VATE

SEC source: 0001077812-20-000003 · primary_doc.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Indirect · Owned by Lancer Capital LLC

Disclosed balance after: 11,891,539

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: The Reporting Person acquired 21,433.71 shares of Series B Non-Voting Participating Convertible Preferred Stock on November 25, 2020. Immediately following this acquisition, the Reporting Person converted the aggregate 26,933.71 shares of Series B Non-Voting Participating Convertible Preferred Stock owned by it into 11,891,539 shares of common stock of the Issuer.

SEC source: 0001006837-20-000215 · wf-form4_160627265579444.xml · nonDerivative · entry 3

Ferraro Joseph Anthony · CIK 0001717154 · Chief Legal Officer & Corp Sec

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 222,297

F2 · shares: Shares disposed of to satisfy taxes payable in connection with the vesting of previously awarded restricted stock.

F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.50 to $2.51, 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 purchased at each separate price within the ranges set forth in this footnote 1.

SEC source: 0001006837-20-000214 · wf-form4_160627262824861.xml · nonDerivative · entry 3

Sena Michael J. · CIK 0001562966 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 521,765

F2 · shares: Shares disposed of to satisfy taxes payable in connection with the vesting of previously awarded restricted stock.

F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.50 to $2.51, 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 purchased at each separate price within the ranges set forth in this footnote 1.

SEC source: 0001006837-20-000215 · wf-form4_160627265579444.xml · nonDerivative · entry 2

Ferraro Joseph Anthony · CIK 0001717154 · Chief Legal Officer & Corp Sec

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 223,393

F2 · shares: Shares disposed of 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 $2.39 to $2.50, 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 purchased at each separate price within the ranges set forth in this footnote 1.

SEC source: 0001006837-20-000214 · wf-form4_160627262824861.xml · nonDerivative · entry 2

Sena Michael J. · CIK 0001562966 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 523,262

F2 · shares: Shares disposed of 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 $2.39 to $2.50, 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 purchased at each separate price within the ranges set forth in this footnote 1.

SEC source: 0001006837-20-000219 · wf-form4_160627304163349.xml · derivative · entry 3

Gorzynski Michael · CIK 0001812551 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Percy Rockdale LLC and Rio Royal LLC

Disclosed balance after: 0

Underlying: Common Stock · 2,176,621 shares

Expires 2020-11-20

F4 · shares: Every one (1) subscription right entitles the reporting person to purchase 0.5462 shares of the Issuer's common stock at a subscription price per full share of $2.27, plus oversubscription privileges at the same per-share price. The reporting person exercised his oversubscription privilege and was accordingly allocated an additional 639,541 shares of common stock.

SEC source: 0001006837-20-000219 · wf-form4_160627304163349.xml · nonDerivative · entry 1

Gorzynski Michael · CIK 0001812551 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Percy Rockdale LLC and Rio Royal LLC

Disclosed balance after: 4,990,758

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.

F2 · ownership.direct: These securities are directly owned solely by (i) Percy Rockdale LLC ("Percy Rockdale") and (ii) Rio Royal LLC ("Rio Royal"). As of the date hereof, Percy Rockdale beneficially owns 4,919,768 shares of Common Stock and Rio Royal beneficially owns 24,462 shares of Common Stock. Mr. Gorzynski, as the sole Manager of Percy Rockdale and the sole Director of MG Capital Management, may be deemed to beneficially own the shares of Common Stock directly held by each of Percy Rockdale and Rio Royal.

F3 · ownership.direct: Each of Percy Rockdale, Rio Royal and Mr. Gorzynski may be deemed to be a member of a "group" for purposes of Section 13(d) of the Exchange Act and may be deemed the beneficial owner of the shares directly owned by the other persons. Pursuant to Rule 16a-1(a)(4) under the Securities Exchange Act of 1934, as amended (the "Act"), the reporting person disclaims beneficial ownership of any securities reported herein, except to the extent that the reporting person has a pecuniary interest therein. This report shall not be deemed an admission that such reporting person is the beneficial owner of any securities not directly owned by such reporting person.

SEC source: 0001006837-20-000217 · wf-form4_160627269189526.xml · derivative · entry 4

Herbst Suzi R · CIK 0001672162 · Chief Administrative Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · Trusts FBO Children

Disclosed balance after: 0

Underlying: Common Stock · 3,276 shares

Expires 2020-11-20

F3 · shares: Every one (1) subscription right entitles the reporting person to purchase 0.5462 shares of the Issuer's common stock at a subscription price per full share of $2.27.

SEC source: 0001006837-20-000217 · wf-form4_160627269189526.xml · derivative · entry 3

Herbst Suzi R · CIK 0001672162 · Chief Administrative Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 10,377 shares

Expires 2020-11-20

F3 · shares: Every one (1) subscription right entitles the reporting person to purchase 0.5462 shares of the Issuer's common stock at a subscription price per full share of $2.27.

SEC source: 0001006837-20-000217 · wf-form4_160627269189526.xml · nonDerivative · entry 2

Herbst Suzi R · CIK 0001672162 · Chief Administrative Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · Trusts FBO Children

Disclosed balance after: 9,276

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.

F2 · ownership.nature: The shares of common stock reported herein are held in two trusts, each trust for the benefit of one of the Reporting Person's children. The Reporting Person's spouse serves as trustee for each trust. The Reporting Person disclaims beneficial ownership of all securities held by such trusts except to the extent of her pecuniary interest therein, and this report shall 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 purpose.

SEC source: 0001006837-20-000217 · wf-form4_160627269189526.xml · nonDerivative · entry 1

Herbst Suzi R · CIK 0001672162 · Chief Administrative Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 101,627

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: 0001006837-20-000216 · wf-form4_160627267265623.xml · derivative · entry 2

Courtis Kenneth S. · CIK 0001812746 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 18,433 shares

Expires 2020-11-20

F2 · shares: Every one (1) subscription right entitles the reporting person to purchase 0.5462 shares of the Issuer's common stock at a subscription price per full share of $2.27, plus oversubscription privileges at the same per-share price. The reporting person exercised his oversubscription privilege and was accordingly allocated an additional one (1) share of common stock.

SEC source: 0001006837-20-000216 · wf-form4_160627267265623.xml · nonDerivative · entry 1

Courtis Kenneth S. · CIK 0001812746 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 360,365

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: 0001006837-20-000215 · wf-form4_160627265579444.xml · derivative · entry 4

Ferraro Joseph Anthony · CIK 0001717154 · Chief Legal Officer & Corp Sec

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 13,215 shares

Expires 2020-11-20

F5 · shares: Every one (1) subscription right entitles the reporting person to purchase 0.5462 shares of the Issuer's common stock at a subscription price per full share of $2.27.

SEC source: 0001006837-20-000215 · wf-form4_160627265579444.xml · nonDerivative · entry 1

Ferraro Joseph Anthony · CIK 0001717154 · Chief Legal Officer & Corp Sec

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 289,947

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: 0001006837-20-000214 · wf-form4_160627262824861.xml · derivative · entry 4

Sena Michael J. · CIK 0001562966 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 44,242 shares

Expires 2020-11-20

F5 · shares: Every one (1) subscription right entitles the reporting person to purchase 0.5462 shares of the Issuer's common stock at a subscription price per full share of $2.27.

SEC source: 0001006837-20-000214 · wf-form4_160627262824861.xml · nonDerivative · entry 1

Sena Michael J. · CIK 0001562966 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 614,553

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: 0001006837-20-000213 · wf-form4_160627261112244.xml · derivative · entry 2

BARR WAYNE JR · CIK 0001270217 · Director · Interim CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 32,771 shares

Expires 2020-11-20

F2 · shares: Every one (1) subscription right entitles the reporting person to purchase 0.5462 shares of the Issuer's common stock at a subscription price per full share of $2.27.

SEC source: 0001006837-20-000213 · wf-form4_160627261112244.xml · nonDerivative · entry 1

BARR WAYNE JR · CIK 0001270217 · Director · Interim CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 158,719

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: 0001006837-20-000212 · wf-form4_160627258923088.xml · derivative · entry 2

Lombard Shelly · CIK 0001812653 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 9,995 shares

Expires 2020-11-20

F2 · shares: Every one (1) subscription right entitles the reporting person to purchase 0.5462 shares of the Issuer's common stock at a subscription price per full share of $2.27.

SEC source: 0001006837-20-000212 · wf-form4_160627258923088.xml · nonDerivative · entry 1

Lombard Shelly · CIK 0001812653 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,742

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: 0001006837-20-000221 · wf-form4_160633913380865.xml · derivative · entry 2

Courtis Kenneth S. · CIK 0001812746 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 168,351 shares

Expires 2020-11-20

F2 · shares: Every one (1) subscription right entitles the reporting person to purchase 0.5462 shares of the Issuer's common stock at a subscription price per full share of $2.27.

SEC source: 0001006837-20-000221 · wf-form4_160633913380865.xml · nonDerivative · entry 1

Courtis Kenneth S. · CIK 0001812746 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 528,716

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: 0001006837-20-000233 · wf-form4a_160746351804073.xml · derivative · entry 3

Gorzynski Michael · CIK 0001812551 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Percy Rockdale LLC and Rio Royal LLC

Disclosed balance after: 0

Underlying: Common Stock · 2,259,080 shares

Expires 2020-11-20

F5 · shares: Every one (1) subscription right entitles the reporting person to purchase 0.5462 shares of the Issuer's common stock at a subscription price per full share of $2.27, plus oversubscription privileges at the same per-share price. The reporting person exercised his oversubscription privilege and was accordingly allocated an additional 722,000 shares of common stock.

F2 · derivative.underlying_shares: The number reported includes an additional 82,459 shares not previously reported, which the reporting person would have been previously issued pursuant to the exercise of his oversubscription privilege but for an administrative error on the part of the Issuer's transfer agent.

SEC source: 0001006837-20-000233 · wf-form4a_160746351804073.xml · nonDerivative · entry 1

Gorzynski Michael · CIK 0001812551 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Percy Rockdale LLC and Rio Royal LLC

Disclosed balance after: 5,073,217

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.

F2 · shares: The number reported includes an additional 82,459 shares not previously reported, which the reporting person would have been previously issued pursuant to the exercise of his oversubscription privilege but for an administrative error on the part of the Issuer's transfer agent.

F3 · ownership.direct: These securities are directly owned solely by (i) Percy Rockdale LLC ("Percy Rockdale") and (ii) Rio Royal LLC ("Rio Royal"). As of the date hereof, Percy Rockdale beneficially owns 5,048,755 shares of Common Stock and Rio Royal beneficially owns 24,462 shares of Common Stock. Mr. Gorzynski, as the sole Manager of Percy Rockdale and the sole Director of MG Capital Management, may be deemed to beneficially own the shares of Common Stock directly held by each of Percy Rockdale and Rio Royal.

F4 · ownership.direct: Each of Percy Rockdale, Rio Royal and Mr. Gorzynski may be deemed to be a member of a "group" for purposes of Section 13(d) of the Exchange Act and may be deemed the beneficial owner of the shares directly owned by the other persons. Pursuant to Rule 16a-1(a)(4) under the Securities Exchange Act of 1934, as amended (the "Act"), the reporting person disclaims beneficial ownership of any securities reported herein, except to the extent that the reporting person has a pecuniary interest therein. This report shall not be deemed an admission that such reporting person is the beneficial owner of any securities not directly owned by such reporting person.

SEC source: 0001006837-20-000199 · wf-form4_160565517470995.xml · nonDerivative · entry 1

Ferraro Joseph Anthony · CIK 0001717154 · Chief Legal Officer & Corp Sec

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 276,732

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

F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.27 to $2.35, 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 purchased at each separate price within the ranges set forth in this footnote 1.

SEC source: 0001006837-20-000218 · wf-form4a_160627271246562.xml · nonDerivative · entry 1

Ferraro Joseph Anthony · CIK 0001717154 · Chief Legal Officer & Corp Sec

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 276,732

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

F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.27 to $2.35, 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 purchased at each separate price within the ranges set forth in this footnote 1.

SEC source: 0001077812-20-000002 · primary_doc.xml · derivative · entry 1

GLAZER AVRAM A · CIK 0001077812 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Owned by Lancer Capital LLC

Disclosed balance after: 0

Underlying: Common Stock · 4,405,286 shares

Expires not disclosed

F2 · price: On September 9, 2020, Lancer Capital LLC ("Lancer") entered into an Investment Agreement with the Issuer, pursuant to which Lancer committed to purchase up to 10,000 shares of Series B Non-Voting Participating Convertible Preferred Stock (the "Series B Preferred") of Issuer at a price of $1,000 per share. The Series B Preferred is convertible, subject to certain conditions, into Common Stock of the Issuer at a conversion price of $2.27 per share.

F1 · derivative.expiration_date: The Series B Non-Voting Participating Convertible Preferred Stock is convertible, subject to certain conditions, into Common Stock and has no expiration date.

SEC source: 0001006837-20-000147 · wf-form4_159648648470382.xml · nonDerivative · entry 1

BARR WAYNE JR · CIK 0001270217 · Director · Interim CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 125,948

F1 · shares: The shares will vest and become exercisable 66-2/3% on July 30, 2021 and 33-1/3% on July 30, 2022 (each such date, a "Vesting Date"), provided reporting person continues as a director or employee of HC2 Holdings, Inc. on each such Vesting Date.

SEC source: 0001006837-20-000148 · wf-form4_159648653724568.xml · nonDerivative · entry 1

Lombard Shelly · CIK 0001812653 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,747

F1 · shares: The shares will vest and become exercisable 66-2/3% on July 30, 2021 and 33-1/3% on July 30, 2022 (each such date, a "Vesting Date"), provided reporting person continues as a director of HC2 Holdings, Inc. on each such Vesting Date.

SEC source: 0001006837-20-000146 · wf-form4_159648642868563.xml · nonDerivative · entry 1

Gorzynski Michael · CIK 0001812551 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,747

F1 · shares: The shares will vest and become exercisable 66-2/3% on July 30, 2021 and 33-1/3% on July 30, 2022 (each such date, a "Vesting Date"), provided reporting person continues as a director of HC2 Holdings, Inc. on each such Vesting Date.

SEC source: 0001006837-20-000145 · wf-form4_159648640909141.xml · nonDerivative · entry 1

GFELLER WARREN H · CIK 0001175309 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 107,512

F1 · shares: The shares will vest and become exercisable 66-2/3% on July 30, 2021 and 33-1/3% on July 30, 2022 (each such date, a "Vesting Date"), provided reporting person continues as a director of HC2 Holdings, Inc. on each such Vesting Date.

SEC source: 0001006837-20-000144 · wf-form4_159648635982852.xml · nonDerivative · entry 1

Courtis Kenneth S. · CIK 0001812746 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 341,932

F1 · shares: The shares will vest and become exercisable 66-2/3% on July 30, 2021 and 33-1/3% on July 30, 2022 (each such date, a "Vesting Date"), provided reporting person continues as a director of HC2 Holdings, Inc. on each such Vesting Date.

SEC source: 0001006837-20-000143 · wf-form4_159648630193798.xml · nonDerivative · entry 1

GLAZER AVRAM A · CIK 0001077812 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,747

F1 · shares: The shares will vest and become exercisable 66-2/3% on July 30, 2021 and 33-1/3% on July 30, 2022 (each such date, a "Vesting Date"), provided reporting person continues as a director of HC2 Holdings, Inc. on each such Vesting Date.

SEC source: 0001006837-20-000133 · wf-form4_159528169686004.xml · derivative · entry 2

Sena Michael J. · CIK 0001562966 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 71,548

Underlying: Common Stock · 71,548 shares

Expires 2029-03-15

F2 · derivative.exercise_price: The option award was granted on March 15, 2019, subject to the Share Approval Condition, with an exercise price of $2.62 per share which was the fair market value of a share on the grant date.

F3 · derivative.exercise_date: The option award was granted on March 15, 2019, subject to the Share Approval Condition. On July 16, 2020, HC2 amended the option award to remove the Share Approval Condition. As a result, 70,198 option shares vested on July 16, 2020 and 675 option shares will vest on each of March 15, 2021 and March 15, 2022, provided reporting person continues as an officer of HC2 on each such vesting date.

SEC source: 0001006837-20-000133 · wf-form4_159528169686004.xml · nonDerivative · entry 1

Sena Michael J. · CIK 0001562966 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 570,311

F1 · shares: The restricted stock unit ("RSU") award representing a contingent right to receive a share of common stock of HC2 Holdings Inc. ("HC2") was granted on March 15, 2019, subject to the Company's shareholders approving additional shares under the Second Amended and Restated 2014 Omnibus Equity Award Plan (the "Share Approval Condition"). On July 16, 2020, HC2 amended the RSU award to remove the Share Approval Condition. As a result, 194,656 RSUs vested on July 16, 2020 and 1,871 RSUs will vest on each of March 15, 2021 and March 15, 2022, provided reporting person continues as an officer of HC2 on each such vesting date.

SEC source: 0001006837-20-000132 · wf-form4_159528168133310.xml · derivative · entry 2

Ferraro Joseph Anthony · CIK 0001717154 · Chief Legal Officer & Corp Sec

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 71,548

Underlying: Common Stock · 71,548 shares

Expires 2029-03-15

F2 · derivative.exercise_price: The option award was granted on March 15, 2019, subject to the Share Approval Condition, with an exercise price of $2.62 per share which was the fair market value of a share on the grant date.

F3 · derivative.exercise_date: The option award was granted on March 15, 2019, subject to the Share Approval Condition. On July 16, 2020, HC2 amended the option award to remove the Share Approval Condition. As a result, 70,198 option shares vested on July 16, 2020 and 675 option shares will vest on each of March 15, 2021 and March 15, 2022, provided reporting person continues as an officer of HC2 on each such vesting date.

SEC source: 0001006837-20-000132 · wf-form4_159528168133310.xml · nonDerivative · entry 1

Ferraro Joseph Anthony · CIK 0001717154 · Chief Legal Officer & Corp Sec

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 288,225

F1 · shares: The restricted stock unit ("RSU") award representing a contingent right to receive a share of common stock of HC2 Holdings Inc. ("HC2") was granted on March 15, 2019, subject to the Company's shareholders approving additional shares under the Second Amended and Restated 2014 Omnibus Equity Award Plan (the "Share Approval Condition"). On July 16, 2020, HC2 amended the RSU award to remove the Share Approval Condition. As a result, 194,656 RSUs vested on July 16, 2020 and 1,871 RSUs will vest on each of March 15, 2021 and March 15, 2022, provided reporting person continues as an officer of HC2 on each such vesting date.

SEC source: 0001006837-20-000098 · wf-form4_159242614433201.xml · nonDerivative · entry 2

Gorzynski Michael · CIK 0001812551 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Percy Rockdale LLC and Rio Royal LLC

Disclosed balance after: 2,814,137

F4 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.73 to $3.805, 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 purchased at each separate price within the ranges set forth in this footnote 1.

F2 · ownership.direct: These securities are directly owned solely by (i) Percy Rockdale LLC ("Percy Rockdale") and (ii) Rio Royal LLC ("Rio Royal"). As of the date hereof, Percy Rockdale beneficially owns 2,693,537 shares of Common Stock and Rio Royal beneficially owns 10,000 shares of Common Stock. Mr. Gorzynski, as the sole Manager of Percy Rockdale and the sole Director of MG Capital Management, may be deemed to beneficially own the shares of Common Stock directly held by each of Percy Rockdale and Rio Royal.

F3 · ownership.direct: Each of Percy Rockdale, Rio Royal and Mr. Gorzynski may be deemed to be a member of a "group" for purposes of Section 13(d) of the Exchange Act and may be deemed the beneficial owner of the shares directly owned by the other persons. Pursuant to Rule 16a-1(a)(4) under the Securities Exchange Act of 1934, as amended (the "Act"), the reporting person disclaims beneficial ownership of any securities reported herein, except to the extent that the reporting person has a pecuniary interest therein. This report shall not be deemed an admission that such reporting person is the beneficial owner of any securities not directly owned by such reporting person.

SEC source: 0001006837-20-000099 · wf-form4_159242616557127.xml · nonDerivative · entry 2

GLAZER AVRAM A · CIK 0001077812 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Lancer Capital

Disclosed balance after: 4,151,867

F3 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.68 to $3.98, 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 purchased at each separate price within the ranges set forth in this footnote 1.

SEC source: 0001006837-20-000098 · wf-form4_159242614433201.xml · nonDerivative · entry 1

Gorzynski Michael · CIK 0001812551 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Percy Rockdale LLC and Rio Royal LLC

Disclosed balance after: 2,774,137

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.435 to $3.72, 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 purchased at each separate price within the ranges set forth in this footnote 1.

F2 · ownership.direct: These securities are directly owned solely by (i) Percy Rockdale LLC ("Percy Rockdale") and (ii) Rio Royal LLC ("Rio Royal"). As of the date hereof, Percy Rockdale beneficially owns 2,693,537 shares of Common Stock and Rio Royal beneficially owns 10,000 shares of Common Stock. Mr. Gorzynski, as the sole Manager of Percy Rockdale and the sole Director of MG Capital Management, may be deemed to beneficially own the shares of Common Stock directly held by each of Percy Rockdale and Rio Royal.

F3 · ownership.direct: Each of Percy Rockdale, Rio Royal and Mr. Gorzynski may be deemed to be a member of a "group" for purposes of Section 13(d) of the Exchange Act and may be deemed the beneficial owner of the shares directly owned by the other persons. Pursuant to Rule 16a-1(a)(4) under the Securities Exchange Act of 1934, as amended (the "Act"), the reporting person disclaims beneficial ownership of any securities reported herein, except to the extent that the reporting person has a pecuniary interest therein. This report shall not be deemed an admission that such reporting person is the beneficial owner of any securities not directly owned by such reporting person.

SEC source: 0001006837-20-000099 · wf-form4_159242616557127.xml · nonDerivative · entry 1

GLAZER AVRAM A · CIK 0001077812 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Lancer Capital

Disclosed balance after: 3,636,867

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.19 to $3.80, 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 purchased at each separate price within the ranges set forth in this footnote 1.

F2 · ownership.direct: The reported shares were previously reported as directly owned by Reporting Person but should have been reported as indirectly held through Lancer Capital LLC ("Lancer"). Lancer is the record owner of the reported shares. Mr. Glazer is the sole owner of Lancer, and in such capacity may be deemed to beneficially own the shares held of record by Lancer.

SEC source: 0001006837-20-000094 · wf-form4_159174110713904.xml · nonDerivative · entry 1

Courtis Kenneth S. · CIK 0001812746 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 308,185

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.10 to $3.1558, 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 purchased at each separate price within the ranges set forth in this footnote 1.

SEC source: 0001006837-20-000092 · wf-form4_159140300584399.xml · nonDerivative · entry 2

Courtis Kenneth S. · CIK 0001812746 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 283,350

SEC source: 0001006837-20-000090 · wf-form4_159130265676872.xml · nonDerivative · entry 5

GLAZER AVRAM A · CIK 0001077812 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,190,634

F5 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.85 to $3.00, 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 purchased at each separate price within the ranges set forth in this footnote 1.

SEC source: 0001006837-20-000089 · wf-form4_159130263238484.xml · nonDerivative · entry 2

Ferraro Joseph Anthony · CIK 0001717154 · Chief Legal Officer & Corp Sec

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 89,827

F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.87 to $3.07, 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 purchased at each separate price within the ranges set forth in this footnote 1.

SEC source: 0001006837-20-000092 · wf-form4_159140300584399.xml · nonDerivative · entry 1

Courtis Kenneth S. · CIK 0001812746 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 250,604

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $____ to $___, 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 purchased at each separate price within the ranges set forth in this footnote 1.

SEC source: 0001006837-20-000090 · wf-form4_159130265676872.xml · nonDerivative · entry 4

GLAZER AVRAM A · CIK 0001077812 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,028,634

F4 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.87 to $2.95, 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 purchased at each separate price within the ranges set forth in this footnote 1.

SEC source: 0001006837-20-000089 · wf-form4_159130263238484.xml · nonDerivative · entry 1

Ferraro Joseph Anthony · CIK 0001717154 · Chief Legal Officer & Corp Sec

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 109,827

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.87 to $2.95, 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 purchased at each separate price within the ranges set forth in this footnote 1.

SEC source: 0001006837-20-000090 · wf-form4_159130265676872.xml · nonDerivative · entry 3

GLAZER AVRAM A · CIK 0001077812 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,728,634

F3 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.69 to $2.77, 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 purchased at each separate price within the ranges set forth in this footnote 1.