RITM

SEC source: 0001209191-23-050490 · doc4.xml · nonDerivative · entry 1

Nierenberg Michael · CIK 0001591719 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,313,796

F1 · shares: Represents shares of Common Stock withheld by the Issuer to satisfy tax withholding in connection with the settlement of restricted stock awards and does not represent a sale by the reporting person.

F2 · balance_after: Includes 485,279 unvested restricted stock units and 385,356 unvested shares of restricted stock.

SEC source: 0001209191-23-043965 · doc4.xml · nonDerivative · entry 1

Sivin Philip M · CIK 0001299722 · Chief Legal Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 17,264

F1 · shares: Represents dividend equivalent rights accrued on existing time-based restricted stock units, the grant of which was previously reported, in connection with the issuer's quarterly dividend. Such dividend equivalent units will vest on the same schedule and subject to the same terms and conditions as the underlying awards.

F2 · balance_after: Includes 13,864 unvested restricted stock units.

SEC source: 0001209191-23-043969 · doc4.xml · nonDerivative · entry 1

Nierenberg Michael · CIK 0001591719 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,420,341

F1 · shares: Represents dividend equivalent rights accrued on existing time-based restricted stock units, the grant of which was previously reported, in connection with the issuer's quarterly dividend. Such dividend equivalent units will vest on the same schedule and subject to the same terms and conditions as the underlying awards.

F2 · balance_after: Includes 485,279 unvested restricted stock units and 578,034 unvested shares of restricted stock.

SEC source: 0001209191-23-043960 · doc4.xml · nonDerivative · entry 1

SANTORO NICOLA JR · CIK 0001571610 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 119,325

F1 · shares: Represents dividend equivalent rights accrued on existing time-based restricted stock units, the grant of which was previously reported, in connection with the issuer's quarterly dividend. Such dividend equivalent units will vest on the same schedule and subject to the same terms and conditions as the underlying awards.

F2 · balance_after: Includes 69,325 unvested restricted stock units.

SEC source: 0001209191-23-032883 · doc4.xml · nonDerivative · entry 1

Hebard Peggy Hwan · CIK 0001750581 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 50,604

F1 · price: The shares were issued to director as compensation for services provided to the Issuer in accordance with the Issuer's Omnibus Incentive Plan and the additional terms established by resolution of the Board of Directors. The applicable closing stock price was $8.17 on May 26, 2023.

SEC source: 0001209191-23-032881 · doc4.xml · nonDerivative · entry 1

Finnerty Kevin J · CIK 0001335440 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 281,080

F1 · price: The shares were issued to director as compensation for services provided to the Issuer in accordance with the Issuer's Omnibus Incentive Plan and the additional terms established by resolution of the Board of Directors. The applicable closing stock price was $8.17 on May 26, 2023.

SEC source: 0001209191-23-032899 · doc4.xml · nonDerivative · entry 1

Le Melle Patrice M · CIK 0001894131 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 27,234

F1 · price: The shares were issued to director as compensation for services provided to the Issuer in accordance with the Issuer's Omnibus Incentive Plan and the additional terms established by resolution of the Board of Directors. The applicable closing stock price was $8.17 on May 26, 2023.

SEC source: 0001209191-23-032886 · doc4.xml · nonDerivative · entry 1

Sloves Andrew · CIK 0001679934 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 156,477

F1 · price: The shares were issued to director as compensation for services provided to the Issuer in accordance with the Issuer's Omnibus Incentive Plan and the additional terms established by resolution of the Board of Directors. The applicable closing stock price was $8.17 on May 26, 2023.

SEC source: 0001209191-23-032876 · doc4.xml · nonDerivative · entry 1

Saltzman David · CIK 0001574248 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 96,274

F1 · price: The shares were issued to director as compensation for services provided to the Issuer in accordance with the Issuer's Omnibus Incentive Plan and the additional terms established by resolution of the Board of Directors. The applicable closing stock price was $8.17 on May 26, 2023.

F1 · balance_after: The shares were issued to director as compensation for services provided to the Issuer in accordance with the Issuer's Omnibus Incentive Plan and the additional terms established by resolution of the Board of Directors. The applicable closing stock price was $8.17 on May 26, 2023.

SEC source: 0001209191-23-028476 · doc4.xml · nonDerivative · entry 1

Hebard Peggy Hwan · CIK 0001750581 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 32,000

SEC source: 0001209191-23-026520 · doc4.xml · nonDerivative · entry 1

Sivin Philip M · CIK 0001299722 · Chief Legal Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 16,932

F1 · shares: Represents dividend equivalent rights accrued on existing time-based restricted stock units, the grant of which was previously reported, in connection with the issuer's quarterly dividend. Such dividend equivalent units will vest on the same schedule and subject to the same terms and conditions as the underlying awards.

F2 · balance_after: Includes 13,532 unvested restricted stock units.

SEC source: 0001209191-23-026528 · doc4.xml · nonDerivative · entry 1

Nierenberg Michael · CIK 0001591719 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,408,699

F1 · shares: Represents dividend equivalent rights accrued on existing time-based restricted stock units, the grant of which was previously reported, in connection with the issuer's quarterly dividend. Such dividend equivalent units will vest on the same schedule and subject to the same terms and conditions as the underlying awards.

F2 · balance_after: Includes 473,637 unvested restricted stock units and 578,034 unvested shares of restricted stock.

SEC source: 0001209191-23-026512 · doc4.xml · nonDerivative · entry 1

SANTORO NICOLA JR · CIK 0001571610 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 117,662

F1 · shares: Represents dividend equivalent rights accrued on existing time-based restricted stock units, the grant of which was previously reported, in connection with the issuer's quarterly dividend. Such dividend equivalent units will vest on the same schedule and subject to the same terms and conditions as the underlying awards.

F2 · balance_after: Includes 67,662 unvested restricted stock units.

SEC source: 0001209191-23-012156 · doc4.xml · nonDerivative · entry 1

Sivin Philip M · CIK 0001299722 · Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,530

F1 · shares: Represents time-based restricted stock units granted under the Rithm Capital Corp. Nonqualified Stock Option and Incentive Award Plan, which will vest in three equal annual installments on February 21 of each of 2024, 2025 and 2026, so long as the Reporting Person remains in continued employment with the Issuer.

F2 · balance_after: Includes 13,130 unvested restricted stock units.

SEC source: 0001209191-23-012175 · doc4.xml · nonDerivative · entry 1

Nierenberg Michael · CIK 0001591719 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,394,620

F1 · shares: Represents time-based restricted stock units granted under the Rithm Capital Corp. Nonqualified Stock Option and Incentive Award Plan, which will vest in three equal annual installments on February 21 of each of 2024, 2025 and 2026, so long as the Reporting Person remains in continued employment with the Issuer.

F2 · balance_after: Includes 459,558 unvested restricted stock units and 578,034 unvested shares of restricted stock.

SEC source: 0001209191-23-012164 · doc4.xml · nonDerivative · entry 1

SANTORO NICOLA JR · CIK 0001571610 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 115,651

F1 · shares: Represents time-based restricted stock units granted under the Rithm Capital Corp. Nonqualified Stock Option and Incentive Award Plan, which will vest in three equal annual installments on February 21 of each of 2024, 2025 and 2026, so long as the Reporting Person remains in continued employment with the Issuer.

F2 · balance_after: Includes 65,651 unvested restricted stock units.

SEC source: 0001209191-23-001274 · doc4.xml · nonDerivative · entry 1

Sloves Andrew · CIK 0001679934 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 137,505

F1 · price: The shares were issued to the Reporting Person as compensation for services as a director provided to the issuer in accordance with the issuer's Incentive Award Plan and the additional terms established by resolution of the Board of Directors. The applicable closing stock price was $8.17 on December 30, 2022.

SEC source: 0001209191-22-060467 · doc4.xml · nonDerivative · entry 1

Nierenberg Michael · CIK 0001591719 · Director · Chairman, CEO & President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 935,062

F1 · shares: Represents restricted stock awards granted under the Rithm Capital Corp. Nonqualified Stock Option and Incentive Award Plan, which will vest in three equal installments on June 17 of each of 2023, 2024 and 2025, so long as the Reporting Person remains in continued employment with the Issuer. As previously disclosed, the restricted stock was granted in full satisfaction of the terms of Section 2(d) of the Employment Agreement by and between the Reporting Person and the Issuer, effective as of June 17, 2022. The applicable closing stock price was $8.65 on June 17, 2022.

F2 · balance_after: Includes 578,034 unvested shares of restricted stock.

SEC source: 0001209191-22-039992 · doc4.xml · nonDerivative · entry 1

Finnerty Kevin J · CIK 0001335440 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 262,108

F1 · price: The shares were issued to director as compensation for services provided to the issuer in accordance with the issuer's Incentive Award Plan and the additional terms established by resolution of the Board of Directors. The applicable closing stock price was $9.32 on June 30, 2022

SEC source: 0001209191-22-039990 · doc4.xml · nonDerivative · entry 1

Sloves Andrew · CIK 0001679934 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 122,205

F1 · price: The shares were issued to director as compensation for services provided to the issuer in accordance with the issuer's Incentive Award Plan and the additional terms established by resolution of the Board of Directors. The applicable closing stock price was $9.32 on June 30, 2022.

SEC source: 0001209191-22-033144 · doc4.xml · nonDerivative · entry 1

LENEHAN PAMELA F · CIK 0001202481 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 74,953

F1 · price: The shares were issued to director as compensation for services provided to the issuer in accordance with the issuer's Incentive Award Plan and the additional terms established by resolution of the Board of Directors. The applicable closing stock price was $11.27 on May 27, 2022.

SEC source: 0001209191-22-033143 · doc4.xml · nonDerivative · entry 1

Finnerty Kevin J · CIK 0001335440 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 254,060

F1 · price: The shares were issued to director as compensation for services provided to the issuer in accordance with the issuer's Incentive Award Plan and the additional terms established by resolution of the Board of Directors. The applicable closing stock price was $11.27 on May 27, 2022.

SEC source: 0001209191-22-033146 · doc4.xml · nonDerivative · entry 1

MCGINNIS ROBERT · CIK 0001525863 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 128,865

F1 · price: The shares were issued to director as compensation for services provided to the issuer in accordance with the issuer's Incentive Award Plan and the additional terms established by resolution of the Board of Directors. The applicable closing stock price was $11.27 on May 27, 2022.

SEC source: 0001209191-22-033151 · doc4.xml · nonDerivative · entry 1

Le Melle Patrice M · CIK 0001894131 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,874

F1 · price: The shares were issued to director as compensation for services provided to the issuer in accordance with the issuer's Incentive Award Plan and the additional terms established by resolution of the Board of Directors. The applicable closing stock price was $11.27 on May 27, 2022.

SEC source: 0001209191-22-033150 · doc4.xml · nonDerivative · entry 1

Sloves Andrew · CIK 0001679934 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 114,157

F1 · price: The shares were issued to director as compensation for services provided to the issuer in accordance with the issuer's Incentive Award Plan and the additional terms established by resolution of the Board of Directors. The applicable closing stock price was $11.27 on May 27, 2022.

SEC source: 0001209191-22-033148 · doc4.xml · nonDerivative · entry 1

Saltzman David · CIK 0001574248 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 76,690

F1 · price: The shares were issued to director as compensation for services provided to the issuer in accordance with the issuer's Incentive Award Plan and the additional terms established by resolution of the Board of Directors. The applicable closing stock price was $11.27 on May 27, 2022.

SEC source: 0001209191-22-019759 · doc4.xml · derivative · entry 4

Nierenberg Michael · CIK 0001591719 · Director · Chairman, CEO & President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,567

Underlying: Common Stock, par value $0.01 per share · 3,567 shares

Expires 2031-11-10

F1 · derivative.exercise_date: Tandem awards correspond on a one-to-one basis with options granted to FIG LLC, the Company's manager (or an affiliate of the Company's manager), such that exercise by an employee of the tandem award would result in the corresponding option held by the manager being cancelled. Upon the grant of options to the manager (or an affiliate), such options are fully vested and become exercisable over a 30-month period (the "Total Exercisability Period") in monthly installments beginning on the first of each month following the month in which the options were granted. (Continued in Footnote 2)

F2 · derivative.exercise_date: When tandem awards are granted with respect to manager options, the manager options become exercisable in monthly installments over a portion of the Total Exercisability Period equal to the product of (i) the ratio of manager options not subject to corresponding tandem options to the total number of manager options (including manager options underlying such tandem awards subject to corresponding tandem options) multiplied by (ii) 30 (such period, the "Manager Exercisability Period"). Following the Manager Exercisability Period, the tandem awards vest in monthly installments on the first of each month over the remainder of the Total Exercisability Period and become exercisable only at the end of the Total Exercisability Period.

F3 · derivative.expiration_date: Represents the expiration date of the related manager option. In general, the expiration date of the tandem award occurs prior to the expiration date of the underlying option.

F4 · derivative.underlying: Tandem awards will be settled in an amount of cash equal to the excess of the fair market value of a share of our common stock on the date of exercise over the fair market value on the date of grant, unless advance approval is given by the Board of Directors or an officer of the Company, as applicable, to settle the tandem awards in shares.

SEC source: 0001209191-22-019759 · doc4.xml · derivative · entry 3

Nierenberg Michael · CIK 0001591719 · Director · Chairman, CEO & President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,000

Underlying: Common Stock, par value $0.01 per share · 32,000 shares

Expires 2031-09-24

F1 · derivative.exercise_date: Tandem awards correspond on a one-to-one basis with options granted to FIG LLC, the Company's manager (or an affiliate of the Company's manager), such that exercise by an employee of the tandem award would result in the corresponding option held by the manager being cancelled. Upon the grant of options to the manager (or an affiliate), such options are fully vested and become exercisable over a 30-month period (the "Total Exercisability Period") in monthly installments beginning on the first of each month following the month in which the options were granted. (Continued in Footnote 2)

F2 · derivative.exercise_date: When tandem awards are granted with respect to manager options, the manager options become exercisable in monthly installments over a portion of the Total Exercisability Period equal to the product of (i) the ratio of manager options not subject to corresponding tandem options to the total number of manager options (including manager options underlying such tandem awards subject to corresponding tandem options) multiplied by (ii) 30 (such period, the "Manager Exercisability Period"). Following the Manager Exercisability Period, the tandem awards vest in monthly installments on the first of each month over the remainder of the Total Exercisability Period and become exercisable only at the end of the Total Exercisability Period.

F3 · derivative.expiration_date: Represents the expiration date of the related manager option. In general, the expiration date of the tandem award occurs prior to the expiration date of the underlying option.

F4 · derivative.underlying: Tandem awards will be settled in an amount of cash equal to the excess of the fair market value of a share of our common stock on the date of exercise over the fair market value on the date of grant, unless advance approval is given by the Board of Directors or an officer of the Company, as applicable, to settle the tandem awards in shares.

SEC source: 0001209191-22-019759 · doc4.xml · derivative · entry 2

Nierenberg Michael · CIK 0001591719 · Director · Chairman, CEO & President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 340,000

Underlying: Common Stock, par value $0.01 per share · 340,000 shares

Expires 2031-09-17

F1 · derivative.exercise_date: Tandem awards correspond on a one-to-one basis with options granted to FIG LLC, the Company's manager (or an affiliate of the Company's manager), such that exercise by an employee of the tandem award would result in the corresponding option held by the manager being cancelled. Upon the grant of options to the manager (or an affiliate), such options are fully vested and become exercisable over a 30-month period (the "Total Exercisability Period") in monthly installments beginning on the first of each month following the month in which the options were granted. (Continued in Footnote 2)

F2 · derivative.exercise_date: When tandem awards are granted with respect to manager options, the manager options become exercisable in monthly installments over a portion of the Total Exercisability Period equal to the product of (i) the ratio of manager options not subject to corresponding tandem options to the total number of manager options (including manager options underlying such tandem awards subject to corresponding tandem options) multiplied by (ii) 30 (such period, the "Manager Exercisability Period"). Following the Manager Exercisability Period, the tandem awards vest in monthly installments on the first of each month over the remainder of the Total Exercisability Period and become exercisable only at the end of the Total Exercisability Period.

F3 · derivative.expiration_date: Represents the expiration date of the related manager option. In general, the expiration date of the tandem award occurs prior to the expiration date of the underlying option.

F4 · derivative.underlying: Tandem awards will be settled in an amount of cash equal to the excess of the fair market value of a share of our common stock on the date of exercise over the fair market value on the date of grant, unless advance approval is given by the Board of Directors or an officer of the Company, as applicable, to settle the tandem awards in shares.

SEC source: 0001209191-22-019759 · doc4.xml · derivative · entry 1

Nierenberg Michael · CIK 0001591719 · Director · Chairman, CEO & President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,034,500

Underlying: Common Stock, par value $0.01 per share · 1,034,500 shares

Expires 2031-04-19

F1 · derivative.exercise_date: Tandem awards correspond on a one-to-one basis with options granted to FIG LLC, the Company's manager (or an affiliate of the Company's manager), such that exercise by an employee of the tandem award would result in the corresponding option held by the manager being cancelled. Upon the grant of options to the manager (or an affiliate), such options are fully vested and become exercisable over a 30-month period (the "Total Exercisability Period") in monthly installments beginning on the first of each month following the month in which the options were granted. (Continued in Footnote 2)

F2 · derivative.exercise_date: When tandem awards are granted with respect to manager options, the manager options become exercisable in monthly installments over a portion of the Total Exercisability Period equal to the product of (i) the ratio of manager options not subject to corresponding tandem options to the total number of manager options (including manager options underlying such tandem awards subject to corresponding tandem options) multiplied by (ii) 30 (such period, the "Manager Exercisability Period"). Following the Manager Exercisability Period, the tandem awards vest in monthly installments on the first of each month over the remainder of the Total Exercisability Period and become exercisable only at the end of the Total Exercisability Period.

F3 · derivative.expiration_date: Represents the expiration date of the related manager option. In general, the expiration date of the tandem award occurs prior to the expiration date of the underlying option.

F4 · derivative.underlying: Tandem awards will be settled in an amount of cash equal to the excess of the fair market value of a share of our common stock on the date of exercise over the fair market value on the date of grant, unless advance approval is given by the Board of Directors or an officer of the Company, as applicable, to settle the tandem awards in shares.

SEC source: 0001209191-22-000734 · doc4.xml · nonDerivative · entry 1

LENEHAN PAMELA F · CIK 0001202481 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 64,487

F1 · price: The shares were issued to director as compensation for services provided to the issuer in accordance with the issuer's Incentive Award Plan and the additional terms established by resolution of the Board of Directors. The applicable closing stock price was $10.97 on January 3, 2022.

SEC source: 0001209191-22-000742 · doc4.xml · nonDerivative · entry 1

MCGINNIS ROBERT · CIK 0001525863 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 119,991

F1 · price: The shares were issued to director as compensation for services provided to the issuer in accordance with the issuer's Incentive Award Plan and the additional terms established by resolution of the Board of Directors. The applicable closing stock price was $10.97 on January 3, 2022.

SEC source: 0001209191-22-000749 · doc4.xml · nonDerivative · entry 1

Sloves Andrew · CIK 0001679934 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 105,283

F1 · price: The shares were issued to director as compensation for services provided to the issuer in accordance with the issuer's Incentive Award Plan and the additional terms established by resolution of the Board of Directors. The applicable closing stock price was $10.97 on January 3, 2022.

SEC source: 0001209191-21-069758 · doc4.xml · derivative · entry 1

Le Melle Patrice M · CIK 0001894131 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,000

Underlying: Common Stock · 1,000 shares

Expires 2031-12-15

F1 · price: Non-officer Director Stock options were granted pursuant to the issuer's Nonqualified Option and Incentive Award Plan (the "Plan"). Such options are fully vested in accordance with the terms of the Plan.

F1 · derivative.exercise_date: Non-officer Director Stock options were granted pursuant to the issuer's Nonqualified Option and Incentive Award Plan (the "Plan"). Such options are fully vested in accordance with the terms of the Plan.

SEC source: 0001209191-21-066413 · doc4.xml · nonDerivative · entry 1

MCGINNIS ROBERT · CIK 0001525863 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,000

SEC source: 0001209191-21-036820 · doc4.xml · nonDerivative · entry 1

JACOBS DOUGLAS L · CIK 0001195064 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 57,090

F1 · price: The shares were issued to director as compensation for services provided to the issuer in accordance with the issuer's Incentive Award Plan and the additional terms established by resolution of the Board of Directors. The applicable closing stock price was $10.58 on May 28, 2021.

SEC source: 0001209191-21-036812 · doc4.xml · nonDerivative · entry 1

LENEHAN PAMELA F · CIK 0001202481 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,459

F1 · price: The shares were issued to director as compensation for services provided to the issuer in accordance with the issuer's Incentive Award Plan and the additional terms established by resolution of the Board of Directors. The applicable closing stock price was $10.58 on May 28, 2021.

SEC source: 0001209191-21-036814 · doc4.xml · nonDerivative · entry 1

Finnerty Kevin J · CIK 0001335440 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 270,032

F1 · price: The shares were issued to director as compensation for services provided to the issuer in accordance with the issuer's Incentive Award Plan and the additional terms established by resolution of the Board of Directors. The applicable closing stock price was $10.58 on May 28, 2021.

SEC source: 0001209191-21-036822 · doc4.xml · nonDerivative · entry 1

MCGINNIS ROBERT · CIK 0001525863 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 110,875

F1 · price: The shares were issued to director as compensation for services provided to the issuer in accordance with the issuer's Incentive Award Plan and the additional terms established by resolution of the Board of Directors. The applicable closing stock price was $10.58 on May 28, 2021.

SEC source: 0001209191-21-036824 · doc4.xml · nonDerivative · entry 1

Saltzman David · CIK 0001574248 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,816

F1 · price: The shares were issued to director as compensation for services provided to the issuer in accordance with the issuer's Incentive Award Plan and the additional terms established by resolution of the Board of Directors. The applicable closing stock price was $10.58 on May 28, 2021.

SEC source: 0001209191-21-036809 · doc4.xml · nonDerivative · entry 1

Sloves Andrew · CIK 0001679934 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 96,167

F1 · price: The shares were issued to director as compensation for services provided to the issuer in accordance with the issuer's Incentive Award Plan and the additional terms established by resolution of the Board of Directors. The applicable closing stock price was $10.58 on May 28, 2021.

SEC source: 0001209191-21-027279 · doc4.xml · nonDerivative · entry 1

Nierenberg Michael · CIK 0001591719 · Director · Chairman, CEO & President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 357,028

F1 · kind: Shares were purchased in connection with the Issuer's public offering of common stock.

SEC source: 0001209191-21-021321 · doc4.xml · derivative · entry 4

Nierenberg Michael · CIK 0001591719 · Director · Chairman, CEO & President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,553

Underlying: Common Stock, par value $0.01 per share · 1,553 shares

Expires 2030-02-28

F1 · derivative.exercise_date: Tandem awards correspond on a one-to-one basis with options granted to FIG LLC, the Company's manager (or an affiliate of the Company's manager), such that exercise by an employee of the tandem award would result in the corresponding option held by the manager being cancelled. Upon the grant of options to the manager (or an affiliate), such options are fully vested and become exercisable over a 30-month period (the "Total Exercisability Period") in monthly installments beginning on the first of each month following the month in which the options were granted. (Continued in Footnote 2)

F2 · derivative.exercise_date: When tandem awards are granted with respect to manager options, the manager options become exercisable in monthly installments over a portion of the Total Exercisability Period equal to the product of (i) the ratio of manager options not subject to corresponding tandem options to the total number of manager options (including manager options underlying such tandem awards subject to corresponding tandem options) multiplied by (ii) 30 (such period, the "Manager Exercisability Period"). Following the Manager Exercisability Period, the tandem awards vest in monthly installments on the first of each month over the remainder of the Total Exercisability Period and become exercisable only at the end of the Total Exercisability Period.

F3 · derivative.expiration_date: Represents the expiration date of the related manager option. In general, the expiration date of the tandem award occurs prior to the expiration date of the underlying option.

F4 · derivative.underlying: Tandem awards will be settled in an amount of cash equal to the excess of the fair market value of a share of our common stock on the date of exercise over the fair market value on the date of grant, unless advance approval is given by the Board of Directors or an officer of the Company, as applicable, to settle the tandem awards in shares.

SEC source: 0001209191-21-021321 · doc4.xml · derivative · entry 3

Nierenberg Michael · CIK 0001591719 · Director · Chairman, CEO & President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 394

Underlying: Common Stock, par value $0.01 per share · 394 shares

Expires 2030-02-27

F1 · derivative.exercise_date: Tandem awards correspond on a one-to-one basis with options granted to FIG LLC, the Company's manager (or an affiliate of the Company's manager), such that exercise by an employee of the tandem award would result in the corresponding option held by the manager being cancelled. Upon the grant of options to the manager (or an affiliate), such options are fully vested and become exercisable over a 30-month period (the "Total Exercisability Period") in monthly installments beginning on the first of each month following the month in which the options were granted. (Continued in Footnote 2)

F2 · derivative.exercise_date: When tandem awards are granted with respect to manager options, the manager options become exercisable in monthly installments over a portion of the Total Exercisability Period equal to the product of (i) the ratio of manager options not subject to corresponding tandem options to the total number of manager options (including manager options underlying such tandem awards subject to corresponding tandem options) multiplied by (ii) 30 (such period, the "Manager Exercisability Period"). Following the Manager Exercisability Period, the tandem awards vest in monthly installments on the first of each month over the remainder of the Total Exercisability Period and become exercisable only at the end of the Total Exercisability Period.

F3 · derivative.expiration_date: Represents the expiration date of the related manager option. In general, the expiration date of the tandem award occurs prior to the expiration date of the underlying option.

F4 · derivative.underlying: Tandem awards will be settled in an amount of cash equal to the excess of the fair market value of a share of our common stock on the date of exercise over the fair market value on the date of grant, unless advance approval is given by the Board of Directors or an officer of the Company, as applicable, to settle the tandem awards in shares.

SEC source: 0001209191-21-021321 · doc4.xml · derivative · entry 2

Nierenberg Michael · CIK 0001591719 · Director · Chairman, CEO & President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,000

Underlying: Common Stock, par value $0.01 per share · 42,000 shares

Expires 2030-02-25

F1 · derivative.exercise_date: Tandem awards correspond on a one-to-one basis with options granted to FIG LLC, the Company's manager (or an affiliate of the Company's manager), such that exercise by an employee of the tandem award would result in the corresponding option held by the manager being cancelled. Upon the grant of options to the manager (or an affiliate), such options are fully vested and become exercisable over a 30-month period (the "Total Exercisability Period") in monthly installments beginning on the first of each month following the month in which the options were granted. (Continued in Footnote 2)

F2 · derivative.exercise_date: When tandem awards are granted with respect to manager options, the manager options become exercisable in monthly installments over a portion of the Total Exercisability Period equal to the product of (i) the ratio of manager options not subject to corresponding tandem options to the total number of manager options (including manager options underlying such tandem awards subject to corresponding tandem options) multiplied by (ii) 30 (such period, the "Manager Exercisability Period"). Following the Manager Exercisability Period, the tandem awards vest in monthly installments on the first of each month over the remainder of the Total Exercisability Period and become exercisable only at the end of the Total Exercisability Period.

F3 · derivative.expiration_date: Represents the expiration date of the related manager option. In general, the expiration date of the tandem award occurs prior to the expiration date of the underlying option.

F4 · derivative.underlying: Tandem awards will be settled in an amount of cash equal to the excess of the fair market value of a share of our common stock on the date of exercise over the fair market value on the date of grant, unless advance approval is given by the Board of Directors or an officer of the Company, as applicable, to settle the tandem awards in shares.

SEC source: 0001209191-21-021321 · doc4.xml · derivative · entry 1

Nierenberg Michael · CIK 0001591719 · Director · Chairman, CEO & President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 280,000

Underlying: Common Stock, par value $0.01 per share · 280,000 shares

Expires 2030-02-14

F1 · derivative.exercise_date: Tandem awards correspond on a one-to-one basis with options granted to FIG LLC, the Company's manager (or an affiliate of the Company's manager), such that exercise by an employee of the tandem award would result in the corresponding option held by the manager being cancelled. Upon the grant of options to the manager (or an affiliate), such options are fully vested and become exercisable over a 30-month period (the "Total Exercisability Period") in monthly installments beginning on the first of each month following the month in which the options were granted. (Continued in Footnote 2)

F2 · derivative.exercise_date: When tandem awards are granted with respect to manager options, the manager options become exercisable in monthly installments over a portion of the Total Exercisability Period equal to the product of (i) the ratio of manager options not subject to corresponding tandem options to the total number of manager options (including manager options underlying such tandem awards subject to corresponding tandem options) multiplied by (ii) 30 (such period, the "Manager Exercisability Period"). Following the Manager Exercisability Period, the tandem awards vest in monthly installments on the first of each month over the remainder of the Total Exercisability Period and become exercisable only at the end of the Total Exercisability Period.

F3 · derivative.expiration_date: Represents the expiration date of the related manager option. In general, the expiration date of the tandem award occurs prior to the expiration date of the underlying option.

F4 · derivative.underlying: Tandem awards will be settled in an amount of cash equal to the excess of the fair market value of a share of our common stock on the date of exercise over the fair market value on the date of grant, unless advance approval is given by the Board of Directors or an officer of the Company, as applicable, to settle the tandem awards in shares.

SEC source: 0001209191-22-007207 · doc5.xml · nonDerivative · entry 1

LENEHAN PAMELA F · CIK 0001202481 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,192

F1 · balance_after: Amount includes shares acquired by the Reporting Person after Issuer's fiscal year end.

SEC source: 0001209191-21-000627 · doc4.xml · nonDerivative · entry 1

LENEHAN PAMELA F · CIK 0001202481 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,837

F1 · price: The shares were issued to director as compensation for services provided to the issuer in accordance with the issuer's Incentive Award Plan and the additional terms established by resolution of the Board of Directors. The applicable closing stock price was $9.48 on January 4, 2021.

SEC source: 0001209191-21-000624 · doc4.xml · nonDerivative · entry 1

Finnerty Kevin J · CIK 0001335440 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 260,580

F1 · price: The shares were issued to director as compensation for services provided to the issuer in accordance with the issuer's Incentive Award Plan and the additional terms established by resolution of the Board of Directors. The applicable closing stock price was $9.48 on January 4, 2021.

SEC source: 0001209191-21-000629 · doc4.xml · nonDerivative · entry 1

MCGINNIS ROBERT · CIK 0001525863 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 101,423

F1 · price: The shares were issued to director as compensation for services provided to the issuer in accordance with the issuer's Incentive Award Plan and the additional terms established by resolution of the Board of Directors. The applicable closing stock price was $9.48 on January 4, 2021.