VGTK

SEC source: 0001477932-23-005658 · form4.xml · derivative · entry 3

Doris James Andrew · CIK 0001719066 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,666,667

Underlying: Common Stock · 1,666,667 shares

Expires 2027-12-29

F4 · derivative.exercise_price: Each warrant represents the right to purchase one share of Camber's common stock at an exercise price of $0.001 per share.

F1 · price: On August 1, 2023 (the "Effective Time"), pursuant to the Amended and Restated Agreement and Plan of Merger, as amended on April 18, 2023, between Camber Energy, Inc. ("Camber") and Viking Energy Group, Inc. ("Viking), each (a) share of Viking's common stock issued and outstanding immediately prior to the Effective Time, other than shares owned by Camber, Viking and Viking Merger Sub, Inc., was converted into the right to receive one share of Camber's common stock, (b) share of Viking's Series C Convertible Preferred Stock issued and outstanding immediately prior to the Effective Time was converted into the right to receive one share of Camber's Series A Convertible Preferred Stock and (c) outstanding option or warrant to purchase Viking's common stock ("Viking Option") vested and was converted into an option or warrant to purchase Camber's common stock on substantially the same terms as were applicable to such Viking Option immediately prior to the Effective Time.

SEC source: 0001477932-23-005658 · form4.xml · derivative · entry 2

Doris James Andrew · CIK 0001719066 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 28,092

Underlying: Common Stock · 25,001,880 shares

Expires not disclosed

F2 · derivative.exercise_price: Each share of Series A Convertible Preferred Stock is convertible into 890 shares of Camber's common stock.

F1 · derivative.exercise_price: On August 1, 2023 (the "Effective Time"), pursuant to the Amended and Restated Agreement and Plan of Merger, as amended on April 18, 2023, between Camber Energy, Inc. ("Camber") and Viking Energy Group, Inc. ("Viking), each (a) share of Viking's common stock issued and outstanding immediately prior to the Effective Time, other than shares owned by Camber, Viking and Viking Merger Sub, Inc., was converted into the right to receive one share of Camber's common stock, (b) share of Viking's Series C Convertible Preferred Stock issued and outstanding immediately prior to the Effective Time was converted into the right to receive one share of Camber's Series A Convertible Preferred Stock and (c) outstanding option or warrant to purchase Viking's common stock ("Viking Option") vested and was converted into an option or warrant to purchase Camber's common stock on substantially the same terms as were applicable to such Viking Option immediately prior to the Effective Time.

F1 · price: On August 1, 2023 (the "Effective Time"), pursuant to the Amended and Restated Agreement and Plan of Merger, as amended on April 18, 2023, between Camber Energy, Inc. ("Camber") and Viking Energy Group, Inc. ("Viking), each (a) share of Viking's common stock issued and outstanding immediately prior to the Effective Time, other than shares owned by Camber, Viking and Viking Merger Sub, Inc., was converted into the right to receive one share of Camber's common stock, (b) share of Viking's Series C Convertible Preferred Stock issued and outstanding immediately prior to the Effective Time was converted into the right to receive one share of Camber's Series A Convertible Preferred Stock and (c) outstanding option or warrant to purchase Viking's common stock ("Viking Option") vested and was converted into an option or warrant to purchase Camber's common stock on substantially the same terms as were applicable to such Viking Option immediately prior to the Effective Time.

F3 · derivative.expiration_date: The Series A Convertible Preferred Stock is perpetual and has no expiration date.

SEC source: 0001477932-23-005658 · form4.xml · nonDerivative · entry 1

Doris James Andrew · CIK 0001719066 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 222,223

F1 · price: On August 1, 2023 (the "Effective Time"), pursuant to the Amended and Restated Agreement and Plan of Merger, as amended on April 18, 2023, between Camber Energy, Inc. ("Camber") and Viking Energy Group, Inc. ("Viking), each (a) share of Viking's common stock issued and outstanding immediately prior to the Effective Time, other than shares owned by Camber, Viking and Viking Merger Sub, Inc., was converted into the right to receive one share of Camber's common stock, (b) share of Viking's Series C Convertible Preferred Stock issued and outstanding immediately prior to the Effective Time was converted into the right to receive one share of Camber's Series A Convertible Preferred Stock and (c) outstanding option or warrant to purchase Viking's common stock ("Viking Option") vested and was converted into an option or warrant to purchase Camber's common stock on substantially the same terms as were applicable to such Viking Option immediately prior to the Effective Time.

SEC source: 0001477932-23-005709 · form4.xml · nonDerivative · entry 1

Barker Frank W. Jr. · CIK 0001988606 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,849,306

F1 · price: On August 1, 2023, pursuant to that certain Amended and Restated Agreement and Plan of Merger, dated February 15, 2021, as amended on April 18, 2023 (collectively, the "Merger Agreement"), by and between Camber Energy, Inc. ("Camber") and Viking Energy Group, Inc. ("Viking"), Viking Merger Sub, Inc. ("Merger Sub") completed the previously-announced merger ("the Merger") with and into Viking, with Viking surviving the Merger as a wholly-owned subsidiary of Camber. At the effective time of the Merger (the "Effective Time"), each share of common stock, par value $0.001 per share, of Viking issued and outstanding immediately prior to the Effective Time, other than shares owned by Camber, Viking and Merger Sub, was converted into the right to receive one share of common stock of Camber.

SEC source: 0001477932-23-005737 · form4.xml · nonDerivative · entry 1

MILLER JAMES G · CIK 0001096062 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 35,772

F1 · price: On August 1, 2023 (the "Effective Time"), pursuant to the Amended and Restated Agreement and Plan of Merger, as amended on April 18, 2023, between Camber Energy, Inc. ("Camber") and Viking Energy Group, Inc. ("Viking), each share of Viking's common stock issued and outstanding immediately prior to the Effective Time, other than shares owned by Camber, Viking and Viking Merger Sub, Inc., was converted into the right to receive one share of Camber's common stock.

SEC source: 0001580695-18-000289 · azar-form4_052418.xml · nonDerivative · entry 3

AZAR II RICHARD NATHAN · CIK 0001682851 · Director

RAD2 Management, LLC · CIK 0001683886 · Manager

RAD2 Minerals, Ltd · CIK 0001683887 · General Partner

Segundo Resources, LLC · CIK 0001683885 · Manager

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,283

F4 · kind: Represents shares of common stock of the Issuer issued in consideration for dividends which accrued on the Series B Preferred Stock at the rate of 6% per annum, based on the $25 face value per share of the Series B Preferred Stock (see also footnote 5). Exempt from Section 16(b) pursuant to Rule 16b-3(d).

F5 · kind: Represents the quarterly dividend due on the Series B Preferred Stock for the period from January 1, 2018 to March 31, 2018, which was paid by the Issuer in shares of common stock, based on a dividend issuance price of $87.50 per share, the conversion price under the Series B Preferred Stock, as provided for under the terms of the Series B Preferred Stock.

F5 · price: Represents the quarterly dividend due on the Series B Preferred Stock for the period from January 1, 2018 to March 31, 2018, which was paid by the Issuer in shares of common stock, based on a dividend issuance price of $87.50 per share, the conversion price under the Series B Preferred Stock, as provided for under the terms of the Series B Preferred Stock.

SEC source: 0001580695-18-000289 · azar-form4_052418.xml · nonDerivative · entry 2

AZAR II RICHARD NATHAN · CIK 0001682851 · Director

RAD2 Management, LLC · CIK 0001683886 · Manager

RAD2 Minerals, Ltd · CIK 0001683887 · General Partner

Segundo Resources, LLC · CIK 0001683885 · Manager

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

10b5-1 filing: Not disclosed

Ownership: Indirect · RAD2 Minerals, Ltd.

Disclosed balance after: 141,859

F4 · kind: Represents shares of common stock of the Issuer issued in consideration for dividends which accrued on the Series B Preferred Stock at the rate of 6% per annum, based on the $25 face value per share of the Series B Preferred Stock (see also footnote 5). Exempt from Section 16(b) pursuant to Rule 16b-3(d).

F5 · kind: Represents the quarterly dividend due on the Series B Preferred Stock for the period from January 1, 2018 to March 31, 2018, which was paid by the Issuer in shares of common stock, based on a dividend issuance price of $87.50 per share, the conversion price under the Series B Preferred Stock, as provided for under the terms of the Series B Preferred Stock.

F5 · price: Represents the quarterly dividend due on the Series B Preferred Stock for the period from January 1, 2018 to March 31, 2018, which was paid by the Issuer in shares of common stock, based on a dividend issuance price of $87.50 per share, the conversion price under the Series B Preferred Stock, as provided for under the terms of the Series B Preferred Stock.

F1 · ownership.nature: Richard N. Azar II, may be deemed to beneficially own: RAD2 Minerals, Ltd. ("RAD2"), which directly owns 200,000 shares of the Series B Redeemable Convertible Preferred Stock (the "Series B Preferred Stock") of the Issuer; and Segundo Resources, LLC ("Segundo"), which directly owns 58,000 shares of Series B Preferred Stock of the Issuer and as such indirectly beneficially owns the common stock and the Series B Preferred Stock held by RAD2 and Segundo. RAD2 Management, LLC ("RAD2 LLC") as general partner of RAD2, may be deemed to beneficially own the securities held by RAD2. Mr. Azar is the manager of RAD2 LLC and is the managing member of Segundo. Mr. Azar also directly owns 106,508 shares of Series B Preferred Stock of the Issuer.

F2 · ownership.nature: RAD2 and RAD2 LLC, which are also reporting their ownership on this Form 4, do not have a pecuniary interest in the securities owned by Mr. Azar or Segundo. RAD2 has pledged 124,825 of its shares to secure amounts due under the Issuer's August 2016 $40 million loan agreement with International Bank of Commerce.

F3 · ownership.nature: Segundo, which is also reporting its ownership on this Form 4, does not have a pecuniary interest in the securities owned by Mr. Azar, RAD2 LLC or RAD2.

SEC source: 0001580695-18-000289 · azar-form4_052418.xml · nonDerivative · entry 1

AZAR II RICHARD NATHAN · CIK 0001682851 · Director

RAD2 Management, LLC · CIK 0001683886 · Manager

RAD2 Minerals, Ltd · CIK 0001683887 · General Partner

Segundo Resources, LLC · CIK 0001683885 · Manager

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

10b5-1 filing: Not disclosed

Ownership: Indirect · Segundo Resources, LLC

Disclosed balance after: 2,569

F4 · kind: Represents shares of common stock of the Issuer issued in consideration for dividends which accrued on the Series B Preferred Stock at the rate of 6% per annum, based on the $25 face value per share of the Series B Preferred Stock (see also footnote 5). Exempt from Section 16(b) pursuant to Rule 16b-3(d).

F5 · kind: Represents the quarterly dividend due on the Series B Preferred Stock for the period from January 1, 2018 to March 31, 2018, which was paid by the Issuer in shares of common stock, based on a dividend issuance price of $87.50 per share, the conversion price under the Series B Preferred Stock, as provided for under the terms of the Series B Preferred Stock.

F5 · price: Represents the quarterly dividend due on the Series B Preferred Stock for the period from January 1, 2018 to March 31, 2018, which was paid by the Issuer in shares of common stock, based on a dividend issuance price of $87.50 per share, the conversion price under the Series B Preferred Stock, as provided for under the terms of the Series B Preferred Stock.

F1 · ownership.nature: Richard N. Azar II, may be deemed to beneficially own: RAD2 Minerals, Ltd. ("RAD2"), which directly owns 200,000 shares of the Series B Redeemable Convertible Preferred Stock (the "Series B Preferred Stock") of the Issuer; and Segundo Resources, LLC ("Segundo"), which directly owns 58,000 shares of Series B Preferred Stock of the Issuer and as such indirectly beneficially owns the common stock and the Series B Preferred Stock held by RAD2 and Segundo. RAD2 Management, LLC ("RAD2 LLC") as general partner of RAD2, may be deemed to beneficially own the securities held by RAD2. Mr. Azar is the manager of RAD2 LLC and is the managing member of Segundo. Mr. Azar also directly owns 106,508 shares of Series B Preferred Stock of the Issuer.

F2 · ownership.nature: RAD2 and RAD2 LLC, which are also reporting their ownership on this Form 4, do not have a pecuniary interest in the securities owned by Mr. Azar or Segundo. RAD2 has pledged 124,825 of its shares to secure amounts due under the Issuer's August 2016 $40 million loan agreement with International Bank of Commerce.

F3 · ownership.nature: Segundo, which is also reporting its ownership on this Form 4, does not have a pecuniary interest in the securities owned by Mr. Azar, RAD2 LLC or RAD2.

SEC source: 0001580695-18-000089 · azar-form4_020618.xml · nonDerivative · entry 3

AZAR II RICHARD NATHAN · CIK 0001682851 · Director · 10% owner

RAD2 Management, LLC · CIK 0001683886 · Manager

RAD2 Minerals, Ltd · CIK 0001683887 · General Partner

Segundo Resources, LLC · CIK 0001683885 · Manager

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,648

F4 · kind: Represents shares of common stock of the Issuer issued in consideration for dividends which accrued on the Series B Preferred Stock at the rate of 6% per annum, based on the $25 face value per share of the Series B Preferred Stock (see also footnote 5). Exempt from Section 16(b) pursuant to Rule 16b-3(d).

F5 · kind: Represents the quarterly dividend due on the Series B Preferred Stock for the period from (a) April 1, 2017 to June 30, 2017; (b) July 1, 2017 to September 30, 2017; and (c) October 1, 2017 to December 31, 2017, which were each paid by the Issuer in shares of common stock, based on a dividend issuance price of $3.50 per share, the conversion price under the Series B Preferred Stock, as provided for under the terms of the Series B Preferred Stock.

F5 · price: Represents the quarterly dividend due on the Series B Preferred Stock for the period from (a) April 1, 2017 to June 30, 2017; (b) July 1, 2017 to September 30, 2017; and (c) October 1, 2017 to December 31, 2017, which were each paid by the Issuer in shares of common stock, based on a dividend issuance price of $3.50 per share, the conversion price under the Series B Preferred Stock, as provided for under the terms of the Series B Preferred Stock.

SEC source: 0001580695-18-000089 · azar-form4_020618.xml · nonDerivative · entry 2

AZAR II RICHARD NATHAN · CIK 0001682851 · Director · 10% owner

RAD2 Management, LLC · CIK 0001683886 · Manager

RAD2 Minerals, Ltd · CIK 0001683887 · General Partner

Segundo Resources, LLC · CIK 0001683885 · Manager

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

10b5-1 filing: Not disclosed

Ownership: Indirect · RAD2 Minerals, Ltd.

Disclosed balance after: 3,525,055

F4 · kind: Represents shares of common stock of the Issuer issued in consideration for dividends which accrued on the Series B Preferred Stock at the rate of 6% per annum, based on the $25 face value per share of the Series B Preferred Stock (see also footnote 5). Exempt from Section 16(b) pursuant to Rule 16b-3(d).

F5 · kind: Represents the quarterly dividend due on the Series B Preferred Stock for the period from (a) April 1, 2017 to June 30, 2017; (b) July 1, 2017 to September 30, 2017; and (c) October 1, 2017 to December 31, 2017, which were each paid by the Issuer in shares of common stock, based on a dividend issuance price of $3.50 per share, the conversion price under the Series B Preferred Stock, as provided for under the terms of the Series B Preferred Stock.

F5 · price: Represents the quarterly dividend due on the Series B Preferred Stock for the period from (a) April 1, 2017 to June 30, 2017; (b) July 1, 2017 to September 30, 2017; and (c) October 1, 2017 to December 31, 2017, which were each paid by the Issuer in shares of common stock, based on a dividend issuance price of $3.50 per share, the conversion price under the Series B Preferred Stock, as provided for under the terms of the Series B Preferred Stock.

F1 · ownership.nature: Richard N. Azar II, may be deemed to beneficially own: RAD2 Minerals, Ltd. ("RAD2"), which directly owns 200,000 shares of the Series B Redeemable Convertible Preferred Stock (the "Series B Preferred Stock") of the Issuer; and Segundo Resources, LLC ("Segundo"), which directly owns 58,000 shares of Series B Preferred Stock of the Issuer and as such indirectly beneficially owns the common stock and the Series B Preferred Stock held by RAD2 and Segundo. RAD2 Management, LLC ("RAD2 LLC") as general partner of RAD2, may be deemed to beneficially own the securities held by RAD2. Mr. Azar is the manager of RAD2 LLC and is the managing member of Segundo. Mr. Azar also directly owns 106,508 shares of Series B Preferred Stock of the Issuer.

F2 · ownership.nature: RAD2 and RAD2 LLC, which are also reporting their ownership on this Form 4, do not have a pecuniary interest in the securities owned by Mr. Azar or Segundo. RAD2 has pledged 3,120,606 of its shares to secure amounts due under the Issuer's August 2016 $40 million loan agreement with International Bank of Commerce.

F3 · ownership.nature: Segundo, which is also reporting its ownership on this Form 4, does not have a pecuniary interest in the securities owned by Mr. Azar, RAD2 LLC or RAD2.

SEC source: 0001580695-18-000089 · azar-form4_020618.xml · nonDerivative · entry 1

AZAR II RICHARD NATHAN · CIK 0001682851 · Director · 10% owner

RAD2 Management, LLC · CIK 0001683886 · Manager

RAD2 Minerals, Ltd · CIK 0001683887 · General Partner

Segundo Resources, LLC · CIK 0001683885 · Manager

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

10b5-1 filing: Not disclosed

Ownership: Indirect · Segundo Resources, LLC

Disclosed balance after: 57,979

F4 · kind: Represents shares of common stock of the Issuer issued in consideration for dividends which accrued on the Series B Preferred Stock at the rate of 6% per annum, based on the $25 face value per share of the Series B Preferred Stock (see also footnote 5). Exempt from Section 16(b) pursuant to Rule 16b-3(d).

F5 · kind: Represents the quarterly dividend due on the Series B Preferred Stock for the period from (a) April 1, 2017 to June 30, 2017; (b) July 1, 2017 to September 30, 2017; and (c) October 1, 2017 to December 31, 2017, which were each paid by the Issuer in shares of common stock, based on a dividend issuance price of $3.50 per share, the conversion price under the Series B Preferred Stock, as provided for under the terms of the Series B Preferred Stock.

F5 · price: Represents the quarterly dividend due on the Series B Preferred Stock for the period from (a) April 1, 2017 to June 30, 2017; (b) July 1, 2017 to September 30, 2017; and (c) October 1, 2017 to December 31, 2017, which were each paid by the Issuer in shares of common stock, based on a dividend issuance price of $3.50 per share, the conversion price under the Series B Preferred Stock, as provided for under the terms of the Series B Preferred Stock.

F1 · ownership.nature: Richard N. Azar II, may be deemed to beneficially own: RAD2 Minerals, Ltd. ("RAD2"), which directly owns 200,000 shares of the Series B Redeemable Convertible Preferred Stock (the "Series B Preferred Stock") of the Issuer; and Segundo Resources, LLC ("Segundo"), which directly owns 58,000 shares of Series B Preferred Stock of the Issuer and as such indirectly beneficially owns the common stock and the Series B Preferred Stock held by RAD2 and Segundo. RAD2 Management, LLC ("RAD2 LLC") as general partner of RAD2, may be deemed to beneficially own the securities held by RAD2. Mr. Azar is the manager of RAD2 LLC and is the managing member of Segundo. Mr. Azar also directly owns 106,508 shares of Series B Preferred Stock of the Issuer.

F2 · ownership.nature: RAD2 and RAD2 LLC, which are also reporting their ownership on this Form 4, do not have a pecuniary interest in the securities owned by Mr. Azar or Segundo. RAD2 has pledged 3,120,606 of its shares to secure amounts due under the Issuer's August 2016 $40 million loan agreement with International Bank of Commerce.

F3 · ownership.nature: Segundo, which is also reporting its ownership on this Form 4, does not have a pecuniary interest in the securities owned by Mr. Azar, RAD2 LLC or RAD2.

SEC source: 0001580695-17-000212 · sanders-form4_040417.xml · nonDerivative · entry 1

SANDERS KENNETH RAY · CIK 0001682869 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,098

F1 · shares: Issued as compensation in consideration for services rendered pursuant to the Amended and Restated 2014 Stock Incentive Plan of the Issuer, which issuance was exempt from Section 16(b) pursuant to Rule 16b-3(d). The total value of the shares issued is net of amounts withheld for the payment of taxes in connection with such compensation.

SEC source: 0001580695-17-000214 · schnur-form4_040417.xml · nonDerivative · entry 1

Schnur Anthony Charles · CIK 0001561439 · Director · CEO & President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,110

F1 · shares: Effective November 1, 2012 (and amended and restated effective December 12, 2012), the Issuer entered into an employment agreement with Mr. Schnur. Pursuant to the agreement, $20,000 of Mr. Schnur's annual salary is payable in shares of the Issuer's common stock, which are due quarterly. The above represents the $5,000 quarterly payment of shares due on March 31, 2017 (less amounts withheld for the payment of taxes in connection with such compensation), which shares were issued pursuant to the Amended and Restated 2014 Stock Incentive Plan of the Issuer, which issuance was exempt from Section 16(b) pursuant to Rule 16b-3(d).

SEC source: 0001580695-17-000210 · pinkston-form4_040417.xml · nonDerivative · entry 1

PINKSTON PAUL ANTHONY · CIK 0001683306 · Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,555

F1 · shares: Issued as compensation in consideration for services rendered pursuant to the Amended and Restated 2014 Stock Incentive Plan of the Issuer, which issuance was exempt from Section 16(b) pursuant to Rule 16b-3(d). The total value of the shares issued is net of amounts withheld for the payment of taxes in connection with such compensation.

SEC source: 0001580695-18-000057 · azar-form4_011917.xml · nonDerivative · entry 5

AZAR II RICHARD NATHAN · CIK 0001682851 · Director · 10% owner

RAD2 Management, LLC · CIK 0001683886 · Manager

RAD2 Minerals, Ltd · CIK 0001683887 · General Partner

Segundo Resources, LLC · CIK 0001683885 · Manager

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,412

F4 · kind: Represents shares of common stock of the Issuer issued in consideration for dividends which accrued on the Series B Preferred Stock at the rate of 6% per annum, based on the $25 face value per share of the Series B Preferred Stock (see also footnotes 5 and 6).

F6 · kind: Represents the quarterly dividend due on the Series B Preferred Stock for the quarter ended March 31, 2017, which was paid by the Issuer in shares of common stock, based on a dividend issuance price of $3.50 per share, the conversion price under the Series B Preferred Stock, as provided for under the terms of the Series B Preferred Stock.

F1 · price: Richard N. Azar II, may be deemed to beneficially own: RAD2 Minerals, Ltd. ("RAD2"), which directly owns 200,000 shares of the Series B Redeemable Convertible Preferred Stock (the "Series B Preferred Stock") of the Issuer; and Segundo Resources, LLC ("Segundo"), which directly owns 58,000 shares of Series B Preferred Stock of the Issuer and as such indirectly beneficially owns the common stock and the Series B Preferred Stock held by RAD2 and Segundo. RAD2 Management, LLC ("RAD2 LLC") as general partner of RAD2, may be deemed to beneficially own the securities held by RAD2. Mr. Azar is the manager of RAD2 LLC and is the managing member of Segundo. Mr. Azar also directly owns 106,508 shares of Series B Preferred Stock of the Issuer.

SEC source: 0001580695-18-000057 · azar-form4_011917.xml · nonDerivative · entry 4

AZAR II RICHARD NATHAN · CIK 0001682851 · Director · 10% owner

RAD2 Management, LLC · CIK 0001683886 · Manager

RAD2 Minerals, Ltd · CIK 0001683887 · General Partner

Segundo Resources, LLC · CIK 0001683885 · Manager

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

10b5-1 filing: Not disclosed

Ownership: Indirect · RAD2 Minerals, Ltd.

Disclosed balance after: 3,460,768

F4 · kind: Represents shares of common stock of the Issuer issued in consideration for dividends which accrued on the Series B Preferred Stock at the rate of 6% per annum, based on the $25 face value per share of the Series B Preferred Stock (see also footnotes 5 and 6).

F6 · kind: Represents the quarterly dividend due on the Series B Preferred Stock for the quarter ended March 31, 2017, which was paid by the Issuer in shares of common stock, based on a dividend issuance price of $3.50 per share, the conversion price under the Series B Preferred Stock, as provided for under the terms of the Series B Preferred Stock.

F1 · price: Richard N. Azar II, may be deemed to beneficially own: RAD2 Minerals, Ltd. ("RAD2"), which directly owns 200,000 shares of the Series B Redeemable Convertible Preferred Stock (the "Series B Preferred Stock") of the Issuer; and Segundo Resources, LLC ("Segundo"), which directly owns 58,000 shares of Series B Preferred Stock of the Issuer and as such indirectly beneficially owns the common stock and the Series B Preferred Stock held by RAD2 and Segundo. RAD2 Management, LLC ("RAD2 LLC") as general partner of RAD2, may be deemed to beneficially own the securities held by RAD2. Mr. Azar is the manager of RAD2 LLC and is the managing member of Segundo. Mr. Azar also directly owns 106,508 shares of Series B Preferred Stock of the Issuer.

F1 · ownership.nature: Richard N. Azar II, may be deemed to beneficially own: RAD2 Minerals, Ltd. ("RAD2"), which directly owns 200,000 shares of the Series B Redeemable Convertible Preferred Stock (the "Series B Preferred Stock") of the Issuer; and Segundo Resources, LLC ("Segundo"), which directly owns 58,000 shares of Series B Preferred Stock of the Issuer and as such indirectly beneficially owns the common stock and the Series B Preferred Stock held by RAD2 and Segundo. RAD2 Management, LLC ("RAD2 LLC") as general partner of RAD2, may be deemed to beneficially own the securities held by RAD2. Mr. Azar is the manager of RAD2 LLC and is the managing member of Segundo. Mr. Azar also directly owns 106,508 shares of Series B Preferred Stock of the Issuer.

F2 · ownership.nature: RAD2 and RAD2 LLC, which are also reporting their ownership on this Form 4, do not have a pecuniary interest in the securities owned by Mr. Azar or Segundo. RAD2 has pledged 3,120,606 of its shares to secure amounts due under the Issuer's August 2016 $40 million loan agreement with International Bank of Commerce.

F3 · ownership.nature: Segundo, which is also reporting its ownership on this Form 4, does not have a pecuniary interest in the securities owned by Mr. Azar, RAD2 LLC or RAD2.

SEC source: 0001580695-18-000057 · azar-form4_011917.xml · nonDerivative · entry 3

AZAR II RICHARD NATHAN · CIK 0001682851 · Director · 10% owner

RAD2 Management, LLC · CIK 0001683886 · Manager

RAD2 Minerals, Ltd · CIK 0001683887 · General Partner

Segundo Resources, LLC · CIK 0001683885 · Manager

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

10b5-1 filing: Not disclosed

Ownership: Indirect · Segundo Resources, LLC

Disclosed balance after: 39,334

F4 · kind: Represents shares of common stock of the Issuer issued in consideration for dividends which accrued on the Series B Preferred Stock at the rate of 6% per annum, based on the $25 face value per share of the Series B Preferred Stock (see also footnotes 5 and 6).

F6 · kind: Represents the quarterly dividend due on the Series B Preferred Stock for the quarter ended March 31, 2017, which was paid by the Issuer in shares of common stock, based on a dividend issuance price of $3.50 per share, the conversion price under the Series B Preferred Stock, as provided for under the terms of the Series B Preferred Stock.

F1 · price: Richard N. Azar II, may be deemed to beneficially own: RAD2 Minerals, Ltd. ("RAD2"), which directly owns 200,000 shares of the Series B Redeemable Convertible Preferred Stock (the "Series B Preferred Stock") of the Issuer; and Segundo Resources, LLC ("Segundo"), which directly owns 58,000 shares of Series B Preferred Stock of the Issuer and as such indirectly beneficially owns the common stock and the Series B Preferred Stock held by RAD2 and Segundo. RAD2 Management, LLC ("RAD2 LLC") as general partner of RAD2, may be deemed to beneficially own the securities held by RAD2. Mr. Azar is the manager of RAD2 LLC and is the managing member of Segundo. Mr. Azar also directly owns 106,508 shares of Series B Preferred Stock of the Issuer.

F1 · ownership.nature: Richard N. Azar II, may be deemed to beneficially own: RAD2 Minerals, Ltd. ("RAD2"), which directly owns 200,000 shares of the Series B Redeemable Convertible Preferred Stock (the "Series B Preferred Stock") of the Issuer; and Segundo Resources, LLC ("Segundo"), which directly owns 58,000 shares of Series B Preferred Stock of the Issuer and as such indirectly beneficially owns the common stock and the Series B Preferred Stock held by RAD2 and Segundo. RAD2 Management, LLC ("RAD2 LLC") as general partner of RAD2, may be deemed to beneficially own the securities held by RAD2. Mr. Azar is the manager of RAD2 LLC and is the managing member of Segundo. Mr. Azar also directly owns 106,508 shares of Series B Preferred Stock of the Issuer.

F2 · ownership.nature: RAD2 and RAD2 LLC, which are also reporting their ownership on this Form 4, do not have a pecuniary interest in the securities owned by Mr. Azar or Segundo. RAD2 has pledged 3,120,606 of its shares to secure amounts due under the Issuer's August 2016 $40 million loan agreement with International Bank of Commerce.

F3 · ownership.nature: Segundo, which is also reporting its ownership on this Form 4, does not have a pecuniary interest in the securities owned by Mr. Azar, RAD2 LLC or RAD2.

SEC source: 0001580695-18-000057 · azar-form4_011917.xml · nonDerivative · entry 2

AZAR II RICHARD NATHAN · CIK 0001682851 · Director · 10% owner

RAD2 Management, LLC · CIK 0001683886 · Manager

RAD2 Minerals, Ltd · CIK 0001683887 · General Partner

Segundo Resources, LLC · CIK 0001683885 · Manager

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

10b5-1 filing: Not disclosed

Ownership: Indirect · RAD2 Minerals, Ltd.

Disclosed balance after: 3,439,339

F4 · kind: Represents shares of common stock of the Issuer issued in consideration for dividends which accrued on the Series B Preferred Stock at the rate of 6% per annum, based on the $25 face value per share of the Series B Preferred Stock (see also footnotes 5 and 6).

F5 · kind: Represents the quarterly dividend due on the Series B Preferred Stock for the period from August 25, 2016 to December 31, 2016, which was paid by the Issuer in shares of common stock, based on a dividend issuance price of $3.50 per share, the conversion price under the Series B Preferred Stock, as provided for under the terms of the Series B Preferred Stock.

F1 · price: Richard N. Azar II, may be deemed to beneficially own: RAD2 Minerals, Ltd. ("RAD2"), which directly owns 200,000 shares of the Series B Redeemable Convertible Preferred Stock (the "Series B Preferred Stock") of the Issuer; and Segundo Resources, LLC ("Segundo"), which directly owns 58,000 shares of Series B Preferred Stock of the Issuer and as such indirectly beneficially owns the common stock and the Series B Preferred Stock held by RAD2 and Segundo. RAD2 Management, LLC ("RAD2 LLC") as general partner of RAD2, may be deemed to beneficially own the securities held by RAD2. Mr. Azar is the manager of RAD2 LLC and is the managing member of Segundo. Mr. Azar also directly owns 106,508 shares of Series B Preferred Stock of the Issuer.

F1 · ownership.nature: Richard N. Azar II, may be deemed to beneficially own: RAD2 Minerals, Ltd. ("RAD2"), which directly owns 200,000 shares of the Series B Redeemable Convertible Preferred Stock (the "Series B Preferred Stock") of the Issuer; and Segundo Resources, LLC ("Segundo"), which directly owns 58,000 shares of Series B Preferred Stock of the Issuer and as such indirectly beneficially owns the common stock and the Series B Preferred Stock held by RAD2 and Segundo. RAD2 Management, LLC ("RAD2 LLC") as general partner of RAD2, may be deemed to beneficially own the securities held by RAD2. Mr. Azar is the manager of RAD2 LLC and is the managing member of Segundo. Mr. Azar also directly owns 106,508 shares of Series B Preferred Stock of the Issuer.

F2 · ownership.nature: RAD2 and RAD2 LLC, which are also reporting their ownership on this Form 4, do not have a pecuniary interest in the securities owned by Mr. Azar or Segundo. RAD2 has pledged 3,120,606 of its shares to secure amounts due under the Issuer's August 2016 $40 million loan agreement with International Bank of Commerce.

F3 · ownership.nature: Segundo, which is also reporting its ownership on this Form 4, does not have a pecuniary interest in the securities owned by Mr. Azar, RAD2 LLC or RAD2.

SEC source: 0001580695-18-000057 · azar-form4_011917.xml · nonDerivative · entry 1

AZAR II RICHARD NATHAN · CIK 0001682851 · Director · 10% owner

RAD2 Management, LLC · CIK 0001683886 · Manager

RAD2 Minerals, Ltd · CIK 0001683887 · General Partner

Segundo Resources, LLC · CIK 0001683885 · Manager

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

10b5-1 filing: Not disclosed

Ownership: Indirect · Segundo Resources, LLC

Disclosed balance after: 33,119

F4 · kind: Represents shares of common stock of the Issuer issued in consideration for dividends which accrued on the Series B Preferred Stock at the rate of 6% per annum, based on the $25 face value per share of the Series B Preferred Stock (see also footnotes 5 and 6).

F5 · kind: Represents the quarterly dividend due on the Series B Preferred Stock for the period from August 25, 2016 to December 31, 2016, which was paid by the Issuer in shares of common stock, based on a dividend issuance price of $3.50 per share, the conversion price under the Series B Preferred Stock, as provided for under the terms of the Series B Preferred Stock.

F1 · price: Richard N. Azar II, may be deemed to beneficially own: RAD2 Minerals, Ltd. ("RAD2"), which directly owns 200,000 shares of the Series B Redeemable Convertible Preferred Stock (the "Series B Preferred Stock") of the Issuer; and Segundo Resources, LLC ("Segundo"), which directly owns 58,000 shares of Series B Preferred Stock of the Issuer and as such indirectly beneficially owns the common stock and the Series B Preferred Stock held by RAD2 and Segundo. RAD2 Management, LLC ("RAD2 LLC") as general partner of RAD2, may be deemed to beneficially own the securities held by RAD2. Mr. Azar is the manager of RAD2 LLC and is the managing member of Segundo. Mr. Azar also directly owns 106,508 shares of Series B Preferred Stock of the Issuer.

F1 · ownership.nature: Richard N. Azar II, may be deemed to beneficially own: RAD2 Minerals, Ltd. ("RAD2"), which directly owns 200,000 shares of the Series B Redeemable Convertible Preferred Stock (the "Series B Preferred Stock") of the Issuer; and Segundo Resources, LLC ("Segundo"), which directly owns 58,000 shares of Series B Preferred Stock of the Issuer and as such indirectly beneficially owns the common stock and the Series B Preferred Stock held by RAD2 and Segundo. RAD2 Management, LLC ("RAD2 LLC") as general partner of RAD2, may be deemed to beneficially own the securities held by RAD2. Mr. Azar is the manager of RAD2 LLC and is the managing member of Segundo. Mr. Azar also directly owns 106,508 shares of Series B Preferred Stock of the Issuer.

F2 · ownership.nature: RAD2 and RAD2 LLC, which are also reporting their ownership on this Form 4, do not have a pecuniary interest in the securities owned by Mr. Azar or Segundo. RAD2 has pledged 3,120,606 of its shares to secure amounts due under the Issuer's August 2016 $40 million loan agreement with International Bank of Commerce.

F3 · ownership.nature: Segundo, which is also reporting its ownership on this Form 4, does not have a pecuniary interest in the securities owned by Mr. Azar, RAD2 LLC or RAD2.

SEC source: 0001580695-17-000004 · azar-form4_010317.xml · derivative · entry 2

AZAR II RICHARD NATHAN · CIK 0001682851 · Director · 10% owner

RAD2 Management, LLC · CIK 0001683886 · Manager

RAD2 Minerals, Ltd · CIK 0001683887 · General Partner

Segundo Resources, LLC · CIK 0001683885 · Manager

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 364,508

Underlying: Common Stock · 760,467 shares

Expires not disclosed

F4 · derivative.expiration_date: The Series B Preferred Stock has a face value of $25 per share and is convertible into Common Stock at a conversion price of $3.50 per share, at the option of the holder thereof, or automatically as to 25% of the Series B Preferred Stock shares if the Common Stock trades above $6.125 per25 share for at least 20 consecutive trading days, and trades with at least 75,000 shares of average volume per day (the "Trading Requirements"); an additional 50% if the Common Stock trades above $7.00 per share and meets the Trading Requirements; and as to the remaining Series B Preferred Stock shares, if the Common Stock trades above $7.875 per share and meets the Trading Requirements.

F5 · derivative.expiration_date: Each outstanding share of Series B Preferred Stock is entitled to one vote per share on all stockholder matters. The Series B Preferred Stock is redeemable at any time by the Issuer upon the payment by the Issuer of the face amount of the Series B Preferred Stock ($25 per share) plus any and all accrued and unpaid dividends thereon.

F1 · ownership.nature: Richard N. Azar II, may be deemed to beneficially own: RAD2 Minerals, Ltd. ("RAD2", which directly owns 3,409,385 shares of the common stock, par value $0.001 per share of the Issuer ("Common Stock"), and 200,000 shares of the Series B Redeemable Convertible Preferred Stock (the "Series B Preferred Stock") of the Issuer); and Segundo Resources, LLC ("Segundo", which, following the transactions contemplated by this Form 4, directly owns 58,000 shares of Series B Preferred Stock of the Issuer) and as such indirectly beneficially owns the Common Stock held by RAD2 and the Series B Preferred Stock held by RAD2 and Segundo. RAD2 Management, LLC ("RAD2 LLC") as general partner of RAD2, may be deemed to beneficially own the securities held by RAD2. Mr. Azar is the manager of RAD2 LLC and is the managing member of Segundo.

F2 · ownership.nature: RAD2 and RAD2 LLC, which are also reporting their ownership on this Form 4, do not have a pecuniary interest in the securities owned by Mr. Azar or Segundo.

F3 · ownership.nature: Segundo, which is also reporting its ownership on this Form 4, does not have a pecuniary interest in the securities owned by Mr. Azar, RAD2 LLC or RAD2.

F6 · ownership.nature: In connection with the Issuer's entry into a $40 million Loan Agreement on August 25, 2016, RAD2 pledged 3,120,606 shares of Common Stock to the lender in order to secure amounts owed under the Loan Agreement. RAD2 also agreed to pledge 288,779 shares of common stock to the Issuer pursuant to the terms of a Letter Agreement, described in greater detail in the Issuer's Current Report on Form 8-K filed with the Securities and Exchange Commission on August 31, 2016.

SEC source: 0001580695-17-000004 · azar-form4_010317.xml · nonDerivative · entry 1

AZAR II RICHARD NATHAN · CIK 0001682851 · Director · 10% owner

RAD2 Management, LLC · CIK 0001683886 · Manager

RAD2 Minerals, Ltd · CIK 0001683887 · General Partner

Segundo Resources, LLC · CIK 0001683885 · Manager

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 3,409,385

F1 · shares: Richard N. Azar II, may be deemed to beneficially own: RAD2 Minerals, Ltd. ("RAD2", which directly owns 3,409,385 shares of the common stock, par value $0.001 per share of the Issuer ("Common Stock"), and 200,000 shares of the Series B Redeemable Convertible Preferred Stock (the "Series B Preferred Stock") of the Issuer); and Segundo Resources, LLC ("Segundo", which, following the transactions contemplated by this Form 4, directly owns 58,000 shares of Series B Preferred Stock of the Issuer) and as such indirectly beneficially owns the Common Stock held by RAD2 and the Series B Preferred Stock held by RAD2 and Segundo. RAD2 Management, LLC ("RAD2 LLC") as general partner of RAD2, may be deemed to beneficially own the securities held by RAD2. Mr. Azar is the manager of RAD2 LLC and is the managing member of Segundo.

F1 · ownership.nature: Richard N. Azar II, may be deemed to beneficially own: RAD2 Minerals, Ltd. ("RAD2", which directly owns 3,409,385 shares of the common stock, par value $0.001 per share of the Issuer ("Common Stock"), and 200,000 shares of the Series B Redeemable Convertible Preferred Stock (the "Series B Preferred Stock") of the Issuer); and Segundo Resources, LLC ("Segundo", which, following the transactions contemplated by this Form 4, directly owns 58,000 shares of Series B Preferred Stock of the Issuer) and as such indirectly beneficially owns the Common Stock held by RAD2 and the Series B Preferred Stock held by RAD2 and Segundo. RAD2 Management, LLC ("RAD2 LLC") as general partner of RAD2, may be deemed to beneficially own the securities held by RAD2. Mr. Azar is the manager of RAD2 LLC and is the managing member of Segundo.

F2 · ownership.nature: RAD2 and RAD2 LLC, which are also reporting their ownership on this Form 4, do not have a pecuniary interest in the securities owned by Mr. Azar or Segundo.

F3 · ownership.nature: Segundo, which is also reporting its ownership on this Form 4, does not have a pecuniary interest in the securities owned by Mr. Azar, RAD2 LLC or RAD2.

F6 · ownership.nature: In connection with the Issuer's entry into a $40 million Loan Agreement on August 25, 2016, RAD2 pledged 3,120,606 shares of Common Stock to the lender in order to secure amounts owed under the Loan Agreement. RAD2 also agreed to pledge 288,779 shares of common stock to the Issuer pursuant to the terms of a Letter Agreement, described in greater detail in the Issuer's Current Report on Form 8-K filed with the Securities and Exchange Commission on August 31, 2016.

SEC source: 0001580695-17-000010 · sanders-form4_010617.xml · nonDerivative · entry 1

SANDERS KENNETH RAY · CIK 0001682869 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,944

F1 · shares: Issued as compensation in consideration for services rendered pursuant to the Amended and Restated 2014 Stock Incentive Plan of the Issuer, which issuance was exempt from Section 16(b) pursuant to Rule 16b-3(d). The total value of the shares issued is net of amounts withheld for the payment of taxes in connection with such compensation.

SEC source: 0001580695-17-000011 · schnur-form4_123116.xml · nonDerivative · entry 1

Schnur Anthony Charles · CIK 0001561439 · Director · CEO & President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,375

F1 · shares: Effective November 1, 2012 (and amended and restated effective December 12, 2012), the Issuer entered into an employment agreement with Mr. Schnur. Pursuant to the agreement, $20,000 of Mr. Schnur's annual salary is payable in shares of the Issuer's common stock, which are due quarterly. The above represents the $5,000 quarterly payment of shares due on December 31, 2016 (less amounts withheld for the payment of taxes in connection with such compensation), which shares were issued pursuant to the Amended and Restated 2014 Stock Incentive Plan of the Issuer, which issuance was exempt from Section 16(b) pursuant to Rule 16b-3(d).

SEC source: 0001580695-17-000009 · pinkston-form4_010617.xml · nonDerivative · entry 1

PINKSTON PAUL ANTHONY · CIK 0001683306 · Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,136

F1 · shares: Issued as compensation in consideration for services rendered pursuant to the Amended and Restated 2014 Stock Incentive Plan of the Issuer, which issuance was exempt from Section 16(b) pursuant to Rule 16b-3(d). The total value of the shares issued is net of amounts withheld for the payment of taxes in connection with such compensation.

SEC source: 0001580695-16-000834 · azar-form4_110416.xml · derivative · entry 2

AZAR II RICHARD NATHAN · CIK 0001682851 · Director · 10% owner

RAD2 Management, LLC · CIK 0001683886 · Manager

RAD2 Minerals, Ltd · CIK 0001683887 · General Partner

Segundo Resources, LLC · CIK 0001683885 · Manager

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 258,000

Underlying: Common Stock · 2,099,160 shares

Expires not disclosed

F4 · derivative.expiration_date: The Series B Preferred Stock has a face value of $25 per share and is convertible into Common Stock at a conversion price of $3.50 per share, at the option of the holder thereof, or automatically as to 25% of the Series B Preferred Stock shares if the Common Stock trades above $6.125 per25 share for at least 20 consecutive trading days, and trades with at least 75,000 shares of average volume per day (the "Trading Requirements"); an additional 50% if the Common Stock trades above $7.00 per share and meets the Trading Requirements; and as to the remaining Series B Preferred Stock shares, if the Common Stock trades above $7.875 per share and meets the Trading Requirements.

F5 · derivative.expiration_date: Each outstanding share of Series B Preferred Stock is entitled to one vote per share on all stockholder matters. The Series B Preferred Stock is redeemable at any time by the Issuer upon the payment by the Issuer of the face amount of the Series B Preferred Stock ($25 per share) plus any and all accrued and unpaid dividends thereon.

F1 · ownership.nature: Richard N. Azar II, may be deemed to beneficially own: RAD2 Minerals, Ltd. ("RAD2", which directly owns 3,409,385 shares of the common stock, par value $0.001 per share of the Issuer ("Common Stock"), and 200,000 shares of the Series B Redeemable Convertible Preferred Stock (the "Series B Preferred Stock") of the Issuer); and Segundo Resources, LLC ("Segundo", which, following the transactions contemplated by this Form 4, directly owns 58,000 shares of Series B Preferred Stock of the Issuer) and as such indirectly beneficially owns the Common Stock held by RAD2 and the Series B Preferred Stock held by RAD2 and Segundo. RAD2 Management, LLC ("RAD2 LLC") as general partner of RAD2, may be deemed to beneficially own the securities held by RAD2. Mr. Azar is the manager of RAD2 LLC and is the managing member of Segundo.

F2 · ownership.nature: RAD2 and RAD2 LLC, which are also reporting their ownership on this Form 4, do not have a pecuniary interest in the securities owned by Mr. Azar or Segundo.

F3 · ownership.nature: Segundo, which is also reporting its ownership on this Form 3, does not have a pecuniary interest in the securities owned by Mr. Azar, RAD2 LLC or RAD2.

F6 · ownership.nature: In connection with the Issuer's entry into a $40 million Loan Agreement on August 25, 2016, RAD2 pledged 3,120,606 shares of Common Stock to the lender in order to secure amounts owed under the Loan Agreement. RAD2 also agreed to pledge 288,779 shares of common stock to the Issuer pursuant to the terms of a Letter Agreement, described in greater detail in the Issuer's Current Report on Form 8-K filed with the Securities and Exchange Commission on August 31, 2016.

SEC source: 0001580695-16-000834 · azar-form4_110416.xml · nonDerivative · entry 1

AZAR II RICHARD NATHAN · CIK 0001682851 · Director · 10% owner

RAD2 Management, LLC · CIK 0001683886 · Manager

RAD2 Minerals, Ltd · CIK 0001683887 · General Partner

Segundo Resources, LLC · CIK 0001683885 · Manager

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 4,170,382

F1 · shares: Richard N. Azar II, may be deemed to beneficially own: RAD2 Minerals, Ltd. ("RAD2", which directly owns 3,409,385 shares of the common stock, par value $0.001 per share of the Issuer ("Common Stock"), and 200,000 shares of the Series B Redeemable Convertible Preferred Stock (the "Series B Preferred Stock") of the Issuer); and Segundo Resources, LLC ("Segundo", which, following the transactions contemplated by this Form 4, directly owns 58,000 shares of Series B Preferred Stock of the Issuer) and as such indirectly beneficially owns the Common Stock held by RAD2 and the Series B Preferred Stock held by RAD2 and Segundo. RAD2 Management, LLC ("RAD2 LLC") as general partner of RAD2, may be deemed to beneficially own the securities held by RAD2. Mr. Azar is the manager of RAD2 LLC and is the managing member of Segundo.

F1 · ownership.nature: Richard N. Azar II, may be deemed to beneficially own: RAD2 Minerals, Ltd. ("RAD2", which directly owns 3,409,385 shares of the common stock, par value $0.001 per share of the Issuer ("Common Stock"), and 200,000 shares of the Series B Redeemable Convertible Preferred Stock (the "Series B Preferred Stock") of the Issuer); and Segundo Resources, LLC ("Segundo", which, following the transactions contemplated by this Form 4, directly owns 58,000 shares of Series B Preferred Stock of the Issuer) and as such indirectly beneficially owns the Common Stock held by RAD2 and the Series B Preferred Stock held by RAD2 and Segundo. RAD2 Management, LLC ("RAD2 LLC") as general partner of RAD2, may be deemed to beneficially own the securities held by RAD2. Mr. Azar is the manager of RAD2 LLC and is the managing member of Segundo.

F2 · ownership.nature: RAD2 and RAD2 LLC, which are also reporting their ownership on this Form 4, do not have a pecuniary interest in the securities owned by Mr. Azar or Segundo.

F3 · ownership.nature: Segundo, which is also reporting its ownership on this Form 3, does not have a pecuniary interest in the securities owned by Mr. Azar, RAD2 LLC or RAD2.

F6 · ownership.nature: In connection with the Issuer's entry into a $40 million Loan Agreement on August 25, 2016, RAD2 pledged 3,120,606 shares of Common Stock to the lender in order to secure amounts owed under the Loan Agreement. RAD2 also agreed to pledge 288,779 shares of common stock to the Issuer pursuant to the terms of a Letter Agreement, described in greater detail in the Issuer's Current Report on Form 8-K filed with the Securities and Exchange Commission on August 31, 2016.

SEC source: 0001580695-16-000837 · dreeben-form4_110416.xml · derivative · entry 1

DREEBEN ALAN WILLIAM · CIK 0001682835 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,000

Underlying: Common Stock · 314,160 shares

Expires not disclosed

F1 · derivative.expiration_date: The Series B Redeemable Convertible Preferred Stock (the "Series B Preferred Stock") has a face value of $25 per share and is convertible into common stock, par value $0.001 per share of the Issuer ("Common Stock"), at a conversion price of $3.50 per share, at the option of the holder thereof, or automatically as to 25% of the Series B Preferred Stock shares if the Common Stock trades above $6.125 per25 share for at least 20 consecutive trading days, and trades with at least 75,000 shares of average volume per day (the "Trading Requirements"); an additional 50% if the Common Stock trades above $7.00 per share and meets the Trading Requirements; and as to the remaining Series B Preferred Stock shares, if the Common Stock trades above $7.875 per share and meets the Trading Requirements.

F2 · derivative.expiration_date: Each outstanding share of Series B Preferred Stock is entitled to one vote per share on all stockholder matters. The Series B Preferred Stock is redeemable at any time by the Issuer upon the payment by the Issuer of the face amount of the Series B Preferred Stock ($25 per share) plus any and all accrued and unpaid dividends thereon.

SEC source: 0001580695-16-000836 · dreeben-form4_110416.xml · derivative · entry 1

DREEBEN ALAN WILLIAM · CIK 0001682835 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,000

Underlying: Common Stock · 314,160 shares

Expires not disclosed

F1 · derivative.expiration_date: The Series B Redeemable Convertible Preferred Stock (the "Series B Preferred Stock") has a face value of $25 per share and is convertible into common stock, par value $0.001 per share of the Issuer ("Common Stock"), at a conversion price of $3.50 per share, at the option of the holder thereof, or automatically as to 25% of the Series B Preferred Stock shares if the Common Stock trades above $6.125 per25 share for at least 20 consecutive trading days, and trades with at least 75,000 shares of average volume per day (the "Trading Requirements"); an additional 50% if the Common Stock trades above $7.00 per share and meets the Trading Requirements; and as to the remaining Series B Preferred Stock shares, if the Common Stock trades above $7.875 per share and meets the Trading Requirements.

F2 · derivative.expiration_date: Each outstanding share of Series B Preferred Stock is entitled to one vote per share on all stockholder matters. The Series B Preferred Stock is redeemable at any time by the Issuer upon the payment by the Issuer of the face amount of the Series B Preferred Stock ($25 per share) plus any and all accrued and unpaid dividends thereon.

SEC source: 0001580695-16-000760 · schnur-form4_093016.xml · nonDerivative · entry 1

Schnur Anthony Charles · CIK 0001561439 · Director · CEO & President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,659

F1 · shares: Effective November 1, 2012 (and amended and restated effective December 12, 2012), the Issuer entered into an employment agreement with Mr. Schnur. Pursuant to the agreement, $20,000 of Mr. Schnur's annual salary is payable in shares of the Issuer's common stock, which are due quarterly. The above represents the $5,000 quarterly payment of shares due on September 30, 2016 (less amounts withheld for the payment of taxes in connection with such compensation), which shares were issued pursuant to the Amended and Restated 2014 Stock Incentive Plan of the Issuer, which issuance was exempt from Section 16(b) pursuant to Rule 16b-3(d).

SEC source: 0001580695-16-000766 · sanders-form4_093016.xml · nonDerivative · entry 1

SANDERS KENNETH RAY · CIK 0001682869 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,834

F1 · shares: Issued as compensation in consideration for services rendered pursuant to the Amended and Restated 2014 Stock Incentive Plan of the Issuer, which issuance was exempt from Section 16(b) pursuant to Rule 16b-3(d). The total value of the shares issued is net of amounts withheld for the payment of taxes in connection with such compensation.

SEC source: 0001580695-16-000764 · pinkston-form4_093016.xml · nonDerivative · entry 1

PINKSTON PAUL ANTHONY · CIK 0001683306 · Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,741

F1 · shares: Issued as compensation in consideration for services rendered pursuant to the Amended and Restated 2014 Stock Incentive Plan of the Issuer, which issuance was exempt from Section 16(b) pursuant to Rule 16b-3(d). The total value of the shares issued is net of amounts withheld for the payment of taxes in connection with such compensation.

SEC source: 0001387131-16-006922 · schnur-form4_090116.xml · nonDerivative · entry 1

Schnur Anthony Charles · CIK 0001561439 · Director · CEO & President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,433

F1 · shares: Effective November 1, 2012 (and amended and restated effective December 12, 2012), the Issuer entered into an employment agreement with Mr. Schnur. Pursuant to the agreement, $20,000 of Mr. Schnur's annual salary is payable in shares of the Issuer's common stock, which are due quarterly. The above represents the $5,000 quarterly payment of shares due on June 30, 2016 (less amounts withheld for the payment of taxes in connection with such compensation), which shares were issued pursuant to the Amended and Restated 2014 Stock Incentive Plan of the Issuer, which issuance was exempt from Section 16(b) pursuant to Rule 16b-3(d).