RCMT

SEC source: 0001567619-22-001553 · doc1.xml · nonDerivative · entry 1

Vizi Bradley · CIK 0001556313 · Director · Executive Chairman & President · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,542,026

F1 · shares: Represent shares acquired by the reporting person upon the vesting of performance stock units granted to the reporting person in March 2021 and previously reported in a Current Report on Form 10-K filed by the issuer in April 2021.

F2 · balance_after: Includes 1,500 shares purchased pursuant to the Issuer's Employee Stock Purchase Plan since the reporting person's most recent filing under Section 16.

SEC source: 0001567619-21-022270 · doc1.xml · nonDerivative · entry 1

Komarneni Jayanth Sree · CIK 0001836411 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,712

F1 · price: Granted in the form of restricted stock awards as compensation for service on Board of Directors.

SEC source: 0001567619-21-022263 · doc1.xml · nonDerivative · entry 1

Kakodkar Swarna Srinivas · CIK 0001795824 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 49,820

F1 · price: Granted in the form of restricted stock awards as compensation for service on Board of Directors.

SEC source: 0001567619-21-022260 · doc1.xml · nonDerivative · entry 1

Genovese Richard A. · CIK 0001528668 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,788

F1 · price: Granted in the form of restricted stock awards as compensation for service on Board of Directors.

SEC source: 0001567619-21-022253 · doc1.xml · nonDerivative · entry 1

BALLOU ROGER H · CIK 0001158369 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 222,882

F1 · price: Granted in the form of restricted stock awards as compensation for service on Board of Directors.

SEC source: 0001567619-21-007293 · doc1.xml · nonDerivative · entry 1

Petraglia Frank William Jr · CIK 0001673004 · Division President, Eng. Srvs

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 108,035

F1 · price: Granted in the form of restricted stock units as employment compensation, and subject to vesting on the third anniversary of the date of grant.

SEC source: 0001567619-21-001116 · doc1.xml · nonDerivative · entry 1

Komarneni Jayanth Sree · CIK 0001836411 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,523

F1 · price: The stock acquired reflects the election by the reporting person to receive shares of common stock in lieu of the annual cash retainer for service on the Board in 2021. The stock received will vest in full on December 31, 2021, subject to acceleration in certain circumstances.

SEC source: 0001567619-21-001104 · doc1.xml · nonDerivative · entry 1

Vizi Bradley · CIK 0001556313 · Director · Executive Chairman & President · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,415,526

F1 · price: Received as employment compensation.

F2 · balance_after: Includes 1,500 shares purchased pursuant to the Issuer's Employee Stock Purchase Plan since the reporting person's most recent filing under Section 16.

SEC source: 0001567619-20-021441 · doc1.xml · nonDerivative · entry 1

MILLER KEVIN D · CIK 0001255576 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 740,731

F1 · shares: Granted in connection with the reduction of base salary for 2021 on a dollar for dollar basis equal to the value of these shares on the date of grant. These shares will vest in equal installments of approximately 4,808 shares on each twenty-six bi-weekly payroll dates of the Issuer, commencing on January 15, 2021 and continuing until December 31, 2021, so long as the reporting person remains continuously employed by the Issuer through such date, except vesting will be accelerated if there is a Change in Control.

F2 · price: Received as employment compensation.

F3 · balance_after: Includes 1,500 shares purchased pursuant to the Issuer's Employee Stock Purchase Plan since the reporting person's most recent filing under Section 16.

SEC source: 0001567619-20-021439 · doc1.xml · nonDerivative · entry 1

Vizi Bradley · CIK 0001556313 · Director · Executive Chairman & President · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,289,026

F1 · shares: Granted in connection with the reduction of base salary for 2021 on a dollar for dollar basis equal to the value of these shares on the date of grant. These shares will vest in equal installments of approximately 4,808 shares on each twenty-six bi-weekly payroll dates of the Issuer, commencing on January 15, 2021 and continuing until December 31, 2021, so long as the reporting person remains continuously employed by the Issuer through such date, except vesting will be accelerated if there is a Change in Control.

F2 · price: Received as employment compensation.

F3 · balance_after: Includes 1,500 shares purchased pursuant to the Issuer's Employee Stock Purchase Plan since the reporting person's most recent filing under Section 16.

SEC source: 0001567619-20-021437 · doc1.xml · nonDerivative · entry 1

BALLOU ROGER H · CIK 0001158369 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 215,693

F1 · price: Granted in the form of restricted stock awards as compensation for service on Board of Directors.

SEC source: 0001567619-20-021435 · doc1.xml · nonDerivative · entry 1

Genovese Richard A. · CIK 0001528668 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,599

F1 · price: Granted in the form of restricted stock awards as compensation for service on Board of Directors.

SEC source: 0001567619-20-021433 · doc1.xml · nonDerivative · entry 1

Kakodkar Swarna Srinivas · CIK 0001795824 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,631

F1 · price: Granted in the form of restricted stock awards as compensation for service on Board of Directors.

SEC source: 0001567619-20-021429 · doc1.xml · nonDerivative · entry 1

Komarneni Jayanth Sree · CIK 0001836411 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,786

F1 · price: Granted in the form of restricted stock awards as compensation for service on Board of Directors.

SEC source: 0001567619-20-014336 · doc1.xml · nonDerivative · entry 1

Petraglia Frank William Jr · CIK 0001673004 · Division President, Eng. Srvs

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 98,035

F1 · price: Granted in the form of restricted stock units as employment compensation, and subject to vesting on the third anniversary of the date of grant.

SEC source: 0001567619-20-014332 · doc1.xml · nonDerivative · entry 1

Boyle Michael Edward · CIK 0001743116 · Division President, IT Srvs.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,552

F1 · price: Granted in the form of restricted stock units as employment compensation, and subject to vesting on the third anniversary of the date of grant.

SEC source: 0001567619-20-014326 · doc1.xml · nonDerivative · entry 1

Saks Michael · CIK 0001468302 · Division President, HC Srvs.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 114,843

F1 · price: Granted in the form of restricted stock units as employment compensation, and subject to vesting on the third anniversary of the date of grant.

F2 · balance_after: Includes 1,500 shares purchased pursuant to the Issuer's Employee Stock Purchase Plan since the reporting person's most recent filing under Section 16.

SEC source: 0001567619-20-011536 · doc1.xml · nonDerivative · entry 1

BALLOU ROGER H · CIK 0001158369 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 188,907

F1 · balance_after: Includes 15,845 restricted stock units that were reflected in reporting person's Form 4 filed on December 16, 2019.

SEC source: 0000921895-20-001681 · form412254002_06022020.xml · nonDerivative · entry 3

Vizi Bradley · CIK 0001556313 · Director · Executive Chairman & President · See Explanation of Responses

Michael F. O'Connell & Margo L. O'Connell Revocable Trust · CIK 0001556184 · See Explanation of Responses

O'CONNELL MICHAEL · CIK 0001539145 · See Explanation of Responses

HARVEST FINANCIAL CORPORATION · CIK 0000351952 · See Explanation of Responses

IRS Partners No. 19, L.P. · CIK 0001556235 · See Explanation of Responses

M2O, Inc. · CIK 0001556221 · See Explanation of Responses

Leonetti/O'Connell Family Foundation · CIK 0001556241 · See Explanation of Responses

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,162,526

F1 · security: This Form 4 is being filed jointly by IRS Partners No. 19, L.P. ("IRS 19"), M2O, Inc., The Michael F. O'Connell and Margo L. O'Connell Revocable Trust, The Leonetti/O'Connell Family Foundation, a Delaware non-profit corporation (the "Foundation"), Michael O'Connell, Harvest Financial Corporation and Bradley Vizi (each a "Reporting Person" and collectively, the "Reporting Persons"). Effective June 2, 2020, the Reporting Persons ceased to be members of a Section 13(d) group. Mr. Vizi will continue to file Form 4s independently.

F2 · security: Each Reporting Person disclaims beneficial ownership of the shares of Common Stock reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such shares of Common Stock for purposes of Section 16 or for any other purpose.

F5 · balance_after: Includes 150,000 shares of Common Stock underlying certain restricted stock units, which will vest annually in three equal installments beginning on January 15, 2021.

SEC source: 0000921895-20-001681 · form412254002_06022020.xml · nonDerivative · entry 2

Vizi Bradley · CIK 0001556313 · Director · Executive Chairman & President · See Explanation of Responses

Michael F. O'Connell & Margo L. O'Connell Revocable Trust · CIK 0001556184 · See Explanation of Responses

O'CONNELL MICHAEL · CIK 0001539145 · See Explanation of Responses

HARVEST FINANCIAL CORPORATION · CIK 0000351952 · See Explanation of Responses

IRS Partners No. 19, L.P. · CIK 0001556235 · See Explanation of Responses

M2O, Inc. · CIK 0001556221 · See Explanation of Responses

Leonetti/O'Connell Family Foundation · CIK 0001556241 · See Explanation of Responses

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

F1 · security: This Form 4 is being filed jointly by IRS Partners No. 19, L.P. ("IRS 19"), M2O, Inc., The Michael F. O'Connell and Margo L. O'Connell Revocable Trust, The Leonetti/O'Connell Family Foundation, a Delaware non-profit corporation (the "Foundation"), Michael O'Connell, Harvest Financial Corporation and Bradley Vizi (each a "Reporting Person" and collectively, the "Reporting Persons"). Effective June 2, 2020, the Reporting Persons ceased to be members of a Section 13(d) group. Mr. Vizi will continue to file Form 4s independently.

F2 · security: Each Reporting Person disclaims beneficial ownership of the shares of Common Stock reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such shares of Common Stock for purposes of Section 16 or for any other purpose.

F4 · ownership.nature: Securities of the Issuer previously owned by the Foundation.

SEC source: 0000921895-20-001681 · form412254002_06022020.xml · nonDerivative · entry 1

Vizi Bradley · CIK 0001556313 · Director · Executive Chairman & President · See Explanation of Responses

Michael F. O'Connell & Margo L. O'Connell Revocable Trust · CIK 0001556184 · See Explanation of Responses

O'CONNELL MICHAEL · CIK 0001539145 · See Explanation of Responses

HARVEST FINANCIAL CORPORATION · CIK 0000351952 · See Explanation of Responses

IRS Partners No. 19, L.P. · CIK 0001556235 · See Explanation of Responses

M2O, Inc. · CIK 0001556221 · See Explanation of Responses

Leonetti/O'Connell Family Foundation · CIK 0001556241 · See Explanation of Responses

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

F1 · security: This Form 4 is being filed jointly by IRS Partners No. 19, L.P. ("IRS 19"), M2O, Inc., The Michael F. O'Connell and Margo L. O'Connell Revocable Trust, The Leonetti/O'Connell Family Foundation, a Delaware non-profit corporation (the "Foundation"), Michael O'Connell, Harvest Financial Corporation and Bradley Vizi (each a "Reporting Person" and collectively, the "Reporting Persons"). Effective June 2, 2020, the Reporting Persons ceased to be members of a Section 13(d) group. Mr. Vizi will continue to file Form 4s independently.

F2 · security: Each Reporting Person disclaims beneficial ownership of the shares of Common Stock reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such shares of Common Stock for purposes of Section 16 or for any other purpose.

F3 · ownership.nature: Securities of the Issuer previously owned by IRS 19.

SEC source: 0001567619-20-011533 · doc1.xml · nonDerivative · entry 1

MILLER KEVIN D · CIK 0001255576 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 614,231

F1 · balance_after: Includes 3,000 shares purchased pursuant to the Issuer's Employee Stock Purchase Plan since the reporting person's most recent filing under Section 16.

SEC source: 0001567619-20-011582 · doc1.xml · nonDerivative · entry 1

Saks Michael · CIK 0001468302 · Division President, HC Srvs.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 103,343

F1 · price: Granted as employment compensation.

F2 · balance_after: Includes 14,453 shares purchased pursuant to the Issuer's Employee Stock Purchase Plan since the reporting person's most recent filing under Section 16.

SEC source: 0001567619-20-010753 · doc1.xml · nonDerivative · entry 1

Boyle Michael Edward · CIK 0001743116 · Division President, IT Srvs.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,552

F1 · price: Granted as employment compensation.

SEC source: 0001567619-20-008318 · doc1.xml · nonDerivative · entry 1

Petraglia Frank William Jr · CIK 0001673004 · Division President, Eng. Srvs

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 80,777

F1 · price: Granted in the form of restricted stock units as employment compensation, and subject to vesting in two equal installments on first two anniversaries of the date of grant.

F2 · balance_after: Includes 4,500 shares purchased pursuant to the Issuer's Employee Stock Purchase Plan since the reporting person's most recent filing under Section 16.

SEC source: 0001567619-20-008406 · doc1.xml · nonDerivative · entry 1

Petraglia Frank William Jr · CIK 0001673004 · Division President, Eng. Srvs

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,777

F1 · price: Granted in the form of restricted stock units as employment compensation, and subject to vesting in two equal installments on first two anniversaries of the date of grant.

F2 · balance_after: Includes 4,500 shares purchased pursuant to the Issuer's Employee Stock Purchase Plan since the reporting person's most recent filing under Section 16.

SEC source: 0001567619-20-001241 · doc1.xml · nonDerivative · entry 2

Vizi Bradley · CIK 0001556313 · Director · Executive Chairman & President · 10% owner

Michael F. O'Connell & Margo L. O'Connell Revocable Trust · CIK 0001556184 · 10% owner

O'CONNELL MICHAEL · CIK 0001539145 · 10% owner

HARVEST FINANCIAL CORPORATION · CIK 0000351952 · 10% owner

IRS Partners No. 19, L.P. · CIK 0001556235 · 10% owner

M2O, Inc. · CIK 0001556221 · 10% owner

Leonetti/O'Connell Family Foundation · CIK 0001556241 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 312,526

F1 · security: 1. This Form 4 is being filed jointly by the reporting persons identified herein (each a "Reporting Person" and collectively, the "Reporting Persons"). Each Reporting Person may be deemed to be a member of a Section 13(d) group that owns more than 10% of the Issuer's outstanding shares of Common Stock. Each Reporting Person disclaims beneficial ownership of the shares of Common Stock reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such shares of Common Stock for purposes of Section 16 or for any other purpose.

F6 · price: Granted in the form of restricted stock units as employment compensation, and subject to vesting in three equal installments on first three anniversaries of the date of grant.

F7 · balance_after: Includes 3,000 shares purchased pursuant to the Issuer's Employee Stock Purchase Plan since the reporting person's most recent filing under Section 16.

F8 · balance_after: Includes 35,000 restricted stock units that vested in 2019 and 2020; these restricted stock units were reflected in footnote 5 to the reporting person's Form 4 filed on March 18, 2019.

F4 · ownership.direct: 1. IRS 19 and the Foundation have each entered into an investment advisory agreement with Harvest Financial Corporation ("Harvest"), pursuant to which Bradley Vizi ("Mr. Vizi") on behalf of Harvest, exclusively manages IRS 19's and the Foundation's investment in the Issuer and has certain discretion with respect to purchase and sales of Common Stock of the Issuer. As a result, Harvest and Mr. Vizi may be deemed to have shared dispositive power with respect to the shares held by IRS 19 and the Foundation. Harvest and Mr. Vizi each disclaims beneficial ownership of shares of Common Stock of the Issuer owned by each other except to the extent of his or its pecuniary interest therein.

SEC source: 0001567619-20-001241 · doc1.xml · nonDerivative · entry 1

Vizi Bradley · CIK 0001556313 · Director · Executive Chairman & President · 10% owner

Michael F. O'Connell & Margo L. O'Connell Revocable Trust · CIK 0001556184 · 10% owner

O'CONNELL MICHAEL · CIK 0001539145 · 10% owner

HARVEST FINANCIAL CORPORATION · CIK 0000351952 · 10% owner

IRS Partners No. 19, L.P. · CIK 0001556235 · 10% owner

M2O, Inc. · CIK 0001556221 · 10% owner

Leonetti/O'Connell Family Foundation · CIK 0001556241 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 162,526

F1 · security: 1. This Form 4 is being filed jointly by the reporting persons identified herein (each a "Reporting Person" and collectively, the "Reporting Persons"). Each Reporting Person may be deemed to be a member of a Section 13(d) group that owns more than 10% of the Issuer's outstanding shares of Common Stock. Each Reporting Person disclaims beneficial ownership of the shares of Common Stock reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such shares of Common Stock for purposes of Section 16 or for any other purpose.

F5 · price: Represent shares acquired by the reporting person upon the vesting of performance stock units granted to the reporting person in March 2019 and previously reported in a Current Report on Form 8-K filed by the issuer in March 2019.

F7 · balance_after: Includes 3,000 shares purchased pursuant to the Issuer's Employee Stock Purchase Plan since the reporting person's most recent filing under Section 16.

F8 · balance_after: Includes 35,000 restricted stock units that vested in 2019 and 2020; these restricted stock units were reflected in footnote 5 to the reporting person's Form 4 filed on March 18, 2019.

F4 · ownership.direct: 1. IRS 19 and the Foundation have each entered into an investment advisory agreement with Harvest Financial Corporation ("Harvest"), pursuant to which Bradley Vizi ("Mr. Vizi") on behalf of Harvest, exclusively manages IRS 19's and the Foundation's investment in the Issuer and has certain discretion with respect to purchase and sales of Common Stock of the Issuer. As a result, Harvest and Mr. Vizi may be deemed to have shared dispositive power with respect to the shares held by IRS 19 and the Foundation. Harvest and Mr. Vizi each disclaims beneficial ownership of shares of Common Stock of the Issuer owned by each other except to the extent of his or its pecuniary interest therein.

SEC source: 0001567619-19-023103 · doc1.xml · nonDerivative · entry 1

Genovese Richard A. · CIK 0001528668 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,813

F1 · price: Granted in the form of restricted stock units as compensation for service on Board of Directors

SEC source: 0001567619-19-023109 · doc1.xml · nonDerivative · entry 1

Kakodkar Swarna Srinivas · CIK 0001795824 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,845

F1 · price: Granted in the form of restricted stock units as compensation for service on Board of Directors

SEC source: 0001567619-19-023098 · doc1.xml · nonDerivative · entry 1

KOPYT LEON · CIK 0001007659 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 600,547

F1 · price: Granted in the form of restricted stock units as compensation for service on Board of Directors

SEC source: 0001567619-19-023096 · doc1.xml · nonDerivative · entry 1

BALLOU ROGER H · CIK 0001158369 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 88,907

F1 · price: Granted in the form of restricted stock units as compensation for service on Board of Directors

SEC source: 0001567619-19-023095 · doc1.xml · nonDerivative · entry 1

SNODGRASS S GARY · CIK 0001185169 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 72,453

F1 · price: Granted in the form of restricted stock units as compensation for service on Board of Directors

SEC source: 0001567619-19-012295 · doc1.xml · nonDerivative · entry 1

MILLER KEVIN D · CIK 0001255576 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 461,231

F1 · price: Granted in the form of common stock as employment compensation.

SEC source: 0000921895-19-000820 · form409050002_03182019.xml · nonDerivative · entry 2

Vizi Bradley · CIK 0001556313 · Director · Executive Chairman & President · 10% owner

HARVEST FINANCIAL CORPORATION · CIK 0000351952 · 10% owner

O'CONNELL MICHAEL · CIK 0001539145 · 10% owner

Michael F. O'Connell & Margo L. O'Connell Revocable Trust · CIK 0001556184 · 10% owner

M2O, Inc. · CIK 0001556221 · 10% owner

IRS Partners No. 19, L.P. · CIK 0001556235 · 10% owner

Leonetti/O'Connell Family Foundation · CIK 0001556241 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 2,692,065

F1 · security: This Form 4 is being filed jointly by the reporting persons identified herein (each a "Reporting Person" and collectively, the "Reporting Persons"). Each Reporting Person may be deemed to be a member of a Section 13(d) group that owns more than 10% of the Issuer's outstanding shares of Common Stock. Each Reporting Person disclaims beneficial ownership of the shares of Common Stock reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such shares of Common Stock for purposes of Section 16 or for any other purpose.

F5 · balance_after: The aggregate ownership of IRS 19 following the reportable transaction is being revised from the last Form 4 filing to correct an inadvertent miscalculation. The ownership of Mr. Vizi is being revised to exclude 35,000 restricted stock units that will vest on May 31, 2019 and December 13, 2019.

F2 · ownership.nature: IRS Partners No. 19, L.P., a Delaware limited partnership ("IRS 19"), directly owns these shares of common stock ("Common Stock") of RCM Technologies, Inc. (the "Issuer"). M2O, Inc., a California corporation ("M2O"), is the general partner of IRS 19. The Michael F. O'Connell and Margo L. O'Connell Revocable Trust (the "Trust") is the sole voting shareholder of M2O and Michael O'Connell, an individual, controls all investment decisions with respect to the Trust. IRS 19, M2O, the Trust and Mr. O'Connell may therefore be deemed to have shared voting and dispositive power over the Common Stock owned by IRS 19.

F4 · ownership.nature: IRS 19 and the Foundation have each entered into an investment advisory agreement with Harvest Financial Corporation ("Harvest"), pursuant to which Bradley Vizi ("Mr. Vizi") on behalf of Harvest, exclusively manages IRS 19's and the Foundation's investment in the Issuer and has certain discretion with respect to purchase and sales of Common Stock of the Issuer. As a result, Harvest and Mr. Vizi may be deemed to have shared dispositive power with respect to the shares held by IRS 19 and the Foundation. Harvest and Mr. Vizi each disclaims beneficial ownership of shares of Common Stock of the Issuer owned by each other except to the extent of his or its pecuniary interest therein.

SEC source: 0001567619-19-001853 · doc1.xml · nonDerivative · entry 1

Boyle Michael Edward · CIK 0001743116 · Division President, IT Srvs

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

F1 · price: Granted in the form of restricted stock units as employment compensation

SEC source: 0001567619-19-001498 · doc1.xml · nonDerivative · entry 1

Vizi Bradley · CIK 0001556313 · Director · Executive Chairman & President · 10% owner

HARVEST FINANCIAL CORPORATION · CIK 0000351952 · 10% owner

O'CONNELL MICHAEL · CIK 0001539145 · 10% owner

Michael F. O'Connell & Margo L. O'Connell Revocable Trust · CIK 0001556184 · 10% owner

M2O, Inc. · CIK 0001556221 · 10% owner

IRS Partners No. 19, L.P. · CIK 0001556235 · 10% owner

Leonetti/O'Connell Family Foundation · CIK 0001556241 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 119,526

F1 · security: This Form 4 is being filed jointly by the reporting persons identified herein (each a "Reporting Person" and collectively, the "Reporting Persons"). Each Reporting Person may be deemed to be a member of a Section 13(d) group that owns more than 10% of the Issuer's outstanding shares of Common Stock. Each Reporting Person disclaims beneficial ownership of the shares of Common Stock reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such shares of Common Stock for purposes of Section 16 or for any other purpose.

F5 · price: Represent shares acquired by the reporting person upon the vesting of performance stock units granted to the reporting person in October 2018 and previously reported in a Current Report on Form 8-K filed by the issuer in October 2018.

F4 · ownership.direct: IRS 19 and the Foundation have each entered into an investment advisory agreement with Harvest Financial Corporation ("Harvest"), pursuant to which Bradley Vizi ("Mr. Vizi") on behalf of Harvest, exclusively manages IRS 19's and the Foundation's investment in the Issuer and has certain discretion with respect to purchase and sales of Common Stock of the Issuer. As a result, Harvest and Mr. Vizi may be deemed to have shared dispositive power with respect to the shares held by IRS 19 and the Foundation. Harvest and Mr. Vizi each disclaims beneficial ownership of shares of Common Stock of the Issuer owned by each other except to the extent of his or its pecuniary interest therein.

SEC source: 0001567619-18-008125 · doc1.xml · nonDerivative · entry 1

SNODGRASS S GARY · CIK 0001185169 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,608

F1 · price: Granted in the form of restricted stock units as compensation for service on Board of Directors.

SEC source: 0001567619-18-008123 · doc1.xml · nonDerivative · entry 1

KOPYT LEON · CIK 0001007659 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 584,702

F1 · price: Granted in the form of restricted stock units as compensation for service on Board of Directors.

SEC source: 0001567619-18-008121 · doc1.xml · nonDerivative · entry 1

Genovese Richard A. · CIK 0001528668 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,968

F1 · price: Granted in the form of restricted stock units as compensation for service on Board of Directors.

SEC source: 0001567619-18-008119 · doc1.xml · nonDerivative · entry 1

BALLOU ROGER H · CIK 0001158369 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 73,062

F1 · price: Granted in the form of restricted stock units as compensation for service on Board of Directors.

SEC source: 0001567619-18-008275 · doc1.xml · nonDerivative · entry 1

Vizi Bradley · CIK 0001556313 · Director · 10% owner

HARVEST FINANCIAL CORPORATION · CIK 0000351952 · 10% owner

O'CONNELL MICHAEL · CIK 0001539145 · 10% owner

Michael F. O'Connell & Margo L. O'Connell Revocable Trust · CIK 0001556184 · 10% owner

M2O, Inc. · CIK 0001556221 · 10% owner

IRS Partners No. 19, L.P. · CIK 0001556235 · 10% owner

Leonetti/O'Connell Family Foundation · CIK 0001556241 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 72,378

F1 · security: 1. This Form 4 is being filed jointly by the reporting persons identified herein (each a "Reporting Person" and collectively, the "Reporting Persons"). Each Reporting Person may be deemed to be a member of a Section 13(d) group that owns more than 10% of the Issuer's outstanding shares of Common Stock. Each Reporting Person disclaims beneficial ownership of the shares of Common Stock reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such shares of Common Stock for purposes of Section 16 or for any other purpose.

F5 · price: Granted in the form of restricted stock units as employment compensation. Will vest on January 2, 2020.

F4 · ownership.direct: 1. IRS 19 and the Foundation have each entered into an investment advisory agreement with Harvest Financial Corporation ("Harvest"), pursuant to which Bradley Vizi ("Mr. Vizi") on behalf of Harvest, exclusively manages IRS 19's and the Foundation's investment in the Issuer and has certain discretion with respect to purchase and sales of Common Stock of the Issuer. As a result, Harvest and Mr. Vizi may be deemed to have shared dispositive power with respect to the shares held by IRS 19 and the Foundation. Harvest and Mr. Vizi each disclaims beneficial ownership of shares of Common Stock of the Issuer owned by each other except to the extent of his or its pecuniary interest therein.

SEC source: 0001567619-18-007899 · doc1.xml · nonDerivative · entry 1

BALLOU ROGER H · CIK 0001158369 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,094

F1 · price: Represents the weighted average of a range of purchase prices from $3.98 to $4.04. The reporting person undertakes to provide to the staff of the Securities and Exchange Commission, the Company or any stockholder of the Company, upon request, full information regarding the number of shares sold at each separate price.

SEC source: 0001567619-18-007693 · doc1.xml · nonDerivative · entry 3

BALLOU ROGER H · CIK 0001158369 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,499

F3 · price: Represents the weighted average of a range of purchase prices from $4.10 to $4.19. The reporting person undertakes to provide to the staff of the Securities and Exchange Commission, the Company or any stockholder of the Company, upon request, full information regarding the number of shares sold at each separate price.

SEC source: 0001567619-18-007693 · doc1.xml · nonDerivative · entry 2

BALLOU ROGER H · CIK 0001158369 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,699

F2 · price: Represents the weighted average of a range of purchase prices from $3.90 to $4.04. The reporting person undertakes to provide to the staff of the Securities and Exchange Commission, the Company or any stockholder of the Company, upon request, full information regarding the number of shares sold at each separate price.

SEC source: 0001567619-18-007693 · doc1.xml · nonDerivative · entry 1

BALLOU ROGER H · CIK 0001158369 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,648

F1 · price: Represents the weighted average of a range of purchase prices from $3.87 to $3.96. The reporting person undertakes to provide to the staff of the Securities and Exchange Commission, the Company or any stockholder of the Company, upon request, full information regarding the number of shares sold at each separate price.

SEC source: 0001567619-18-007429 · doc1.xml · nonDerivative · entry 2

BALLOU ROGER H · CIK 0001158369 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,048

F2 · price: Represents the weighted average of a range of purchase prices from $3.94 to $4.14. The reporting person undertakes to provide to the staff of the Securities and Exchange Commission, the Company or any stockholder of the Company, upon request, full information regarding the number of shares sold at each separate price.

SEC source: 0001567619-18-007429 · doc1.xml · nonDerivative · entry 1

BALLOU ROGER H · CIK 0001158369 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 57,448

F1 · price: Represents the weighted average of a range of purchase prices from $4.10 to $4.30. The reporting person undertakes to provide to the staff of the Securities and Exchange Commission, the Company or any stockholder of the Company, upon request, full information regarding the number of shares sold at each separate price.

SEC source: 0001567619-18-007231 · doc1.xml · nonDerivative · entry 3

BALLOU ROGER H · CIK 0001158369 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,278

F3 · price: Represents the weighted average of a range of purchase prices from $4.00 to $4.09. The reporting person undertakes to provide to the staff of the Securities and Exchange Commission, the Company or any stockholder of the Company, upon request, full information regarding the number of shares sold at each separate price.

SEC source: 0001567619-18-007231 · doc1.xml · nonDerivative · entry 2

BALLOU ROGER H · CIK 0001158369 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,478

F2 · price: Represents the weighted average of a range of purchase prices from $4.09 to $4.13. The reporting person undertakes to provide to the staff of the Securities and Exchange Commission, the Company or any stockholder of the Company, upon request, full information regarding the number of shares sold at each separate price.