795096 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,684

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

F2 · shares: Vested on the one year anniversary of its grant.

F3 · balance_after: Certain of the underlying shares may be restricted from transfer pursuant to the minimum stock ownership provisions adopted by the Company's Board of Directors.

SEC source: 0001104659-20-129086 · tm2037068-1_4.xml · nonDerivative · entry 1

Kimble John Louis · CIK 0001795096 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,922

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

F1 · shares: Vested according to the terms of the RSU described on Table II granted on November 20, 2019.

F3 · balance_after: Certain of the underlying shares may be restricted from transfer pursuant to the minimum stock ownership provisions adopted by the Company's Board of Directors.

SEC source: 0001104659-20-000895 · tm201208d1_4.xml · nonDerivative · entry 3

MCGRATH JOHN JOSEPH · CIK 0001527634 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,389,392

F5 · shares: Represents that number of shares surrendered by the Holder in order to satisfy a tax withholding obligation, as permitted by the terms of a previously reported Restricted Stock Award Agreement by and between the Holder and the Issuer and as approved by the Compensation Committee of the Issuer's Board of Directors.

F1 · price: Represents the closing price of the Issuer's common stock on 12/31/19 as reported by Nasdaq.

F2 · balance_after: Certain of these shares may be restricted from transfer pursuant to the minimum stock ownership provision in Holder's Employment Agreement with the Issuer.