PFX

SEC source: 0001209191-19-059118 · doc4.xml · nonDerivative · entry 3

Fortress Investment Group LLC · CIK 0001380393 · 10% owner

DB Med Investor I LLC · CIK 0001792693 · 10% owner

Drawbridge Special Opportunities Fund LP · CIK 0001200438 · 10% owner

Drawbridge Special Opportunities GP LLC · CIK 0001380935 · 10% owner

DRAWBRIDGE SPECIAL OPPORTUNITIES ADVISORS LLC · CIK 0001252267 · 10% owner

Fortress Principal Investment Holdings IV LLC · CIK 0001381035 · 10% owner

FIG LLC · CIK 0001245521 · 10% owner

Fortress Operating Entity I LP · CIK 0001387344 · 10% owner

FIG Corp. · CIK 0001387345 · 10% owner

DRAWBRIDGE SPECIAL OPPORTUNITES FUND LTD · CIK 0001205824 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 7,515,753

F5 · price: The price in Column 4 is a weighted average price. The actual sale prices ranged from $2.215 to $2.255 per share. The reporting person will provide to the Issuer, any security holder of the Issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.

F2 · ownership.nature: Each reporting person disclaims beneficial ownership of all reported shares except to the extent of its pecuniary interest therein and the inclusion of the shares in this report shall not be deemed to be an admission of beneficial ownership of the reported shares for the purposes of Section 16 or otherwise. DB Med Investor I LLC, a Delaware limited liability company ("DB Med"), directly owns shares of common stock of the Issuer. Drawbridge Special Opportunities Fund LP, a Delaware limited partnership ("DBSO"), and Drawbridge Special Opportunities Fund LTD, a Cayman Islands exempted company ("DBSO Ltd."), are the members of DB Med. Drawbridge Special Opportunities GP LLC, a Delaware limited liability company ("DBSO GP"), is the general partner of DBSO and DBSO Ltd. Fortress Principal Investment Holdings IV LLC, a Delaware limited liability company ("FPI IV"), is the managing member of DBSO GP. [Footnote continues below]

F3 · ownership.nature: Drawbridge Special Opportunities Advisors LLC, a Delaware limited liability company ("DBSO Advisors"), is the investment manager of DBSO and DBSO Ltd. FIG LLC, a Delaware limited liability company, is the holder of all of the issued and outstanding interests of DBSO Advisors. Fortress Operating Entity I LP, a Delaware limited partnership ("FOE I"), is the holder of all of the issued and outstanding interests of FPI IV and the Class A member of FIG LLC. FIG Corp., a Delaware corporation, is the general partner of FOE I. Fortress Investment Group LLC, a Delaware limited liability company ("Fortress"), is the holder of all of the issued and outstanding shares of FIG Corp.

SEC source: 0001209191-19-059118 · doc4.xml · nonDerivative · entry 2

Fortress Investment Group LLC · CIK 0001380393 · 10% owner

DB Med Investor I LLC · CIK 0001792693 · 10% owner

Drawbridge Special Opportunities Fund LP · CIK 0001200438 · 10% owner

Drawbridge Special Opportunities GP LLC · CIK 0001380935 · 10% owner

DRAWBRIDGE SPECIAL OPPORTUNITIES ADVISORS LLC · CIK 0001252267 · 10% owner

Fortress Principal Investment Holdings IV LLC · CIK 0001381035 · 10% owner

FIG LLC · CIK 0001245521 · 10% owner

Fortress Operating Entity I LP · CIK 0001387344 · 10% owner

FIG Corp. · CIK 0001387345 · 10% owner

DRAWBRIDGE SPECIAL OPPORTUNITES FUND LTD · CIK 0001205824 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 7,518,053

F4 · price: The price in Column 4 is a weighted average price. The actual sale prices ranged from $2.175 to $2.210 per share. The reporting person will provide to the Issuer, any security holder of the Issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.

F2 · ownership.nature: Each reporting person disclaims beneficial ownership of all reported shares except to the extent of its pecuniary interest therein and the inclusion of the shares in this report shall not be deemed to be an admission of beneficial ownership of the reported shares for the purposes of Section 16 or otherwise. DB Med Investor I LLC, a Delaware limited liability company ("DB Med"), directly owns shares of common stock of the Issuer. Drawbridge Special Opportunities Fund LP, a Delaware limited partnership ("DBSO"), and Drawbridge Special Opportunities Fund LTD, a Cayman Islands exempted company ("DBSO Ltd."), are the members of DB Med. Drawbridge Special Opportunities GP LLC, a Delaware limited liability company ("DBSO GP"), is the general partner of DBSO and DBSO Ltd. Fortress Principal Investment Holdings IV LLC, a Delaware limited liability company ("FPI IV"), is the managing member of DBSO GP. [Footnote continues below]

F3 · ownership.nature: Drawbridge Special Opportunities Advisors LLC, a Delaware limited liability company ("DBSO Advisors"), is the investment manager of DBSO and DBSO Ltd. FIG LLC, a Delaware limited liability company, is the holder of all of the issued and outstanding interests of DBSO Advisors. Fortress Operating Entity I LP, a Delaware limited partnership ("FOE I"), is the holder of all of the issued and outstanding interests of FPI IV and the Class A member of FIG LLC. FIG Corp., a Delaware corporation, is the general partner of FOE I. Fortress Investment Group LLC, a Delaware limited liability company ("Fortress"), is the holder of all of the issued and outstanding shares of FIG Corp.

SEC source: 0001209191-19-059118 · doc4.xml · nonDerivative · entry 1

Fortress Investment Group LLC · CIK 0001380393 · 10% owner

DB Med Investor I LLC · CIK 0001792693 · 10% owner

Drawbridge Special Opportunities Fund LP · CIK 0001200438 · 10% owner

Drawbridge Special Opportunities GP LLC · CIK 0001380935 · 10% owner

DRAWBRIDGE SPECIAL OPPORTUNITIES ADVISORS LLC · CIK 0001252267 · 10% owner

Fortress Principal Investment Holdings IV LLC · CIK 0001381035 · 10% owner

FIG LLC · CIK 0001245521 · 10% owner

Fortress Operating Entity I LP · CIK 0001387344 · 10% owner

FIG Corp. · CIK 0001387345 · 10% owner

DRAWBRIDGE SPECIAL OPPORTUNITES FUND LTD · CIK 0001205824 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 7,522,453

F1 · price: The price in Column 4 is a weighted average price. The actual sale prices ranged from $2.145 to $2.180 per share. The reporting person will provide to the Issuer, any security holder of the Issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.

F2 · ownership.nature: Each reporting person disclaims beneficial ownership of all reported shares except to the extent of its pecuniary interest therein and the inclusion of the shares in this report shall not be deemed to be an admission of beneficial ownership of the reported shares for the purposes of Section 16 or otherwise. DB Med Investor I LLC, a Delaware limited liability company ("DB Med"), directly owns shares of common stock of the Issuer. Drawbridge Special Opportunities Fund LP, a Delaware limited partnership ("DBSO"), and Drawbridge Special Opportunities Fund LTD, a Cayman Islands exempted company ("DBSO Ltd."), are the members of DB Med. Drawbridge Special Opportunities GP LLC, a Delaware limited liability company ("DBSO GP"), is the general partner of DBSO and DBSO Ltd. Fortress Principal Investment Holdings IV LLC, a Delaware limited liability company ("FPI IV"), is the managing member of DBSO GP. [Footnote continues below]

F3 · ownership.nature: Drawbridge Special Opportunities Advisors LLC, a Delaware limited liability company ("DBSO Advisors"), is the investment manager of DBSO and DBSO Ltd. FIG LLC, a Delaware limited liability company, is the holder of all of the issued and outstanding interests of DBSO Advisors. Fortress Operating Entity I LP, a Delaware limited partnership ("FOE I"), is the holder of all of the issued and outstanding interests of FPI IV and the Class A member of FIG LLC. FIG Corp., a Delaware corporation, is the general partner of FOE I. Fortress Investment Group LLC, a Delaware limited liability company ("Fortress"), is the holder of all of the issued and outstanding shares of FIG Corp.

SEC source: 0001209191-19-058368 · doc4.xml · nonDerivative · entry 2

Fortress Investment Group LLC · CIK 0001380393 · 10% owner

DB Med Investor I LLC · CIK 0001792693 · 10% owner

Drawbridge Special Opportunities Fund LP · CIK 0001200438 · 10% owner

Drawbridge Special Opportunities GP LLC · CIK 0001380935 · 10% owner

DRAWBRIDGE SPECIAL OPPORTUNITIES ADVISORS LLC · CIK 0001252267 · 10% owner

Fortress Principal Investment Holdings IV LLC · CIK 0001381035 · 10% owner

FIG LLC · CIK 0001245521 · 10% owner

Fortress Operating Entity I LP · CIK 0001387344 · 10% owner

FIG Corp. · CIK 0001387345 · 10% owner

DRAWBRIDGE SPECIAL OPPORTUNITES FUND LTD · CIK 0001205824 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 7,622,453

F4 · price: The price in Column 4 is a weighted average price. The actual sale prices ranged from $2.120 to $2.140 per share. The reporting person will provide to the Issuer, any security holder of the Issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.

F2 · ownership.nature: Each reporting person disclaims beneficial ownership of all reported shares except to the extent of its pecuniary interest therein and the inclusion of the shares in this report shall not be deemed to be an admission of beneficial ownership of the reported shares for the purposes of Section 16 or otherwise. DB Med Investor I LLC, a Delaware limited liability company ("DB Med"), directly owns shares of common stock of the Issuer. Drawbridge Special Opportunities Fund LP, a Delaware limited partnership ("DBSO"), and Drawbridge Special Opportunities Fund LTD, a Cayman Islands exempted company ("DBSO Ltd."), are the members of DB Med. Drawbridge Special Opportunities GP LLC, a Delaware limited liability company ("DBSO GP"), is the general partner of DBSO and DBSO Ltd. Fortress Principal Investment Holdings IV LLC, a Delaware limited liability company ("FPI IV"), is the managing member of DBSO GP. [Footnote continues below]

F3 · ownership.nature: Drawbridge Special Opportunities Advisors LLC, a Delaware limited liability company ("DBSO Advisors"), is the investment manager of DBSO and DBSO Ltd. FIG LLC, a Delaware limited liability company, is the holder of all of the issued and outstanding interests of DBSO Advisors. Fortress Operating Entity I LP, a Delaware limited partnership ("FOE I"), is the holder of all of the issued and outstanding interests of FPI IV and the Class A member of FIG LLC. FIG Corp., a Delaware corporation, is the general partner of FOE I. Fortress Investment Group LLC, a Delaware limited liability company ("Fortress"), is the holder of all of the issued and outstanding shares of FIG Corp.

SEC source: 0001209191-19-058368 · doc4.xml · nonDerivative · entry 1

Fortress Investment Group LLC · CIK 0001380393 · 10% owner

DB Med Investor I LLC · CIK 0001792693 · 10% owner

Drawbridge Special Opportunities Fund LP · CIK 0001200438 · 10% owner

Drawbridge Special Opportunities GP LLC · CIK 0001380935 · 10% owner

DRAWBRIDGE SPECIAL OPPORTUNITIES ADVISORS LLC · CIK 0001252267 · 10% owner

Fortress Principal Investment Holdings IV LLC · CIK 0001381035 · 10% owner

FIG LLC · CIK 0001245521 · 10% owner

Fortress Operating Entity I LP · CIK 0001387344 · 10% owner

FIG Corp. · CIK 0001387345 · 10% owner

DRAWBRIDGE SPECIAL OPPORTUNITES FUND LTD · CIK 0001205824 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 7,637,552

F1 · price: The price in Column 4 is a weighted average price. The actual sale prices ranged from $2.070 to $2.115 per share. The reporting person will provide to the Issuer, any security holder of the Issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.

F2 · ownership.nature: Each reporting person disclaims beneficial ownership of all reported shares except to the extent of its pecuniary interest therein and the inclusion of the shares in this report shall not be deemed to be an admission of beneficial ownership of the reported shares for the purposes of Section 16 or otherwise. DB Med Investor I LLC, a Delaware limited liability company ("DB Med"), directly owns shares of common stock of the Issuer. Drawbridge Special Opportunities Fund LP, a Delaware limited partnership ("DBSO"), and Drawbridge Special Opportunities Fund LTD, a Cayman Islands exempted company ("DBSO Ltd."), are the members of DB Med. Drawbridge Special Opportunities GP LLC, a Delaware limited liability company ("DBSO GP"), is the general partner of DBSO and DBSO Ltd. Fortress Principal Investment Holdings IV LLC, a Delaware limited liability company ("FPI IV"), is the managing member of DBSO GP. [Footnote continues below]

F3 · ownership.nature: Drawbridge Special Opportunities Advisors LLC, a Delaware limited liability company ("DBSO Advisors"), is the investment manager of DBSO and DBSO Ltd. FIG LLC, a Delaware limited liability company, is the holder of all of the issued and outstanding interests of DBSO Advisors. Fortress Operating Entity I LP, a Delaware limited partnership ("FOE I"), is the holder of all of the issued and outstanding interests of FPI IV and the Class A member of FIG LLC. FIG Corp., a Delaware corporation, is the general partner of FOE I. Fortress Investment Group LLC, a Delaware limited liability company ("Fortress"), is the holder of all of the issued and outstanding shares of FIG Corp.

SEC source: 0001209191-19-057854 · doc4.xml · nonDerivative · entry 3

Fortress Investment Group LLC · CIK 0001380393 · 10% owner

DB Med Investor I LLC · CIK 0001792693 · 10% owner

Drawbridge Special Opportunities Fund LP · CIK 0001200438 · 10% owner

Drawbridge Special Opportunities GP LLC · CIK 0001380935 · 10% owner

DRAWBRIDGE SPECIAL OPPORTUNITIES ADVISORS LLC · CIK 0001252267 · 10% owner

Fortress Principal Investment Holdings IV LLC · CIK 0001381035 · 10% owner

FIG LLC · CIK 0001245521 · 10% owner

Fortress Operating Entity I LP · CIK 0001387344 · 10% owner

FIG Corp. · CIK 0001387345 · 10% owner

DRAWBRIDGE SPECIAL OPPORTUNITES FUND LTD · CIK 0001205824 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 7,713,488

F4 · price: The price in Column 4 is a weighted average price. The actual sale prices ranged from $2.05 to $2.06 per share. The reporting person will provide to the Issuer, any security holder of the Issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.

F1 · ownership.nature: Each reporting person disclaims beneficial ownership of all reported shares except to the extent of its pecuniary interest therein and the inclusion of the shares in this report shall not be deemed to be an admission of beneficial ownership of the reported shares for the purposes of Section 16 or otherwise. DB Med Investor I LLC, a Delaware limited liability company ("DB Med"), directly owns shares of common stock of the Issuer. Drawbridge Special Opportunities Fund LP, a Delaware limited partnership ("DBSO"), and Drawbridge Special Opportunities Fund LTD, a Cayman Islands exempted company ("DBSO Ltd."), are the members of DB Med. Drawbridge Special Opportunities GP LLC, a Delaware limited liability company ("DBSO GP"), is the general partner of DBSO and DBSO Ltd. Fortress Principal Investment Holdings IV LLC, a Delaware limited liability company ("FPI IV"), is the managing member of DBSO GP. [Footnote continues below]

F2 · ownership.nature: Drawbridge Special Opportunities Advisors LLC, a Delaware limited liability company ("DBSO Advisors"), is the investment manager of DBSO and DBSO Ltd. FIG LLC, a Delaware limited liability company, is the holder of all of the issued and outstanding interests of DBSO Advisors. Fortress Operating Entity I LP, a Delaware limited partnership ("FOE I"), is the holder of all of the issued and outstanding interests of FPI IV and the Class A member of FIG LLC. FIG Corp., a Delaware corporation, is the general partner of FOE I. Fortress Investment Group LLC, a Delaware limited liability company ("Fortress"), is the holder of all of the issued and outstanding shares of FIG Corp.

SEC source: 0001209191-19-057854 · doc4.xml · nonDerivative · entry 2

Fortress Investment Group LLC · CIK 0001380393 · 10% owner

DB Med Investor I LLC · CIK 0001792693 · 10% owner

Drawbridge Special Opportunities Fund LP · CIK 0001200438 · 10% owner

Drawbridge Special Opportunities GP LLC · CIK 0001380935 · 10% owner

DRAWBRIDGE SPECIAL OPPORTUNITIES ADVISORS LLC · CIK 0001252267 · 10% owner

Fortress Principal Investment Holdings IV LLC · CIK 0001381035 · 10% owner

FIG LLC · CIK 0001245521 · 10% owner

Fortress Operating Entity I LP · CIK 0001387344 · 10% owner

FIG Corp. · CIK 0001387345 · 10% owner

DRAWBRIDGE SPECIAL OPPORTUNITES FUND LTD · CIK 0001205824 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 7,718,588

F3 · price: The price in Column 4 is a weighted average price. The actual sale prices ranged from $2.015 to $2.020 per share. The reporting person will provide to the Issuer, any security holder of the Issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.

F1 · ownership.nature: Each reporting person disclaims beneficial ownership of all reported shares except to the extent of its pecuniary interest therein and the inclusion of the shares in this report shall not be deemed to be an admission of beneficial ownership of the reported shares for the purposes of Section 16 or otherwise. DB Med Investor I LLC, a Delaware limited liability company ("DB Med"), directly owns shares of common stock of the Issuer. Drawbridge Special Opportunities Fund LP, a Delaware limited partnership ("DBSO"), and Drawbridge Special Opportunities Fund LTD, a Cayman Islands exempted company ("DBSO Ltd."), are the members of DB Med. Drawbridge Special Opportunities GP LLC, a Delaware limited liability company ("DBSO GP"), is the general partner of DBSO and DBSO Ltd. Fortress Principal Investment Holdings IV LLC, a Delaware limited liability company ("FPI IV"), is the managing member of DBSO GP. [Footnote continues below]

F2 · ownership.nature: Drawbridge Special Opportunities Advisors LLC, a Delaware limited liability company ("DBSO Advisors"), is the investment manager of DBSO and DBSO Ltd. FIG LLC, a Delaware limited liability company, is the holder of all of the issued and outstanding interests of DBSO Advisors. Fortress Operating Entity I LP, a Delaware limited partnership ("FOE I"), is the holder of all of the issued and outstanding interests of FPI IV and the Class A member of FIG LLC. FIG Corp., a Delaware corporation, is the general partner of FOE I. Fortress Investment Group LLC, a Delaware limited liability company ("Fortress"), is the holder of all of the issued and outstanding shares of FIG Corp.

SEC source: 0001209191-19-057854 · doc4.xml · nonDerivative · entry 1

Fortress Investment Group LLC · CIK 0001380393 · 10% owner

DB Med Investor I LLC · CIK 0001792693 · 10% owner

Drawbridge Special Opportunities Fund LP · CIK 0001200438 · 10% owner

Drawbridge Special Opportunities GP LLC · CIK 0001380935 · 10% owner

DRAWBRIDGE SPECIAL OPPORTUNITIES ADVISORS LLC · CIK 0001252267 · 10% owner

Fortress Principal Investment Holdings IV LLC · CIK 0001381035 · 10% owner

FIG LLC · CIK 0001245521 · 10% owner

Fortress Operating Entity I LP · CIK 0001387344 · 10% owner

FIG Corp. · CIK 0001387345 · 10% owner

DRAWBRIDGE SPECIAL OPPORTUNITES FUND LTD · CIK 0001205824 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 7,732,372

F1 · ownership.nature: Each reporting person disclaims beneficial ownership of all reported shares except to the extent of its pecuniary interest therein and the inclusion of the shares in this report shall not be deemed to be an admission of beneficial ownership of the reported shares for the purposes of Section 16 or otherwise. DB Med Investor I LLC, a Delaware limited liability company ("DB Med"), directly owns shares of common stock of the Issuer. Drawbridge Special Opportunities Fund LP, a Delaware limited partnership ("DBSO"), and Drawbridge Special Opportunities Fund LTD, a Cayman Islands exempted company ("DBSO Ltd."), are the members of DB Med. Drawbridge Special Opportunities GP LLC, a Delaware limited liability company ("DBSO GP"), is the general partner of DBSO and DBSO Ltd. Fortress Principal Investment Holdings IV LLC, a Delaware limited liability company ("FPI IV"), is the managing member of DBSO GP. [Footnote continues below]

F2 · ownership.nature: Drawbridge Special Opportunities Advisors LLC, a Delaware limited liability company ("DBSO Advisors"), is the investment manager of DBSO and DBSO Ltd. FIG LLC, a Delaware limited liability company, is the holder of all of the issued and outstanding interests of DBSO Advisors. Fortress Operating Entity I LP, a Delaware limited partnership ("FOE I"), is the holder of all of the issued and outstanding interests of FPI IV and the Class A member of FIG LLC. FIG Corp., a Delaware corporation, is the general partner of FOE I. Fortress Investment Group LLC, a Delaware limited liability company ("Fortress"), is the holder of all of the issued and outstanding shares of FIG Corp.

SEC source: 0001209191-19-057185 · doc4.xml · nonDerivative · entry 2

Fortress Investment Group LLC · CIK 0001380393 · 10% owner

DB Med Investor I LLC · CIK 0001792693 · 10% owner

Drawbridge Special Opportunities Fund LP · CIK 0001200438 · 10% owner

Drawbridge Special Opportunities GP LLC · CIK 0001380935 · 10% owner

DRAWBRIDGE SPECIAL OPPORTUNITIES ADVISORS LLC · CIK 0001252267 · 10% owner

Fortress Principal Investment Holdings IV LLC · CIK 0001381035 · 10% owner

FIG LLC · CIK 0001245521 · 10% owner

Fortress Operating Entity I LP · CIK 0001387344 · 10% owner

FIG Corp. · CIK 0001387345 · 10% owner

DRAWBRIDGE SPECIAL OPPORTUNITES FUND LTD · CIK 0001205824 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 7,753,202

F2 · ownership.nature: Each reporting person disclaims beneficial ownership of all reported shares except to the extent of its pecuniary interest therein and the inclusion of the shares in this report shall not be deemed to be an admission of beneficial ownership of the reported shares for the purposes of Section 16 or otherwise. DB Med Investor I LLC, a Delaware limited liability company ("DB Med"), directly owns shares of common stock of the Issuer. Drawbridge Special Opportunities Fund LP, a Delaware limited partnership ("DBSO"), and Drawbridge Special Opportunities Fund LTD, a Cayman Islands exempted company ("DBSO Ltd."), are the members of DB Med. Drawbridge Special Opportunities GP LLC, a Delaware limited liability company ("DBSO GP"), is the general partner of DBSO and DBSO Ltd. Fortress Principal Investment Holdings IV LLC, a Delaware limited liability company ("FPI IV"), is the managing member of DBSO GP. [Footnote continues below]

F3 · ownership.nature: Drawbridge Special Opportunities Advisors LLC, a Delaware limited liability company ("DBSO Advisors"), is the investment manager of DBSO and DBSO Ltd. FIG LLC, a Delaware limited liability company, is the holder of all of the issued and outstanding interests of DBSO Advisors. Fortress Operating Entity I LP, a Delaware limited partnership ("FOE I"), is the holder of all of the issued and outstanding interests of FPI IV and the Class A member of FIG LLC. FIG Corp., a Delaware corporation, is the general partner of FOE I. Fortress Investment Group LLC, a Delaware limited liability company ("Fortress"), is the holder of all of the issued and outstanding shares of FIG Corp.

SEC source: 0001209191-19-057185 · doc4.xml · nonDerivative · entry 1

Fortress Investment Group LLC · CIK 0001380393 · 10% owner

DB Med Investor I LLC · CIK 0001792693 · 10% owner

Drawbridge Special Opportunities Fund LP · CIK 0001200438 · 10% owner

Drawbridge Special Opportunities GP LLC · CIK 0001380935 · 10% owner

DRAWBRIDGE SPECIAL OPPORTUNITIES ADVISORS LLC · CIK 0001252267 · 10% owner

Fortress Principal Investment Holdings IV LLC · CIK 0001381035 · 10% owner

FIG LLC · CIK 0001245521 · 10% owner

Fortress Operating Entity I LP · CIK 0001387344 · 10% owner

FIG Corp. · CIK 0001387345 · 10% owner

DRAWBRIDGE SPECIAL OPPORTUNITES FUND LTD · CIK 0001205824 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 7,754,602

F1 · price: The price in Column 4 is a weighted average price. The prices actually received ranged from $1.98 to $2.00 per share. The reporting person will provide to the Issuer, any security holder of the Issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.

F2 · ownership.nature: Each reporting person disclaims beneficial ownership of all reported shares except to the extent of its pecuniary interest therein and the inclusion of the shares in this report shall not be deemed to be an admission of beneficial ownership of the reported shares for the purposes of Section 16 or otherwise. DB Med Investor I LLC, a Delaware limited liability company ("DB Med"), directly owns shares of common stock of the Issuer. Drawbridge Special Opportunities Fund LP, a Delaware limited partnership ("DBSO"), and Drawbridge Special Opportunities Fund LTD, a Cayman Islands exempted company ("DBSO Ltd."), are the members of DB Med. Drawbridge Special Opportunities GP LLC, a Delaware limited liability company ("DBSO GP"), is the general partner of DBSO and DBSO Ltd. Fortress Principal Investment Holdings IV LLC, a Delaware limited liability company ("FPI IV"), is the managing member of DBSO GP. [Footnote continues below]

F3 · ownership.nature: Drawbridge Special Opportunities Advisors LLC, a Delaware limited liability company ("DBSO Advisors"), is the investment manager of DBSO and DBSO Ltd. FIG LLC, a Delaware limited liability company, is the holder of all of the issued and outstanding interests of DBSO Advisors. Fortress Operating Entity I LP, a Delaware limited partnership ("FOE I"), is the holder of all of the issued and outstanding interests of FPI IV and the Class A member of FIG LLC. FIG Corp., a Delaware corporation, is the general partner of FOE I. Fortress Investment Group LLC, a Delaware limited liability company ("Fortress"), is the holder of all of the issued and outstanding shares of FIG Corp.

SEC source: 0001209191-19-056431 · doc4.xml · nonDerivative · entry 1

Fortress Investment Group LLC · CIK 0001380393 · 10% owner

DB Med Investor I LLC · CIK 0001792693 · 10% owner

Drawbridge Special Opportunities Fund LP · CIK 0001200438 · 10% owner

Drawbridge Special Opportunities GP LLC · CIK 0001380935 · 10% owner

DRAWBRIDGE SPECIAL OPPORTUNITIES ADVISORS LLC · CIK 0001252267 · 10% owner

Fortress Principal Investment Holdings IV LLC · CIK 0001381035 · 10% owner

FIG LLC · CIK 0001245521 · 10% owner

Fortress Operating Entity I LP · CIK 0001387344 · 10% owner

FIG Corp. · CIK 0001387345 · 10% owner

DRAWBRIDGE SPECIAL OPPORTUNITES FUND LTD · CIK 0001205824 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 7,756,338

F1 · ownership.nature: Each reporting person disclaims beneficial ownership of all reported shares except to the extent of its pecuniary interest therein and the inclusion of the shares in this report shall not be deemed to be an admission of beneficial ownership of the reported shares for the purposes of Section 16 or otherwise. DB Med Investor I LLC, a Delaware limited liability company ("DB Med"), directly owns shares of common stock of the Issuer. Drawbridge Special Opportunities Fund LP, a Delaware limited partnership ("DBSO"), and Drawbridge Special Opportunities Fund LTD, a Cayman Islands exempted company ("DBSO Ltd."), are the members of DB Med. Drawbridge Special Opportunities GP LLC, a Delaware limited liability company ("DBSO GP"), is the general partner of DBSO and DBSO Ltd. Fortress Principal Investment Holdings IV LLC, a Delaware limited liability company ("FPI IV"), is the managing member of DBSO GP. [Footnote continues below]

F2 · ownership.nature: Drawbridge Special Opportunities Advisors LLC, a Delaware limited liability company ("DBSO Advisors"), is the investment manager of DBSO and DBSO Ltd. FIG LLC, a Delaware limited liability company, is the holder of all of the issued and outstanding interests of DBSO Advisors. Fortress Operating Entity I LP, a Delaware limited partnership ("FOE I"), is the holder of all of the issued and outstanding interests of FPI IV and the Class A member of FIG LLC. FIG Corp., a Delaware corporation, is the general partner of FOE I. Fortress Investment Group LLC, a Delaware limited liability company ("Fortress"), is the holder of all of the issued and outstanding shares of FIG Corp.

SEC source: 0001213900-19-021381 · ownership.xml · nonDerivative · entry 2

Taube Brook · CIK 0001510194 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Medley Seed Funding I LLC

Disclosed balance after: 0

F2 · price: The disposition of shares of common stock was in connection with the Master Investment Agreement as described in footnote (1) and there was no consideration paid in connection with the disposition reported herein.

F1 · ownership.nature: Prior to October 28, 2019, Medley Seed Funding I LLC, a limited liability company controlled by Medley LLC, held 7,756,938 shares of common stock acquired pursuant to a Master Investment Agreement, dated as of June 3, 2016 (the "Master Investment Agreement"), among Medley LLC, Medley Seed Funding I LLC, Medley Seed Funding II LLC, Medley Seed Funding III LLC, DB MED Investor I LLC and DB MED Investor II LLC. The Reporting Person, together with Seth Taube, controls Medley LLC and previously disclaimed beneficial ownership of the reported shares of common stock except to the extent of his pecuniary interest therein. On October 25, 2019 and October 28, 2019, in accordance with its obligations under the Master Investment Agreement, Medley Seed Funding I LLC distributed 1,778,588 and 5,978,350 shares of common stock, respectively, held by it to DB MED Investor I LLC. As a result of the foregoing, Medley Seed Funding I LLC does not beneficially own any shares of common Stock.

SEC source: 0001213900-19-021383 · ownership.xml · nonDerivative · entry 2

Taube Seth · CIK 0001510195 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Medley Seed Funding I LLC

Disclosed balance after: 0

F2 · price: The disposition of shares of common stock was in connection with the Master Investment Agreement as described in footnote (1) and there was no consideration paid in connection with the disposition reported herein.

F1 · ownership.nature: Prior to October 28, 2019, Medley Seed Funding I LLC, a limited liability company controlled by Medley LLC, held 7,756,938 shares of common stock acquired pursuant to a Master Investment Agreement, dated as of June 3, 2016 (the "Master Investment Agreement"), among Medley LLC, Medley Seed Funding I LLC, Medley Seed Funding II LLC, Medley Seed Funding III LLC, DB MED Investor I LLC and DB MED Investor II LLC. The Reporting Person, together with Brook Taube, controls Medley LLC and previously disclaimed beneficial ownership of the reported shares of common stock except to the extent of his pecuniary interest therein. On October 25, 2019 and October 28, 2019, in accordance with its obligations under the Master Investment Agreement, Medley Seed Funding I LLC distributed 1,778,588 and 5,978,350 shares of common stock, respectively, held by it to DB MED Investor I LLC. As a result of the foregoing, Medley Seed Funding I LLC does not beneficially own any shares of common Stock.

SEC source: 0001213900-19-021381 · ownership.xml · nonDerivative · entry 1

Taube Brook · CIK 0001510194 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Medley Seed Funding I LLC

Disclosed balance after: 5,978,350

F2 · price: The disposition of shares of common stock was in connection with the Master Investment Agreement as described in footnote (1) and there was no consideration paid in connection with the disposition reported herein.

F1 · ownership.nature: Prior to October 28, 2019, Medley Seed Funding I LLC, a limited liability company controlled by Medley LLC, held 7,756,938 shares of common stock acquired pursuant to a Master Investment Agreement, dated as of June 3, 2016 (the "Master Investment Agreement"), among Medley LLC, Medley Seed Funding I LLC, Medley Seed Funding II LLC, Medley Seed Funding III LLC, DB MED Investor I LLC and DB MED Investor II LLC. The Reporting Person, together with Seth Taube, controls Medley LLC and previously disclaimed beneficial ownership of the reported shares of common stock except to the extent of his pecuniary interest therein. On October 25, 2019 and October 28, 2019, in accordance with its obligations under the Master Investment Agreement, Medley Seed Funding I LLC distributed 1,778,588 and 5,978,350 shares of common stock, respectively, held by it to DB MED Investor I LLC. As a result of the foregoing, Medley Seed Funding I LLC does not beneficially own any shares of common Stock.

SEC source: 0001213900-19-021383 · ownership.xml · nonDerivative · entry 1

Taube Seth · CIK 0001510195 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Medley Seed Funding I LLC

Disclosed balance after: 5,978,350

F2 · price: The disposition of shares of common stock was in connection with the Master Investment Agreement as described in footnote (1) and there was no consideration paid in connection with the disposition reported herein.

F1 · ownership.nature: Prior to October 28, 2019, Medley Seed Funding I LLC, a limited liability company controlled by Medley LLC, held 7,756,938 shares of common stock acquired pursuant to a Master Investment Agreement, dated as of June 3, 2016 (the "Master Investment Agreement"), among Medley LLC, Medley Seed Funding I LLC, Medley Seed Funding II LLC, Medley Seed Funding III LLC, DB MED Investor I LLC and DB MED Investor II LLC. The Reporting Person, together with Brook Taube, controls Medley LLC and previously disclaimed beneficial ownership of the reported shares of common stock except to the extent of his pecuniary interest therein. On October 25, 2019 and October 28, 2019, in accordance with its obligations under the Master Investment Agreement, Medley Seed Funding I LLC distributed 1,778,588 and 5,978,350 shares of common stock, respectively, held by it to DB MED Investor I LLC. As a result of the foregoing, Medley Seed Funding I LLC does not beneficially own any shares of common Stock.

SEC source: 0001144204-17-036578 · v470724_4.xml · nonDerivative · entry 1

Taube Brook · CIK 0001510194 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Medley Seed Funding I LLC

Disclosed balance after: 7,756,938

F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.35 to $6.40, inclusive. The reporting person undertakes to provide to Medley Capital Corporation, any security holder of Medley Capital Corporation, 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 range set forth in this footnote.

F1 · ownership.nature: On 07/10/2017, Medley Seed Funding I LLC, a limited liability company controlled by Medley LLC, purchased 12,109 shares of Medley Capital Corporation common stock. The reporting person, together with Seth Taube, controls Medley LLC. The reporting person disclaims beneficial ownership of the reported shares of common stock except to the extent of his pecuniary interest therein.

SEC source: 0001144204-17-036575 · v470723_4.xml · nonDerivative · entry 1

Taube Seth · CIK 0001510195 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Medley Seed Funding I LLC

Disclosed balance after: 7,756,938

F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.35 to $6.40, inclusive. The reporting person undertakes to provide to Medley Capital Corporation, any security holder of Medley Capital Corporation, 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 range set forth in this footnote.

F1 · ownership.nature: On 07/10/2017, Medley Seed Funding I LLC, a limited liability company controlled by Medley LLC, purchased 12,109 shares of Medley Capital Corporation common stock. The reporting person, together with Brook Taube, controls Medley LLC. The reporting person disclaims beneficial ownership of the reported shares of common stock except to the extent of his pecuniary interest therein.

SEC source: 0001144204-17-036172 · v470538_form4.xml · nonDerivative · entry 3

Taube Brook · CIK 0001510194 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Medley Seed Funding I LLC

Disclosed balance after: 7,744,829

F3 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.27 to $6.40, inclusive. The reporting person undertakes to provide to Medley Capital Corporation, any security holder of Medley Capital Corporation, 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 range set forth in this footnote.

F1 · ownership.nature: On 07/05/2017, 07/06/2017 and 07/07/2017, Medley Seed Funding I LLC, a limited liability company controlled by Medley LLC, purchased 50,049, 105,932, and 92,116 shares of Medley Capital Corporation common stock, respectively. The reporting person, together with SethTaube, controls Medley LLC. The reporting person disclaims beneficial ownership of the reported shares of common stock except to the extent of his pecuniary interest therein.

SEC source: 0001144204-17-036171 · v470537_form4.xml · nonDerivative · entry 3

Taube Seth · CIK 0001510195 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Medley Seed Funding I LLC

Disclosed balance after: 7,744,829

F3 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.27 to $6.40, inclusive. The reporting person undertakes to provide to Medley Capital Corporation, any security holder of Medley Capital Corporation, 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 range set forth in this footnote.

F1 · ownership.nature: On 07/05/2017, 07/06/2017 and 07/07/2017, Medley Seed Funding I LLC, a limited liability company controlled by Medley LLC, purchased 50,049, 105,932, and 92,116 shares of Medley Capital Corporation common stock, respectively. The reporting person, together with Brook Taube, controls Medley LLC. The reporting person disclaims beneficial ownership of the reported shares of common stock except to the extent of his pecuniary interest therein.

SEC source: 0001144204-17-036172 · v470538_form4.xml · nonDerivative · entry 2

Taube Brook · CIK 0001510194 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Medley Seed Funding I LLC

Disclosed balance after: 7,652,713

F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.36 to $6.40, inclusive. The reporting person undertakes to provide to Medley Capital Corporation, any security holder of Medley Capital Corporation, 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 range set forth in this footnote.

F1 · ownership.nature: On 07/05/2017, 07/06/2017 and 07/07/2017, Medley Seed Funding I LLC, a limited liability company controlled by Medley LLC, purchased 50,049, 105,932, and 92,116 shares of Medley Capital Corporation common stock, respectively. The reporting person, together with SethTaube, controls Medley LLC. The reporting person disclaims beneficial ownership of the reported shares of common stock except to the extent of his pecuniary interest therein.

SEC source: 0001144204-17-036171 · v470537_form4.xml · nonDerivative · entry 2

Taube Seth · CIK 0001510195 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Medley Seed Funding I LLC

Disclosed balance after: 7,652,713

F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.36 to $6.40, inclusive. The reporting person undertakes to provide to Medley Capital Corporation, any security holder of Medley Capital Corporation, 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 range set forth in this footnote.

F1 · ownership.nature: On 07/05/2017, 07/06/2017 and 07/07/2017, Medley Seed Funding I LLC, a limited liability company controlled by Medley LLC, purchased 50,049, 105,932, and 92,116 shares of Medley Capital Corporation common stock, respectively. The reporting person, together with Brook Taube, controls Medley LLC. The reporting person disclaims beneficial ownership of the reported shares of common stock except to the extent of his pecuniary interest therein.

SEC source: 0001144204-17-036172 · v470538_form4.xml · nonDerivative · entry 1

Taube Brook · CIK 0001510194 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Medley Seed Funding I LLC

Disclosed balance after: 7,546,781

F1 · ownership.nature: On 07/05/2017, 07/06/2017 and 07/07/2017, Medley Seed Funding I LLC, a limited liability company controlled by Medley LLC, purchased 50,049, 105,932, and 92,116 shares of Medley Capital Corporation common stock, respectively. The reporting person, together with SethTaube, controls Medley LLC. The reporting person disclaims beneficial ownership of the reported shares of common stock except to the extent of his pecuniary interest therein.

SEC source: 0001144204-17-036171 · v470537_form4.xml · nonDerivative · entry 1

Taube Seth · CIK 0001510195 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Medley Seed Funding I LLC

Disclosed balance after: 7,546,781

F1 · ownership.nature: On 07/05/2017, 07/06/2017 and 07/07/2017, Medley Seed Funding I LLC, a limited liability company controlled by Medley LLC, purchased 50,049, 105,932, and 92,116 shares of Medley Capital Corporation common stock, respectively. The reporting person, together with Brook Taube, controls Medley LLC. The reporting person disclaims beneficial ownership of the reported shares of common stock except to the extent of his pecuniary interest therein.

SEC source: 0001144204-17-035487 · v470276_4.xml · nonDerivative · entry 3

Taube Seth · CIK 0001510195 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Medley Seed Funding I LLC

Disclosed balance after: 7,496,732

F1 · ownership.nature: On 06/29/2017, 06/30/2017 and 07/03/2017, Medley Seed Funding I LLC, a limited liability company controlled by Medley LLC, purchased 33,114, 3,039, and 14,999 shares of Medley Capital Corporation common stock, respectively. The reporting person, together with Brook Taube, controls Medley LLC. The reporting person disclaims beneficial ownership of the reported shares of common stock except to the extent of his pecuniary interest therein.

SEC source: 0001144204-17-035486 · v470275_4.xml · nonDerivative · entry 3

Taube Brook · CIK 0001510194 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Medley Seed Funding I LLC

Disclosed balance after: 7,496,732

F1 · ownership.nature: On 06/29/2017, 06/30/2017 and 07/03/2017, Medley Seed Funding I LLC, a limited liability company controlled by Medley LLC, purchased 33,114, 3,039, and 14,999 shares of Medley Capital Corporation common stock, respectively. The reporting person, together with SethTaube, controls Medley LLC. The reporting person disclaims beneficial ownership of the reported shares of common stock except to the extent of his pecuniary interest therein.

SEC source: 0001144204-17-035487 · v470276_4.xml · nonDerivative · entry 2

Taube Seth · CIK 0001510195 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Medley Seed Funding I LLC

Disclosed balance after: 7,481,733

F1 · ownership.nature: On 06/29/2017, 06/30/2017 and 07/03/2017, Medley Seed Funding I LLC, a limited liability company controlled by Medley LLC, purchased 33,114, 3,039, and 14,999 shares of Medley Capital Corporation common stock, respectively. The reporting person, together with Brook Taube, controls Medley LLC. The reporting person disclaims beneficial ownership of the reported shares of common stock except to the extent of his pecuniary interest therein.

SEC source: 0001144204-17-035486 · v470275_4.xml · nonDerivative · entry 2

Taube Brook · CIK 0001510194 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Medley Seed Funding I LLC

Disclosed balance after: 7,481,733

F1 · ownership.nature: On 06/29/2017, 06/30/2017 and 07/03/2017, Medley Seed Funding I LLC, a limited liability company controlled by Medley LLC, purchased 33,114, 3,039, and 14,999 shares of Medley Capital Corporation common stock, respectively. The reporting person, together with SethTaube, controls Medley LLC. The reporting person disclaims beneficial ownership of the reported shares of common stock except to the extent of his pecuniary interest therein.

SEC source: 0001144204-17-035487 · v470276_4.xml · nonDerivative · entry 1

Taube Seth · CIK 0001510195 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Medley Seed Funding I LLC

Disclosed balance after: 7,478,694

F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.39 to $6.40, inclusive. The reporting person undertakes to provide to Medley Capital Corporation, any security holder of Medley Capital Corporation, 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 range set forth in this footnote.

F1 · ownership.nature: On 06/29/2017, 06/30/2017 and 07/03/2017, Medley Seed Funding I LLC, a limited liability company controlled by Medley LLC, purchased 33,114, 3,039, and 14,999 shares of Medley Capital Corporation common stock, respectively. The reporting person, together with Brook Taube, controls Medley LLC. The reporting person disclaims beneficial ownership of the reported shares of common stock except to the extent of his pecuniary interest therein.

SEC source: 0001144204-17-035486 · v470275_4.xml · nonDerivative · entry 1

Taube Brook · CIK 0001510194 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Medley Seed Funding I LLC

Disclosed balance after: 7,478,694

F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.39 to $6.40, inclusive. The reporting person undertakes to provide to Medley Capital Corporation, any security holder of Medley Capital Corporation, 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 range set forth in this footnote.

F1 · ownership.nature: On 06/29/2017, 06/30/2017 and 07/03/2017, Medley Seed Funding I LLC, a limited liability company controlled by Medley LLC, purchased 33,114, 3,039, and 14,999 shares of Medley Capital Corporation common stock, respectively. The reporting person, together with SethTaube, controls Medley LLC. The reporting person disclaims beneficial ownership of the reported shares of common stock except to the extent of his pecuniary interest therein.

SEC source: 0001144204-17-034730 · v469979_4.xml · nonDerivative · entry 3

Taube Brook · CIK 0001510194 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Medley Seed Funding I LLC

Disclosed balance after: 7,445,580

F4 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.33 to $6.40, inclusive. The reporting person undertakes to provide to Medley Capital Corporation, any security holder of Medley Capital Corporation, 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 range set forth in this footnote.

F1 · ownership.nature: On 06/26/2017, 06/27/2017 and 06/28/2017, Medley Seed Funding I LLC, a limited liability company controlled by Medley LLC, purchased 38,287, 136,154, and 102,152 shares of Medley Capital Corporation common stock, respectively. The reporting person, together with SethTaube, controls Medley LLC. The reporting person disclaims beneficial ownership of the reported shares of common stock except to the extent of his pecuniary interest therein.

SEC source: 0001144204-17-034729 · v469978_4.xml · nonDerivative · entry 3

Taube Seth · CIK 0001510195 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Medley Seed Funding I LLC

Disclosed balance after: 7,445,580

F4 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.33 to $6.40 inclusive. The reporting person undertakes to provide to Medley Capital Corporation, any security holder of Medley Capital Corporation, 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 range set forth in this footnote.

F1 · ownership.nature: On 06/26/2017, 06/27/2017 and 06/28/2017, Medley Seed Funding I LLC, a limited liability company controlled by Medley LLC, purchased 38,287, 136,154, and 102,152 shares of Medley Capital Corporation common stock, respectively. The reporting person, together with Brook Taube, controls Medley LLC. The reporting person disclaims beneficial ownership of the reported shares of common stock except to the extent of his pecuniary interest therein.

SEC source: 0001144204-17-034730 · v469979_4.xml · nonDerivative · entry 2

Taube Brook · CIK 0001510194 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Medley Seed Funding I LLC

Disclosed balance after: 7,343,428

F3 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.30 to $6.40, inclusive. The reporting person undertakes to provide to Medley Capital Corporation, any security holder of Medley Capital Corporation, 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 range set forth in this footnote.

F1 · ownership.nature: On 06/26/2017, 06/27/2017 and 06/28/2017, Medley Seed Funding I LLC, a limited liability company controlled by Medley LLC, purchased 38,287, 136,154, and 102,152 shares of Medley Capital Corporation common stock, respectively. The reporting person, together with SethTaube, controls Medley LLC. The reporting person disclaims beneficial ownership of the reported shares of common stock except to the extent of his pecuniary interest therein.

SEC source: 0001144204-17-034729 · v469978_4.xml · nonDerivative · entry 2

Taube Seth · CIK 0001510195 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Medley Seed Funding I LLC

Disclosed balance after: 7,343,428

F3 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.30 to $6.40, inclusive. The reporting person undertakes to provide to Medley Capital Corporation, any security holder of Medley Capital Corporation, 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 range set forth in this footnote.

F1 · ownership.nature: On 06/26/2017, 06/27/2017 and 06/28/2017, Medley Seed Funding I LLC, a limited liability company controlled by Medley LLC, purchased 38,287, 136,154, and 102,152 shares of Medley Capital Corporation common stock, respectively. The reporting person, together with Brook Taube, controls Medley LLC. The reporting person disclaims beneficial ownership of the reported shares of common stock except to the extent of his pecuniary interest therein.

SEC source: 0001144204-17-034730 · v469979_4.xml · nonDerivative · entry 1

Taube Brook · CIK 0001510194 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Medley Seed Funding I LLC

Disclosed balance after: 7,207,274

F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.37 to $6.40, inclusive. The reporting person undertakes to provide to Medley Capital Corporation, any security holder of Medley Capital Corporation, 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 range set forth in this footnote.

F1 · ownership.nature: On 06/26/2017, 06/27/2017 and 06/28/2017, Medley Seed Funding I LLC, a limited liability company controlled by Medley LLC, purchased 38,287, 136,154, and 102,152 shares of Medley Capital Corporation common stock, respectively. The reporting person, together with SethTaube, controls Medley LLC. The reporting person disclaims beneficial ownership of the reported shares of common stock except to the extent of his pecuniary interest therein.

SEC source: 0001144204-17-034729 · v469978_4.xml · nonDerivative · entry 1

Taube Seth · CIK 0001510195 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Medley Seed Funding I LLC

Disclosed balance after: 7,207,274

F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.37 to $6.40, inclusive. The reporting person undertakes to provide to Medley Capital Corporation, any security holder of Medley Capital Corporation, 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 range set forth in this footnote.

F1 · ownership.nature: On 06/26/2017, 06/27/2017 and 06/28/2017, Medley Seed Funding I LLC, a limited liability company controlled by Medley LLC, purchased 38,287, 136,154, and 102,152 shares of Medley Capital Corporation common stock, respectively. The reporting person, together with Brook Taube, controls Medley LLC. The reporting person disclaims beneficial ownership of the reported shares of common stock except to the extent of his pecuniary interest therein.

SEC source: 0001144204-17-033900 · v469585_form4.xml · nonDerivative · entry 3

Taube Seth · CIK 0001510195 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Medley Seed Funding I LLC

Disclosed balance after: 7,168,987

F4 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.27 to $6.38 inclusive. The reporting person undertakes to provide to Medley Capital Corporation, any security holder of Medley Capital Corporation, 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 range set forth in this footnote.

F1 · ownership.nature: On 06/21/2017, 06/22/2017 and 06/23/2017, Medley Seed Funding I LLC, a limited liability company controlled by Medley LLC, purchased 153,711, 153,711, and 117,833 shares of Medley Capital Corporation common stock, respectively. The reporting person, together with Brook Taube, controls Medley LLC. The reporting person disclaims beneficial ownership of the reported shares of common stock except to the extent of his pecuniary interest therein.

SEC source: 0001144204-17-033899 · v469584_form4.xml · nonDerivative · entry 3

Taube Brook · CIK 0001510194 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Medley Seed Funding I LLC

Disclosed balance after: 7,168,987

F4 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.27 to $6.38, inclusive. The reporting person undertakes to provide to Medley Capital Corporation, any security holder of Medley Capital Corporation, 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 range set forth in this footnote.

F1 · ownership.nature: On 06/21/2017, 06/22/2017 and 06/23/2017, Medley Seed Funding I LLC, a limited liability company controlled by Medley LLC, purchased 153,711, 153,711 and 117,833 shares of Medley Capital Corporation common stock, respectively. The reporting person, together with SethTaube, controls Medley LLC. The reporting person disclaims beneficial ownership of the reported shares of common stock except to the extent of his pecuniary interest therein.

SEC source: 0001144204-17-033900 · v469585_form4.xml · nonDerivative · entry 2

Taube Seth · CIK 0001510195 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Medley Seed Funding I LLC

Disclosed balance after: 7,051,154

F3 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.23 to $6.28, inclusive. The reporting person undertakes to provide to Medley Capital Corporation, any security holder of Medley Capital Corporation, 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 range set forth in this footnote.

F1 · ownership.nature: On 06/21/2017, 06/22/2017 and 06/23/2017, Medley Seed Funding I LLC, a limited liability company controlled by Medley LLC, purchased 153,711, 153,711, and 117,833 shares of Medley Capital Corporation common stock, respectively. The reporting person, together with Brook Taube, controls Medley LLC. The reporting person disclaims beneficial ownership of the reported shares of common stock except to the extent of his pecuniary interest therein.

SEC source: 0001144204-17-033899 · v469584_form4.xml · nonDerivative · entry 2

Taube Brook · CIK 0001510194 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Medley Seed Funding I LLC

Disclosed balance after: 7,051,154

F3 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.23 to $6.28, inclusive. The reporting person undertakes to provide to Medley Capital Corporation, any security holder of Medley Capital Corporation, 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 range set forth in this footnote.

F1 · ownership.nature: On 06/21/2017, 06/22/2017 and 06/23/2017, Medley Seed Funding I LLC, a limited liability company controlled by Medley LLC, purchased 153,711, 153,711 and 117,833 shares of Medley Capital Corporation common stock, respectively. The reporting person, together with SethTaube, controls Medley LLC. The reporting person disclaims beneficial ownership of the reported shares of common stock except to the extent of his pecuniary interest therein.

SEC source: 0001144204-17-033900 · v469585_form4.xml · nonDerivative · entry 1

Taube Seth · CIK 0001510195 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Medley Seed Funding I LLC

Disclosed balance after: 6,897,443

F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.20 to $6.30, inclusive. The reporting person undertakes to provide to Medley Capital Corporation, any security holder of Medley Capital Corporation, 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 range set forth in this footnote.

F1 · ownership.nature: On 06/21/2017, 06/22/2017 and 06/23/2017, Medley Seed Funding I LLC, a limited liability company controlled by Medley LLC, purchased 153,711, 153,711, and 117,833 shares of Medley Capital Corporation common stock, respectively. The reporting person, together with Brook Taube, controls Medley LLC. The reporting person disclaims beneficial ownership of the reported shares of common stock except to the extent of his pecuniary interest therein.

SEC source: 0001144204-17-033899 · v469584_form4.xml · nonDerivative · entry 1

Taube Brook · CIK 0001510194 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Medley Seed Funding I LLC

Disclosed balance after: 6,897,443

F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.20 to $6.30, inclusive. The reporting person undertakes to provide to Medley Capital Corporation, any security holder of Medley Capital Corporation, 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 range set forth in this footnote.

F1 · ownership.nature: On 06/21/2017, 06/22/2017 and 06/23/2017, Medley Seed Funding I LLC, a limited liability company controlled by Medley LLC, purchased 153,711, 153,711 and 117,833 shares of Medley Capital Corporation common stock, respectively. The reporting person, together with SethTaube, controls Medley LLC. The reporting person disclaims beneficial ownership of the reported shares of common stock except to the extent of his pecuniary interest therein.

SEC source: 0001144204-17-033342 · v469373_4.xml · nonDerivative · entry 3

Taube Brook · CIK 0001510194 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Medley Seed Funding I LLC

Disclosed balance after: 6,743,732

F4 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.25 to $6.40, inclusive. The reporting person undertakes to provide to Medley Capital Corporation, any security holder of Medley Capital Corporation, 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 range set forth in this footnote.

F1 · ownership.nature: On 06/16/2017, 06/19/2017 and 06/20/2017, Medley Seed Funding I LLC, a limited liability company controlled by Medley LLC, purchased 162,212, 95,713 and 153,711 shares of Medley Capital Corporation common stock, respectively. The reporting person, together with SethTaube, controls Medley LLC. The reporting person disclaims beneficial ownership of the reported shares of common stock except to the extent of his pecuniary interest therein.

SEC source: 0001144204-17-033341 · v469370_4.xml · nonDerivative · entry 3

Taube Seth · CIK 0001510195 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Medley Seed Funding I LLC

Disclosed balance after: 6,743,732

F4 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.25 to $6.40 inclusive. The reporting person undertakes to provide to Medley Capital Corporation, any security holder of Medley Capital Corporation, 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 range set forth in this footnote.

F1 · ownership.nature: On 06/16/2017, 06/19/2017 and 06/20/2017, Medley Seed Funding I LLC, a limited liability company controlled by Medley LLC, purchased 162,212, 95,713, and 153,711 shares of Medley Capital Corporation common stock, respectively. The reporting person, together with Brook Taube, controls Medley LLC. The reporting person disclaims beneficial ownership of the reported shares of common stock except to the extent of his pecuniary interest therein.

SEC source: 0001144204-17-033342 · v469373_4.xml · nonDerivative · entry 2

Taube Brook · CIK 0001510194 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Medley Seed Funding I LLC

Disclosed balance after: 6,590,021

F3 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.37 to $6.40, inclusive. The reporting person undertakes to provide to Medley Capital Corporation, any security holder of Medley Capital Corporation, 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 range set forth in this footnote.

F1 · ownership.nature: On 06/16/2017, 06/19/2017 and 06/20/2017, Medley Seed Funding I LLC, a limited liability company controlled by Medley LLC, purchased 162,212, 95,713 and 153,711 shares of Medley Capital Corporation common stock, respectively. The reporting person, together with SethTaube, controls Medley LLC. The reporting person disclaims beneficial ownership of the reported shares of common stock except to the extent of his pecuniary interest therein.

SEC source: 0001144204-17-033341 · v469370_4.xml · nonDerivative · entry 2

Taube Seth · CIK 0001510195 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Medley Seed Funding I LLC

Disclosed balance after: 6,590,021

F3 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.37 to $6.40, inclusive. The reporting person undertakes to provide to Medley Capital Corporation, any security holder of Medley Capital Corporation, 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 range set forth in this footnote.

F1 · ownership.nature: On 06/16/2017, 06/19/2017 and 06/20/2017, Medley Seed Funding I LLC, a limited liability company controlled by Medley LLC, purchased 162,212, 95,713, and 153,711 shares of Medley Capital Corporation common stock, respectively. The reporting person, together with Brook Taube, controls Medley LLC. The reporting person disclaims beneficial ownership of the reported shares of common stock except to the extent of his pecuniary interest therein.

SEC source: 0001144204-17-033342 · v469373_4.xml · nonDerivative · entry 1

Taube Brook · CIK 0001510194 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Medley Seed Funding I LLC

Disclosed balance after: 6,494,308

F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.29 to $6.35, inclusive. The reporting person undertakes to provide to Medley Capital Corporation, any security holder of Medley Capital Corporation, 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 range set forth in this footnote.

F1 · ownership.nature: On 06/16/2017, 06/19/2017 and 06/20/2017, Medley Seed Funding I LLC, a limited liability company controlled by Medley LLC, purchased 162,212, 95,713 and 153,711 shares of Medley Capital Corporation common stock, respectively. The reporting person, together with SethTaube, controls Medley LLC. The reporting person disclaims beneficial ownership of the reported shares of common stock except to the extent of his pecuniary interest therein.

SEC source: 0001144204-17-033341 · v469370_4.xml · nonDerivative · entry 1

Taube Seth · CIK 0001510195 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Medley Seed Funding I LLC

Disclosed balance after: 6,494,308

F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.29 to $6.35, inclusive. The reporting person undertakes to provide to Medley Capital Corporation, any security holder of Medley Capital Corporation, 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 range set forth in this footnote.

F1 · ownership.nature: On 06/16/2017, 06/19/2017 and 06/20/2017, Medley Seed Funding I LLC, a limited liability company controlled by Medley LLC, purchased 162,212, 95,713, and 153,711 shares of Medley Capital Corporation common stock, respectively. The reporting person, together with Brook Taube, controls Medley LLC. The reporting person disclaims beneficial ownership of the reported shares of common stock except to the extent of his pecuniary interest therein.

SEC source: 0001144204-17-032799 · v469115_form4.xml · nonDerivative · entry 3

Taube Seth · CIK 0001510195 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Medley Seed Funding I LLC

Disclosed balance after: 6,332,096

F4 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.17 to $6.30 inclusive. The reporting person undertakes to provide to Medley Capital Corporation, any security holder of Medley Capital Corporation, 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 range set forth in this footnote.

F1 · ownership.nature: On 06/13/2017, 06/14/2017 and 06/15/2017, Medley Seed Funding I LLC, a limited liability company controlled by Medley LLC, purchased 162,212, 143,497, and 162,212 shares of Medley Capital Corporation common stock, respectively. The reporting person, together with Brook Taube, controls Medley LLC. The reporting person disclaims beneficial ownership of the reported shares of common stock except to the extent of his pecuniary interest therein.

SEC source: 0001144204-17-032798 · v469114_form4.xml · nonDerivative · entry 3

Taube Brook · CIK 0001510194 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By Medley Seed Funding I LLC

Disclosed balance after: 6,332,096

F4 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.17 to $6.30, inclusive. The reporting person undertakes to provide to Medley Capital Corporation, any security holder of Medley Capital Corporation, 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 range set forth in this footnote.

F1 · ownership.nature: On 06/13/2017, 06/14/2017 and 06/15/2017, Medley Seed Funding I LLC, a limited liability company controlled by Medley LLC, purchased 162,212, 143,497 and 162,212 shares of Medley Capital Corporation common stock, respectively. The reporting person, together with SethTaube, controls Medley LLC. The reporting person disclaims beneficial ownership of the reported shares of common stock except to the extent of his pecuniary interest therein.

SEC source: 0001144204-17-032799 · v469115_form4.xml · nonDerivative · entry 2

Taube Seth · CIK 0001510195 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Medley Seed Funding I LLC

Disclosed balance after: 6,169,884

F3 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.19 to $6.29, inclusive. The reporting person undertakes to provide to Medley Capital Corporation, any security holder of Medley Capital Corporation, 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 range set forth in this footnote.

F1 · ownership.nature: On 06/13/2017, 06/14/2017 and 06/15/2017, Medley Seed Funding I LLC, a limited liability company controlled by Medley LLC, purchased 162,212, 143,497, and 162,212 shares of Medley Capital Corporation common stock, respectively. The reporting person, together with Brook Taube, controls Medley LLC. The reporting person disclaims beneficial ownership of the reported shares of common stock except to the extent of his pecuniary interest therein.