WKHS

SEC source: 0001213900-20-017160 · ownership.xml · nonDerivative · entry 11

LUKENS JOSEPH THEODORE JR · CIK 0001607972 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 6,757,203

F1 · ownership.nature: Held by New Era Capital Fund L.P. of which New Era Capital LLC is the General Partner, of which the reporting person is the managing member. The reporting person disclaims beneficial ownership of these securities except to the extent of her pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.

SEC source: 0001213900-20-017160 · ownership.xml · nonDerivative · entry 10

LUKENS JOSEPH THEODORE JR · CIK 0001607972 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 6,775,357

F1 · ownership.nature: Held by New Era Capital Fund L.P. of which New Era Capital LLC is the General Partner, of which the reporting person is the managing member. The reporting person disclaims beneficial ownership of these securities except to the extent of her pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.

SEC source: 0001213900-20-017160 · ownership.xml · nonDerivative · entry 9

LUKENS JOSEPH THEODORE JR · CIK 0001607972 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 6,790,357

F1 · ownership.nature: Held by New Era Capital Fund L.P. of which New Era Capital LLC is the General Partner, of which the reporting person is the managing member. The reporting person disclaims beneficial ownership of these securities except to the extent of her pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.

SEC source: 0001213900-20-017160 · ownership.xml · nonDerivative · entry 8

LUKENS JOSEPH THEODORE JR · CIK 0001607972 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 6,890,357

F1 · ownership.nature: Held by New Era Capital Fund L.P. of which New Era Capital LLC is the General Partner, of which the reporting person is the managing member. The reporting person disclaims beneficial ownership of these securities except to the extent of her pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.

SEC source: 0001213900-20-017160 · ownership.xml · nonDerivative · entry 7

LUKENS JOSEPH THEODORE JR · CIK 0001607972 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 6,952,057

F1 · ownership.nature: Held by New Era Capital Fund L.P. of which New Era Capital LLC is the General Partner, of which the reporting person is the managing member. The reporting person disclaims beneficial ownership of these securities except to the extent of her pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.

SEC source: 0001213900-20-017160 · ownership.xml · nonDerivative · entry 6

LUKENS JOSEPH THEODORE JR · CIK 0001607972 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 6,952,257

F1 · ownership.nature: Held by New Era Capital Fund L.P. of which New Era Capital LLC is the General Partner, of which the reporting person is the managing member. The reporting person disclaims beneficial ownership of these securities except to the extent of her pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.

SEC source: 0001213900-20-017160 · ownership.xml · nonDerivative · entry 5

LUKENS JOSEPH THEODORE JR · CIK 0001607972 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 6,957,203

F1 · ownership.nature: Held by New Era Capital Fund L.P. of which New Era Capital LLC is the General Partner, of which the reporting person is the managing member. The reporting person disclaims beneficial ownership of these securities except to the extent of her pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.

SEC source: 0001628280-20-002696 · wf-form4_158318500555801.xml · nonDerivative · entry 1

Furey Anthony Daly · CIK 0001794487 · Vice President-Finance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 375,144

F1 · shares: Shares granted for services

SEC source: 0001213900-20-017160 · ownership.xml · nonDerivative · entry 18

LUKENS JOSEPH THEODORE JR · CIK 0001607972 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · The Joe & Kim Lukens Foundation

Disclosed balance after: 0

SEC source: 0001628280-19-015237 · wf-form4_157679562033616.xml · derivative · entry 3

Chess Raymond Joseph · CIK 0001593040 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 10,000 shares

Expires 2019-12-19

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

SEC source: 0001628280-19-015237 · wf-form4_157679562033616.xml · nonDerivative · entry 2

Chess Raymond Joseph · CIK 0001593040 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 154,436

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

F1 · shares: This Form is being filed to report the exercise of a stock option pursuant to which the Reporting Person received an aggregate of 10,000 shares by means of a cashless exercise. A cashless exercise is a method of exercising a stock option in which the option holder pays the exercise price to the Company using shares of common stock the Reporting Person would have received pursuant to the option exercise. As a result of this cashless exercise, the Reporting Person, on a net basis, acquired ownership of a net amount of 4,853 shares of common stock.

SEC source: 0001628280-19-015237 · wf-form4_157679562033616.xml · nonDerivative · entry 1

Chess Raymond Joseph · CIK 0001593040 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 149,289

F1 · shares: This Form is being filed to report the exercise of a stock option pursuant to which the Reporting Person received an aggregate of 10,000 shares by means of a cashless exercise. A cashless exercise is a method of exercising a stock option in which the option holder pays the exercise price to the Company using shares of common stock the Reporting Person would have received pursuant to the option exercise. As a result of this cashless exercise, the Reporting Person, on a net basis, acquired ownership of a net amount of 4,853 shares of common stock.

SEC source: 0001213900-19-022577 · ownership.xml · nonDerivative · entry 1

Hughes Duane · CIK 0001685081 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 239,055

F6 · date: The shares of common stock granted on November 6, 2019 and vest semi-annually over a three year period.

SEC source: 0001213900-19-022578 · ownership.xml · nonDerivative · entry 1

Willison Robert Harry · CIK 0001768448 · COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 119,522

SEC source: 0001213900-19-023003 · ownership.xml · nonDerivative · entry 1

DeMott Harry · CIK 0001684919 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 71,713

F1 · date: 35,856 of the securities vest on May 6, 2020 and an additional 11,952 shall vest every six (6) months thereafter.

SEC source: 0001213900-19-023000 · ownership.xml · nonDerivative · entry 1

CLARK MICHAEL LAURENCE · CIK 0001683605 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 71,713

SEC source: 0001213900-19-023005 · ownership.xml · nonDerivative · entry 1

Samuels H. Benjamin · CIK 0001661669 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 511,059

F6 · date: 35,856 of the securities vest on May 6, 2020 and an additional 11,952 shall vest every six (6) months thereafter.

SEC source: 0001213900-19-022996 · ownership.xml · nonDerivative · entry 1

Budde Gerald B. · CIK 0001655373 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 191,405

F3 · date: 35,856 of the securities vest on May 6, 2020 and an additional 11,952 shall vest every six months thereafter.

SEC source: 0001213900-19-022999 · ownership.xml · nonDerivative · entry 1

Chess Raymond Joseph · CIK 0001593040 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 144,136

F1 · date: 41,832 of the securities vest on May 6, 2020 and an additional 11,952 shall vest every six (6) months thereafter.

SEC source: 0001213900-20-017160 · ownership.xml · nonDerivative · entry 17

LUKENS JOSEPH THEODORE JR · CIK 0001607972 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · The Joe & Kim Lukens Foundation

Disclosed balance after: 77,435

SEC source: 0001213900-20-017160 · ownership.xml · nonDerivative · entry 4

LUKENS JOSEPH THEODORE JR · CIK 0001607972 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 7,040,847

F1 · ownership.nature: Held by New Era Capital Fund L.P. of which New Era Capital LLC is the General Partner, of which the reporting person is the managing member. The reporting person disclaims beneficial ownership of these securities except to the extent of her pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.

SEC source: 0001213900-20-017160 · ownership.xml · nonDerivative · entry 3

LUKENS JOSEPH THEODORE JR · CIK 0001607972 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 7,149,847

F1 · ownership.nature: Held by New Era Capital Fund L.P. of which New Era Capital LLC is the General Partner, of which the reporting person is the managing member. The reporting person disclaims beneficial ownership of these securities except to the extent of her pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.

SEC source: 0001213900-19-012127 · ownership.xml · derivative · entry 1

Willison Robert Harry · CIK 0001768448 · COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 400,000

Underlying: Common Stock, Par Value $0.001 · 400,000 shares

Expires 2024-05-02

F1 · shares: Options shall become exercisable in twelve (12) equal quarterly installments of 25,000 commencing on June 30, 2019.

F1 · price: Options shall become exercisable in twelve (12) equal quarterly installments of 25,000 commencing on June 30, 2019.

F1 · derivative.underlying_shares: Options shall become exercisable in twelve (12) equal quarterly installments of 25,000 commencing on June 30, 2019.

SEC source: 0001213900-19-009578 · ownership.xml · derivative · entry 3

Chess Raymond Joseph · CIK 0001593040 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 70,000 shares

Expires 2019-07-01

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.

SEC source: 0001213900-19-009578 · ownership.xml · nonDerivative · entry 2

Chess Raymond Joseph · CIK 0001593040 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,000

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

F1 · shares: This Form is being filed to report the exercise of a stock option pursuant to which the Reporting Person received an aggregate of 70,000 shares by means of a cashless exercise. A cashless exercise is a method of exercising a stock option in which the option holder pays the exercise price to the Company using shares of common stock the Reporting Person would have received pursuant to the option exercise. As a result of this cashless exercise, the Reporting Person, on a net basis, acquired ownership of a net amount of 66,447 shares of common stock

SEC source: 0001213900-19-009578 · ownership.xml · nonDerivative · entry 1

Chess Raymond Joseph · CIK 0001593040 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 66,447

F1 · shares: This Form is being filed to report the exercise of a stock option pursuant to which the Reporting Person received an aggregate of 70,000 shares by means of a cashless exercise. A cashless exercise is a method of exercising a stock option in which the option holder pays the exercise price to the Company using shares of common stock the Reporting Person would have received pursuant to the option exercise. As a result of this cashless exercise, the Reporting Person, on a net basis, acquired ownership of a net amount of 66,447 shares of common stock

SEC source: 0001213900-19-002365 · ownership.xml · nonDerivative · entry 2

Samuels H. Benjamin · CIK 0001661669 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 420,967

F5 · ownership.nature: On February 11, 2019, the Marci Rosenberg 2012 Family Trust acquired 420,967 shares of common stock. Marci Rosenberg is the trustee of such trust. Mr. Rosenberg is the wife of H. Benjamin Samuels, a director of the Company.

SEC source: 0001213900-19-002365 · ownership.xml · nonDerivative · entry 1

Samuels H. Benjamin · CIK 0001661669 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 439,349

SEC source: 0001213900-19-002346 · ownership.xml · nonDerivative · entry 1

Budde Gerald B. · CIK 0001655373 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 119,692

F1 · ownership.nature: Securities held by the Gerald B. Budde Living Trust dated September 8, 2004. Gerald Budde is the trustee of such trust.

SEC source: 0001213900-19-002003 · ownership.xml · derivative · entry 2

Hughes Duane · CIK 0001685081 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock, Par Value $0.001 · 50,000 shares

Expires 2024-02-04

F2 · security: 10,000 of the options vested on February 4, 2019, and 4,000 shall vest every June 30 and December 31 thereafter.

SEC source: 0001213900-19-002003 · ownership.xml · derivative · entry 1

Hughes Duane · CIK 0001685081 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: Not disclosed

Underlying: Common Stock, Par Value $0.001 · 1,000,000 shares

Expires 2024-02-04

F5 · security: 5,000 of the options vested on February 2, 2016 and 5,000 shall vest every six (6) months thereafter.

SEC source: 0001213900-19-002001 · ownership.xml · derivative · entry 3

Burns Stephen S. · CIK 0001481717 · Consult, formerly CEO and Dir.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,000,000

Underlying: Common Stock, Par Value $0.001 · 1,000,000 shares

Expires 2024-02-04

F6 · security: All of the options are immediately vested and exercisable.

F6 · derivative.exercise_date: All of the options are immediately vested and exercisable.

SEC source: 0001213900-20-017160 · ownership.xml · derivative · entry 19

LUKENS JOSEPH THEODORE JR · CIK 0001607972 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 0

Underlying: Common Stock · 585,936 shares

Expires 2022-09-18

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 · ownership.nature: Held by New Era Capital Fund L.P. of which New Era Capital LLC is the General Partner, of which the reporting person is the managing member. The reporting person disclaims beneficial ownership of these securities except to the extent of her pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.

SEC source: 0001213900-20-017160 · ownership.xml · nonDerivative · entry 2

LUKENS JOSEPH THEODORE JR · CIK 0001607972 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 7,417,203

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

F2 · kind: New Era Capital Fund L.P. exchanged warrants to purchase 585,936 shares of common stock of the issuer for 410,155 shares of common stock of the issuer.

F1 · ownership.nature: Held by New Era Capital Fund L.P. of which New Era Capital LLC is the General Partner, of which the reporting person is the managing member. The reporting person disclaims beneficial ownership of these securities except to the extent of her pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.

SEC source: 0001213900-20-017160 · ownership.xml · nonDerivative · entry 1

LUKENS JOSEPH THEODORE JR · CIK 0001607972 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 7,007,048

F1 · ownership.nature: Held by New Era Capital Fund L.P. of which New Era Capital LLC is the General Partner, of which the reporting person is the managing member. The reporting person disclaims beneficial ownership of these securities except to the extent of her pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.

SEC source: 0001213900-18-005123 · f4042618samuels_workhorse.xml · nonDerivative · entry 1

Samuels H. Benjamin · CIK 0001661669 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,382

SEC source: 0001213900-18-005210 · f4042618a1burns_workhorse.xml · nonDerivative · entry 2

Burns Stephen S. · CIK 0001481717 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 804,102

SEC source: 0001213900-18-005125 · f4042618burns_workhorse.xml · nonDerivative · entry 2

Burns Stephen S. · CIK 0001481717 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 767,337

SEC source: 0001213900-18-005121 · f4042618budde_workhorse.xml · nonDerivative · entry 1

Budde Gerald B. · CIK 0001655373 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 93,382

F1 · ownership.nature: Securities held by the Gerald B. Budde Living Trust dated September 8, 2004. Gerald Budde is the trustee of such trust.

SEC source: 0001213900-17-010325 · f4091817lukens_workhorse.xml · derivative · entry 9

LUKENS JOSEPH THEODORE JR · CIK 0001607972 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 585,936

Underlying: Common Stock, Par Value $0.001 · 585,936 shares

Expires 2022-09-18

F2 · price: New Era acquired 781,248 shares of common stock and warrants to purchase 585,936 shares of common stock for a period of five years at an exercise price of $3.80 per share from the Company on September 18, 2017 for an aggregate purchase price of $2,499,993.60.

F2 · ownership.nature: New Era acquired 781,248 shares of common stock and warrants to purchase 585,936 shares of common stock for a period of five years at an exercise price of $3.80 per share from the Company on September 18, 2017 for an aggregate purchase price of $2,499,993.60.

SEC source: 0001213900-17-010325 · f4091817lukens_workhorse.xml · nonDerivative · entry 4

LUKENS JOSEPH THEODORE JR · CIK 0001607972 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F2 · price: New Era acquired 781,248 shares of common stock and warrants to purchase 585,936 shares of common stock for a period of five years at an exercise price of $3.80 per share from the Company on September 18, 2017 for an aggregate purchase price of $2,499,993.60.

F1 · ownership.direct: US Trust Company of Delaware Administrative Trustee of the Joe & Kim Lukens Dynasty Trust assigned 2,697,147 shares of common stock to New Era Capital Fund L.P. ("New Era") in exchange for 34.504% of New Era. New Era Capital LLC ("NEC") is the General Partner of New Era. Mr. Lukens is the managing member of NEC. Jospeh T. Lukens, Jr. assigned 3,491,888 shares of common stock to New Era in exchange for 44.672% of New Era.

SEC source: 0001213900-17-010325 · f4091817lukens_workhorse.xml · nonDerivative · entry 3

LUKENS JOSEPH THEODORE JR · CIK 0001607972 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 0

F1 · price: US Trust Company of Delaware Administrative Trustee of the Joe & Kim Lukens Dynasty Trust assigned 2,697,147 shares of common stock to New Era Capital Fund L.P. ("New Era") in exchange for 34.504% of New Era. New Era Capital LLC ("NEC") is the General Partner of New Era. Mr. Lukens is the managing member of NEC. Jospeh T. Lukens, Jr. assigned 3,491,888 shares of common stock to New Era in exchange for 44.672% of New Era.

F2 · price: New Era acquired 781,248 shares of common stock and warrants to purchase 585,936 shares of common stock for a period of five years at an exercise price of $3.80 per share from the Company on September 18, 2017 for an aggregate purchase price of $2,499,993.60.

F1 · ownership.nature: US Trust Company of Delaware Administrative Trustee of the Joe & Kim Lukens Dynasty Trust assigned 2,697,147 shares of common stock to New Era Capital Fund L.P. ("New Era") in exchange for 34.504% of New Era. New Era Capital LLC ("NEC") is the General Partner of New Era. Mr. Lukens is the managing member of NEC. Jospeh T. Lukens, Jr. assigned 3,491,888 shares of common stock to New Era in exchange for 44.672% of New Era.

F2 · ownership.nature: New Era acquired 781,248 shares of common stock and warrants to purchase 585,936 shares of common stock for a period of five years at an exercise price of $3.80 per share from the Company on September 18, 2017 for an aggregate purchase price of $2,499,993.60.

SEC source: 0001213900-17-010325 · f4091817lukens_workhorse.xml · nonDerivative · entry 2

LUKENS JOSEPH THEODORE JR · CIK 0001607972 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 6,189,035

F1 · price: US Trust Company of Delaware Administrative Trustee of the Joe & Kim Lukens Dynasty Trust assigned 2,697,147 shares of common stock to New Era Capital Fund L.P. ("New Era") in exchange for 34.504% of New Era. New Era Capital LLC ("NEC") is the General Partner of New Era. Mr. Lukens is the managing member of NEC. Jospeh T. Lukens, Jr. assigned 3,491,888 shares of common stock to New Era in exchange for 44.672% of New Era.

F2 · price: New Era acquired 781,248 shares of common stock and warrants to purchase 585,936 shares of common stock for a period of five years at an exercise price of $3.80 per share from the Company on September 18, 2017 for an aggregate purchase price of $2,499,993.60.

F1 · ownership.nature: US Trust Company of Delaware Administrative Trustee of the Joe & Kim Lukens Dynasty Trust assigned 2,697,147 shares of common stock to New Era Capital Fund L.P. ("New Era") in exchange for 34.504% of New Era. New Era Capital LLC ("NEC") is the General Partner of New Era. Mr. Lukens is the managing member of NEC. Jospeh T. Lukens, Jr. assigned 3,491,888 shares of common stock to New Era in exchange for 44.672% of New Era.

F2 · ownership.nature: New Era acquired 781,248 shares of common stock and warrants to purchase 585,936 shares of common stock for a period of five years at an exercise price of $3.80 per share from the Company on September 18, 2017 for an aggregate purchase price of $2,499,993.60.

SEC source: 0001213900-17-010325 · f4091817lukens_workhorse.xml · nonDerivative · entry 1

LUKENS JOSEPH THEODORE JR · CIK 0001607972 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 6,970,283

F1 · ownership.nature: US Trust Company of Delaware Administrative Trustee of the Joe & Kim Lukens Dynasty Trust assigned 2,697,147 shares of common stock to New Era Capital Fund L.P. ("New Era") in exchange for 34.504% of New Era. New Era Capital LLC ("NEC") is the General Partner of New Era. Mr. Lukens is the managing member of NEC. Jospeh T. Lukens, Jr. assigned 3,491,888 shares of common stock to New Era in exchange for 44.672% of New Era.

F2 · ownership.nature: New Era acquired 781,248 shares of common stock and warrants to purchase 585,936 shares of common stock for a period of five years at an exercise price of $3.80 per share from the Company on September 18, 2017 for an aggregate purchase price of $2,499,993.60.

SEC source: 0001213900-17-009063 · f4082117burns_workhorse.xml · nonDerivative · entry 2

Burns Stephen S. · CIK 0001481717 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 746,687

F6 · acquired: Mr. Burns gifted an aggregate of 50,000 shares of common stock to two of his children.

SEC source: 0001213900-17-005989 · f4052617burns_workhorse.xml · nonDerivative · entry 2

Burns Stephen S. · CIK 0001481717 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 796,687

SEC source: 0001213900-17-005771 · f4051917hughes_workhorse.xml · derivative · entry 1

Hughes Duane · CIK 0001685081 · COO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,500

Underlying: Common Stock, Par Value $0.001 · 25,000 shares

Expires 2027-05-19

F1 · security: Subject to the Company adopting an equity incentive plan and increasing its authorized shares of common stock, Workhorse Group Inc. granted stock options exercisable at $5.28 per share to Mr. Hughes to acquire 400,000 shares of common stock of the Company which are exercisable for a period of ten years. The Stock Options vest in 16 equal quarterly tranches of 25,000 shares commencing June 30, 2017.

F1 · shares: Subject to the Company adopting an equity incentive plan and increasing its authorized shares of common stock, Workhorse Group Inc. granted stock options exercisable at $5.28 per share to Mr. Hughes to acquire 400,000 shares of common stock of the Company which are exercisable for a period of ten years. The Stock Options vest in 16 equal quarterly tranches of 25,000 shares commencing June 30, 2017.

F1 · derivative.underlying_shares: Subject to the Company adopting an equity incentive plan and increasing its authorized shares of common stock, Workhorse Group Inc. granted stock options exercisable at $5.28 per share to Mr. Hughes to acquire 400,000 shares of common stock of the Company which are exercisable for a period of ten years. The Stock Options vest in 16 equal quarterly tranches of 25,000 shares commencing June 30, 2017.

F3 · balance_after: 5,000 of the options vested on February 2, 2016 and 5,000 shall vest every six (6) months thereafter.

SEC source: 0001213900-17-005773 · f4051917burns_workhorse.xml · derivative · entry 3

Burns Stephen S. · CIK 0001481717 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,500

Underlying: Common Stock, Par Value $0.001 · 62,500 shares

Expires 2027-05-19

F3 · security: 8,750 of the options vested on August 16, 2016 and an additional 8,750 will vest every six months thereafter.

F5 · derivative.underlying_shares: Subject to the Company adopting an equity incentive plan and increasing its authorized shares of common stock, Workhorse Group Inc. granted stock options exercisable at $5.28 per share to Mr. Burns to acquire 1,000,000 shares of common stock of the Company, which are exercisable for a period of ten years. The Stock Options vest in 16 equal quarterly tranches of 62,500 shares commencing June 30, 2017.

F5 · balance_after: Subject to the Company adopting an equity incentive plan and increasing its authorized shares of common stock, Workhorse Group Inc. granted stock options exercisable at $5.28 per share to Mr. Burns to acquire 1,000,000 shares of common stock of the Company, which are exercisable for a period of ten years. The Stock Options vest in 16 equal quarterly tranches of 62,500 shares commencing June 30, 2017.

SEC source: 0001213900-17-005772 · f4051917rodriguez_workhorse.xml · derivative · entry 1

Rodriguez Julio C. · CIK 0001585843 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,500

Underlying: Common Stock, Par Value $0.001 · 12,500 shares

Expires 2027-05-19

F3 · security: Subject to the Company adopting an equity incentive plan and increasing its authorized shares of common stock, Workhorse Group Inc. granted stock options exercisable at $5.28 per share to Mr. Rodriguez to acquire 200,000 shares of common stock of the Company which are exercisable for a period of ten years. The Stock Options vest in 16 equal quarterly tranches of 12,500 shares commencing June 30, 2017.

F3 · shares: Subject to the Company adopting an equity incentive plan and increasing its authorized shares of common stock, Workhorse Group Inc. granted stock options exercisable at $5.28 per share to Mr. Rodriguez to acquire 200,000 shares of common stock of the Company which are exercisable for a period of ten years. The Stock Options vest in 16 equal quarterly tranches of 12,500 shares commencing June 30, 2017.

F3 · derivative.underlying_shares: Subject to the Company adopting an equity incentive plan and increasing its authorized shares of common stock, Workhorse Group Inc. granted stock options exercisable at $5.28 per share to Mr. Rodriguez to acquire 200,000 shares of common stock of the Company which are exercisable for a period of ten years. The Stock Options vest in 16 equal quarterly tranches of 12,500 shares commencing June 30, 2017.

F3 · balance_after: Subject to the Company adopting an equity incentive plan and increasing its authorized shares of common stock, Workhorse Group Inc. granted stock options exercisable at $5.28 per share to Mr. Rodriguez to acquire 200,000 shares of common stock of the Company which are exercisable for a period of ten years. The Stock Options vest in 16 equal quarterly tranches of 12,500 shares commencing June 30, 2017.

SEC source: 0001213900-17-001267 · f4020117lukens_workhorse.xml · derivative · entry 7

LUKENS JOSEPH THEODORE JR · CIK 0001607972 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 668,333

Underlying: Common Stock, Par Value $0.001 · 311,526 shares

Expires 2019-01-10

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 · security: On January 10, 2017, Workhorse Group Inc. (the "Company"), entered into a Securities Purchase Agreement with Joseph T. Lukens ("Lukens") providing for the sale by the Company to Lukens of a 6% Convertible Debenture in the aggregate amount of $2,000,000 (the "Lukens Debenture") in consideration of $2,000,000. The financing closed on January 10, 2017. The Lukens Debenture matured two years from the date of issuance and carried interest of 6% per annum payable upon maturity. At the option of Lukens, all or a portion of the Lukens Debenture may have been converted into shares of common stock of the Company at $6.42 per share. Upon the closing of any future equity, convertible equity or convertible debt financing of the Company of at least $5,000,000, all unpaid principal and accrued but unpaid interest hereunder shall automatically convert into the same securities offered in such financing. (cont'd in Footnote 2)