RSVR

SEC source: 0000950142-22-000733 · es220226156_4-rothstein.xml · nonDerivative · entry 1

Rothstein Adam · CIK 0001602273 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 221,774

F1 · price: The Reporting Person purchased 19,240 shares of common stock, par value $0.0001 per share (the "Common Stock"), of Reservoir Media, Inc. (the "Issuer") in multiple trades at prices ranging from $6.78 to $6.98 per share. The price reported above reflects the weighted average purchase price per share of the Common Stock. The Reporting Person hereby undertakes to provide to the Securities and Exchange Commission staff, the Issuer or any security holder of the Issuer, upon request, full information regarding the number of shares of the Common Stock and prices at which the transaction was effected.

SEC source: 0001214659-22-002783 · marketforms-55436.xml · nonDerivative · entry 2

Richmond Hill Capital Partners, LP · CIK 0001501574 · May be deemed a 10% owner

Richmond Hill Investment Co., LP · CIK 0001501577 · 10% owner

Richmond Hill Capital Management, LLC · CIK 0001501573 · 10% owner

Taylor Ryan P. · CIK 0001501578 · May be deemed a 10% owner

LIU JOHN D · CIK 0001288449 · May be deemed a 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,441

F9 · price: The 2,923 Shares of the Issuer reported on this Form 4 were purchased in multiple trades at prices ranging from $6.96 to $7.05 per share. The price reported above reflects the weighted average purchase price per Share. The Reporting Persons hereby undertake to provide to the Securities and Exchange Commission staff, the Issuer or any security holder of the Issuer, upon request, full information regarding the number of Shares purchased and prices at which the transactions were effected.

F2 · ownership.direct: The Reporting Persons listed on this Form 4 may be deemed members of a group holding equity securities of the Issuer. The filing of this Form 4 shall not be deemed to be an admission that the Reporting Persons are members of such group.

F3 · ownership.direct: The Reporting Persons listed on this Form 4 may be deemed members of a group with Essex Equity Joint Investment Vehicle, LLC and certain of its affiliates (collectively, the "Essex Entities"), which are separately filing a Form 4 with respect to equity securities of the Issuer on the date hereof, and with ER Reservoir LLC and certain of its affiliates (collectively, the "ER Entities"), which have previously filed a Form 3 with respect to equity securities of the Issuer. The filing of this Form 4 shall not be deemed to be an admission that the Reporting Persons are members of such a group with any of the Essex Entities or the ER Entities and the Reporting Persons disclaim beneficial ownership of any securities beneficially owned by the Essex Entities and the ER Entities, except to the extent of their pecuniary interests therein.

F4 · ownership.direct: The amount of securities shown in this row is owned directly by Richmond Hill Capital Partners, LP ("RHCP"). John D. Liu owns an equity interest in an entity that may be deemed to have a pecuniary interest in the Shares owned by RHCP and therefore may be deemed to be a beneficial owner of the Shares owned by RHCP. Mr. Liu disclaims any beneficial ownership of any of the Issuer's securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or otherwise, except to the extent of his pecuniary interest therein, and the inclusion of the Shares in this Report shall not be deemed an admission of beneficial ownership of the reported Shares for purposes of Section 16 of the Exchange Act, or for any other purpose.

F5 · ownership.direct: As the general partner of RHCP, Richmond Hill Advisors, LLC (the "General Partner") may be deemed to be a beneficial owner of the Issuer's securities held by RHCP. The General Partner disclaims any beneficial ownership of any of the Issuer's securities reported herein for purposes of Section 16 of the Exchange Act, or otherwise, except to the extent of its pecuniary interest therein

F6 · ownership.direct: As the investment adviser to RHCP, Richmond Hill Investment Co., LP ("RHIC") may be deemed to be a beneficial owner of the Issuer's securities held by RHCP. RHIC disclaims any beneficial ownership of any of the Issuer's securities reported herein for purposes of Section 16 of the Exchange Act or otherwise, except to the extent of its pecuniary interest therein.

F7 · ownership.direct: As the general partner of RHIC, Richmond Hill Capital Management, LLC ("RHCM") may be deemed to be a beneficial owner of the Issuer's securities held by RHCP. RHCM disclaims any beneficial ownership of any of the Issuer's securities reported herein for purposes of Section 16 of the Exchange Act or otherwise, except to the extent of its pecuniary interest therein.

F8 · ownership.direct: As the managing member of the General Partner and the manager of RHCM, Ryan P. Taylor may be deemed to be a beneficial owner of the Issuer's securities held by RHCP. Mr. Taylor disclaims any beneficial ownership of any of the Issuer's securities reported herein for purposes of Section 16 of the Exchange Act or otherwise, except to the extent of his pecuniary interest therein.

SEC source: 0000950142-22-000734 · es220226604_4-taylor.xml · nonDerivative · entry 4

Taylor Ryan P. · CIK 0001501578 · Director · See Remarks

10b5-1 filing: Not disclosed

Ownership: Indirect · By Essex Equity Joint Investment Vehicle, LLC

Disclosed balance after: 136,364

F6 · price: The 6,821 Shares reported on this Form 4 were purchased in multiple trades at prices ranging from $6.96 to $7.05 per Share. The price reported above reflects the weighted average purchase price per Share. The Reporting Person hereby undertakes to provide to the Securities and Exchange Commission staff, the Issuer or any security holder of the Issuer, upon request, full information regarding the number of Shares purchased and prices at which the transactions were effected.

F5 · ownership.nature: The amount of securities shown in this row is owned directly by Essex Equity Joint Investment Vehicle, LLC ("EEJIV"). Ryan P. Taylor owns an equity interest in an entity that may be deemed to have a pecuniary interest in the Shares owned by EEJIV and therefore may be deemed to be a beneficial owner of the Shares owned by EEJIV. Mr. Taylor disclaims any beneficial ownership of any of the Issuer's securities reported herein for purposes of Section 16 of the Exchange Act or otherwise, except to the extent of his pecuniary interest therein, and the inclusion of the Shares in this Report shall not be deemed an admission of beneficial ownership of the reported Shares for purposes of Section 16 of the Exchange Act, or for any other purpose.

SEC source: 0000950142-22-000734 · es220226604_4-taylor.xml · nonDerivative · entry 2

Taylor Ryan P. · CIK 0001501578 · Director · See Remarks

10b5-1 filing: Not disclosed

Ownership: Indirect · By Richmond Hill Capital Partners, LP

Disclosed balance after: 58,441

F3 · price: The 2,923 Shares reported on this Form 4 were purchased in multiple trades at prices ranging from $6.96 to $7.05 per Share. The price reported above reflects the weighted average purchase price per Share. The Reporting Person hereby undertakes to provide to the Securities and Exchange Commission staff, the Issuer or any security holder of the Issuer, upon request, full information regarding the number of Shares purchased and prices at which the transactions were effected.

F2 · ownership.nature: The amount of securities shown in this row is owned directly by Richmond Hill Capital Partners, LP ("RHCP"). Ryan P. Taylor is the managing member of the general partner of RHCP and the manager of the general partner of Richmond Hill Investment Co., LP, the investment adviser to RHCP, and may be deemed to be a beneficial owner of the Shares owned by RHCP. Mr. Taylor disclaims any beneficial ownership of any of the Issuer's securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") or otherwise, except to the extent of his pecuniary interest therein, and the inclusion of the Shares in this Report shall not be deemed an admission of beneficial ownership of the reported Shares for purposes of Section 16 of the Exchange Act, or for any other purpose.

SEC source: 0000950142-22-000736 · es220226309_4-cook.xml · derivative · entry 4

Cook Stephen M. · CIK 0001867327 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By BTCSJC Music LLC

Disclosed balance after: 1,510

Underlying: Common Stock · 1,510 shares

Expires 2026-07-28

F3 · price: The Reporting Person purchased 1,510 warrants, each whole warrant exercisable to purchase one share of the Common Stock at $11.50, in multiple trades at prices ranging from $1.09 to $1.12 per warrant. The price reported above reflects the weighted average purchase price per warrant. The Reporting Person hereby undertakes to provide to the Securities and Exchange Commission staff, the Issuer or any security holder of the Issuer, upon request, full information regarding the number of warrants and prices at which the transaction was effected.

SEC source: 0000950142-22-000736 · es220226309_4-cook.xml · nonDerivative · entry 1

Cook Stephen M. · CIK 0001867327 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By BTCSJC Music LLC

Disclosed balance after: 158,736

F1 · price: The Reporting Person purchased 16,510 shares of common stock, par value $0.0001 per share (the "Common Stock"), of Reservoir Media, Inc. (the "Issuer") in multiple trades at prices ranging from $6.92 to $7.12 per share. The price reported above reflects the weighted average purchase price per share of the Common Stock. The Reporting Person hereby undertakes to provide to the Securities and Exchange Commission staff, the Issuer or any security holder of the Issuer, upon request, full information regarding the number of shares of the Common Stock purchased and prices at which the transactions were effected.

SEC source: 0000950142-22-000694 · es220225672_4-rothstein.xml · nonDerivative · entry 1

Rothstein Adam · CIK 0001602273 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 202,534

F1 · price: The Reporting Person purchased 41,345 shares of common stock, par value $0.0001 per share (the "Common Stock"), of Reservoir Media, Inc. (the "Issuer") in multiple trades at prices ranging from $5.91 to $6.85 per share. The price reported above reflects the weighted average purchase price per share of the Common Stock. The Reporting Person hereby undertakes to provide to the Securities and Exchange Commission staff, the Issuer or any security holder of the Issuer, upon request, full information regarding the number of shares of the Common Stock and prices at which the transaction was effected.

SEC source: 0001214659-22-002784 · marketforms-55438.xml · nonDerivative · entry 1

Richmond Hill Investments, LLC · CIK 0001455952 · May be deemed a 10% owner

ESSEX EQUITY HOLDINGS, LLC · CIK 0001667008 · May be deemed a 10% owner

LIU JOHN D · CIK 0001288449 · May be deemed a 10% owner

Taylor Ryan P. · CIK 0001501578 · May be deemed a 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 129,543

F1 · price: The 129,543 shares of common stock, par value $0.0001 per share (the "Shares"), of Reservoir Media, Inc. (the "Issuer") reported on this Form 4 were purchased in multiple trades at prices ranging from $6.025 to $7.00 per share. The price reported above reflects the weighted average purchase price per Share. The Reporting Persons hereby undertake to provide to the Securities and Exchange Commission staff, the Issuer or any security holder of the Issuer, upon request, full information regarding the number of Shares purchased and prices at which the transactions were effected.

F2 · ownership.direct: The Reporting Persons listed on this Form 4 may be deemed members of a group holding equity securities of the Issuer. The filing of this Form 4 shall not be deemed to be an admission that the Reporting Persons are members of such group.

F3 · ownership.direct: The Reporting Persons listed on this Form 4 may be deemed members of a group with Richmond Hill Capital Partners, LP and certain of its affiliates (collectively, the "RH Entities"), which are separately filing a Form 4 with respect to equity securities of the Issuer on the date hereof, and with ER Reservoir LLC and certain of its affiliates (collectively, the "ER Entities"), which have previously filed a Form 3 with respect to equity securities of the Issuer. The filing of this Form 4 shall not be deemed to be an admission that the Reporting Persons are members of such a group with any of the RH Entities or the ER Entities and the Reporting Persons disclaim beneficial ownership of any securities beneficially owned by the RH Entities and the ER Entities, except to the extent of their pecuniary interests therein.

F4 · ownership.direct: The amount of securities shown in this row is owned directly by Essex Equity Joint Investment Vehicle, LLC ("Essex"). Ryan P. Taylor owns an equity interest in an entity that may be deemed to have a pecuniary interest in the Shares owned by Essex and therefore may be deemed to be a beneficial owner of the Shares owned by Essex. Mr. Taylor disclaims any beneficial ownership of any of the Issuer's securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or otherwise, except to the extent of his pecuniary interest therein, and the inclusion of the Shares in this Report shall not be deemed an admission of beneficial ownership of the reported Shares for purposes of Section 16 of the Exchange Act, or for any other purpose.

F5 · ownership.direct: As the manager of Essex, Richmond Hill Investments, LLC (the "RHI Manager") may be deemed to be a beneficial owner of the Issuer's securities held by Essex. The RHI Manager disclaims any beneficial ownership of any of the Issuer's securities reported herein for purposes of Section 16 of the Exchange Act, or otherwise, except to the extent of its pecuniary interest therein.

F6 · ownership.direct: As the manager of the RHI Manager, Essex Equity Holdings, LLC (the "EEH Manager") may be deemed to be a beneficial owner of the Issuer's securities held by Essex. The EEH Manager disclaims any beneficial ownership of any of the Issuer's securities reported herein for purposes of Section 16 of the Exchange Act or otherwise, except to the extent of its pecuniary interest therein.

F7 · ownership.direct: As the manager of the EEH Manager, John D. Liu may be deemed to be a beneficial owner of the Issuer's securities held by Essex. Mr. Liu disclaims any beneficial ownership of any of the Issuer's securities reported herein for purposes of Section 16 of the Exchange Act or otherwise, except to the extent of his pecuniary interest therein.

SEC source: 0001214659-22-002783 · marketforms-55436.xml · nonDerivative · entry 1

Richmond Hill Capital Partners, LP · CIK 0001501574 · May be deemed a 10% owner

Richmond Hill Investment Co., LP · CIK 0001501577 · 10% owner

Richmond Hill Capital Management, LLC · CIK 0001501573 · 10% owner

Taylor Ryan P. · CIK 0001501578 · May be deemed a 10% owner

LIU JOHN D · CIK 0001288449 · May be deemed a 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,518

F1 · price: The 55,518 shares of common stock, par value $0.0001 per share (the "Shares"), of Reservoir Media, Inc. (the "Issuer") reported on this Form 4 were purchased in multiple trades at prices ranging from $6.025 to $7.00 per share. The price reported above reflects the weighted average purchase price per Share. The Reporting Persons hereby undertake to provide to the Securities and Exchange Commission staff, the Issuer or any security holder of the Issuer, upon request, full information regarding the number of Shares purchased and prices at which the transactions were effected.

F2 · ownership.direct: The Reporting Persons listed on this Form 4 may be deemed members of a group holding equity securities of the Issuer. The filing of this Form 4 shall not be deemed to be an admission that the Reporting Persons are members of such group.

F3 · ownership.direct: The Reporting Persons listed on this Form 4 may be deemed members of a group with Essex Equity Joint Investment Vehicle, LLC and certain of its affiliates (collectively, the "Essex Entities"), which are separately filing a Form 4 with respect to equity securities of the Issuer on the date hereof, and with ER Reservoir LLC and certain of its affiliates (collectively, the "ER Entities"), which have previously filed a Form 3 with respect to equity securities of the Issuer. The filing of this Form 4 shall not be deemed to be an admission that the Reporting Persons are members of such a group with any of the Essex Entities or the ER Entities and the Reporting Persons disclaim beneficial ownership of any securities beneficially owned by the Essex Entities and the ER Entities, except to the extent of their pecuniary interests therein.

F4 · ownership.direct: The amount of securities shown in this row is owned directly by Richmond Hill Capital Partners, LP ("RHCP"). John D. Liu owns an equity interest in an entity that may be deemed to have a pecuniary interest in the Shares owned by RHCP and therefore may be deemed to be a beneficial owner of the Shares owned by RHCP. Mr. Liu disclaims any beneficial ownership of any of the Issuer's securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or otherwise, except to the extent of his pecuniary interest therein, and the inclusion of the Shares in this Report shall not be deemed an admission of beneficial ownership of the reported Shares for purposes of Section 16 of the Exchange Act, or for any other purpose.

F5 · ownership.direct: As the general partner of RHCP, Richmond Hill Advisors, LLC (the "General Partner") may be deemed to be a beneficial owner of the Issuer's securities held by RHCP. The General Partner disclaims any beneficial ownership of any of the Issuer's securities reported herein for purposes of Section 16 of the Exchange Act, or otherwise, except to the extent of its pecuniary interest therein

F6 · ownership.direct: As the investment adviser to RHCP, Richmond Hill Investment Co., LP ("RHIC") may be deemed to be a beneficial owner of the Issuer's securities held by RHCP. RHIC disclaims any beneficial ownership of any of the Issuer's securities reported herein for purposes of Section 16 of the Exchange Act or otherwise, except to the extent of its pecuniary interest therein.

F7 · ownership.direct: As the general partner of RHIC, Richmond Hill Capital Management, LLC ("RHCM") may be deemed to be a beneficial owner of the Issuer's securities held by RHCP. RHCM disclaims any beneficial ownership of any of the Issuer's securities reported herein for purposes of Section 16 of the Exchange Act or otherwise, except to the extent of its pecuniary interest therein.

F8 · ownership.direct: As the managing member of the General Partner and the manager of RHCM, Ryan P. Taylor may be deemed to be a beneficial owner of the Issuer's securities held by RHCP. Mr. Taylor disclaims any beneficial ownership of any of the Issuer's securities reported herein for purposes of Section 16 of the Exchange Act or otherwise, except to the extent of his pecuniary interest therein.

SEC source: 0000950142-22-000734 · es220226604_4-taylor.xml · nonDerivative · entry 3

Taylor Ryan P. · CIK 0001501578 · Director · See Remarks

10b5-1 filing: Not disclosed

Ownership: Indirect · By Essex Equity Joint Investment Vehicle, LLC

Disclosed balance after: 129,543

F4 · price: The 129,543 Shares reported on this Form 4 were purchased in multiple trades at prices ranging from $6.025 to $7.00 per Share. The price reported above reflects the weighted average purchase price per Share. The Reporting Person hereby undertakes to provide to the Securities and Exchange Commission staff, the Issuer or any security holder of the Issuer, upon request, full information regarding the number of Shares purchased and prices at which the transactions were effected.

F5 · ownership.nature: The amount of securities shown in this row is owned directly by Essex Equity Joint Investment Vehicle, LLC ("EEJIV"). Ryan P. Taylor owns an equity interest in an entity that may be deemed to have a pecuniary interest in the Shares owned by EEJIV and therefore may be deemed to be a beneficial owner of the Shares owned by EEJIV. Mr. Taylor disclaims any beneficial ownership of any of the Issuer's securities reported herein for purposes of Section 16 of the Exchange Act or otherwise, except to the extent of his pecuniary interest therein, and the inclusion of the Shares in this Report shall not be deemed an admission of beneficial ownership of the reported Shares for purposes of Section 16 of the Exchange Act, or for any other purpose.

SEC source: 0000950142-22-000734 · es220226604_4-taylor.xml · nonDerivative · entry 1

Taylor Ryan P. · CIK 0001501578 · Director · See Remarks

10b5-1 filing: Not disclosed

Ownership: Indirect · By Richmond Hill Capital Partners, LP

Disclosed balance after: 55,518

F1 · price: The 55,518 shares of common stock, par value $0.0001 per share (the "Shares"), of Reservoir Media, Inc. (the "Issuer") reported on this Form 4 were purchased in multiple trades at prices ranging from $6.025 to $7.00 per Share. The price reported above reflects the weighted average purchase price per Share. The Reporting Person hereby undertakes to provide to the Securities and Exchange Commission staff, the Issuer or any security holder of the Issuer, upon request, full information regarding the number of Shares purchased and prices at which the transactions were effected.

F2 · ownership.nature: The amount of securities shown in this row is owned directly by Richmond Hill Capital Partners, LP ("RHCP"). Ryan P. Taylor is the managing member of the general partner of RHCP and the manager of the general partner of Richmond Hill Investment Co., LP, the investment adviser to RHCP, and may be deemed to be a beneficial owner of the Shares owned by RHCP. Mr. Taylor disclaims any beneficial ownership of any of the Issuer's securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") or otherwise, except to the extent of his pecuniary interest therein, and the inclusion of the Shares in this Report shall not be deemed an admission of beneficial ownership of the reported Shares for purposes of Section 16 of the Exchange Act, or for any other purpose.

SEC source: 0000950142-21-003316 · es210196236_4-lafarguejr.xml · nonDerivative · entry 1

Lafargue Rell Q. Jr. · CIK 0001865887 · Director · President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,571

F1 · kind: Represents restricted stock units ("RSUs") awarded under the Reservoir Media, Inc. 2021 Omnibus Incentive Plan. Each RSU represents a contingent right to receive one share of common stock, $0.0001 par value per share, of Reservoir Media, Inc. (the "Issuer"). The RSUs will vest on February 15, 2022, subject to the Reporting Person's continued service to the Issuer on such date.

SEC source: 0000950142-21-003314 · es210196232_4-heindlmeyer.xml · nonDerivative · entry 1

Heindlmeyer James A · CIK 0001864346 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,547

F1 · kind: Represents restricted stock units ("RSUs") awarded under the Reservoir Media, Inc. 2021 Omnibus Incentive Plan. Each RSU represents a contingent right to receive one share of common stock, $0.0001 par value per share, of Reservoir Media, Inc. (the "Issuer"). The RSUs will vest on February 15, 2022, subject to the Reporting Person's continued service to the Issuer on such date.

SEC source: 0000950142-21-003315 · es210196234_4-khosrowshahig.xml · nonDerivative · entry 1

Khosrowshahi Golnar · CIK 0001743515 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 102,541

F1 · kind: Represents restricted stock units ("RSUs") awarded under the Reservoir Media, Inc. 2021 Omnibus Incentive Plan. Each RSU represents a contingent right to receive one share of common stock, $0.0001 par value per share, of Reservoir Media, Inc. (the "Issuer"). The RSUs will vest on February 15, 2022, subject to the Reporting Person's continued service to the Issuer on such date.

SEC source: 0000950142-21-002825 · es210182605_4-cook.xml · nonDerivative · entry 2

Cook Stephen M. · CIK 0001867327 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By BTCSJC Music LLC

Disclosed balance after: 142,226

F2 · price: The Reporting Person purchased 10,115 shares of Common Stock in multiple trades at prices ranging from $8.72 to $9.00 per share. The price reported above reflects the weighted average purchase price per share of the Common Stock. The Reporting Person hereby undertakes to provide to the Securities and Exchange Commission staff, the Issuer or any security holder of the Issuer, upon request, full information regarding the number of shares of the Common Stock purchased and prices at which the transactions were effected.

SEC source: 0000950142-21-002825 · es210182605_4-cook.xml · nonDerivative · entry 1

Cook Stephen M. · CIK 0001867327 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By BTCSJC Music LLC

Disclosed balance after: 132,111

F1 · price: The Reporting Person purchased 21,400 shares of common stock, par value $0.0001 per share (the "Common Stock"), of Reservoir Media, Inc. (the "Issuer") in multiple trades at prices ranging from $8.63 to $8.75 per share. The price reported above reflects the weighted average purchase price per share of the Common Stock. The Reporting Person hereby undertakes to provide to the Securities and Exchange Commission staff, the Issuer or any security holder of the Issuer, upon request, full information regarding the number of shares of the Common Stock purchased and prices at which the transactions were effected.

SEC source: 0000950142-21-002731 · es210180034_4-rothstein.xml · derivative · entry 4

Rothstein Adam · CIK 0001602273 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 160,526

Underlying: Common stock · 19,677 shares

Expires 2026-07-28

F4 · price: The Reporting Person purchased 19,677 warrants, each whole warrant exercisable to purchase one share of the Common Stock at $11.50, in multiple trades at prices ranging from $0.79 to $0.83 per warrant. The price reported above reflects the weighted average purchase price per warrant. The Reporting Person hereby undertakes to provide to the Securities and Exchange Commission staff, the Issuer or any security holder of the Issuer, upon request, full information regarding the number of warrants and prices at which the transaction was effected.

SEC source: 0000950142-21-002731 · es210180034_4-rothstein.xml · nonDerivative · entry 2

Rothstein Adam · CIK 0001602273 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 161,189

F2 · price: The Reporting Person purchased 6,800 shares of the Common Stock in multiple trades at prices ranging from $7.65 to $7.79 per share. The price reported above reflects the weighted average purchase price per share of the Common Stock. The Reporting Person hereby undertakes to provide to the Securities and Exchange Commission staff, the Issuer or any security holder of the Issuer, upon request, full information regarding the number of shares of the Common Stock and prices at which the transaction was effected.

SEC source: 0000950142-21-002731 · es210180034_4-rothstein.xml · derivative · entry 3

Rothstein Adam · CIK 0001602273 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 140,849

Underlying: Common stock · 20,000 shares

Expires 2026-07-28

F3 · price: The Reporting Person purchased 20,000 warrants, each whole warrant exercisable to purchase one share of the Common Stock at $11.50, in multiple trades at prices ranging from $0.84 to $0.85 per warrant. The price reported above reflects the weighted average purchase price per warrant. The Reporting Person hereby undertakes to provide to the Securities and Exchange Commission staff, the Issuer or any security holder of the Issuer, upon request, full information regarding the number of warrants and prices at which the transaction was effected.

SEC source: 0000950142-21-002731 · es210180034_4-rothstein.xml · nonDerivative · entry 1

Rothstein Adam · CIK 0001602273 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 154,389

F1 · price: The Reporting Person purchased 10,200 shares of common stock, par value $0.0001 per share (the "Common Stock"), of Reservoir Media, Inc. (the "Issuer") in multiple trades at prices ranging from $7.70 to $8.00 per share. The price reported above reflects the weighted average purchase price per share of the Common Stock. The Reporting Person hereby undertakes to provide to the Securities and Exchange Commission staff, the Issuer or any security holder of the Issuer, upon request, full information regarding the number of shares of the Common Stock and prices at which the transaction was effected.

SEC source: 0000950142-21-002488 · es210171321_4-lafarguejr.xml · derivative · entry 1

Lafargue Rell Q. Jr. · CIK 0001865887 · Director · President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 352,918

Underlying: Common Stock · 352,918 shares

Expires 2029-05-01

F1 · price: Pursuant to the Merger Agreement, at the Effective Time (as defined therein), each outstanding option of Reservoir Holdings, Inc. ("Reservoir Option") was assumed and converted into an option to purchase the number of shares of Reservoir Media, Inc.'s ("RMI") common stock, $0.0001 par value per share, (rounded down to the nearest whole share) determined by multiplying (i) the number of shares of common stock subject to the Reservoir Option immediately prior to the Effective Time by (ii) exchange ratio, with an exercise price determined by dividing (i) the exercise price of the Reservoir Option immediately prior to the Effective Time by (ii) the exchange ratio. The converted options fully vested at the Effective Time and are exercisable and will otherwise be subject to the same terms and conditions as were applicable to the Reservoir Options prior to the Effective Time. For purposes of this paragraph, "Merger Agreement" means that (cont'd in FN 2)

F2 · price: (cont'd from FN 1) agreement and plan of merger, dated as of April 14, 2021, by and among RMI (formerly known as Roth CH Acquisition II Co.), Roth CH II Merger Sub Corp. and Reservoir Holdings, Inc.

F1 · derivative.exercise_date: Pursuant to the Merger Agreement, at the Effective Time (as defined therein), each outstanding option of Reservoir Holdings, Inc. ("Reservoir Option") was assumed and converted into an option to purchase the number of shares of Reservoir Media, Inc.'s ("RMI") common stock, $0.0001 par value per share, (rounded down to the nearest whole share) determined by multiplying (i) the number of shares of common stock subject to the Reservoir Option immediately prior to the Effective Time by (ii) exchange ratio, with an exercise price determined by dividing (i) the exercise price of the Reservoir Option immediately prior to the Effective Time by (ii) the exchange ratio. The converted options fully vested at the Effective Time and are exercisable and will otherwise be subject to the same terms and conditions as were applicable to the Reservoir Options prior to the Effective Time. For purposes of this paragraph, "Merger Agreement" means that (cont'd in FN 2)

F2 · derivative.exercise_date: (cont'd from FN 1) agreement and plan of merger, dated as of April 14, 2021, by and among RMI (formerly known as Roth CH Acquisition II Co.), Roth CH II Merger Sub Corp. and Reservoir Holdings, Inc.

SEC source: 0000950142-21-002481 · es210171319_4-heindlmeyer.xml · derivative · entry 1

Heindlmeyer James A · CIK 0001864346 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,466

Underlying: Common Stock · 56,466 shares

Expires 2030-01-14

F1 · price: Pursuant to the Merger Agreement, at the Effective Time (as defined therein), each outstanding option of Reservoir Holdings, Inc. ("Reservoir Option") was assumed and converted into an option to purchase the number of shares of Reservoir Media, Inc.'s ("RMI") common stock, $0.0001 par value per share, (rounded down to the nearest whole share) determined by multiplying (i) the number of shares of common stock subject to the Reservoir Option immediately prior to the Effective Time by (ii) exchange ratio, with an exercise price determined by dividing (i) the exercise price of the Reservoir Option immediately prior to the Effective Time by (ii) the exchange ratio. The converted options fully vested at the Effective Time and are exercisable and will otherwise be subject to the same terms and conditions as were applicable to the Reservoir Options prior to the Effective Time. For purposes of this paragraph, "Merger Agreement" means that (cont'd in FN 2)

F2 · price: (cont'd from FN 1) agreement and plan of merger, dated as of April 14, 2021, by and among RMI (formerly known as Roth CH Acquisition II Co.), Roth CH II Merger Sub Corp. and Reservoir Holdings, Inc.

F1 · derivative.exercise_date: Pursuant to the Merger Agreement, at the Effective Time (as defined therein), each outstanding option of Reservoir Holdings, Inc. ("Reservoir Option") was assumed and converted into an option to purchase the number of shares of Reservoir Media, Inc.'s ("RMI") common stock, $0.0001 par value per share, (rounded down to the nearest whole share) determined by multiplying (i) the number of shares of common stock subject to the Reservoir Option immediately prior to the Effective Time by (ii) exchange ratio, with an exercise price determined by dividing (i) the exercise price of the Reservoir Option immediately prior to the Effective Time by (ii) the exchange ratio. The converted options fully vested at the Effective Time and are exercisable and will otherwise be subject to the same terms and conditions as were applicable to the Reservoir Options prior to the Effective Time. For purposes of this paragraph, "Merger Agreement" means that (cont'd in FN 2)

F2 · derivative.exercise_date: (cont'd from FN 1) agreement and plan of merger, dated as of April 14, 2021, by and among RMI (formerly known as Roth CH Acquisition II Co.), Roth CH II Merger Sub Corp. and Reservoir Holdings, Inc.

SEC source: 0000950142-21-002489 · es210171322_4-rothstein.xml · nonDerivative · entry 1

Rothstein Adam · CIK 0001602273 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 144,189

F1 · kind: Pursuant to the subscription agreement, dated as of April 14, 2021, with Reservoir Media, Inc. (formerly known as Roth CH Acquisition II Co. ("RMI")), the Reporting Person acquired 25,000 shares of common stock, $0.0001 par value per share, of RMI for an aggregate purchase price of $250,000, as an investor in the private investment in public equity investment (a "PIPE Investment") in RMI. The PIPE Investment occurred substantially concurrently with the closing of the business combination (the "Business Combination") on July 28, 2021, pursuant to the agreement and plan of merger, dated as of April 14, 2021 (the "Merger Agreement"), by and among RMI, Roth CH II Merger Sub Corp. ("Merger Sub") and Reservoir Holdings, Inc. ("Reservoir"). In connection with the consummation of the Business Combination and transactions contemplated by the Merger Agreement, Merger Sub was merged with and into Reservoir, with Reservoir surviving the merger as a wholly-owned subsidiary of RMI.

F1 · price: Pursuant to the subscription agreement, dated as of April 14, 2021, with Reservoir Media, Inc. (formerly known as Roth CH Acquisition II Co. ("RMI")), the Reporting Person acquired 25,000 shares of common stock, $0.0001 par value per share, of RMI for an aggregate purchase price of $250,000, as an investor in the private investment in public equity investment (a "PIPE Investment") in RMI. The PIPE Investment occurred substantially concurrently with the closing of the business combination (the "Business Combination") on July 28, 2021, pursuant to the agreement and plan of merger, dated as of April 14, 2021 (the "Merger Agreement"), by and among RMI, Roth CH II Merger Sub Corp. ("Merger Sub") and Reservoir Holdings, Inc. ("Reservoir"). In connection with the consummation of the Business Combination and transactions contemplated by the Merger Agreement, Merger Sub was merged with and into Reservoir, with Reservoir surviving the merger as a wholly-owned subsidiary of RMI.

F1 · acquired: Pursuant to the subscription agreement, dated as of April 14, 2021, with Reservoir Media, Inc. (formerly known as Roth CH Acquisition II Co. ("RMI")), the Reporting Person acquired 25,000 shares of common stock, $0.0001 par value per share, of RMI for an aggregate purchase price of $250,000, as an investor in the private investment in public equity investment (a "PIPE Investment") in RMI. The PIPE Investment occurred substantially concurrently with the closing of the business combination (the "Business Combination") on July 28, 2021, pursuant to the agreement and plan of merger, dated as of April 14, 2021 (the "Merger Agreement"), by and among RMI, Roth CH II Merger Sub Corp. ("Merger Sub") and Reservoir Holdings, Inc. ("Reservoir"). In connection with the consummation of the Business Combination and transactions contemplated by the Merger Agreement, Merger Sub was merged with and into Reservoir, with Reservoir surviving the merger as a wholly-owned subsidiary of RMI.

SEC source: 0000950142-21-002491 · es210172464_4-taylor.xml · nonDerivative · entry 1

Taylor Ryan P. · CIK 0001501578 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By ER Reservoir LLC

Disclosed balance after: 13,592,793

F1 · kind: Received in connection with the agreement and plan of merger, dated as of April 14, 2021, by and among Reservoir Media, Inc. (formerly known as Roth CH Acquisition II Co. ("RMI")), Roth CH II Merger Sub Corp. ("Merger Sub") and Reservoir Holdings, Inc. ("Reservoir"), pursuant to which Merger Sub merged with and into Reservoir, with Reservoir surviving the merger as a wholly-owned subsidiary of RMI (the "Business Combination"). The Reporting Person received the shares of common stock, $0.0001 par value per share, of RMI (the "Shares") as consideration for the Business Combination. The Reporting Person disclaims beneficial ownership of the Shares except to the extent of his pecuniary interest therein, and the inclusion of the Shares in this Report shall not be deemed an admission of beneficial ownership of all of the reported Shares for purposes of Section 16 of the Securities Exchange of 1934, as amended, or for any other purpose.

F1 · price: Received in connection with the agreement and plan of merger, dated as of April 14, 2021, by and among Reservoir Media, Inc. (formerly known as Roth CH Acquisition II Co. ("RMI")), Roth CH II Merger Sub Corp. ("Merger Sub") and Reservoir Holdings, Inc. ("Reservoir"), pursuant to which Merger Sub merged with and into Reservoir, with Reservoir surviving the merger as a wholly-owned subsidiary of RMI (the "Business Combination"). The Reporting Person received the shares of common stock, $0.0001 par value per share, of RMI (the "Shares") as consideration for the Business Combination. The Reporting Person disclaims beneficial ownership of the Shares except to the extent of his pecuniary interest therein, and the inclusion of the Shares in this Report shall not be deemed an admission of beneficial ownership of all of the reported Shares for purposes of Section 16 of the Securities Exchange of 1934, as amended, or for any other purpose.

SEC source: 0000950142-21-002487 · es210171320_4-khosrowshahig.xml · derivative · entry 1

Khosrowshahi Golnar · CIK 0001743515 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 352,918

Underlying: Common Stock · 352,918 shares

Expires 2029-05-01

F1 · price: Pursuant to the Merger Agreement, at the Effective Time (as defined therein), each outstanding option of Reservoir Holdings, Inc. ("Reservoir Option") was assumed and converted into an option to purchase the number of shares of Reservoir Media, Inc.'s ("RMI") common stock, $0.0001 par value per share, (rounded down to the nearest whole share) determined by multiplying (i) the number of shares of common stock subject to the Reservoir Option immediately prior to the Effective Time by (ii) exchange ratio, with an exercise price determined by dividing (i) the exercise price of the Reservoir Option immediately prior to the Effective Time by (ii) the exchange ratio. The converted options fully vested at the Effective Time and are exercisable and will otherwise be subject to the same terms and conditions as were applicable to the Reservoir Options prior to the Effective Time. For purposes of this paragraph, "Merger Agreement" means that (cont'd in FN 2)

F2 · price: (cont'd from FN 1) agreement and plan of merger, dated as of April 14, 2021, by and among RMI (formerly known as Roth CH Acquisition II Co.), Roth CH II Merger Sub Corp. and Reservoir Holdings, Inc.

F1 · derivative.exercise_date: Pursuant to the Merger Agreement, at the Effective Time (as defined therein), each outstanding option of Reservoir Holdings, Inc. ("Reservoir Option") was assumed and converted into an option to purchase the number of shares of Reservoir Media, Inc.'s ("RMI") common stock, $0.0001 par value per share, (rounded down to the nearest whole share) determined by multiplying (i) the number of shares of common stock subject to the Reservoir Option immediately prior to the Effective Time by (ii) exchange ratio, with an exercise price determined by dividing (i) the exercise price of the Reservoir Option immediately prior to the Effective Time by (ii) the exchange ratio. The converted options fully vested at the Effective Time and are exercisable and will otherwise be subject to the same terms and conditions as were applicable to the Reservoir Options prior to the Effective Time. For purposes of this paragraph, "Merger Agreement" means that (cont'd in FN 2)

F2 · derivative.exercise_date: (cont'd from FN 1) agreement and plan of merger, dated as of April 14, 2021, by and among RMI (formerly known as Roth CH Acquisition II Co.), Roth CH II Merger Sub Corp. and Reservoir Holdings, Inc.

SEC source: 0000950142-21-002490 · es210172463_4-cook.xml · nonDerivative · entry 2

Cook Stephen M. · CIK 0001867327 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By BTCSJC Music LLC

Disclosed balance after: 110,711

F1 · kind: Received in connection with the agreement and plan of merger, dated as of April 14, 2021, by and among Reservoir Media, Inc. (formerly known as Roth CH Acquisition II Co. ("RMI")), Roth CH II Merger Sub Corp. ("Merger Sub") and Reservoir Holdings, Inc. ("Reservoir"), pursuant to which Merger Sub merged with and into Reservoir, with Reservoir surviving the merger as a wholly-owned subsidiary of RMI (the "Business Combination"). The Reporting Person received the shares of common stock, $0.0001 par value per share, of RMI (the "Shares") as consideration for the Business Combination. The Reporting Person disclaims beneficial ownership of the Shares except to the extent of his pecuniary interest therein, and the inclusion of the Shares in this Report shall not be deemed an admission of beneficial ownership of all of the reported Shares for purposes of Section 16 of the Securities Exchange of 1934, as amended, or for any other purpose.

F1 · price: Received in connection with the agreement and plan of merger, dated as of April 14, 2021, by and among Reservoir Media, Inc. (formerly known as Roth CH Acquisition II Co. ("RMI")), Roth CH II Merger Sub Corp. ("Merger Sub") and Reservoir Holdings, Inc. ("Reservoir"), pursuant to which Merger Sub merged with and into Reservoir, with Reservoir surviving the merger as a wholly-owned subsidiary of RMI (the "Business Combination"). The Reporting Person received the shares of common stock, $0.0001 par value per share, of RMI (the "Shares") as consideration for the Business Combination. The Reporting Person disclaims beneficial ownership of the Shares except to the extent of his pecuniary interest therein, and the inclusion of the Shares in this Report shall not be deemed an admission of beneficial ownership of all of the reported Shares for purposes of Section 16 of the Securities Exchange of 1934, as amended, or for any other purpose.

SEC source: 0000950142-21-002490 · es210172463_4-cook.xml · nonDerivative · entry 1

Cook Stephen M. · CIK 0001867327 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 873,435

F1 · kind: Received in connection with the agreement and plan of merger, dated as of April 14, 2021, by and among Reservoir Media, Inc. (formerly known as Roth CH Acquisition II Co. ("RMI")), Roth CH II Merger Sub Corp. ("Merger Sub") and Reservoir Holdings, Inc. ("Reservoir"), pursuant to which Merger Sub merged with and into Reservoir, with Reservoir surviving the merger as a wholly-owned subsidiary of RMI (the "Business Combination"). The Reporting Person received the shares of common stock, $0.0001 par value per share, of RMI (the "Shares") as consideration for the Business Combination. The Reporting Person disclaims beneficial ownership of the Shares except to the extent of his pecuniary interest therein, and the inclusion of the Shares in this Report shall not be deemed an admission of beneficial ownership of all of the reported Shares for purposes of Section 16 of the Securities Exchange of 1934, as amended, or for any other purpose.

F1 · price: Received in connection with the agreement and plan of merger, dated as of April 14, 2021, by and among Reservoir Media, Inc. (formerly known as Roth CH Acquisition II Co. ("RMI")), Roth CH II Merger Sub Corp. ("Merger Sub") and Reservoir Holdings, Inc. ("Reservoir"), pursuant to which Merger Sub merged with and into Reservoir, with Reservoir surviving the merger as a wholly-owned subsidiary of RMI (the "Business Combination"). The Reporting Person received the shares of common stock, $0.0001 par value per share, of RMI (the "Shares") as consideration for the Business Combination. The Reporting Person disclaims beneficial ownership of the Shares except to the extent of his pecuniary interest therein, and the inclusion of the Shares in this Report shall not be deemed an admission of beneficial ownership of all of the reported Shares for purposes of Section 16 of the Securities Exchange of 1934, as amended, or for any other purpose.

SEC source: 0001104659-21-095546 · tm2123193-1_4.xml · nonDerivative · entry 1

Rothstein Adam · CIK 0001602273 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 144,189

F1 · shares: This transaction was executed in multiple trades at prices ranging from $9.61 to $9.68. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

F1 · price: This transaction was executed in multiple trades at prices ranging from $9.61 to $9.68. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

F1 · balance_after: This transaction was executed in multiple trades at prices ranging from $9.61 to $9.68. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0000950142-21-002439 · es210171812_4a1-rothstein2.xml · nonDerivative · entry 1

Rothstein Adam · CIK 0001602273 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 119,189

F1 · security: This transaction was executed in multiple trades at prices ranging from $9.61 to $9.68. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

F1 · shares: This transaction was executed in multiple trades at prices ranging from $9.61 to $9.68. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

F1 · price: This transaction was executed in multiple trades at prices ranging from $9.61 to $9.68. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

F2 · balance_after: An additional 25,000 shares of common stock were inadvertently included in the reporting person's ownership total in the Form 4 originally filed on July 23, 2021.

SEC source: 0001104659-21-095082 · tm2123091d2_4.xml · derivative · entry 2

Rothstein Adam · CIK 0001602273 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 120,849

Underlying: Common Stock · 23,910 shares

Expires not disclosed

F2 · shares: This transaction was executed in multiple trades at prices ranging from $1.47 to $1.50. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

F2 · price: This transaction was executed in multiple trades at prices ranging from $1.47 to $1.50. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

F3 · derivative.exercise_date: The warrants become exercisable 30 days after the consummation of the registrant's initial business combination.

F4 · derivative.expiration_date: The warrants expire 5 years after the completion of the registrant's initial business combination or earlier upon redemption or liquidation, as described in the registrant's prospectus filed with the SEC.

F2 · derivative.underlying_shares: This transaction was executed in multiple trades at prices ranging from $1.47 to $1.50. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001104659-21-095082 · tm2123091d2_4.xml · nonDerivative · entry 1

Rothstein Adam · CIK 0001602273 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 118,210

F1 · security: This transaction was executed in multiple trades at prices ranging from $9.67 to $9.80. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

F1 · shares: This transaction was executed in multiple trades at prices ranging from $9.67 to $9.80. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

F1 · price: This transaction was executed in multiple trades at prices ranging from $9.67 to $9.80. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001104659-21-095081 · tm2123091d1_4.xml · derivative · entry 1

LIPMAN JOHN C · CIK 0001383194 · Director · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 221,648

Underlying: Common Stock · 24,822 shares

Expires not disclosed

F1 · shares: This transaction was executed in multiple trades at prices ranging from $1.50 to $1.51. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of securities and prices at which the transaction was effected. Represents securities held of record by the reporting person's Individual Retirement Account.

F1 · price: This transaction was executed in multiple trades at prices ranging from $1.50 to $1.51. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of securities and prices at which the transaction was effected. Represents securities held of record by the reporting person's Individual Retirement Account.

F2 · derivative.exercise_date: The warrants become exercisable 30 days after the consummation of the registrant's initial business combination.

F3 · derivative.expiration_date: The warrants expire 5 years after the completion of the registrant's initial business combination or earlier upon redemption or liquidation, as described in the registrant's prospectus filed with the SEC.

F1 · derivative.underlying_shares: This transaction was executed in multiple trades at prices ranging from $1.50 to $1.51. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of securities and prices at which the transaction was effected. Represents securities held of record by the reporting person's Individual Retirement Account.

F1 · ownership.nature: This transaction was executed in multiple trades at prices ranging from $1.50 to $1.51. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of securities and prices at which the transaction was effected. Represents securities held of record by the reporting person's Individual Retirement Account.

SEC source: 0000950142-21-002438 · es210171811_4a1-rothstein1.xml · nonDerivative · entry 1

Rothstein Adam · CIK 0001602273 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 93,210

F1 · security: This transaction was executed in multiple trades at prices ranging from $9.67 to $9.80. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

F1 · shares: This transaction was executed in multiple trades at prices ranging from $9.67 to $9.80. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

F1 · price: This transaction was executed in multiple trades at prices ranging from $9.67 to $9.80. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

F2 · balance_after: An additional 25,000 shares of common stock were inadvertently included in the reporting person's ownership total in the Form 4 originally filed on July 22, 2021.

SEC source: 0001104659-21-094511 · tm2122960-2_4seq1.xml · derivative · entry 1

Rothstein Adam · CIK 0001602273 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 96,939

Underlying: Common Stock · 10,090 shares

Expires not disclosed

F1 · derivative.exercise_date: The warrants become exercisable 30 days after the consummation of the registrant's initial business combination.

F2 · derivative.expiration_date: The warrants expire 5 years after the completion of the registrant's initial business combination or earlier upon redemption or liquidation, as described in the registrant's prospectus filed with the SEC.

SEC source: 0001104659-21-094510 · tm2122960-1_4seq1.xml · derivative · entry 2

LIPMAN JOHN C · CIK 0001383194 · Director · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 196,826

Underlying: Common Stock · 70,000 shares

Expires not disclosed

F4 · shares: This transaction was executed in multiple trades at prices ranging from $1.51 to $1.53. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of securities and prices at which the transaction was effected. Represents securities held of record by the reporting person's Individual Retirement Account.

F4 · price: This transaction was executed in multiple trades at prices ranging from $1.51 to $1.53. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of securities and prices at which the transaction was effected. Represents securities held of record by the reporting person's Individual Retirement Account.

F2 · derivative.exercise_date: The warrants become exercisable 30 days after the consummation of the registrant's initial business combination.

F3 · derivative.expiration_date: The warrants expire 5 years after the completion of the registrant's initial business combination or earlier upon redemption or liquidation, as described in the registrant's prospectus filed with the SEC.

F4 · derivative.underlying_shares: This transaction was executed in multiple trades at prices ranging from $1.51 to $1.53. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of securities and prices at which the transaction was effected. Represents securities held of record by the reporting person's Individual Retirement Account.

F4 · ownership.nature: This transaction was executed in multiple trades at prices ranging from $1.51 to $1.53. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of securities and prices at which the transaction was effected. Represents securities held of record by the reporting person's Individual Retirement Account.

SEC source: 0001104659-21-094510 · tm2122960-1_4seq1.xml · derivative · entry 1

LIPMAN JOHN C · CIK 0001383194 · Director · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 126,826

Underlying: Common Stock · 55,000 shares

Expires not disclosed

F1 · shares: By Craig-Hallum 401(k) Profit Sharing Plan FBO John Lipman.

F2 · derivative.exercise_date: The warrants become exercisable 30 days after the consummation of the registrant's initial business combination.

F3 · derivative.expiration_date: The warrants expire 5 years after the completion of the registrant's initial business combination or earlier upon redemption or liquidation, as described in the registrant's prospectus filed with the SEC.

F1 · ownership.nature: By Craig-Hallum 401(k) Profit Sharing Plan FBO John Lipman.

SEC source: 0001104659-21-094088 · tm2122760-1_4.xml · derivative · entry 1

Rothstein Adam · CIK 0001602273 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 86,849

Underlying: Common Stock · 14,480 shares

Expires not disclosed

F1 · shares: This transaction was executed in multiple trades at prices ranging from $1.45 to $1.50. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

F1 · price: This transaction was executed in multiple trades at prices ranging from $1.45 to $1.50. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

F2 · derivative.exercise_date: The warrants become exercisable 30 days after the consummation of the registrant's initial business combination.

F3 · derivative.expiration_date: The warrants expire 5 years after the completion of the registrant's initial business combination or earlier upon redemption or liquidation, as described in the registrant's prospectus filed with the SEC.

SEC source: 0001104659-21-093655 · tm2122598-1_4seq1.xml · derivative · entry 1

Rothstein Adam · CIK 0001602273 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 72,369

Underlying: Common Stock · 4,000 shares

Expires not disclosed

F1 · derivative.exercise_date: The warrants become exercisable 30 days after the consummation of the registrant's initial business combination.

F2 · derivative.expiration_date: The warrants expire 5 years after the completion of the registrant's initial business combination or earlier upon redemption or liquidation, as described in the registrant's prospectus filed with the SEC.

SEC source: 0001104659-21-093167 · tm2122482-1_4seq1.xml · derivative · entry 1

Rothstein Adam · CIK 0001602273 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 68,369

Underlying: Common Stock · 32,520 shares

Expires not disclosed

F1 · shares: This transaction was executed in multiple trades at prices ranging from $1.47 to $1.50. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

F1 · price: This transaction was executed in multiple trades at prices ranging from $1.47 to $1.50. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

F2 · derivative.exercise_date: The warrants become exercisable 30 days after the consummation of the registrant's initial business combination.

F3 · derivative.expiration_date: The warrants expire 5 years after the completion of the registrant's initial business combination or earlier upon redemption or liquidation, as described in the registrant's prospectus filed with the SEC.

SEC source: 0001104659-21-092732 · tm2122374-1_4seq1.xml · derivative · entry 1

Rothstein Adam · CIK 0001602273 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,849

Underlying: Common Stock · 10,710 shares

Expires not disclosed

F1 · shares: This transaction was executed in multiple trades at prices ranging from $1.47 to $1.49. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

F1 · price: This transaction was executed in multiple trades at prices ranging from $1.47 to $1.49. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

F2 · derivative.exercise_date: The warrants become exercisable 30 days after the consummation of the registrant's initial business combination.

F3 · derivative.expiration_date: The warrants expire 5 years after the completion of the registrant's initial business combination or earlier upon redemption or liquidation, as described in the registrant's prospectus filed with the SEC.

SEC source: 0001104659-21-090761 · tm2121928d1_4.xml · derivative · entry 1

Rothstein Adam · CIK 0001602273 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,139

Underlying: Common Stock · 4,290 shares

Expires not disclosed

F1 · derivative.exercise_date: The warrants become exercisable 30 days after the consummation of the registrant's initial business combination.

F2 · derivative.expiration_date: The warrants expire 5 years after the completion of the registrant's initial business combination or earlier upon redemption or liquidation, as described in the registrant's prospectus filed with the SEC.

SEC source: 0001104659-21-083505 · tm2120290d1_4seq1.xml · derivative · entry 6

LIPMAN JOHN C · CIK 0001383194 · Director · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 71,826

Underlying: Common Stock · 5,000 shares

Expires not disclosed

F8 · shares: Represents shares held of record by the reporting person's wife's Individual Retirement Account.

F8 · price: Represents shares held of record by the reporting person's wife's Individual Retirement Account.

F2 · derivative.exercise_date: The warrants become exercisable 30 days after the consummation of the registrant's initial business combination.

F3 · derivative.expiration_date: The warrants expire 5 years after the completion of the registrant's initial business combination or earlier upon redemption or liquidation, as described in the registrant's prospectus filed with the SEC.

F8 · ownership.nature: Represents shares held of record by the reporting person's wife's Individual Retirement Account.

SEC source: 0001104659-21-083505 · tm2120290d1_4seq1.xml · derivative · entry 5

LIPMAN JOHN C · CIK 0001383194 · Director · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 66,826

Underlying: Common Stock · 3,834 shares

Expires not disclosed

F7 · shares: This transaction was executed in multiple trades at prices ranging from $1.5199 to $1.52. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of securities and prices at which the transaction was effected. Represents securities held of record by the reporting person's Individual Retirement Account.

F7 · price: This transaction was executed in multiple trades at prices ranging from $1.5199 to $1.52. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of securities and prices at which the transaction was effected. Represents securities held of record by the reporting person's Individual Retirement Account.

F2 · derivative.exercise_date: The warrants become exercisable 30 days after the consummation of the registrant's initial business combination.

F3 · derivative.expiration_date: The warrants expire 5 years after the completion of the registrant's initial business combination or earlier upon redemption or liquidation, as described in the registrant's prospectus filed with the SEC.

F7 · ownership.nature: This transaction was executed in multiple trades at prices ranging from $1.5199 to $1.52. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of securities and prices at which the transaction was effected. Represents securities held of record by the reporting person's Individual Retirement Account.

SEC source: 0001104659-21-083505 · tm2120290d1_4seq1.xml · derivative · entry 4

LIPMAN JOHN C · CIK 0001383194 · Director · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 62,992

Underlying: Common Stock · 10,000 shares

Expires not disclosed

F6 · shares: The securities are held for E.L., the child of the reporting person, through a custodial account established pursuant to the Uniform Transfer to Minors Act ("UTMA") for which the reporting person serves as custodian.

F6 · price: The securities are held for E.L., the child of the reporting person, through a custodial account established pursuant to the Uniform Transfer to Minors Act ("UTMA") for which the reporting person serves as custodian.

F2 · derivative.exercise_date: The warrants become exercisable 30 days after the consummation of the registrant's initial business combination.

F3 · derivative.expiration_date: The warrants expire 5 years after the completion of the registrant's initial business combination or earlier upon redemption or liquidation, as described in the registrant's prospectus filed with the SEC.

F6 · ownership.nature: The securities are held for E.L., the child of the reporting person, through a custodial account established pursuant to the Uniform Transfer to Minors Act ("UTMA") for which the reporting person serves as custodian.

SEC source: 0001104659-21-083505 · tm2120290d1_4seq1.xml · derivative · entry 3

LIPMAN JOHN C · CIK 0001383194 · Director · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 52,992

Underlying: Common Stock · 10,000 shares

Expires not disclosed

F5 · shares: This transaction was executed in multiple trades at prices ranging from $1.465 to $1.5165. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of securities and prices at which the transaction was effected. The securities are held for C.L., the child of the reporting person, through a custodial account established pursuant to the Uniform Transfer to Minors Act ("UTMA") for which the reporting person serves as custodian.

F5 · price: This transaction was executed in multiple trades at prices ranging from $1.465 to $1.5165. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of securities and prices at which the transaction was effected. The securities are held for C.L., the child of the reporting person, through a custodial account established pursuant to the Uniform Transfer to Minors Act ("UTMA") for which the reporting person serves as custodian.

F2 · derivative.exercise_date: The warrants become exercisable 30 days after the consummation of the registrant's initial business combination.

F3 · derivative.expiration_date: The warrants expire 5 years after the completion of the registrant's initial business combination or earlier upon redemption or liquidation, as described in the registrant's prospectus filed with the SEC.

F5 · ownership.nature: This transaction was executed in multiple trades at prices ranging from $1.465 to $1.5165. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of securities and prices at which the transaction was effected. The securities are held for C.L., the child of the reporting person, through a custodial account established pursuant to the Uniform Transfer to Minors Act ("UTMA") for which the reporting person serves as custodian.

SEC source: 0001104659-21-083505 · tm2120290d1_4seq1.xml · derivative · entry 2

LIPMAN JOHN C · CIK 0001383194 · Director · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 42,992

Underlying: Common Stock · 10,000 shares

Expires not disclosed

F4 · shares: By the reporting person's wife, S.L.

F4 · price: By the reporting person's wife, S.L.

F2 · derivative.exercise_date: The warrants become exercisable 30 days after the consummation of the registrant's initial business combination.

F3 · derivative.expiration_date: The warrants expire 5 years after the completion of the registrant's initial business combination or earlier upon redemption or liquidation, as described in the registrant's prospectus filed with the SEC.

F4 · ownership.nature: By the reporting person's wife, S.L.

SEC source: 0001104659-21-083505 · tm2120290d1_4seq1.xml · derivative · entry 1

LIPMAN JOHN C · CIK 0001383194 · Director · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 32,992

Underlying: Common Stock · 20,000 shares

Expires not disclosed

F1 · shares: By Craig-Hallum 401(k) Profit Sharing Plan FBO John Lipman.

F1 · price: By Craig-Hallum 401(k) Profit Sharing Plan FBO John Lipman.

F2 · derivative.exercise_date: The warrants become exercisable 30 days after the consummation of the registrant's initial business combination.

F3 · derivative.expiration_date: The warrants expire 5 years after the completion of the registrant's initial business combination or earlier upon redemption or liquidation, as described in the registrant's prospectus filed with the SEC.

F1 · ownership.nature: By Craig-Hallum 401(k) Profit Sharing Plan FBO John Lipman.

SEC source: 0001104659-21-082404 · tm2120038-1_4seq1.xml · derivative · entry 1

Rothstein Adam · CIK 0001602273 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,849

Underlying: Common Stock · 10,056 shares

Expires not disclosed

F1 · shares: This transaction was executed in multiple trades at prices ranging from $1.40 to $1.41. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

F1 · price: This transaction was executed in multiple trades at prices ranging from $1.40 to $1.41. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

F2 · derivative.exercise_date: The warrants become exercisable 30 days after the consummation of the registrant's initial business combination.

F3 · derivative.expiration_date: The warrants expire 5 years after the completion of the registrant's initial business combination or earlier upon redemption or liquidation, as described in the registrant's prospectus filed with the SEC.

SEC source: 0001104659-21-077260 · tm2118901d1_4.xml · derivative · entry 1

Rothstein Adam · CIK 0001602273 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,793

Underlying: Common Stock · 6,944 shares

Expires not disclosed

F1 · shares: This transaction was executed in multiple trades at prices ranging from $1.39 to $1.45. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

F1 · price: This transaction was executed in multiple trades at prices ranging from $1.39 to $1.45. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

F2 · derivative.exercise_date: The warrants become exercisable 30 days after the consummation of the registrant's initial business combination.

F3 · derivative.expiration_date: The warrants expire 5 years after the completion of the registrant's initial business combination or earlier upon redemption or liquidation, as described in the registrant's prospectus filed with the SEC.

SEC source: 0001104659-20-136855 · tm2036996d22_form4.xml · derivative · entry 4

ROTH GORDON J · CIK 0001160634 · Chief Financial Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 90,281

Underlying: Common Stock · 90,281 shares

Expires not disclosed

F1 · price: The reporting person acquired units, consisting of shares and warrants.

F3 · derivative.exercise_date: The warrants become exercisable 30 days after the consummation of the registrant's initial business combination.

F4 · derivative.expiration_date: The warrants expire 5 years after the completion of the registrant's initial business combination or earlier upon redemption or liquidation, as described in the registrant's prospectus filed with the SEC.

F5 · ownership.nature: Warrants owned by CR Financial Holdings, Inc. over which Byron Roth and Gordon Roth have voting and dispositive power.