SPE

SEC source: 0001144204-16-122869 · v448364_4.xml · derivative · entry 2

WALDEN CHARLES C · CIK 0001475052 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

Underlying: Common Stock · 6,579 shares

Expires not disclosed

F2 · date: The rights offering expired August 26, 2016 and shares of Preferred Stock are expected to be allocated by the transfer agent to purchasing stockholders on or about September 1, 2016.

F3 · shares: Includes shares of Preferred Stock acquired pursuant to the exercise of the Over-Subscription Privilege and Over-Allotment Privilege.

F4 · derivative.exercise_date: The shares of Preferred Stock are convertible into common stock immediately upon issuance at a conversion rate equivalent to a conversion price of $19.00 per share of common stock (which is a ratio of 1.3158 shares of common stock for each share of Preferred Stock held), subject to adjustment.

F5 · derivative.expiration_date: The shares of Preferred Stock will be redeemed by the Issuer if not converted prior to August 26, 2021.

F3 · balance_after: Includes shares of Preferred Stock acquired pursuant to the exercise of the Over-Subscription Privilege and Over-Allotment Privilege.

SEC source: 0001144204-16-122869 · v448364_4.xml · derivative · entry 1

WALDEN CHARLES C · CIK 0001475052 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: 3.50% Convertible Preferred Stock, Series B · 5,000 shares

Expires 2016-08-26

F1 · security: Transferable subscription rights ("Rights") were issued on a pro rata basis to stockholders of record as of July 21, 2016 in connection with a rights offering by the Issuer at the rate of one Right for each five shares of common stock owned (the "Basic Subscription Right"). Each Right entitled its holder to purchase one share of 3.50% Convertible Preferred Stock, Series B ("Preferred Stock") at a subscription price of $25 per share. Pursuant to the terms of the offering, a stockholder who purchased the maximum amount of Preferred Stock pursuant to its Basic Subscription Right was also entitled to purchase additional shares of Preferred Stock that were not purchased by the other stockholders (the "Over-Subscription Privilege"). Additionally, in order to honor all Over-Subscription Privilege requests, the Issuer issued additional shares up to 15% of the shares available in the offering (the "Over-Allotment Privilege").

F2 · date: The rights offering expired August 26, 2016 and shares of Preferred Stock are expected to be allocated by the transfer agent to purchasing stockholders on or about September 1, 2016.

SEC source: 0001144204-16-123581 · v448689_form4.xml · derivative · entry 3

HARRIS BEN H · CIK 0001472352 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 0

Underlying: 3.50% Convertible preferred Stock, Series B · 400 shares

Expires 2016-08-26

F1 · security: Transferable subscription rights ("Rights") were issued on a pro rata basis to stockholders of record as of July 21, 2016 in connection with a rights offering by the Issuer at the rate of one Right for each five shares of common stock owned (the "Basic Subscription Right"). Each Right entitled its holder to purchase one share of 3.50% Convertible Preferred Stock, Series B ("Preferred Stock") at a subscription price of $25 per share.

F2 · date: The rights offering expired August 26, 2016 and shares of Preferred Stock were received September 8, 2016

F3 · ownership.nature: Hormel Harris Investments, LLC

SEC source: 0001144204-16-123581 · v448689_form4.xml · derivative · entry 1

HARRIS BEN H · CIK 0001472352 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: 3.50% Convertible preferred Stock, Series B · 180 shares

Expires 2016-08-26

F1 · security: Transferable subscription rights ("Rights") were issued on a pro rata basis to stockholders of record as of July 21, 2016 in connection with a rights offering by the Issuer at the rate of one Right for each five shares of common stock owned (the "Basic Subscription Right"). Each Right entitled its holder to purchase one share of 3.50% Convertible Preferred Stock, Series B ("Preferred Stock") at a subscription price of $25 per share.

F2 · date: The rights offering expired August 26, 2016 and shares of Preferred Stock were received September 8, 2016

SEC source: 0001144204-16-123755 · v448769_4.xml · derivative · entry 5

Dakos Andrew · CIK 0001341021 · Director · President

10b5-1 filing: Not disclosed

Ownership: Indirect · By Minor children

Disclosed balance after: 0

Underlying: 3.50% Convertible Preferred Stock, Series B · 156 shares

Expires 2016-08-26

F1 · security: Transferable subscription rights ("Rights") were issued on a pro rata basis to stockholders of record as of July 21, 2016 in connection with a rights offering by the Issuer at the rate of one Right for each five shares of common stock owned (the "Basic Subscription Right"). Each Right entitled its holder to purchase one share of 3.50% Convertible Preferred Stock, Series B ("Preferred Stock") at a subscription price of $25 per share. Pursuant to the terms of the offering, a stockholder who purchased the maximum amount of Preferred Stock pursuant to its Basic Subscription Right was also entitled to purchase additional shares of Preferred Stock that were not purchased by the other stockholders (the "Over-Subscription Privilege"). Additionally, in order to honor all Over-Subscription Privilege requests, the Issuer issued additional shares up to 15% of the shares available in the offering (the "Over-Allotment Privilege").

F2 · date: The rights offering expired August 26, 2016 and shares of Preferred Stock were received September 8, 2016.

F7 · 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: 0001144204-16-123755 · v448769_4.xml · derivative · entry 3

Dakos Andrew · CIK 0001341021 · Director · President

10b5-1 filing: Not disclosed

Ownership: Indirect · By Spouse

Disclosed balance after: 0

Underlying: 3.50% Convertible Preferred Stock, Series B · 966 shares

Expires 2016-08-26

F1 · security: Transferable subscription rights ("Rights") were issued on a pro rata basis to stockholders of record as of July 21, 2016 in connection with a rights offering by the Issuer at the rate of one Right for each five shares of common stock owned (the "Basic Subscription Right"). Each Right entitled its holder to purchase one share of 3.50% Convertible Preferred Stock, Series B ("Preferred Stock") at a subscription price of $25 per share. Pursuant to the terms of the offering, a stockholder who purchased the maximum amount of Preferred Stock pursuant to its Basic Subscription Right was also entitled to purchase additional shares of Preferred Stock that were not purchased by the other stockholders (the "Over-Subscription Privilege"). Additionally, in order to honor all Over-Subscription Privilege requests, the Issuer issued additional shares up to 15% of the shares available in the offering (the "Over-Allotment Privilege").

F2 · date: The rights offering expired August 26, 2016 and shares of Preferred Stock were received September 8, 2016.

F6 · 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: 0001144204-16-123755 · v448769_4.xml · derivative · entry 1

Dakos Andrew · CIK 0001341021 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: 3.50% Convertible Preferred Stock, Series B · 1,200 shares

Expires 2016-08-26

F1 · security: Transferable subscription rights ("Rights") were issued on a pro rata basis to stockholders of record as of July 21, 2016 in connection with a rights offering by the Issuer at the rate of one Right for each five shares of common stock owned (the "Basic Subscription Right"). Each Right entitled its holder to purchase one share of 3.50% Convertible Preferred Stock, Series B ("Preferred Stock") at a subscription price of $25 per share. Pursuant to the terms of the offering, a stockholder who purchased the maximum amount of Preferred Stock pursuant to its Basic Subscription Right was also entitled to purchase additional shares of Preferred Stock that were not purchased by the other stockholders (the "Over-Subscription Privilege"). Additionally, in order to honor all Over-Subscription Privilege requests, the Issuer issued additional shares up to 15% of the shares available in the offering (the "Over-Allotment Privilege").

F2 · date: The rights offering expired August 26, 2016 and shares of Preferred Stock were received September 8, 2016.