SPE

SEC source: 0001104659-21-117933 · tm2128138-1_4seq1.xml · nonDerivative · entry 3

HELLERMAN GERALD · CIK 0001222911 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,648

F1 · balance_after: This includes shares acquired through reinvested distributions.

SEC source: 0001104659-21-117933 · tm2128138-1_4seq1.xml · nonDerivative · entry 2

HELLERMAN GERALD · CIK 0001222911 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,824

F1 · balance_after: This includes shares acquired through reinvested distributions.

SEC source: 0001104659-21-117933 · tm2128138-1_4seq1.xml · nonDerivative · entry 1

HELLERMAN GERALD · CIK 0001222911 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

F1 · balance_after: This includes shares acquired through reinvested distributions.

SEC source: 0001104659-21-094020 · tm2122665-1_4seq1.xml · nonDerivative · entry 1

HELLERMAN GERALD · CIK 0001222911 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,175

F1 · balance_after: This includes shares acquired through reinvested distributions.

SEC source: 0001104659-21-092035 · tm2122215d1_4.xml · derivative · entry 6

Dakos Andrew · CIK 0001341021 · Director · President

10b5-1 filing: Not disclosed

Ownership: Indirect · By Minor Children

Disclosed balance after: 0

Underlying: Common Stock · 303 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F5 · price: On July 9, 2021 156 shares of the Registrant's 3.50% Convertible Preferred Stock Series B owned by the Reporting Person's minor children were converted into 303 shares of the Registrant's common stock.

F6 · derivative.exercise_date: The shares of Preferred Stock are convertible into common stock immediately upon issuance at the current conversion ratio of 1.9558 shares of common stock for each share of Preferred Stock held, subject to adjustment.

F7 · derivative.expiration_date: The Issuer has announced that, if not converted prior, the shares of Preferred Stock will be redeemed by the Issuer on July 9, 2021.

F2 · ownership.direct: The Reporting Person disclaims beneficial ownership of the securities owned by his minor children and this report should not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purposes.

SEC source: 0001104659-21-092035 · tm2122215d1_4.xml · derivative · entry 5

Dakos Andrew · CIK 0001341021 · Director · President

10b5-1 filing: Not disclosed

Ownership: Indirect · By Spouse

Disclosed balance after: 0

Underlying: Common Stock · 1,889 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · price: On July 9, 2021 966 shares of the Registrant's 3.50% Convertible Preferred Stock Series B owned by the Reporting Person's spouse were converted into 1,889 shares of the Registrant's common stock.

F6 · derivative.exercise_date: The shares of Preferred Stock are convertible into common stock immediately upon issuance at the current conversion ratio of 1.9558 shares of common stock for each share of Preferred Stock held, subject to adjustment.

F7 · derivative.expiration_date: The Issuer has announced that, if not converted prior, the shares of Preferred Stock will be redeemed by the Issuer on July 9, 2021.

F1 · ownership.direct: The Reporting Person disclaims beneficial ownership of the securities owned by his spouse and this report should not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purposes.

SEC source: 0001104659-21-092035 · tm2122215d1_4.xml · derivative · entry 4

Dakos Andrew · CIK 0001341021 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 6,257 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · price: On July 9, 2021 the Reporting Person converted 3,200 shares of the Registrant's 3.50% Convertible Preferred Stock Series B into 6,257 shares of the Registrant's common stock.

F6 · derivative.exercise_date: The shares of Preferred Stock are convertible into common stock immediately upon issuance at the current conversion ratio of 1.9558 shares of common stock for each share of Preferred Stock held, subject to adjustment.

F7 · derivative.expiration_date: The Issuer has announced that, if not converted prior, the shares of Preferred Stock will be redeemed by the Issuer on July 9, 2021.

SEC source: 0001104659-21-092035 · tm2122215d1_4.xml · nonDerivative · entry 3

Dakos Andrew · CIK 0001341021 · Director · President

10b5-1 filing: Not disclosed

Ownership: Indirect · By Minor Children

Disclosed balance after: 936

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F5 · price: On July 9, 2021 156 shares of the Registrant's 3.50% Convertible Preferred Stock Series B owned by the Reporting Person's minor children were converted into 303 shares of the Registrant's common stock.

F2 · ownership.direct: The Reporting Person disclaims beneficial ownership of the securities owned by his minor children and this report should not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purposes.

SEC source: 0001104659-21-092035 · tm2122215d1_4.xml · nonDerivative · entry 2

Dakos Andrew · CIK 0001341021 · Director · President

10b5-1 filing: Not disclosed

Ownership: Indirect · By Spouse

Disclosed balance after: 6,225

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · price: On July 9, 2021 966 shares of the Registrant's 3.50% Convertible Preferred Stock Series B owned by the Reporting Person's spouse were converted into 1,889 shares of the Registrant's common stock.

F1 · ownership.direct: The Reporting Person disclaims beneficial ownership of the securities owned by his spouse and this report should not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purposes.

SEC source: 0001104659-21-092035 · tm2122215d1_4.xml · nonDerivative · entry 1

Dakos Andrew · CIK 0001341021 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,178

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · price: On July 9, 2021 the Reporting Person converted 3,200 shares of the Registrant's 3.50% Convertible Preferred Stock Series B into 6,257 shares of the Registrant's common stock.

SEC source: 0001104659-21-085229 · tm2120668-1_4seq1.xml · derivative · entry 2

GOLDSTEIN PHILLIP · CIK 0001067621 · Director · Chairman and Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,475 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: On June 24, 2021 the Reporting Person converted 2,800 shares of the Registrant's 3.50% Convertible Preferred Stock Series B into 5,475 shares of the Registrant's common stock.

F2 · derivative.exercise_date: The shares of Preferred Stock are convertible into common stock immediately upon issuance at the current conversion ratio of 1.9558 shares of common stock for each share of Preferred Stock held, subject to adjustment.

F3 · derivative.expiration_date: The Issuer has announced that, if not converted prior, the shares of Preferred Stock will be redeemed by the Issuer on July 9, 2021.

SEC source: 0001104659-21-085229 · tm2120668-1_4seq1.xml · nonDerivative · entry 1

GOLDSTEIN PHILLIP · CIK 0001067621 · Director · Chairman and Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,892

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: On June 24, 2021 the Reporting Person converted 2,800 shares of the Registrant's 3.50% Convertible Preferred Stock Series B into 5,475 shares of the Registrant's common stock.

SEC source: 0001104659-21-092421 · tm2122289-1_4seq1.xml · derivative · entry 2

WALDEN CHARLES C · CIK 0001475052 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 9,779 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: On June 24, 2021 the Reporting Person converted 5,000 shares of the Registrant's 3.50% Convertible Preferred Stock Series B into 9,779 shares of the Registrant's common stock.

F2 · derivative.exercise_date: The shares of Preferred Stock are convertible into common stock immediately upon issuance at the current conversion ratio of 1.9558 shares of common stock for each share of Preferred Stock held, subject to adjustment.

F3 · derivative.expiration_date: The Issuer has announced that, if not converted prior, the shares of Preferred Stock will be redeemed by the Issuer on July 9, 2021.

SEC source: 0001104659-21-092421 · tm2122289-1_4seq1.xml · nonDerivative · entry 1

WALDEN CHARLES C · CIK 0001475052 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,285

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: On June 24, 2021 the Reporting Person converted 5,000 shares of the Registrant's 3.50% Convertible Preferred Stock Series B into 9,779 shares of the Registrant's common stock.

SEC source: 0001104659-21-086634 · tm2120879-1_4seq1.xml · derivative · entry 4

Lunder Marc · CIK 0001629986 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Roth IRA

Disclosed balance after: 0

Underlying: Common Stock · 1,290 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: On June 23, 2021 the Reporting Person converted: (i) 700 shares of the Registrant's 3.50% Convertible Preferred Stock Series B held in the Reporting Person's SEP IRA into 1,369 shares of the Registrant's common stock and (ii) 660 shares of the Registrant's 3.50% Convertible Preferred Stock Series B held in the Reporting Person's Roth IRA into 1,290 shares of the Registrant's common stock.

F2 · derivative.exercise_date: The shares of Preferred Stock are convertible into common stock immediately upon issuance at the current conversion ratio of 1.9558 shares of common stock for each share of Preferred Stock held, subject to adjustment.

F3 · derivative.expiration_date: The Issuer has announced that, if not converted prior, the shares of Preferred Stock will be redeemed by the Issuer on July 9, 2021.

SEC source: 0001104659-21-086634 · tm2120879-1_4seq1.xml · derivative · entry 3

Lunder Marc · CIK 0001629986 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By SEP IRA

Disclosed balance after: 0

Underlying: Common Stock · 1,369 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: On June 23, 2021 the Reporting Person converted: (i) 700 shares of the Registrant's 3.50% Convertible Preferred Stock Series B held in the Reporting Person's SEP IRA into 1,369 shares of the Registrant's common stock and (ii) 660 shares of the Registrant's 3.50% Convertible Preferred Stock Series B held in the Reporting Person's Roth IRA into 1,290 shares of the Registrant's common stock.

F2 · derivative.exercise_date: The shares of Preferred Stock are convertible into common stock immediately upon issuance at the current conversion ratio of 1.9558 shares of common stock for each share of Preferred Stock held, subject to adjustment.

F3 · derivative.expiration_date: The Issuer has announced that, if not converted prior, the shares of Preferred Stock will be redeemed by the Issuer on July 9, 2021.

SEC source: 0001104659-21-086634 · tm2120879-1_4seq1.xml · nonDerivative · entry 2

Lunder Marc · CIK 0001629986 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Roth IRA

Disclosed balance after: 4,590

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: On June 23, 2021 the Reporting Person converted: (i) 700 shares of the Registrant's 3.50% Convertible Preferred Stock Series B held in the Reporting Person's SEP IRA into 1,369 shares of the Registrant's common stock and (ii) 660 shares of the Registrant's 3.50% Convertible Preferred Stock Series B held in the Reporting Person's Roth IRA into 1,290 shares of the Registrant's common stock.

SEC source: 0001104659-21-086634 · tm2120879-1_4seq1.xml · nonDerivative · entry 1

Lunder Marc · CIK 0001629986 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By SEP IRA

Disclosed balance after: 4,869

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: On June 23, 2021 the Reporting Person converted: (i) 700 shares of the Registrant's 3.50% Convertible Preferred Stock Series B held in the Reporting Person's SEP IRA into 1,369 shares of the Registrant's common stock and (ii) 660 shares of the Registrant's 3.50% Convertible Preferred Stock Series B held in the Reporting Person's Roth IRA into 1,290 shares of the Registrant's common stock.

SEC source: 0001104659-21-078188 · tm2119146-1_4seq1.xml · derivative · entry 3

GOLDSTEIN PHILLIP · CIK 0001067621 · Director · Chairman and Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,800

Underlying: Common Stock · 5,436 shares

Expires not disclosed

F2 · derivative.exercise_date: The shares of Preferred Stock are convertible into common stock immediately upon issuance at the current conversion rate equivalent to a conversion price of $15.48 per share of common stock (which is a ratio of 1.9416 shares of common stock for each share of Preferred Stock held), subject to adjustment.

F3 · derivative.expiration_date: The Issuer has announced that, if not converted prior, the shares of Preferred Stock will be redeemed by the Issuer on July 9, 2021.

SEC source: 0001104659-21-078188 · tm2119146-1_4seq1.xml · nonDerivative · entry 2

GOLDSTEIN PHILLIP · CIK 0001067621 · Director · Chairman and Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,417

F1 · balance_after: This amount includes certain shares previously held Indirectly by the Reporting Person's spouse.

SEC source: 0001104659-21-078188 · tm2119146-1_4seq1.xml · nonDerivative · entry 1

GOLDSTEIN PHILLIP · CIK 0001067621 · Director · Chairman and Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,417

F1 · balance_after: This amount includes certain shares previously held Indirectly by the Reporting Person's spouse.

SEC source: 0001104659-21-065208 · tm2116137d1_4.xml · derivative · entry 3

HARRIS BEN H · CIK 0001472352 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 771 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: On May 11, 2021 the Reporting Person converted 400 shares of the Registrant's 3.50% Convertible Preferred Stock Series B into 771 shares of the Registrant's common stock.

F2 · derivative.exercise_date: The shares of Preferred Stock are convertible into common stock immediately upon issuance at the current conversion ratio of 1.9275 shares of common stock for each share of Preferred Stock held, subject to adjustment.

F3 · derivative.expiration_date: If not converted prior, the shares of Preferred Stock will be redeemed by the Registrant on August 19, 2021.

F4 · ownership.nature: Hormel Harris Investments, LLC.

SEC source: 0001104659-21-065208 · tm2116137d1_4.xml · nonDerivative · entry 2

HARRIS BEN H · CIK 0001472352 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 11,014

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: On May 11, 2021 the Reporting Person converted 400 shares of the Registrant's 3.50% Convertible Preferred Stock Series B into 771 shares of the Registrant's common stock.

F4 · ownership.nature: Hormel Harris Investments, LLC.

SEC source: 0001104659-21-064293 · tm2115825d1_4.xml · derivative · entry 3

HARRIS BEN H · CIK 0001472352 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 346 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: On May 5, 2021 the Reporting Person converted 180 shares of the Registrant's 3.50% Convertible Preferred Stock Series B into 346 shares of the Registrant's common stock.

F2 · derivative.exercise_date: The shares of Preferred Stock are convertible into common stock immediately upon issuance at the current conversion ratio of 1.9275 shares of common stock for each share of Preferred Stock held, subject to adjustment.

F3 · derivative.expiration_date: If not converted prior, the shares of Preferred Stock will be redeemed by the Registrant on August 19, 2021.

SEC source: 0001104659-21-064293 · tm2115825d1_4.xml · nonDerivative · entry 1

HARRIS BEN H · CIK 0001472352 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,061

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: On May 5, 2021 the Reporting Person converted 180 shares of the Registrant's 3.50% Convertible Preferred Stock Series B into 346 shares of the Registrant's common stock.

SEC source: 0001104659-20-136758 · tm2038801d1_4.xml · derivative · entry 3

HELLERMAN GERALD · CIK 0001222911 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 744 shares

Expires not disclosed

F2 · derivative.exercise_date: The shares of Preferred Stock are convertible into common stock immediately upon issuance at the current conversion rate equivalent to a conversion price of $13.73 per share of common stock (which is a ratio of 1.8601 shares of common stock for each share of Preferred Stock held), subject to adjustment.

F3 · derivative.expiration_date: If not converted prior, the shares of Preferred Stock will be redeemed by the Issuer on August 19, 2021.

SEC source: 0001104659-20-136758 · tm2038801d1_4.xml · derivative · entry 2

HELLERMAN GERALD · CIK 0001222911 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 400

Underlying: Common Stock · 651 shares

Expires not disclosed

F1 · derivative.exercise_date: The shares of Preferred Stock are convertible into common stock immediately upon issuance at the current conversion rate equivalent to a conversion price of $13.74 per share of common stock (which is a ratio of 1.8601 shares of common stock for each share of Preferred Stock held), subject to adjustment.

F3 · derivative.expiration_date: If not converted prior, the shares of Preferred Stock will be redeemed by the Issuer on August 19, 2021.

SEC source: 0001104659-20-119026 · tm2034525d1_form4.xml · nonDerivative · entry 1

HELLERMAN GERALD · CIK 0001222911 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,684

SEC source: 0001104659-20-085897 · tm2025481-1_4.xml · nonDerivative · entry 2

GOLDSTEIN PHILLIP · CIK 0001067621 · Director · Chairman and Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 123,721

SEC source: 0001104659-20-096579 · tm2028864d2_4a.xml · nonDerivative · entry 2

GOLDSTEIN PHILLIP · CIK 0001067621 · Director · Chairman and Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 113,747

F2 · ownership.direct: This Form 4 amendment is being filed to correct the Amount of Securities Beneficially Owned Following the Reported Transactions in Column 5 of Table I.

SEC source: 0001104659-20-085897 · tm2025481-1_4.xml · nonDerivative · entry 1

GOLDSTEIN PHILLIP · CIK 0001067621 · Director · Chairman and Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 118,721

SEC source: 0001104659-20-096579 · tm2028864d2_4a.xml · nonDerivative · entry 1

GOLDSTEIN PHILLIP · CIK 0001067621 · Director · Chairman and Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 108,747

F2 · ownership.direct: This Form 4 amendment is being filed to correct the Amount of Securities Beneficially Owned Following the Reported Transactions in Column 5 of Table I.

SEC source: 0001104659-20-084115 · tm2025025d1_4.xml · nonDerivative · entry 2

GOLDSTEIN PHILLIP · CIK 0001067621 · Director · Chairman and Secretary

10b5-1 filing: Not disclosed

Ownership: Indirect · Spouse

Disclosed balance after: 3,862

F1 · ownership.direct: The Reporting Person disclaims beneficial ownership of the securities owned by his spouse and this report should not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purposes.

SEC source: 0001104659-20-084115 · tm2025025d1_4.xml · nonDerivative · entry 1

GOLDSTEIN PHILLIP · CIK 0001067621 · Director · Chairman and Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 113,721

SEC source: 0001104659-20-096431 · tm2028864-1_4.xml · nonDerivative · entry 3

GOLDSTEIN PHILLIP · CIK 0001067621 · Director · Chairman and Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 103,747

F2 · ownership.direct: On July 15, 2020 the Reporting Person cross-traded a combined total of 6,418 shares from two of his accounts (one held Directly and one held Indirectly) to an account held Directly. This Form 4 amendment is being filed to correct the information presented in the Form 4 filed on July 16, 2020 in connection with such reported transactions.

SEC source: 0001104659-20-096431 · tm2028864-1_4.xml · nonDerivative · entry 2

GOLDSTEIN PHILLIP · CIK 0001067621 · Director · Chairman and Secretary

10b5-1 filing: Not disclosed

Ownership: Indirect · Spouse

Disclosed balance after: 1,000

F1 · ownership.direct: The Reporting Person disclaims beneficial ownership of the securities owned by his spouse and this report should not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purposes.

F2 · ownership.direct: On July 15, 2020 the Reporting Person cross-traded a combined total of 6,418 shares from two of his accounts (one held Directly and one held Indirectly) to an account held Directly. This Form 4 amendment is being filed to correct the information presented in the Form 4 filed on July 16, 2020 in connection with such reported transactions.

SEC source: 0001104659-20-096431 · tm2028864-1_4.xml · nonDerivative · entry 1

GOLDSTEIN PHILLIP · CIK 0001067621 · Director · Chairman and Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 108,734

F2 · ownership.direct: On July 15, 2020 the Reporting Person cross-traded a combined total of 6,418 shares from two of his accounts (one held Directly and one held Indirectly) to an account held Directly. This Form 4 amendment is being filed to correct the information presented in the Form 4 filed on July 16, 2020 in connection with such reported transactions.

SEC source: 0001104659-20-075932 · tm2023224d1_4.xml · derivative · entry 4

GOLDSTEIN PHILLIP · CIK 0001067621 · Director · Chairman and Secretary

10b5-1 filing: Not disclosed

Ownership: Indirect · Spouse

Disclosed balance after: 0

Underlying: Common Stock · 1,503 shares

Expires not disclosed

F3 · derivative.exercise_date: The shares of Preferred Stock are convertible into common stock immediately upon issuance at the current conversion rate equivalent to a conversion price of $14.03 per share of common stock (which is a ratio of 1.7852 shares of common stock for each share of Preferred Stock held), subject to adjustment.

F4 · derivative.expiration_date: If not converted prior, the shares of Preferred Stock will be redeemed by the Issuer on August 19, 2021.

F1 · ownership.direct: The Reporting Person disclaims beneficial ownership of the securities owned by his spouse and this report should not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purposes.

SEC source: 0001104659-20-075932 · tm2023224d1_4.xml · derivative · entry 3

GOLDSTEIN PHILLIP · CIK 0001067621 · Director · Chairman and Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,951 shares

Expires not disclosed

F2 · derivative.exercise_date: The shares of Preferred Stock are convertible into common stock immediately upon issuance at the current conversion rate equivalent to a conversion price of $14.03 per share of common stock (which is a ratio of 1.7852 shares of common stock for each share of Preferred Stock held), subject to adjustment.

F4 · derivative.expiration_date: If not converted prior, the shares of Preferred Stock will be redeemed by the Issuer on August 19, 2021.

SEC source: 0001104659-20-072058 · tm2022282d2_4.xml · derivative · entry 4

GOLDSTEIN PHILLIP · CIK 0001067621 · Director · Chairman and Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,213

Underlying: Common Stock · 17,852 shares

Expires not disclosed

F3 · derivative.exercise_date: The shares of Preferred Stock are convertible into common stock immediately upon issuance at the current conversion rate equivalent to a conversion price of $14.16 per share of common stock (which is a ratio of 1.7852 shares of common stock for each share of Preferred Stock held), subject to adjustment.

F4 · derivative.expiration_date: If not converted prior, the shares of Preferred Stock will be redeemed by the Issuer on August 19, 2021.

SEC source: 0001104659-20-072058 · tm2022282d2_4.xml · derivative · entry 3

GOLDSTEIN PHILLIP · CIK 0001067621 · Director · Chairman and Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,213

Underlying: Common Stock · 29,570 shares

Expires not disclosed

F2 · derivative.exercise_date: The shares of Preferred Stock are convertible into common stock immediately upon issuance at the current conversion rate equivalent to a conversion price of $14.16 per share of common stock (which is a ratio of 1.7852 shares of common stock for each share of Preferred Stock held), subject to adjustment.

F4 · derivative.expiration_date: If not converted prior, the shares of Preferred Stock will be redeemed by the Issuer on August 19, 2021.

SEC source: 0001104659-20-072055 · tm2022282d1_4.xml · derivative · entry 4

Dakos Andrew · CIK 0001341021 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,200

Underlying: Common Stock · 1,785 shares

Expires not disclosed

F3 · derivative.exercise_date: The shares of Preferred Stock are convertible into common stock immediately upon issuance at the current conversion rate equivalent to a conversion price of $14.14 per share of common stock (which is a ratio of 1.7852 shares of common stock for each share of Preferred Stock held), subject to adjustment.

F4 · derivative.expiration_date: If not converted prior, the shares of Preferred Stock will be redeemed by the Issuer on August 19, 2021.

SEC source: 0001104659-20-044124 · tm2015272d1_4.xml · nonDerivative · entry 4

HELLERMAN GERALD · CIK 0001222911 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,684

SEC source: 0001104659-20-044124 · tm2015272d1_4.xml · nonDerivative · entry 3

HELLERMAN GERALD · CIK 0001222911 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,544

SEC source: 0001104659-20-044124 · tm2015272d1_4.xml · nonDerivative · entry 2

HELLERMAN GERALD · CIK 0001222911 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,324

SEC source: 0001104659-20-044124 · tm2015272d1_4.xml · nonDerivative · entry 1

HELLERMAN GERALD · CIK 0001222911 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,694

SEC source: 0001104659-20-031439 · tv538865_4.xml · nonDerivative · entry 2

HELLERMAN GERALD · CIK 0001222911 · Director · CCO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,353

SEC source: 0001104659-20-031439 · tv538865_4.xml · nonDerivative · entry 1

HELLERMAN GERALD · CIK 0001222911 · Director · CCO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,115

SEC source: 0001104659-20-028461 · tv538790_4.xml · derivative · entry 4

Dakos Andrew · CIK 0001341021 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,200

Underlying: Common Stock · 1,750 shares

Expires not disclosed

F3 · derivative.exercise_date: The shares of Preferred Stock are convertible into common stock immediately upon issuance at the current conversion rate equivalent to a conversion price of $14.29 per share of common stock (which is a ratio of 1.7499 shares of common stock for each share of Preferred Stock held), subject to adjustment.

F4 · derivative.expiration_date: If not converted prior, the shares of Preferred Stock will be redeemed by the Issuer on August 19, 2021.

SEC source: 0001104659-20-028461 · tv538790_4.xml · nonDerivative · entry 1

Dakos Andrew · CIK 0001341021 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,921