VATE

SEC source: 0001621020-26-000005 · wk-form4_1789676235.xml · derivative · entry 1

Voigt Paul · CIK 0001621020 · Interim CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2036-09-17

F1 · derivative.exercise_price: The option award was granted on September 15, 2026 with an exercise price set at 110% of the 10-day VWAP on the date of grant.

SEC source: 0001006837-26-000087 · wk-form4_1786651978.xml · nonDerivative · entry 2

Voigt Paul · CIK 0001621020 · Interim CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 698,758

F2 · kind: Shares withheld by Issuer to satisfy taxes payable in connection with the vesting of previously awarded restricted stock.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $7.372 to $7.95, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.

SEC source: 0001006837-26-000088 · wk-form4_1786651984.xml · nonDerivative · entry 1

Sena Michael J. · CIK 0001562966 · CFO and Corporate Secretary

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 131,558

F1 · kind: Reflects shares of restricted stock granted pursuant to the INNOVATE Corp. Second Amended and Restated 2014 Omnibus Equity Award Plan, as amended (the "Plan"). Shares will vest and become exercisable in three installments of one-third each on the first, second and third anniversaries of the Date of Grant (each a "Vesting Date"), subject to the continued employment of the Reporting Person on the applicable Vesting Date.

SEC source: 0001006837-26-000087 · wk-form4_1786651978.xml · nonDerivative · entry 1

Voigt Paul · CIK 0001621020 · Interim CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 759,401

F1 · acquired: Reflects shares of restricted stock granted pursuant to the INNOVATE Corp. Second Amended and Restated 2014 Omnibus Equity Award Plan, as amended (the "Plan"). Shares will vest and become exercisable the first anniversary of the Date of Grant (the "Vesting Date"), subject to the continued employment of the Reporting Person on the Vesting Date.

SEC source: 0001006837-26-000086 · wk-form4_1786651970.xml · nonDerivative · entry 1

GFELLER WARREN H · CIK 0001175309 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 79,719

F1 · kind: Reflects shares of restricted stock granted pursuant to the INNOVATE Corp. Second Amended and Restated 2014 Omnibus Equity Award Plan, as amended (the "Plan"). The shares will vest and become non-forfeitable on the earlier of (i) the first anniversary of the grant date and (ii) the first regular annual meeting of the Company's stockholders that occurs following the date of grant (subject to continued service with the Company through such vesting date).

SEC source: 0001006837-26-000085 · wk-form4_1786651962.xml · nonDerivative · entry 1

Goldstein Brian Steven · CIK 0001936689 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 60,999

F1 · kind: Reflects shares of restricted stock granted pursuant to the INNOVATE Corp. Second Amended and Restated 2014 Omnibus Equity Award Plan, as amended (the "Plan"). The shares will vest and become non-forfeitable on the earlier of (i) the first anniversary of the grant date and (ii) the first regular annual meeting of the Company's stockholders that occurs following the date of grant (subject to continued service with the Company through such vesting date).

SEC source: 0001006837-26-000084 · wk-form4_1786651957.xml · nonDerivative · entry 1

Wilkinson Amy Marie · CIK 0001941582 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 58,920

F1 · kind: Reflects shares of restricted stock granted pursuant to the INNOVATE Corp. Second Amended and Restated 2014 Omnibus Equity Award Plan, as amended (the "Plan"). The shares will vest and become non-forfeitable on the earlier of (i) the first anniversary of the grant date and (ii) the first regular annual meeting of the Company's stockholders that occurs following the date of grant (subject to continued service with the Company through such vesting date).

SEC source: 0001006837-26-000083 · wk-form4_1786651951.xml · nonDerivative · entry 1

GLAZER AVRAM A · CIK 0001077812 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 66,000

F1 · kind: Reflects shares of restricted stock granted pursuant to the INNOVATE Corp. Second Amended and Restated 2014 Omnibus Equity Award Plan, as amended (the "Plan"). The shares will vest and become non-forfeitable on the earlier of (i) the first anniversary of the grant date and (ii) the first regular annual meeting of the Company's stockholders that occurs following the date of grant (subject to continued service with the Company through such vesting date).

SEC source: 0001562966-26-000002 · wk-form4_1773695440.xml · nonDerivative · entry 3

Sena Michael J. · CIK 0001562966 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 115,982

F1 · kind: Shares withheld by Issuer to satisfy taxes payable in connection with the vesting of previously awarded restricted stock.

SEC source: 0001562966-26-000002 · wk-form4_1773695440.xml · nonDerivative · entry 2

Sena Michael J. · CIK 0001562966 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 117,189

F1 · kind: Shares withheld by Issuer to satisfy taxes payable in connection with the vesting of previously awarded restricted stock.

SEC source: 0001562966-26-000002 · wk-form4_1773695440.xml · nonDerivative · entry 1

Sena Michael J. · CIK 0001562966 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 122,109

F1 · kind: Shares withheld by Issuer to satisfy taxes payable in connection with the vesting of previously awarded restricted stock.

SEC source: 0001621020-25-000010 · wk-form4_1758141469.xml · derivative · entry 1

Voigt Paul · CIK 0001621020 · Interim CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2035-09-15

F1 · derivative.exercise_price: The option award was granted on September 15, 2025 with an exercise price set at 110% of the 10-day VWAP on the date of grant.

SEC source: 0001621020-25-000005 · wk-form4_1754599064.xml · nonDerivative · entry 1

Voigt Paul · CIK 0001621020 · Interim CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 625,890

F1 · shares: Reflects shares of restricted stock granted pursuant to the INNOVATE Corp. Second Amended and Restated 2014 Omnibus Equity Award Plan, as amended. Shares will vest and become exercisable on the first anniversary of the date of grant (the "Vesting Date"), subject to the continued employment of the Reporting Person on the Vesting Date.

SEC source: 0001006837-25-000107 · wk-form4_1754511272.xml · derivative · entry 2

GLAZER AVRAM A · CIK 0001077812 · Director · 10% owner

Avram Glazer Irrevocable Exempt Trust · CIK 0001582402 · 10% owner

Glazer Jill H. · CIK 0002048636 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · Lancer Capital

Disclosed balance after: Not disclosed

Underlying: Common Stock · 51,873 shares

Expires 2027-03-01

F2 · price: On August 4, 2025, pursuant to that Exchange Agreement dated as of July 17, 2025 by and be-tween Lancer Capital LLC ("Lancer Capital") and the Company, Lancer Capital exchanged $2.0 million in principal amount of the Company's 7.5% Convertible Senior Notes due 2026 (the "Old Convertible Notes"), together with all interest accrued and unpaid thereon, for $2.195 million in principal amount of the Company's 9.5% Convertible Senior Notes due 2027 (the "New Convertible Notes"). The Old Convertible Notes were convertible at the option of Lancer Capital into shares of the Company's common stock at any time until their maturity date (August 1, 2026) at the conversion rate of $42.3143, subject to anti-dilution adjustment. The New Convertible Notes are convertible at the option of Lancer Capital into shares of the Company's common stock at any time until their maturity date (March 1, 2027) at the conversion rate of $42.3143, subject to ant-dilution adjustment.

F1 · derivative.underlying_shares: Convertible Notes are convertible at the option of Lancer Capital into shares of the Company's common stock at the conversion rate of $42.3143.

F3 · ownership.nature: The reported shares are directly beneficially owned by Lancer Capital. The Avram Glazer Irrevocable Exempt Trust (the "Trust") is the sole member of Lancer Capital, and in such capacity may be deemed to beneficially own the shares beneficially owned by Lancer Capital. Mr. Avram A. Glazer is the trustee of the Trust, and in such capacity may be deemed to beneficially own the shares beneficially owned by the Trust.

F4 · ownership.nature: Mrs. Jill H. Glazer is the spouse of Mr. Glazer and in such capacity may be deemed to beneficially own the shares beneficially owned by him.

SEC source: 0001006837-25-000107 · wk-form4_1754511272.xml · derivative · entry 1

GLAZER AVRAM A · CIK 0001077812 · Director · 10% owner

Avram Glazer Irrevocable Exempt Trust · CIK 0001582402 · 10% owner

Glazer Jill H. · CIK 0002048636 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · Lancer Capital

Disclosed balance after: Not disclosed

Underlying: Common Stock · 47,265 shares

Expires 2026-08-01

F2 · price: On August 4, 2025, pursuant to that Exchange Agreement dated as of July 17, 2025 by and be-tween Lancer Capital LLC ("Lancer Capital") and the Company, Lancer Capital exchanged $2.0 million in principal amount of the Company's 7.5% Convertible Senior Notes due 2026 (the "Old Convertible Notes"), together with all interest accrued and unpaid thereon, for $2.195 million in principal amount of the Company's 9.5% Convertible Senior Notes due 2027 (the "New Convertible Notes"). The Old Convertible Notes were convertible at the option of Lancer Capital into shares of the Company's common stock at any time until their maturity date (August 1, 2026) at the conversion rate of $42.3143, subject to anti-dilution adjustment. The New Convertible Notes are convertible at the option of Lancer Capital into shares of the Company's common stock at any time until their maturity date (March 1, 2027) at the conversion rate of $42.3143, subject to ant-dilution adjustment.

F1 · derivative.underlying_shares: Convertible Notes are convertible at the option of Lancer Capital into shares of the Company's common stock at the conversion rate of $42.3143.

F3 · ownership.nature: The reported shares are directly beneficially owned by Lancer Capital. The Avram Glazer Irrevocable Exempt Trust (the "Trust") is the sole member of Lancer Capital, and in such capacity may be deemed to beneficially own the shares beneficially owned by Lancer Capital. Mr. Avram A. Glazer is the trustee of the Trust, and in such capacity may be deemed to beneficially own the shares beneficially owned by the Trust.

F4 · ownership.nature: Mrs. Jill H. Glazer is the spouse of Mr. Glazer and in such capacity may be deemed to beneficially own the shares beneficially owned by him.

SEC source: 0001006837-25-000073 · wk-form4_1750104849.xml · nonDerivative · entry 1

Wilkinson Amy Marie · CIK 0001941582 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 46,904

F1 · shares: Reflects shares of restricted stock granted pursuant to the INNOVATE Corp. Second Amended and Restated 2014 Omnibus Equity Award Plan, as amended (the "Plan"). The shares will vest and become non-forfeitable on the earlier of (i) the first anniversary of the grant date and (ii) the first regular annual meeting of the Company's stockholders that occurs following the date of grant (subject to continued service with the Company through such vesting date).

F2 · balance_after: Effective August 8, 2024, the Issuer effected a ten-for-one reverse stock split of its common stock (the "Reverse Stock Split"). The amount of common stock reflected on this Form 4 has been adjusted to reflect the Reverse Stock Split.

SEC source: 0001006837-25-000072 · wk-form4_1750104840.xml · nonDerivative · entry 1

GFELLER WARREN H · CIK 0001175309 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 67,703

F1 · shares: Reflects shares of restricted stock granted pursuant to the INNOVATE Corp. Second Amended and Restated 2014 Omnibus Equity Award Plan, as amended (the "Plan"). The shares will vest and become non-forfeitable on the earlier of (i) the first anniversary of the grant date and (ii) the first regular annual meeting of the Company's stockholders that occurs following the date of grant (subject to continued service with the Company through such vesting date).

F2 · balance_after: Effective August 8, 2024, the Issuer effected a ten-for-one reverse stock split of its common stock (the "Reverse Stock Split"). The amount of common stock reflected on this Form 4 has been adjusted to reflect the Reverse Stock Split.

SEC source: 0001006837-25-000071 · wk-form4_1750104829.xml · nonDerivative · entry 1

GLAZER AVRAM A · CIK 0001077812 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 53,984

F1 · shares: Reflects shares of restricted stock granted pursuant to the INNOVATE Corp. Second Amended and Restated 2014 Omnibus Equity Award Plan, as amended (the "Plan"). The shares will vest and become non-forfeitable on the earlier of (i) the first anniversary of the grant date and (ii) the first regular annual meeting of the Company's stockholders that occurs following the date of grant (subject to continued service with the Company through such vesting date).

SEC source: 0001006837-25-000070 · wk-form4_1750104818.xml · nonDerivative · entry 1

Goldstein Brian Steven · CIK 0001936689 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 48,983

F1 · shares: Reflects shares of restricted stock granted pursuant to the INNOVATE Corp. Second Amended and Restated 2014 Omnibus Equity Award Plan, as amended (the "Plan"). The shares will vest and become non-forfeitable on the earlier of (i) the first anniversary of the grant date and (ii) the first regular annual meeting of the Company's stockholders that occurs following the date of grant (subject to continued service with the Company through such vesting date).

F2 · balance_after: Effective August 8, 2024, the Issuer effected a ten-for-one reverse stock split of its common stock (the "Reverse Stock Split"). The amount of common stock reflected on this Form 4 has been adjusted to reflect the Reverse Stock Split.

SEC source: 0001006837-25-000011 · wk-form4_1742245787.xml · nonDerivative · entry 2

Sena Michael J. · CIK 0001562966 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 123,893

F1 · kind: Shares withheld by Issuer to satisfy taxes payable in connection with the vesting of previously awarded restricted stock.

SEC source: 0001006837-25-000011 · wk-form4_1742245787.xml · nonDerivative · entry 1

Sena Michael J. · CIK 0001562966 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 124,946

F1 · kind: Shares withheld by Issuer to satisfy taxes payable in connection with the vesting of previously awarded restricted stock.

SEC source: 0001006837-25-000009 · wk-form4_1741900744.xml · nonDerivative · entry 2

Sena Michael J. · CIK 0001562966 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 129,248

F3 · kind: Reflects shares of restricted stock granted (the "Award") pursuant to the INNOVATE Corp. 2014 Omnibus Equity Award Plan, as amended from time to time (the "Plan"). Shares will vest and become exercisable in three installments of one-third each on the first, second and third anniversaries of the Date of Grant (each a "Vesting Date"), subject to the continued employment of the Reporting Person on the applicable Vesting Date.

SEC source: 0001006837-25-000009 · wk-form4_1741900744.xml · nonDerivative · entry 1

Sena Michael J. · CIK 0001562966 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 116,302

F1 · kind: Shares withheld by Issuer to satisfy taxes payable in connection with the vesting of previously awarded restricted stock.

F2 · balance_after: Effective August 8, 2024, the Issuer effected a ten-for-one reverse stock split of its common stock (the "Reverse Stock Split"). The amount of common stock reflected on this Form 4 has been adjusted to reflect the Reverse Stock Split.

SEC source: 0001006837-24-000166 · wk-form4_1734556431.xml · nonDerivative · entry 4

GLAZER AVRAM A · CIK 0001077812 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · KAG Irrevocable Exempt Trust

Disclosed balance after: 2,097,902

F2 · kind: Mr. Glazer gifted 2,097,902 shares of common stock to the KAG Irrevocable Exempt Trust, a trust for the benefit of one of his children, of which his wife is the trustee.

F4 · ownership.nature: The KAG Irrevocable Exempt Trust, is a trust for the benefit of one of Mr. Glazer's children, of which his wife is the trustee.

SEC source: 0001006837-24-000166 · wk-form4_1734556431.xml · nonDerivative · entry 3

GLAZER AVRAM A · CIK 0001077812 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · LHG Irrevocable Exempt Trust

Disclosed balance after: 2,097,902

F1 · kind: Mr. Glazer gifted 2,097,902 shares of common stock to the LHG Irrevocable Exempt Trust, a trust for the benefit of one of his children, of which his wife is the trustee.

F3 · ownership.nature: The LHG Irrevocable Exempt Trust, is a trust for the benefit of one of Mr. Glazer's children, of which his wife is the trustee.

SEC source: 0001006837-24-000166 · wk-form4_1734556431.xml · nonDerivative · entry 2

GLAZER AVRAM A · CIK 0001077812 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 37,621

F2 · kind: Mr. Glazer gifted 2,097,902 shares of common stock to the KAG Irrevocable Exempt Trust, a trust for the benefit of one of his children, of which his wife is the trustee.

SEC source: 0001006837-24-000166 · wk-form4_1734556431.xml · nonDerivative · entry 1

GLAZER AVRAM A · CIK 0001077812 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,135,523

F1 · kind: Mr. Glazer gifted 2,097,902 shares of common stock to the LHG Irrevocable Exempt Trust, a trust for the benefit of one of his children, of which his wife is the trustee.

SEC source: 0001006837-24-000164 · wk-form4_1732225742.xml · nonDerivative · entry 1

Voigt Paul · CIK 0001621020 · Interim CEO

10b5-1 filing: No plan indicated

Ownership: Indirect · Paul K Voigt Rev Trust

Disclosed balance after: 25,000

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.92 to $4.00. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote.

F2 · ownership.nature: Reporting Person is the Trustee of "Paul K Voigt Rev Trust, Paul K Voigt TTEE U/A DTD 11/20/2008 By Paul K Voigt" and has sole voting and investment control.

SEC source: 0001006837-24-000144 · wk-form4_1730320735.xml · derivative · entry 5

Voigt Paul · CIK 0001621020 · Interim CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2034-09-15

F7 · derivative.exercise_price: The option award was granted on September 15, 2024 with an exercise price to be set at 110% of the 10-day VWAP on the date of the grant.

F8 · date: The option award was granted on September 15, 2024, subject to the Share Approval Condition, which was approved by the stockholders on October 4, 2024 effective as of October 29, 2024.

SEC source: 0001006837-24-000144 · wk-form4_1730320735.xml · derivative · entry 4

Voigt Paul · CIK 0001621020 · Interim CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2033-09-15

F4 · derivative.exercise_price: The option award was granted with an exercise price of $25.00 per share (retroactively adjusted to reflect the 1-for-10 reverse split of the Common Stock effective as of August 8, 2024), which price was greater than the fair market value per share on the date of the grant.

F5 · date: The option award was granted on September 15, 2023, subject to the Share Approval Condition, which was approved by the stockholders on October 4, 2024 effective as of October 29, 2024.

F6 · shares: The reported shares have been retroactively adjusted to reflect the 1-for-10 reverse split of the Issuer's Common Stock effective as of August 8, 2024.

SEC source: 0001006837-24-000144 · wk-form4_1730320735.xml · nonDerivative · entry 2

Voigt Paul · CIK 0001621020 · Interim CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 449,834

F2 · date: The RSU was granted on August 19, 2024, subject to the Share Approval Condition, which was approved by the stockholders on October 4, 2024 effective as of October 29, 2024.

SEC source: 0001006837-24-000144 · wk-form4_1730320735.xml · nonDerivative · entry 1

Voigt Paul · CIK 0001621020 · Interim CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 306,977

F1 · date: The restricted stock unit award (the "RSU") was granted on October 11, 2023, subject to stockholder approval of an amendment to the Second Amended and Restated 2014 Omnibus Equity Award Plan (the "Second A&R 2014 Plan") to increase the number of shares of Common Stock available thereunder to satisfy the settlement of the grant (the "Share Approval Condition"), which was approved by the stockholders on October 4, 2024 effective as of October 29, 2024.

SEC source: 0001006837-24-000133 · wk-form4_1726517819.xml · nonDerivative · entry 1

Voigt Paul · CIK 0001621020 · Interim CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 211,655

F1 · balance_after: Effective August 8, 2024, the Issuer effected a ten-for-one reverse stock split of its common stock (the "Reverse Stock Split"). The amount of common stock reflected on this Form 4 has been adjusted to reflect the Reverse Stock Split.

SEC source: 0001006837-24-000106 · wk-form4_1718914475.xml · nonDerivative · entry 1

Wilkinson Amy Marie · CIK 0001941582 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 305,406

F1 · shares: The shares will vest and become non-forfeitable on the earlier of (i) the first anniversary of the grant date and (ii) the first regular annual meeting of the Company's stockholders that occurs following the date of grant (subject to continued service with the Company through such vesting date).

SEC source: 0001006837-24-000107 · wk-form4_1718914487.xml · nonDerivative · entry 1

Goldstein Brian Steven · CIK 0001936689 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 326,194

F1 · shares: The shares will vest and become non-forfeitable on the earlier of (i) the first anniversary of the grant date and (ii) the first regular annual meeting of the Company's stockholders that occurs following the date of grant (subject to continued service with the Company through such vesting date).

SEC source: 0001006837-24-000105 · wk-form4_1718914465.xml · derivative · entry 4

GLAZER AVRAM A · CIK 0001077812 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By: Lancer Capital LLC

Disclosed balance after: 0

Underlying: Common Stock · 44,693,895 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 · derivative.exercise_date: The Series C Non-Voting Participating Convertible Preferred Stock will convert automatically into common stock upon stockholder approval of the conversion and may be converted at the option of the reporting person prior to the consummation of any merger, sale of all or substantially all assets of the Issuer, or other change of control transaction with a third party unaffiliated with any holder of the Series C Preferred Stock pursuant to which the Issuer will be delisted from the New York Stock Exchange.

F6 · derivative.expiration_date: The reported security does not have an expiration date.

F7 · ownership.nature: The reporting person is the sole member of Lancer Capital LLC.

SEC source: 0001006837-24-000105 · wk-form4_1718914465.xml · nonDerivative · entry 2

GLAZER AVRAM A · CIK 0001077812 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · Lancer Capital

Disclosed balance after: 64,078,091

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.

F2 · shares: The reported shares were issued upon stockholder approval of the conversion of the Company's Series C Non-Voting Participating Convertible Preferred Stock. See FN 5.

F3 · ownership.nature: The reported shares were purchased by Lancer Capital LLC ("Lancer"). The Avram Glazer Irrevocable Exempt Trust (the "Trust") is the sole owner of Lancer, and in such capacity may be deemed to beneficially own the shares held of record by Lancer. The Reporting Person is the Trustee of the Trust, and in such capacity may be deemed to beneficially own the shares held of record by Lancer Capital and the Trust.

SEC source: 0001006837-24-000105 · wk-form4_1718914465.xml · nonDerivative · entry 1

GLAZER AVRAM A · CIK 0001077812 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 376,196

F1 · shares: The shares will vest and become non-forfeitable on the earlier of (i) the first anniversary of the grant date and (ii) the first regular annual meeting of the Company's stockholders that occurs following the date of grant (subject to continued service with the Company through such vesting date).

SEC source: 0001006837-24-000104 · wk-form4_1718914454.xml · nonDerivative · entry 1

GFELLER WARREN H · CIK 0001175309 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 513,389

F1 · shares: The shares will vest and become non-forfeitable on the earlier of (i) the first anniversary of the grant date and (ii) the first regular annual meeting of the Company's stockholders that occurs following the date of grant (subject to continued service with the Company through such vesting date).

SEC source: 0001006837-24-000095 · wk-form4_1718656559.xml · nonDerivative · entry 1

Voigt Paul · CIK 0001621020 · Interim CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,678,695

SEC source: 0001006837-24-000085 · wk-form4_1718224799.xml · nonDerivative · entry 3

Voigt Paul · CIK 0001621020 · Interim CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,678,519

SEC source: 0001006837-24-000085 · wk-form4_1718224799.xml · nonDerivative · entry 2

Voigt Paul · CIK 0001621020 · Interim CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,671,489

SEC source: 0001006837-24-000085 · wk-form4_1718224799.xml · nonDerivative · entry 1

Voigt Paul · CIK 0001621020 · Interim CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,662,663

SEC source: 0001006837-24-000065 · wk-form4_1714079411.xml · derivative · entry 3

Voigt Paul · CIK 0001621020 · Interim CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 369,130 shares

Expires 2024-04-19

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 · shares: Every one (1) subscription right entitles the reporting person to purchase 0.2858 shares of the Issuer's common stock at a subscription price per full share of $0.70.

SEC source: 0001006837-24-000065 · wk-form4_1714079411.xml · nonDerivative · entry 1

Voigt Paul · CIK 0001621020 · Interim CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,660,698

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 · shares: These shares were directly acquired by the reporting person as a result of the exercise of subscription rights which were issued to the reporting person in the Issuer's rights offering.

SEC source: 0001006837-24-000064 · wk-form4_1714079399.xml · derivative · entry 1

GLAZER AVRAM A · CIK 0001077812 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By: Lancer Capital LLC

Disclosed balance after: 31,285.7265

Underlying: Common Stock · 8,979,610 shares

Expires not disclosed

F1 · derivative.exercise_date: The Series C Non-Voting Participating Convertible Preferred Stock will convert automatically into common stock upon stockholder approval of the conversion and may be converted at the option of the reporting person prior to the consummation of any merger, sale of all or substantially all assets of the Issuer, or other change of control transaction with a third party unaffiliated with any holder of the Series C Preferred Stock pursuant to which the Issuer will be delisted from the New York Stock Exchange.

F2 · derivative.expiration_date: The reported security does not have an expiration date.

F3 · ownership.nature: The reporting person is the sole member of Lancer Capital LLC.

SEC source: 0001006837-24-000063 · wk-form4_1714079388.xml · derivative · entry 2

Sena Michael J. · CIK 0001562966 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 114,285 shares

Expires 2024-04-19

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.

F2 · shares: Every one (1) subscription right entitles the reporting person to purchase 0.2858 shares of the Issuer's common stock at a subscription price per full share of $0.70.

SEC source: 0001006837-24-000063 · wk-form4_1714079388.xml · nonDerivative · entry 1

Sena Michael J. · CIK 0001562966 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,171,632

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 · shares: These shares were directly acquired by the reporting person as a result of the exercise of subscription rights which were issued to the reporting person in the Issuer's rights offering.

SEC source: 0001006837-24-000062 · wk-form4_1714079376.xml · derivative · entry 2

GFELLER WARREN H · CIK 0001175309 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 63,428 shares

Expires 2024-04-19

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.

F2 · shares: Every one (1) subscription right entitles the reporting person to purchase 0.2858 shares of the Issuer's common stock at a subscription price per full share of $0.70.

SEC source: 0001006837-24-000062 · wk-form4_1714079376.xml · nonDerivative · entry 1

GFELLER WARREN H · CIK 0001175309 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 352,388

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 · shares: These shares were directly acquired by the reporting person as a result of the exercise of subscription rights which were issued to the reporting person in the Issuer's rights offering.