KIDS

SEC source: 0001425450-23-000084 · wk-form4_1686857659.xml · nonDerivative · entry 1

Dyer George Sinclair Mitchell · CIK 0001978362 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,965

F1 · balance_after: Includes restricted stock awards totaling 1,965 shares.

SEC source: 0001425450-23-000082 · wk-form4_1686857532.xml · nonDerivative · entry 1

Pelizzon David R · CIK 0001719217 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 21,781

F1 · balance_after: Includes restricted stock awards totaling 3,560 shares.

SEC source: 0001425450-23-000080 · wk-form4_1686857427.xml · nonDerivative · entry 3

Ruf Harold · CIK 0001719213 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 15,321

SEC source: 0001425450-23-000080 · wk-form4_1686857427.xml · nonDerivative · entry 2

Ruf Harold · CIK 0001719213 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,560

F1 · shares: On June 14, 2023, the reporting person had 1,497 of restricted stock which vested. Upon vesting these shares were distributed to the Donna Ruff DAP Trust dated July 30, 2020, of which the reporting person is trustee and in which he is deemed to have a pecuniary interest under Section 16 regulations. The reporting person disclaims beneficial ownership of the securities held by the trust except to the extent of his pecuniary interest therein.

F2 · balance_after: Includes restricted stock awards totaling 3,560 shares.

SEC source: 0001425450-23-000080 · wk-form4_1686857427.xml · nonDerivative · entry 1

Ruf Harold · CIK 0001719213 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,057

SEC source: 0001425450-23-000078 · wk-form4_1686857259.xml · nonDerivative · entry 1

Riccitelli Samuel D · CIK 0001414839 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 9,256

F1 · balance_after: Includes restricted stock awards totaling 3,560 shares.

SEC source: 0001425450-23-000056 · wf-form4_168268679480793.xml · nonDerivative · entry 1

Odle Gregory A · CIK 0001719088 · President of Scoliosis

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 83,241

F1 · shares: Shares sold pursuant to a 10b5-1 plan.

F2 · balance_after: Includes restricted stock awards totaling 37,910 shares.

SEC source: 0001425450-23-000054 · wf-form4_168253953538722.xml · nonDerivative · entry 1

Odle Gregory A · CIK 0001719088 · President of Scoliosis

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 86,574

F1 · shares: Shares sold pursuant to a 10b5-1 plan.

F2 · balance_after: Includes restricted stock awards totaling 37,910 shares.

SEC source: 0001425450-23-000052 · wf-form4_168236778360389.xml · nonDerivative · entry 1

Odle Gregory A · CIK 0001719088 · President of Scoliosis

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 87,402

F1 · shares: Shares sold pursuant to a 10b5-1 plan.

F2 · balance_after: Includes restricted stock awards totaling 37,910 shares.

SEC source: 0001425450-23-000048 · wf-form4_167891225258569.xml · nonDerivative · entry 1

Odle Gregory A · CIK 0001719088 · President of Scoliosis

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 88,046

F1 · balance_after: Includes restricted stock awards totaling 37,910 shares.

SEC source: 0001425450-23-000047 · wf-form4_167891221922712.xml · nonDerivative · entry 1

Throdahl Mark C · CIK 0001439415 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 140,290

F1 · balance_after: Includes restricted stock awards totaling 27,906 shares.

SEC source: 0001425450-23-000050 · wf-form4_167891232502189.xml · nonDerivative · entry 1

Gerritzen Daniel J · CIK 0001718972 · General Counsel and Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,144

F1 · balance_after: Includes restricted stock awards totaling 37,373 shares.

SEC source: 0001425450-23-000049 · wf-form4_167891229110123.xml · nonDerivative · entry 1

Hauser Joseph W · CIK 0001909181 · Pres. Trauma & Def. Correction

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,761

F1 · balance_after: Includes restricted stock awards totaling 37,372 shares.

SEC source: 0001425450-23-000046 · wf-form4_167891219133767.xml · nonDerivative · entry 1

Hite Fred · CIK 0001298644 · Director · COO and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 101,623

F1 · balance_after: Includes restricted stock awards totaling 61,955 shares.

SEC source: 0001425450-23-000045 · wf-form4_167891216976496.xml · nonDerivative · entry 1

Bailey David R · CIK 0001719296 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 144,897

F1 · balance_after: Includes restricted stock awards totaling 66,654 shares.

SEC source: 0001425450-23-000032 · wf-form4_167819850578407.xml · nonDerivative · entry 1

Odle Gregory A · CIK 0001719088 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 68,429

F1 · shares: Shares sold to satisfy tax withholding obligations upon vesting of restricted shares.

F2 · balance_after: Includes restricted stock awards totaling 18,293 shares.

SEC source: 0001425450-23-000030 · wf-form4_167819839045203.xml · nonDerivative · entry 1

Throdahl Mark C · CIK 0001439415 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 128,024

F1 · shares: Shares sold to satisfy tax withholding obligations upon vesting of restricted shares.

F2 · balance_after: Includes restricted stock awards totaling 15,640 shares.

SEC source: 0001425450-23-000036 · wf-form4_167819866698810.xml · nonDerivative · entry 1

Bailey David R · CIK 0001719296 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,453

F1 · shares: Shares sold to satisfy tax withholding obligations upon vesting of restricted shares.

F2 · balance_after: Includes restricted stock awards totaling 22,210 shares.

SEC source: 0001425450-23-000034 · wf-form4_167819858308744.xml · nonDerivative · entry 1

Hite Fred · CIK 0001298644 · Director · COO and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 71,623

F1 · shares: Shares sold to satisfy tax withholding obligations upon vesting of restricted shares.

F2 · balance_after: Includes restricted stock awards totaling 31,955 shares.

SEC source: 0001425450-23-000028 · wf-form4_167819830025469.xml · nonDerivative · entry 1

Gerritzen Daniel J · CIK 0001718972 · General Counsel and Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,527

F1 · shares: Shares sold to satisfy tax withholding obligations upon vesting of restricted shares.

F2 · balance_after: Includes restricted stock awards totaling 17,756 shares.

SEC source: 0001425450-23-000026 · wf-form4_167813123996261.xml · nonDerivative · entry 1

Hauser Joseph W · CIK 0001909181 · Sr VP & GM Trauma & Deformity

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,144

F1 · shares: Shares sold to satisfy tax withholding obligations upon vesting of restricted shares.

F2 · balance_after: Includes restricted stock awards totaling 17,755 shares.

SEC source: 0001425450-23-000016 · wf-form4_167542962959791.xml · nonDerivative · entry 1

Odle Gregory A · CIK 0001719088 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 71,850

F1 · shares: Shares sold pursuant to a 10b5-1 plan.

F2 · balance_after: Includes restricted stock awards totaling 25,830 shares.

SEC source: 0001425450-23-000014 · wf-form4_167456617398289.xml · nonDerivative · entry 1

Odle Gregory A · CIK 0001719088 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 73,045

F1 · shares: Shares sold pursuant to a 10b5-1 plan.

F2 · balance_after: Includes restricted stock awards totaling 25,830 shares.

SEC source: 0001425450-23-000012 · wf-form4_167396101744810.xml · nonDerivative · entry 1

Odle Gregory A · CIK 0001719088 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 73,125

F1 · shares: Shares sold pursuant to a 10b5-1 plan.

F2 · balance_after: Includes restricted stock awards totaling 25,830 shares.

SEC source: 0001425450-23-000010 · wf-form4_167336962174008.xml · nonDerivative · entry 1

Odle Gregory A · CIK 0001719088 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 74,896

F1 · shares: Shares sold pursuant to a 10b5-1 plan.

F2 · balance_after: Includes restricted stock awards totaling 25,830 shares.

SEC source: 0001425450-23-000008 · wf-form5_167336951625566.xml · nonDerivative · entry 1

Bailey David R · CIK 0001719296 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 104,505

F1 · shares: Shares of OrthoPediatrics Corp common stock were given as a bone fide gift.

F2 · balance_after: Includes restricted stock awards totaling 31,259 shares.

SEC source: 0001425450-23-000006 · wf-form5_167336940764188.xml · nonDerivative · entry 2

Throdahl Mark C · CIK 0001439415 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 132,539

F1 · shares: Shares of OrthoPediatrics Corp common stock were given as a bone fide gift.

F2 · balance_after: Includes restricted stock awards totaling 25,689 shares.

SEC source: 0001425450-23-000006 · wf-form5_167336940764188.xml · nonDerivative · entry 1

Throdahl Mark C · CIK 0001439415 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 132,839

F1 · shares: Shares of OrthoPediatrics Corp common stock were given as a bone fide gift.

SEC source: 0000899243-22-031656 · doc4.xml · derivative · entry 7

Pritzker Jennifer N. · CIK 0001850165 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 0

Underlying: Common Stock · 1,525,000 shares

Expires not disclosed

F6 · derivative.exercise_date: Squadron beneficially owns shares of the Issuer's common stock with a market value in excess of the notification threshold of the Hart-Scott-Rodino Antitrust Improvements Act of 1976, as amended (the "HSR Act"). The warrants could not be exercised until the expiration of all applicable HSR Act waiting periods or the exercise otherwise becomes exempt from the notification requirements thereunder. On September 19, 2022, the waiting period under the HSR Act expired. Once the warrants became exercisable, Squadron Capital LLC was obligated to exercise them within five (5) business days.

F6 · derivative.expiration_date: Squadron beneficially owns shares of the Issuer's common stock with a market value in excess of the notification threshold of the Hart-Scott-Rodino Antitrust Improvements Act of 1976, as amended (the "HSR Act"). The warrants could not be exercised until the expiration of all applicable HSR Act waiting periods or the exercise otherwise becomes exempt from the notification requirements thereunder. On September 19, 2022, the waiting period under the HSR Act expired. Once the warrants became exercisable, Squadron Capital LLC was obligated to exercise them within five (5) business days.

F1 · ownership.nature: These securities are held directly by Squadron Capital LLC ("Squadron"), a manager-managed limited liability company. As one of two members of the Managing Committee of Squadron, the reporting person may be deemed to be the beneficial owner of these securities. The reporting person expressly disclaims beneficial ownership of these securities, except to the extent of her pecuniary interest therein.

SEC source: 0000899243-22-031656 · doc4.xml · nonDerivative · entry 1

Pritzker Jennifer N. · CIK 0001850165 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 6,901,764

F1 · ownership.nature: These securities are held directly by Squadron Capital LLC ("Squadron"), a manager-managed limited liability company. As one of two members of the Managing Committee of Squadron, the reporting person may be deemed to be the beneficial owner of these securities. The reporting person expressly disclaims beneficial ownership of these securities, except to the extent of her pecuniary interest therein.

SEC source: 0000899243-22-031660 · doc4.xml · derivative · entry 2

Squadron Capital LLC · CIK 0001719228 · 10% owner

Squadron Capital Holdings LLC · CIK 0001731171 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,525,000 shares

Expires not disclosed

F1 · derivative.exercise_date: Squadron Capital LLC beneficially owns shares of the Issuer's common stock with a market value in excess of the notification threshold of the Hart-Scott-Rodino Antitrust Improvements Act of 1976, as amended (the "HSR Act"). The warrants could not be exercised until the expiration of all applicable HSR Act waiting periods or the exercise otherwise becomes exempt from the notification requirements thereunder. On September 19, 2022, the waiting period under the HSR Act expired. Once the warrants became exercisable, Squadron Capital LLC was obligated to exercise them within five (5) business days.

F1 · derivative.expiration_date: Squadron Capital LLC beneficially owns shares of the Issuer's common stock with a market value in excess of the notification threshold of the Hart-Scott-Rodino Antitrust Improvements Act of 1976, as amended (the "HSR Act"). The warrants could not be exercised until the expiration of all applicable HSR Act waiting periods or the exercise otherwise becomes exempt from the notification requirements thereunder. On September 19, 2022, the waiting period under the HSR Act expired. Once the warrants became exercisable, Squadron Capital LLC was obligated to exercise them within five (5) business days.

F2 · ownership.direct: These securities are held directly by Squadron Capital LLC. Squadron Capital Holdings LLC is the controlling member of Squadron Capital LLC.

SEC source: 0000899243-22-031660 · doc4.xml · nonDerivative · entry 1

Squadron Capital LLC · CIK 0001719228 · 10% owner

Squadron Capital Holdings LLC · CIK 0001731171 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,901,764

F2 · ownership.direct: These securities are held directly by Squadron Capital LLC. Squadron Capital Holdings LLC is the controlling member of Squadron Capital LLC.

SEC source: 0000899243-22-031659 · doc4.xml · derivative · entry 3

Pelizzon David R · CIK 0001719217 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 0

Underlying: Common Stock · 1,525,000 shares

Expires not disclosed

F2 · derivative.exercise_date: Squadron beneficially owns shares of the Issuer's common stock with a market value in excess of the notification threshold of the Hart-Scott-Rodino Antitrust Improvements Act of 1976, as amended (the "HSR Act"). The warrants could not be exercised until the expiration of all applicable HSR Act waiting periods or the exercise otherwise becomes exempt from the notification requirements thereunder. On September 19, 2022, the waiting period under the HSR Act expired. Once the warrants became exercisable, Squadron Capital LLC was obligated to exercise them within five (5) business days.

F2 · derivative.expiration_date: Squadron beneficially owns shares of the Issuer's common stock with a market value in excess of the notification threshold of the Hart-Scott-Rodino Antitrust Improvements Act of 1976, as amended (the "HSR Act"). The warrants could not be exercised until the expiration of all applicable HSR Act waiting periods or the exercise otherwise becomes exempt from the notification requirements thereunder. On September 19, 2022, the waiting period under the HSR Act expired. Once the warrants became exercisable, Squadron Capital LLC was obligated to exercise them within five (5) business days.

F1 · ownership.nature: These securities are held directly by Squadron Capital LLC ("Squadron"). As the President and a member of the Managing Committee of Squadron, the reporting person may be deemed to be the beneficial owner of these securities. The reporting person expressly disclaims beneficial ownership of these securities, except to the extent of his pecuniary interest therein. The inclusion of these securities in this report shall not be deemed to be an admission of beneficial ownership for purposes of Section 16 or for any other purpose.

SEC source: 0000899243-22-031659 · doc4.xml · nonDerivative · entry 1

Pelizzon David R · CIK 0001719217 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 6,901,764

F1 · ownership.nature: These securities are held directly by Squadron Capital LLC ("Squadron"). As the President and a member of the Managing Committee of Squadron, the reporting person may be deemed to be the beneficial owner of these securities. The reporting person expressly disclaims beneficial ownership of these securities, except to the extent of his pecuniary interest therein. The inclusion of these securities in this report shall not be deemed to be an admission of beneficial ownership for purposes of Section 16 or for any other purpose.

SEC source: 0000899243-23-003913 · doc5.xml · nonDerivative · entry 1

Pelizzon David R · CIK 0001719217 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,816

SEC source: 0001425450-22-000096 · wf-form4_166068083920447.xml · derivative · entry 3

Schlotterback Terry D · CIK 0001719251 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 670 shares

Expires 2022-08-23

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.

F3 · derivative.exercise_date: The stock option is fully vested and immediately exercisable.

SEC source: 0001425450-22-000096 · wf-form4_166068083920447.xml · nonDerivative · entry 2

Schlotterback Terry D · CIK 0001719251 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,956

F2 · shares: Shares sold to satisfy exercise price obligation.

F1 · balance_after: Includes restricted stock awards totaling 3,092 shares.

SEC source: 0001425450-22-000096 · wf-form4_166068083920447.xml · nonDerivative · entry 1

Schlotterback Terry D · CIK 0001719251 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,329

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 · balance_after: Includes restricted stock awards totaling 3,092 shares.

SEC source: 0000899243-22-028652 · doc4.xml · derivative · entry 1

Pritzker Jennifer N. · CIK 0001850165 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 1,525,000

Underlying: Common Stock · 1,525,000 shares

Expires not disclosed

F1 · derivative.exercise_date: Squadron Capital LLC ("Squadron") beneficially owns shares of the Issuer's common stock with a market value in excess of the notification threshold of the Hart-Scott-Rodino Antitrust Improvements Act of 1976, as amended (the "HSR Act"). The warrants may not be exercised until the expiration of all applicable HSR Act waiting periods or the exercise otherwise becomes exempt from the notification requirements thereunder. Once the warrants become exercisable, Squadron is obligated to exercise them within five (5) business days.

F1 · derivative.expiration_date: Squadron Capital LLC ("Squadron") beneficially owns shares of the Issuer's common stock with a market value in excess of the notification threshold of the Hart-Scott-Rodino Antitrust Improvements Act of 1976, as amended (the "HSR Act"). The warrants may not be exercised until the expiration of all applicable HSR Act waiting periods or the exercise otherwise becomes exempt from the notification requirements thereunder. Once the warrants become exercisable, Squadron is obligated to exercise them within five (5) business days.

F2 · ownership.nature: These securities are held directly by Squadron, a manager-managed limited liability company. As one of two members of the Managing Committee of Squadron, the reporting person may be deemed to be the beneficial owner of these securities. The reporting person expressly disclaims beneficial ownership of these securities, except to the extent of her pecuniary interest therein.

SEC source: 0000899243-22-028658 · doc4.xml · derivative · entry 1

Squadron Capital LLC · CIK 0001719228 · 10% owner

Squadron Capital Holdings LLC · CIK 0001731171 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,525,000

Underlying: Common Stock · 1,525,000 shares

Expires not disclosed

F1 · derivative.exercise_date: Squadron Capital LLC beneficially owns shares of the Issuer's common stock with a market value in excess of the notification threshold of the Hart-Scott-Rodino Antitrust Improvements Act of 1976, as amended (the "HSR Act"). The warrants may not be exercised until the expiration of all applicable HSR Act waiting periods or the exercise otherwise becomes exempt from the notification requirements thereunder. Once the warrants become exercisable, Squadron Capital LLC is obligated to exercise them within five (5) business days.

F1 · derivative.expiration_date: Squadron Capital LLC beneficially owns shares of the Issuer's common stock with a market value in excess of the notification threshold of the Hart-Scott-Rodino Antitrust Improvements Act of 1976, as amended (the "HSR Act"). The warrants may not be exercised until the expiration of all applicable HSR Act waiting periods or the exercise otherwise becomes exempt from the notification requirements thereunder. Once the warrants become exercisable, Squadron Capital LLC is obligated to exercise them within five (5) business days.

F2 · ownership.direct: These securities are held directly by Squadron Capital LLC. Squadron Capital Holdings LLC is the controlling member of Squadron Capital LLC.

SEC source: 0000899243-22-028657 · doc4.xml · derivative · entry 1

Pelizzon David R · CIK 0001719217 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 1,525,000

Underlying: Common Stock · 1,525,000 shares

Expires not disclosed

F1 · derivative.exercise_date: Squadron Capital LLC ("Squadron") beneficially owns shares of the Issuer's common stock with a market value in excess of the notification threshold of the Hart-Scott-Rodino Antitrust Improvements Act of 1976, as amended (the "HSR Act"). The warrants may not be exercised until the expiration of all applicable HSR Act waiting periods or the exercise otherwise becomes exempt from the notification requirements thereunder. Once the warrants become exercisable, Squadron is obligated to exercise them within five (5) business days.

F1 · derivative.expiration_date: Squadron Capital LLC ("Squadron") beneficially owns shares of the Issuer's common stock with a market value in excess of the notification threshold of the Hart-Scott-Rodino Antitrust Improvements Act of 1976, as amended (the "HSR Act"). The warrants may not be exercised until the expiration of all applicable HSR Act waiting periods or the exercise otherwise becomes exempt from the notification requirements thereunder. Once the warrants become exercisable, Squadron is obligated to exercise them within five (5) business days.

F2 · ownership.nature: These securities are held directly by Squadron. As the President and a member of the Managing Committee of Squadron, the reporting person may be deemed to be the beneficial owner of these securities. The reporting person expressly disclaims beneficial ownership of these securities, except to the extent of his pecuniary interest therein. The inclusion of these securities in this report shall not be deemed to be an admission of beneficial ownership for purposes of Section 16 or for any other purpose.

SEC source: 0001425450-22-000076 · wf-form4_165540010906875.xml · nonDerivative · entry 1

Ruf Harold · CIK 0001719213 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 13,824

F1 · balance_after: Shares are owned by the Donna Ruf DAP Trust dated July 30, 2020, of which the reporting person is trustee and in which he is deemed to have a pecuniary interest under Section 16 regulations. The reporting person disclaims beneficial ownership of the securities held by the trust except to the extent of his pecuniary interest therein

SEC source: 0001425450-24-000056 · wk-form4_1718049921.xml · nonDerivative · entry 2

Ruf Harold · CIK 0001719213 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 16,916

F1 · shares: Reflects gifting not previously reported currently held by The Last Chance Legacy Trust, dated April 3, 2023.

SEC source: 0001425450-24-000056 · wk-form4_1718049921.xml · nonDerivative · entry 1

Ruf Harold · CIK 0001719213 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,731

F1 · shares: Reflects gifting not previously reported currently held by The Last Chance Legacy Trust, dated April 3, 2023.

SEC source: 0001425450-22-000072 · wf-form4_165425874490052.xml · nonDerivative · entry 1

Hughes Bryan W · CIK 0001719269 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,095

F1 · balance_after: Includes restricted stock awards totaling 3,092 shares.

SEC source: 0001425450-22-000064 · wf-form4_165425821782931.xml · nonDerivative · entry 1

Schlotterback Terry D · CIK 0001719251 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,659

F1 · balance_after: Includes restricted stock awards totaling 3,092 shares.

SEC source: 0001425450-22-000066 · wf-form4_165425839790261.xml · nonDerivative · entry 1

Unger Kevin · CIK 0001478366 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,291

F1 · balance_after: Includes restricted stock awards totaling 3,092 shares.

SEC source: 0001425450-22-000074 · wf-form4_165426540945364.xml · nonDerivative · entry 3

Ruf Harold · CIK 0001719213 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 12,589

F2 · shares: On June 1, 2022, the reporting person had 1,400 of restricted shares which vested. Upon vesting these shares were distributed to the Donna Ruff DAP Trust dated July 30, 2020, of which the reporting person is trustee and in which he is deemed to have a pecuniary interest under Section 16 regulations. The reporting person disclaims beneficial ownership of the securities held by the trust except to the extent of his pecuniary interest therein.

SEC source: 0001425450-22-000074 · wf-form4_165426540945364.xml · nonDerivative · entry 2

Ruf Harold · CIK 0001719213 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,092

F2 · shares: On June 1, 2022, the reporting person had 1,400 of restricted shares which vested. Upon vesting these shares were distributed to the Donna Ruff DAP Trust dated July 30, 2020, of which the reporting person is trustee and in which he is deemed to have a pecuniary interest under Section 16 regulations. The reporting person disclaims beneficial ownership of the securities held by the trust except to the extent of his pecuniary interest therein.

SEC source: 0001425450-22-000074 · wf-form4_165426540945364.xml · nonDerivative · entry 1

Ruf Harold · CIK 0001719213 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,492

F1 · balance_after: Includes restricted stock awards totaling 3,092 shares.