person · Reporting owner

Steffens John

Disclosed activity across 9 companies

Tapewire entity: 107664
SEC CIK: 0001373619

Reported relationships

Latest disclosed role at each company.

Company	Last reported as	Report date	Published
CICERO INCCICN · Entity 149678	Director · 10% owner	March 27, 2019	March 29, 2019
DigitalBridge Group, Inc.DBRG · Entity 4232	Director	July 15, 2022	July 19, 2022
IsoPlexis CorpISO · Entity 115290	10% owner	October 12, 2021	October 14, 2021
PATRIOT NATIONAL BANCORP INCPNBK · Entity 6625	(1) and (2)	March 31, 2021	April 27, 2021
ProSomnus, Inc.OSA · Entity 94197	10% owner	December 06, 2023	December 08, 2023

Disclosed balances

About these balances

Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.

CICERO INC

Report date March 27, 2019 · Filed March 29, 2019

Security / award	Ownership account	Disclosed shares / units	Disclosure context
WarrantSEC Table II · derivative / convertible security · Conversion / exercise price $0.05 · Expires 2029-03-27	Direct	37,334,407	Reported balance After 2019-03-27 transaction · row 1 Instrument identity requires review; Table II rows are not merged. 1 source row Row 1 · 2019-03-27 · Purchase · Acquired 17,000,787 · Balance 37,334,407 F1: The purchase price is included in the note exchange between Mr. Steffens and the Company for the exchange of $4,250,197 of debt and interest exchanged for 4,250 Series A Preferred Stock and a warrant for 17,000,787 common shares.
Series A Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.05	Direct	9,333	Reported balance After 2019-03-27 transaction · row 2 Instrument identity requires review; Table II rows are not merged. 1 source row Row 2 · 2019-03-27 · Purchase · Acquired 4,250 · Balance 9,333 F1: The purchase price is included in the note exchange between Mr. Steffens and the Company for the exchange of $4,250,197 of debt and interest exchanged for 4,250 Series A Preferred Stock and a warrant for 17,000,787 common shares. F2: The Series A Preferred Shares have no expiration date.

Filing footnotes · ownership attribution and instrument terms

F1: The purchase price is included in the note exchange between Mr. Steffens and the Company for the exchange of $4,250,197 of debt and interest exchanged for 4,250 Series A Preferred Stock and a warrant for 17,000,787 common shares.

F2: The Series A Preferred Shares have no expiration date.

DigitalBridge Group, Inc.

Report date July 15, 2022 · Filed July 19, 2022

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Deferred StockSEC Table II · derivative / convertible security	Direct	279,908	Reported balance After 2022-07-15 transaction · row 1 Instrument identity requires review; Table II rows are not merged. 1 source row Row 1 · 2022-07-15 · Grant · Acquired 27,328 · Balance 279,908 F1: Represents the receipt of deferred stock units ("Deferred Stock") granted by the Issuer in respect of the reporting person's election to defer cash compensation payable in accordance with the Issuer's non-executive director compensation policy. F2: Deferred Stock has no expiration date and is payable in Class A Common Stock after the reporting person's separation from service with the Issuer.

Filing footnotes · ownership attribution and instrument terms

F1: Represents the receipt of deferred stock units ("Deferred Stock") granted by the Issuer in respect of the reporting person's election to defer cash compensation payable in accordance with the Issuer's non-executive director compensation policy.

F2: Deferred Stock has no expiration date and is payable in Class A Common Stock after the reporting person's separation from service with the Issuer.

IsoPlexis Corp

Report date October 12, 2021 · Filed October 14, 2021

Jointly reported with Spring Mountain Capital G.P., LLC, SMC Growth Capital II GP, LLC, SMC Growth Capital Partners II, LP, SMC Private Equity Holdings GP, LLC, SMC Private Equity Holdings, LP, SMC Holdings II G.P., LLC, SMC Holdings II, LP, Ho Gregory P.

Filing footnotes · ownership attribution and instrument terms

F1: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date.

F2: The securities are directly held by SMC Growth Capital Partners II, LP ("GCII"). SMC Growth Capital II GP, LLC, a Delaware limited liability company ("GCII GP"), is the general partner of GCII, and Spring Mountain Capital G.P., LLC, a Delaware limited liability company ("SMC GP"), is the managing member of GCII GP. John L. Steffens and Gregory P. Ho each serves as a managing member of SMC GP. Each of GCII GP, SMC GP, Mr. Steffens and Mr. Ho may be deemed to indirectly hold the securities held by GCII. GCII holds voting and dispositive power over the securities it holds. Each of Mr. Steffens, Mr. Ho, GCII GP and SMC GP disclaims beneficial ownership of these securities, except to the extent of their respective pecuniary interests therein.

F3: The securities are directly held by SMC Private Equity Holdings, LP ("PEH"). SMC Private Equity Holdings G.P., LLC, a Delaware limited liability company ("PEH GP"), is the general partner of PEH, and SMC GP is the managing member of PEH GP. Mr. Steffens and Mr. Ho each serves as a managing member of SMC GP. Each of PEH GP, SMC GP, Mr. Steffens and Mr. Ho may be deemed to indirectly hold the securities held by PEH. PEH holds voting and dispositive power over the securities it holds. Each of Mr. Steffens, Mr. Ho, PEH GP and SMC GP disclaims beneficial ownership of these securities, except to the extent of their respective pecuniary interests therein.

F4: The securities are directly held by SMC Holdings II, LP ("Holdings"). SMC Holdings II G.P., LLC, a Delaware limited liability company ("Holdings GP"), is the general partner of Holdings. Mr. Steffens and Mr. Ho each serves as a managing member of Holdings GP. Each of Holdings GP, Mr. Steffens and Mr. Ho may be deemed to indirectly hold the securities held by Holdings. Holdings holds voting and dispositive power over the securities it holds. Each of Mr. Steffens, Mr. Ho and Holdings GP disclaims beneficial ownership of these securities, except to the extent of their respective pecuniary interests therein.

F5: Includes 33,296 shares of Common Stock issued per dividends accrued to but not including October 12, 2021.

F6: Includes 21,151 shares of Common Stock issued per dividends accrued to but not including October 12, 2021.

F7: Includes 41,641 shares of Common Stock issued per dividends accrued to but not including October 12, 2021.

F8: Includes 64,257 shares of Common Stock issued per dividends accrued to but not including October 12, 2021.

F9: Includes 57,275 shares of Common Stock issued per dividends accrued to but not including October 12, 2021.

F10: Includes 22,960 shares of Common Stock issued per dividends accrued to but not including October 12, 2021.

F11: Includes 44,899 shares of Common Stock issued per dividends accrued to but not including October 12, 2021.

F12: Includes 31,941 shares of Common Stock issued per dividends accrued to but not including October 12, 2021.

F13: Includes 36,113 shares of Common Stock issued per dividends accrued to but not including October 12, 2021.

F14: Includes 17,286 shares of Common Stock issued per dividends accrued to but not including October 12, 2021.

F15: Includes 22,960 shares of Common Stock issued per dividends accrued to but not including October 12, 2021.

F16: Includes 4,082 shares of Common Stock issued per dividends accrued to but not including October 12, 2021.

PATRIOT NATIONAL BANCORP INC

Report date March 31, 2021 · Filed April 27, 2021

Jointly reported with SMC Holdings I, LP, SMC Holdings I G.P., LLC, Ho Gregory P.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	427,691	Reported balance Holding disclosure · report date 2021-03-31 · row 1 Holding and transaction disclosures are not merged. 1 source row Row 1 · Balance 427,691 F1: SMC Holdings I, LP, a Delaware limited partnership ("SMC Holdings"), directly holds 427,691 shares of Common Stock of Patriot National Bancorp, Inc. (the "Issuer"). SMC Holdings I G.P., LLC, a Delaware limited liability company ("SMC GP"), is the general partner of SMC Holdings. John L. Steffens ("Mr. Steffens") and Gregory P. Ho ("Mr. Ho") each serves as a Managing Member of SMC GP. Each of SMC GP, Mr. Steffens and Mr. Ho may be deemed to indirectly hold the shares of Common Stock held by SMC Holdings.

Filing footnotes · ownership attribution and instrument terms

F1: SMC Holdings I, LP, a Delaware limited partnership ("SMC Holdings"), directly holds 427,691 shares of Common Stock of Patriot National Bancorp, Inc. (the "Issuer"). SMC Holdings I G.P., LLC, a Delaware limited liability company ("SMC GP"), is the general partner of SMC Holdings. John L. Steffens ("Mr. Steffens") and Gregory P. Ho ("Mr. Ho") each serves as a Managing Member of SMC GP. Each of SMC GP, Mr. Steffens and Mr. Ho may be deemed to indirectly hold the shares of Common Stock held by SMC Holdings.

ProSomnus, Inc.

Report date December 06, 2023 · Filed December 08, 2023

Jointly reported with SMC Holdings II, LP, SMC Holdings II G.P., LLC, Ho Gregory P.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $1.00 · Expires 2028-09-20	Direct	2,228,484	Reported balance After 2023-12-06 transaction · row 1 Instrument identity requires review; Table II rows are not merged. 1 source row Row 1 · 2023-12-06 · Other · Acquired 2,228,484 · Balance 2,228,484 F1: On September 20, 2023, the Issuer entered into a Securities Purchase Agreement (the "SPA") with SMC Holdings II, LP, a Delaware limited partnership ("Holdings"), and the other investors named therein, pursuant to which Holdings purchased an aggregate of (A) 3,300 shares of the Series A Convertible Preferred Stock of the Issuer ("Series A Stock"), with 2,400 shares being purchased at a closing on September 20, 2023 and 900 shares purchased at a closing on October 20, 2023, and (B) warrants ("Warrants") to purchase 2,228,484 shares of the common stock of the Issuer ("Common Stock"). Each share of Series A Stock is convertible into 1,000 shares of Common Stock. Prior to the date on which the Issuer obtained stockholder approval for all of the Common Stock issuable in respect of the convertible securities issued pursuant to or contemplated by the SPA ("Stockholder Approval"), F2: (Continued from Footnote 1) the Warrants were not exercisable and Holdings could only convert its shares of Series A Stock into an aggregate of 961,846 shares of Common Stock. Following the receipt of Stockholder Approval on December 6, 2023, all of the Warrants became exercisable, and the Series A Stock became convertible into 3,300,000 shares of Common Stock. This Form 4 reports the acquisition of beneficial ownership of all of the shares of Common Stock issuable upon exercise of the Warrants and of the additional 2,338,154 shares of Common Stock issuable upon conversion of the Series A Stock as a result of the receipt of Stockholder Approval. The foregoing description is not, and does not purport to be, complete, and is qualified in its entirety by reference to the full text of the SPA, which was filed as Exhibit 10.1 to the Form 8-K filed by the Issuer with the Securities and Exchange Commission on September 21, 2023. F5: The reported securities are directly owned by Holdings, and may be deemed to be indirectly beneficially owned by SMC Holdings II G.P., LLC, a Delaware limited liability company ("Holdings GP"), as general partner of Holdings. The reported securities may also be deemed to be indirectly beneficially owned by each of John L. Steffens and Gregory P. Ho, as the managing members of Holdings GP. Each of Holdings GP, Mr. Steffens and Mr. Ho disclaims beneficial ownership of the reported securities except to the extent of their respective pecuniary interests therein, and this filing shall not be deemed an admission that he or it is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.
Series A Convertible Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $1.00	Direct	2,338,154	Reported balance After 2023-12-06 transaction · row 2 Instrument identity requires review; Table II rows are not merged. 1 source row Row 2 · 2023-12-06 · Other · Acquired 2,338,154 · Balance 2,338,154 F1: On September 20, 2023, the Issuer entered into a Securities Purchase Agreement (the "SPA") with SMC Holdings II, LP, a Delaware limited partnership ("Holdings"), and the other investors named therein, pursuant to which Holdings purchased an aggregate of (A) 3,300 shares of the Series A Convertible Preferred Stock of the Issuer ("Series A Stock"), with 2,400 shares being purchased at a closing on September 20, 2023 and 900 shares purchased at a closing on October 20, 2023, and (B) warrants ("Warrants") to purchase 2,228,484 shares of the common stock of the Issuer ("Common Stock"). Each share of Series A Stock is convertible into 1,000 shares of Common Stock. Prior to the date on which the Issuer obtained stockholder approval for all of the Common Stock issuable in respect of the convertible securities issued pursuant to or contemplated by the SPA ("Stockholder Approval"), F2: (Continued from Footnote 1) the Warrants were not exercisable and Holdings could only convert its shares of Series A Stock into an aggregate of 961,846 shares of Common Stock. Following the receipt of Stockholder Approval on December 6, 2023, all of the Warrants became exercisable, and the Series A Stock became convertible into 3,300,000 shares of Common Stock. This Form 4 reports the acquisition of beneficial ownership of all of the shares of Common Stock issuable upon exercise of the Warrants and of the additional 2,338,154 shares of Common Stock issuable upon conversion of the Series A Stock as a result of the receipt of Stockholder Approval. The foregoing description is not, and does not purport to be, complete, and is qualified in its entirety by reference to the full text of the SPA, which was filed as Exhibit 10.1 to the Form 8-K filed by the Issuer with the Securities and Exchange Commission on September 21, 2023. F6: The Series A Stock is perpetual and therefore has no expiration date. F5: The reported securities are directly owned by Holdings, and may be deemed to be indirectly beneficially owned by SMC Holdings II G.P., LLC, a Delaware limited liability company ("Holdings GP"), as general partner of Holdings. The reported securities may also be deemed to be indirectly beneficially owned by each of John L. Steffens and Gregory P. Ho, as the managing members of Holdings GP. Each of Holdings GP, Mr. Steffens and Mr. Ho disclaims beneficial ownership of the reported securities except to the extent of their respective pecuniary interests therein, and this filing shall not be deemed an admission that he or it is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.
Subordinated Secured Convertible Notes Due April 6, 2026SEC Table II · derivative / convertible security · Conversion / exercise price $1.00 · Expires 2026-04-06	Direct	2,630,289	Reported balance After 2023-12-06 transaction · row 3 Instrument identity requires review; Table II rows are not merged. 1 source row Row 3 · 2023-12-06 · Other · Acquired 2,630,289 · Balance 2,630,289 F3: On October 11, 2023, the Issuer entered into an Exchange Agreement with the noteholders party thereto, including Holdings, pursuant to which the Issuer issued to Holdings a new subordinated secured convertible note due April 6, 2026 in the principal amount of $3,256,549 (the "Convertible Note") in exchange for the subordinated secured convertible note due April 6, 2026 that the Issuer originally issued to Holdings on or about December 6, 2022. Prior to the receipt of Stockholder Approval, the Convertible Note was convertible into shares of Common Stock at a conversion price of $5.20 per share for an aggregate of 626,260 shares of Common Stock. Following the receipt of Stockholder Approval, the Convertible Note became convertible into Common Stock at a conversion price of $1.00 per share for an aggregate of 3,256,549 shares of Common Stock. F4: (Continued from Footnote 3) This Form 4 reports the acquisition of beneficial ownership of an additional 2,630,289 shares of Common Stock issuable upon conversion of the Convertible Note as a result of the receipt of Stockholder Approval. The Convertible Note is currently exercisable. F5: The reported securities are directly owned by Holdings, and may be deemed to be indirectly beneficially owned by SMC Holdings II G.P., LLC, a Delaware limited liability company ("Holdings GP"), as general partner of Holdings. The reported securities may also be deemed to be indirectly beneficially owned by each of John L. Steffens and Gregory P. Ho, as the managing members of Holdings GP. Each of Holdings GP, Mr. Steffens and Mr. Ho disclaims beneficial ownership of the reported securities except to the extent of their respective pecuniary interests therein, and this filing shall not be deemed an admission that he or it is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Filing footnotes · ownership attribution and instrument terms

F1: On September 20, 2023, the Issuer entered into a Securities Purchase Agreement (the "SPA") with SMC Holdings II, LP, a Delaware limited partnership ("Holdings"), and the other investors named therein, pursuant to which Holdings purchased an aggregate of (A) 3,300 shares of the Series A Convertible Preferred Stock of the Issuer ("Series A Stock"), with 2,400 shares being purchased at a closing on September 20, 2023 and 900 shares purchased at a closing on October 20, 2023, and (B) warrants ("Warrants") to purchase 2,228,484 shares of the common stock of the Issuer ("Common Stock"). Each share of Series A Stock is convertible into 1,000 shares of Common Stock. Prior to the date on which the Issuer obtained stockholder approval for all of the Common Stock issuable in respect of the convertible securities issued pursuant to or contemplated by the SPA ("Stockholder Approval"),

F2: (Continued from Footnote 1) the Warrants were not exercisable and Holdings could only convert its shares of Series A Stock into an aggregate of 961,846 shares of Common Stock. Following the receipt of Stockholder Approval on December 6, 2023, all of the Warrants became exercisable, and the Series A Stock became convertible into 3,300,000 shares of Common Stock. This Form 4 reports the acquisition of beneficial ownership of all of the shares of Common Stock issuable upon exercise of the Warrants and of the additional 2,338,154 shares of Common Stock issuable upon conversion of the Series A Stock as a result of the receipt of Stockholder Approval. The foregoing description is not, and does not purport to be, complete, and is qualified in its entirety by reference to the full text of the SPA, which was filed as Exhibit 10.1 to the Form 8-K filed by the Issuer with the Securities and Exchange Commission on September 21, 2023.

F3: On October 11, 2023, the Issuer entered into an Exchange Agreement with the noteholders party thereto, including Holdings, pursuant to which the Issuer issued to Holdings a new subordinated secured convertible note due April 6, 2026 in the principal amount of $3,256,549 (the "Convertible Note") in exchange for the subordinated secured convertible note due April 6, 2026 that the Issuer originally issued to Holdings on or about December 6, 2022. Prior to the receipt of Stockholder Approval, the Convertible Note was convertible into shares of Common Stock at a conversion price of $5.20 per share for an aggregate of 626,260 shares of Common Stock. Following the receipt of Stockholder Approval, the Convertible Note became convertible into Common Stock at a conversion price of $1.00 per share for an aggregate of 3,256,549 shares of Common Stock.

F4: (Continued from Footnote 3) This Form 4 reports the acquisition of beneficial ownership of an additional 2,630,289 shares of Common Stock issuable upon conversion of the Convertible Note as a result of the receipt of Stockholder Approval. The Convertible Note is currently exercisable.

F5: The reported securities are directly owned by Holdings, and may be deemed to be indirectly beneficially owned by SMC Holdings II G.P., LLC, a Delaware limited liability company ("Holdings GP"), as general partner of Holdings. The reported securities may also be deemed to be indirectly beneficially owned by each of John L. Steffens and Gregory P. Ho, as the managing members of Holdings GP. Each of Holdings GP, Mr. Steffens and Mr. Ho disclaims beneficial ownership of the reported securities except to the extent of their respective pecuniary interests therein, and this filing shall not be deemed an admission that he or it is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F6: The Series A Stock is perpetual and therefore has no expiration date.

Past disclosures · reporting ended (4)

No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.

AMERICAN POWER GROUP Corp

Report date December 19, 2017 · Filed December 21, 2017

Jointly reported with Spring Mountain Capital, LLC, SMC Select Co-Investment Fund I LP, SMC Select Co-Investment I GP, LLC, Spring Mountain Capital G.P., LLC, Spring Mountain Capital, LP, SMC Employees Partnership, Ho Gregory P., SMC Reserve Fund II, LP

Section 16 reporting ended · disclosed 2017-12-21. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosure context
Common StockSEC Table I · non-derivative	Direct	Reported balance After 2017-12-19 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2017-12-19 · Sale · Disposed 1,947,370 · Balance 0 F1: SMC Select Co-Investment Fund I, LP ("SMC Co-Investment") sold 1,947,370 shares of the Issuer's common stock, par $0.01 par value per share ("Common Stock"). SMC Select Co-Investment I GP, LLC is the general partner of SMC Co-Investment ("SMC Co-Investment GP") and pursuant to Rule 16a-1 of the Securities Exchange Act of 1934, as amended, it may be deemed to have been the beneficial owner of any securities reported herein that were beneficially owned by SMC Co-Investment. SMC Co-Investment GP disclaims beneficial ownership with respect to any shares of Common Stock except to the extent of its pecuniary interest therein. F2: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00.
Common StockSEC Table I · non-derivative	Direct	Reported balance After 2017-12-19 transaction · row 4 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 4 · 2017-12-19 · Sale · Disposed 954,209 · Balance 0 F6: SMC EP sold 954,209 shares of Common Stock. F2: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00.
Common StockSEC Table I · non-derivative	Direct	Reported balance After 2017-12-19 transaction · row 5 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 5 · 2017-12-19 · Sale · Disposed 1,740,585 · Balance 0 F15: SMC Reserve II sold 1,740,585 shares of Common Stock. F2: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00.
Common StockSEC Table I · non-derivative	IndirectSee Footnotes	Reported balance After 2017-12-19 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 2 · 2017-12-19 · Sale · Disposed 4,123,095 · Balance 0 F3: Spring Mountain Capital G.P., LLC ("Spring Mountain GP") is the general partner to SMC Reserve Fund II, LP ("SMC Reserve II") and SMC Reserve Fund II Offshore, LP ("SMC Reserve II Offshore"), which is not a reporting person, and is the sole member of SMC Co-Investment GP. Entities over which Spring Mountain GP is deemed to have voting and investment sold 4,123,095 shares of Common Stock. Spring Mountain Capital, LP ("SMC LP") acts as investment manager to SMC Reserve II, SMC Reserve II Offshore and SMC Co-Investment. Spring Mountain Capital, LLC ("SMC LLC") is the general partner of SMC LP. F4: Pursuant to Rule 16a-1 of the Securities Exchange Act of 1934, as amended, each of Spring Mountain GP, SMC LP and SMC LLC may be deemed to have been the beneficial owner of any securities reported herein that were beneficially owned by SMC Reserve II, SMC Reserve II Offshore and SMC Co-Investment. Each of Spring Mountain GP, SMC LP and SMC LLC disclaims beneficial ownership with respect to any shares of common stock except to the extent of its pecuniary interest therein. F2: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00.
Common StockSEC Table I · non-derivative	IndirectSee Footnotes	Reported balance After 2017-12-19 transaction · row 3 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 3 · 2017-12-19 · Sale · Disposed 5,077,704 · Balance 0 F5: Mr. John L. Steffens and Mr. Gregory P. Ho are managing members of Spring Mountain GP and SMC LLC, and are also partners in SMC Employees Partnership ("SMC EP"). Entities over which Mr. Steffens and Mr. Ho are deemed to have voting and investment control sold an aggregate of 5,077,704 shares of Common Stock. Pursuant to Rule 16a-1 of the Securities Exchange Act of 1934, as amended, each of Mr. Steffens and Mr. Ho may be deemed to have been the beneficial owner of any securities reported herein that may be deemed to have been beneficially owned by SMC Reserve II, SMC Reserve II Offshore, SMC Co-Investment and SMC EP. Each of Mr. Steffens and Mr. Ho disclaims beneficial ownership with respect to any shares of common stock except to the extent of his pecuniary interest therein. F2: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00.
10% Convertible Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.40	Direct	Reported balance After 2017-12-19 transaction · row 6 Instrument identity requires review; Table II rows are not merged. 1 source row Row 6 · 2017-12-19 · Sale · Disposed 133.3333 · Balance 0 F2: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00. F7: The 10% Convertible Preferred Stock ("10% Preferred Stock") is convertible at any time, at the respective holder's election and has no expiration date. F8: SMC Co-Investment sold (i) 133.3333 shares of 10% Preferred Stock, which are convertible into 3,333,333 shares of Common Stock, and (ii) warrants to purchase Common Stock at an initial exercise price of $0.50 per share ("$0.50 Warrants") exercisable for up to 3,333,333 shares of Common Stock. SMC Co-Investment GP is the general partner of SMC Co-Investment SMC Co-Investment GP and pursuant to Rule 16a-1 of the Securities Exchange Act of 1934, as amended, it may be deemed to have been the beneficial owner of any securities reported herein that were beneficially owned by SMC Co-Investment. SMC Co-Investment GP disclaims beneficial ownership with respect to any shares of common stock except to the extent of its pecuniary interest therein.
10% Convertible Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.40	Direct	Reported balance After 2017-12-19 transaction · row 17 Instrument identity requires review; Table II rows are not merged. 1 source row Row 17 · 2017-12-19 · Sale · Disposed 65.3333 · Balance 0 F2: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00. F7: The 10% Convertible Preferred Stock ("10% Preferred Stock") is convertible at any time, at the respective holder's election and has no expiration date. F14: SMC EP sold (i) 65.3333 shares of 10% Preferred Stock, which are convertible into 1,633,333 shares of Common Stock, (ii) 51.9320 shares of Series C Preferred Stock, which are convertible into 2,596,600 shares of Common Stock, (iii) $0.50 Warrants exercisable for up to 1,633,333 shares of Common Stock, and (iv) $0.20 Warrants exercisable for up to 2,596,575 shares of Common Stock.
10% Convertible Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.40	Direct	Reported balance After 2017-12-19 transaction · row 22 Instrument identity requires review; Table II rows are not merged. 1 source row Row 22 · 2017-12-19 · Sale · Disposed 213.3333 · Balance 0 F2: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00. F7: The 10% Convertible Preferred Stock ("10% Preferred Stock") is convertible at any time, at the respective holder's election and has no expiration date. F16: SMC Reserve II sold (i) 213.3333 shares of 10% Preferred Stock, which are convertible into 5,333,333 shares of Common Stock, and (ii) $0.50 Warrants exercisable for up to 5,333,333 shares of Common Stock.
Common Stock Warrants (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.50 · Expires 2020-05-30	Direct	Reported balance After 2017-12-19 transaction · row 7 Instrument identity requires review; Table II rows are not merged. 1 source row Row 7 · 2017-12-19 · Sale · Disposed 2,500,000 · Balance 0 F2: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00. F8: SMC Co-Investment sold (i) 133.3333 shares of 10% Preferred Stock, which are convertible into 3,333,333 shares of Common Stock, and (ii) warrants to purchase Common Stock at an initial exercise price of $0.50 per share ("$0.50 Warrants") exercisable for up to 3,333,333 shares of Common Stock. SMC Co-Investment GP is the general partner of SMC Co-Investment SMC Co-Investment GP and pursuant to Rule 16a-1 of the Securities Exchange Act of 1934, as amended, it may be deemed to have been the beneficial owner of any securities reported herein that were beneficially owned by SMC Co-Investment. SMC Co-Investment GP disclaims beneficial ownership with respect to any shares of common stock except to the extent of its pecuniary interest therein.
Common Stock Warrants (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.50 · Expires 2018-09-28	Direct	Reported balance After 2017-12-19 transaction · row 8 Instrument identity requires review; Table II rows are not merged. 1 source row Row 8 · 2017-12-19 · Sale · Disposed 833,333 · Balance 0 F2: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00. F8: SMC Co-Investment sold (i) 133.3333 shares of 10% Preferred Stock, which are convertible into 3,333,333 shares of Common Stock, and (ii) warrants to purchase Common Stock at an initial exercise price of $0.50 per share ("$0.50 Warrants") exercisable for up to 3,333,333 shares of Common Stock. SMC Co-Investment GP is the general partner of SMC Co-Investment SMC Co-Investment GP and pursuant to Rule 16a-1 of the Securities Exchange Act of 1934, as amended, it may be deemed to have been the beneficial owner of any securities reported herein that were beneficially owned by SMC Co-Investment. SMC Co-Investment GP disclaims beneficial ownership with respect to any shares of common stock except to the extent of its pecuniary interest therein.
Common Stock Warrants (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.50 · Expires 2020-05-30	Direct	Reported balance After 2017-12-19 transaction · row 19 Instrument identity requires review; Table II rows are not merged. 1 source row Row 19 · 2017-12-19 · Sale · Disposed 1,225,000 · Balance 0 F2: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00. F14: SMC EP sold (i) 65.3333 shares of 10% Preferred Stock, which are convertible into 1,633,333 shares of Common Stock, (ii) 51.9320 shares of Series C Preferred Stock, which are convertible into 2,596,600 shares of Common Stock, (iii) $0.50 Warrants exercisable for up to 1,633,333 shares of Common Stock, and (iv) $0.20 Warrants exercisable for up to 2,596,575 shares of Common Stock.
Common Stock Warrants (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.50 · Expires 2018-09-28	Direct	Reported balance After 2017-12-19 transaction · row 20 Instrument identity requires review; Table II rows are not merged. 1 source row Row 20 · 2017-12-19 · Sale · Disposed 408,333 · Balance 0 F2: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00. F14: SMC EP sold (i) 65.3333 shares of 10% Preferred Stock, which are convertible into 1,633,333 shares of Common Stock, (ii) 51.9320 shares of Series C Preferred Stock, which are convertible into 2,596,600 shares of Common Stock, (iii) $0.50 Warrants exercisable for up to 1,633,333 shares of Common Stock, and (iv) $0.20 Warrants exercisable for up to 2,596,575 shares of Common Stock.
Common Stock Warrants (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.20 · Expires 2020-10-21	Direct	Reported balance After 2017-12-19 transaction · row 21 Instrument identity requires review; Table II rows are not merged. 1 source row Row 21 · 2017-12-19 · Sale · Disposed 2,596,575 · Balance 0 F2: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00. F14: SMC EP sold (i) 65.3333 shares of 10% Preferred Stock, which are convertible into 1,633,333 shares of Common Stock, (ii) 51.9320 shares of Series C Preferred Stock, which are convertible into 2,596,600 shares of Common Stock, (iii) $0.50 Warrants exercisable for up to 1,633,333 shares of Common Stock, and (iv) $0.20 Warrants exercisable for up to 2,596,575 shares of Common Stock.
Common Stock Warrants (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.50 · Expires 2020-05-30	Direct	Reported balance After 2017-12-19 transaction · row 23 Instrument identity requires review; Table II rows are not merged. 1 source row Row 23 · 2017-12-19 · Sale · Disposed 4,000,000 · Balance 0 F2: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00. F16: SMC Reserve II sold (i) 213.3333 shares of 10% Preferred Stock, which are convertible into 5,333,333 shares of Common Stock, and (ii) $0.50 Warrants exercisable for up to 5,333,333 shares of Common Stock.
Common Stock Warrants (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.50 · Expires 2018-09-28	Direct	Reported balance After 2017-12-19 transaction · row 24 Instrument identity requires review; Table II rows are not merged. 1 source row Row 24 · 2017-12-19 · Sale · Disposed 1,333,333 · Balance 0 F2: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00. F16: SMC Reserve II sold (i) 213.3333 shares of 10% Preferred Stock, which are convertible into 5,333,333 shares of Common Stock, and (ii) $0.50 Warrants exercisable for up to 5,333,333 shares of Common Stock.
10% Convertible Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.40	IndirectSee Footnotes	Reported balance After 2017-12-19 transaction · row 9 Instrument identity requires review; Table II rows are not merged. 1 source row Row 9 · 2017-12-19 · Sale · Disposed 399.9999 · Balance 0 F2: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00. F7: The 10% Convertible Preferred Stock ("10% Preferred Stock") is convertible at any time, at the respective holder's election and has no expiration date. F9: Spring Mountain GP is the general partner to SMC Reserve II and SMC Reserve II Offshore, which is not a reporting person, and is the sole member of SMC Co-Investment GP. Entities over which Spring Mountain GP is deemed to have voting and investment sold (i) 399.9999 shares of 10% Preferred Stock, which are convertible into 9,999,999 shares of Common Stock, and (ii) $0.50 Warrants exercisable for up to 9,999,999 shares of Common Stock. SMC LP acts as investment manager to SMC Reserve II, SMC Reserve II Offshore and SMC Co-Investment. SMC LLC is the general partner of SMC LP. F10: Pursuant to Rule 16a-1 of the Securities Exchange Act of 1934, as amended, each of Spring Mountain GP, SMC LP and SMC LLC may be deemed to have been the beneficial owner of any securities reported herein that were beneficially owned by SMC Reserve II, SMC Reserve II Offshore and SMC Co-Investment. Each of Spring Mountain GP, SMC LP and SMC LLC disclaims beneficial ownership with respect to any shares of common stock except to the extent of its pecuniary interest therein.
10% Convertible Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.40	IndirectSee Footnotes	Reported balance After 2017-12-19 transaction · row 12 Instrument identity requires review; Table II rows are not merged. 1 source row Row 12 · 2017-12-19 · Sale · Disposed 465.3333 · Balance 0 F2: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00. F7: The 10% Convertible Preferred Stock ("10% Preferred Stock") is convertible at any time, at the respective holder's election and has no expiration date. F11: Mr. John L. Steffens and Mr. Gregory P. Ho are managing members of Spring Mountain GP and SMC LLC, and are also partners in SMC Employees Partnership ("SMC EP"). Entities over which Mr. Steffens and Mr. Ho are deemed to have voting and investment control sold (i) 465.3333 shares of 10% Preferred Stock, which are convertible into 11,633,332 shares of Common Stock, (ii) 51.9320 shares of Series C Preferred Stock, which are convertible into 2,596,600 shares of Common Stock, (iii) $0.50 Warrants exercisable for up to 11,633,332 shares of Common Stock, and (iv) warrants to purchase Common Stock at an initial exercise price of $0.20 per share ("$0.20 Warrants") exercisable for up to 2,596,575 shares of Common Stock. F12: Pursuant to Rule 16a-1 of the Securities Exchange Act of 1934, as amended, each of Mr. Steffens and Mr. Ho may be deemed to have been the beneficial owner of any securities reported herein that may be deemed to have been beneficially owned by SMC Reserve II, SMC Reserve II Offshore, SMC Co-Investment and SMC EP. Each of Mr. Steffens and Mr. Ho disclaims beneficial ownership with respect to any shares of common stock except to the extent of his pecuniary interest therein.
Common Stock Warrants (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.50 · Expires 2020-05-30	IndirectSee Footnotes	Reported balance After 2017-12-19 transaction · row 10 Instrument identity requires review; Table II rows are not merged. 1 source row Row 10 · 2017-12-19 · Sale · Disposed 7,500,000 · Balance 0 F2: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00. F9: Spring Mountain GP is the general partner to SMC Reserve II and SMC Reserve II Offshore, which is not a reporting person, and is the sole member of SMC Co-Investment GP. Entities over which Spring Mountain GP is deemed to have voting and investment sold (i) 399.9999 shares of 10% Preferred Stock, which are convertible into 9,999,999 shares of Common Stock, and (ii) $0.50 Warrants exercisable for up to 9,999,999 shares of Common Stock. SMC LP acts as investment manager to SMC Reserve II, SMC Reserve II Offshore and SMC Co-Investment. SMC LLC is the general partner of SMC LP. F10: Pursuant to Rule 16a-1 of the Securities Exchange Act of 1934, as amended, each of Spring Mountain GP, SMC LP and SMC LLC may be deemed to have been the beneficial owner of any securities reported herein that were beneficially owned by SMC Reserve II, SMC Reserve II Offshore and SMC Co-Investment. Each of Spring Mountain GP, SMC LP and SMC LLC disclaims beneficial ownership with respect to any shares of common stock except to the extent of its pecuniary interest therein.
Common Stock Warrants (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.50 · Expires 2018-09-28	IndirectSee Footnotes	Reported balance After 2017-12-19 transaction · row 11 Instrument identity requires review; Table II rows are not merged. 1 source row Row 11 · 2017-12-19 · Sale · Disposed 2,499,999 · Balance 0 F2: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00. F9: Spring Mountain GP is the general partner to SMC Reserve II and SMC Reserve II Offshore, which is not a reporting person, and is the sole member of SMC Co-Investment GP. Entities over which Spring Mountain GP is deemed to have voting and investment sold (i) 399.9999 shares of 10% Preferred Stock, which are convertible into 9,999,999 shares of Common Stock, and (ii) $0.50 Warrants exercisable for up to 9,999,999 shares of Common Stock. SMC LP acts as investment manager to SMC Reserve II, SMC Reserve II Offshore and SMC Co-Investment. SMC LLC is the general partner of SMC LP. F10: Pursuant to Rule 16a-1 of the Securities Exchange Act of 1934, as amended, each of Spring Mountain GP, SMC LP and SMC LLC may be deemed to have been the beneficial owner of any securities reported herein that were beneficially owned by SMC Reserve II, SMC Reserve II Offshore and SMC Co-Investment. Each of Spring Mountain GP, SMC LP and SMC LLC disclaims beneficial ownership with respect to any shares of common stock except to the extent of its pecuniary interest therein.
Common Stock Warrants (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.50 · Expires 2020-05-30	IndirectSee Footnotes	Reported balance After 2017-12-19 transaction · row 14 Instrument identity requires review; Table II rows are not merged. 1 source row Row 14 · 2017-12-19 · Sale · Disposed 8,725,000 · Balance 0 F2: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00. F11: Mr. John L. Steffens and Mr. Gregory P. Ho are managing members of Spring Mountain GP and SMC LLC, and are also partners in SMC Employees Partnership ("SMC EP"). Entities over which Mr. Steffens and Mr. Ho are deemed to have voting and investment control sold (i) 465.3333 shares of 10% Preferred Stock, which are convertible into 11,633,332 shares of Common Stock, (ii) 51.9320 shares of Series C Preferred Stock, which are convertible into 2,596,600 shares of Common Stock, (iii) $0.50 Warrants exercisable for up to 11,633,332 shares of Common Stock, and (iv) warrants to purchase Common Stock at an initial exercise price of $0.20 per share ("$0.20 Warrants") exercisable for up to 2,596,575 shares of Common Stock. F12: Pursuant to Rule 16a-1 of the Securities Exchange Act of 1934, as amended, each of Mr. Steffens and Mr. Ho may be deemed to have been the beneficial owner of any securities reported herein that may be deemed to have been beneficially owned by SMC Reserve II, SMC Reserve II Offshore, SMC Co-Investment and SMC EP. Each of Mr. Steffens and Mr. Ho disclaims beneficial ownership with respect to any shares of common stock except to the extent of his pecuniary interest therein.
Common Stock Warrants (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.50 · Expires 2018-09-28	IndirectSee Footnotes	Reported balance After 2017-12-19 transaction · row 15 Instrument identity requires review; Table II rows are not merged. 1 source row Row 15 · 2017-12-19 · Sale · Disposed 2,908,332 · Balance 0 F2: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00. F11: Mr. John L. Steffens and Mr. Gregory P. Ho are managing members of Spring Mountain GP and SMC LLC, and are also partners in SMC Employees Partnership ("SMC EP"). Entities over which Mr. Steffens and Mr. Ho are deemed to have voting and investment control sold (i) 465.3333 shares of 10% Preferred Stock, which are convertible into 11,633,332 shares of Common Stock, (ii) 51.9320 shares of Series C Preferred Stock, which are convertible into 2,596,600 shares of Common Stock, (iii) $0.50 Warrants exercisable for up to 11,633,332 shares of Common Stock, and (iv) warrants to purchase Common Stock at an initial exercise price of $0.20 per share ("$0.20 Warrants") exercisable for up to 2,596,575 shares of Common Stock. F12: Pursuant to Rule 16a-1 of the Securities Exchange Act of 1934, as amended, each of Mr. Steffens and Mr. Ho may be deemed to have been the beneficial owner of any securities reported herein that may be deemed to have been beneficially owned by SMC Reserve II, SMC Reserve II Offshore, SMC Co-Investment and SMC EP. Each of Mr. Steffens and Mr. Ho disclaims beneficial ownership with respect to any shares of common stock except to the extent of his pecuniary interest therein.
Common Stock Warrants (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.20 · Expires 2020-10-21	IndirectSee Footnotes	Reported balance After 2017-12-19 transaction · row 16 Instrument identity requires review; Table II rows are not merged. 1 source row Row 16 · 2017-12-19 · Sale · Disposed 2,596,575 · Balance 0 F2: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00. F11: Mr. John L. Steffens and Mr. Gregory P. Ho are managing members of Spring Mountain GP and SMC LLC, and are also partners in SMC Employees Partnership ("SMC EP"). Entities over which Mr. Steffens and Mr. Ho are deemed to have voting and investment control sold (i) 465.3333 shares of 10% Preferred Stock, which are convertible into 11,633,332 shares of Common Stock, (ii) 51.9320 shares of Series C Preferred Stock, which are convertible into 2,596,600 shares of Common Stock, (iii) $0.50 Warrants exercisable for up to 11,633,332 shares of Common Stock, and (iv) warrants to purchase Common Stock at an initial exercise price of $0.20 per share ("$0.20 Warrants") exercisable for up to 2,596,575 shares of Common Stock. F12: Pursuant to Rule 16a-1 of the Securities Exchange Act of 1934, as amended, each of Mr. Steffens and Mr. Ho may be deemed to have been the beneficial owner of any securities reported herein that may be deemed to have been beneficially owned by SMC Reserve II, SMC Reserve II Offshore, SMC Co-Investment and SMC EP. Each of Mr. Steffens and Mr. Ho disclaims beneficial ownership with respect to any shares of common stock except to the extent of his pecuniary interest therein.
Series C Convertible Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.20	IndirectSee Footnotes	Reported balance After 2017-12-19 transaction · row 13 Instrument identity requires review; Table II rows are not merged. 1 source row Row 13 · 2017-12-19 · Sale · Disposed 51.932 · Balance 0 F2: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00. F13: The Series C Convertible Preferred Stock ("Series C Preferred Stock") is convertible at any time, at the respective holder's election and has no expiration date. F11: Mr. John L. Steffens and Mr. Gregory P. Ho are managing members of Spring Mountain GP and SMC LLC, and are also partners in SMC Employees Partnership ("SMC EP"). Entities over which Mr. Steffens and Mr. Ho are deemed to have voting and investment control sold (i) 465.3333 shares of 10% Preferred Stock, which are convertible into 11,633,332 shares of Common Stock, (ii) 51.9320 shares of Series C Preferred Stock, which are convertible into 2,596,600 shares of Common Stock, (iii) $0.50 Warrants exercisable for up to 11,633,332 shares of Common Stock, and (iv) warrants to purchase Common Stock at an initial exercise price of $0.20 per share ("$0.20 Warrants") exercisable for up to 2,596,575 shares of Common Stock. F12: Pursuant to Rule 16a-1 of the Securities Exchange Act of 1934, as amended, each of Mr. Steffens and Mr. Ho may be deemed to have been the beneficial owner of any securities reported herein that may be deemed to have been beneficially owned by SMC Reserve II, SMC Reserve II Offshore, SMC Co-Investment and SMC EP. Each of Mr. Steffens and Mr. Ho disclaims beneficial ownership with respect to any shares of common stock except to the extent of his pecuniary interest therein.
Series C Convertible Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.20	Direct	Reported balance After 2017-12-19 transaction · row 18 Instrument identity requires review; Table II rows are not merged. 1 source row Row 18 · 2017-12-19 · Sale · Disposed 51.932 · Balance 0 F2: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00. F13: The Series C Convertible Preferred Stock ("Series C Preferred Stock") is convertible at any time, at the respective holder's election and has no expiration date. F14: SMC EP sold (i) 65.3333 shares of 10% Preferred Stock, which are convertible into 1,633,333 shares of Common Stock, (ii) 51.9320 shares of Series C Preferred Stock, which are convertible into 2,596,600 shares of Common Stock, (iii) $0.50 Warrants exercisable for up to 1,633,333 shares of Common Stock, and (iv) $0.20 Warrants exercisable for up to 2,596,575 shares of Common Stock.

Filing footnotes · ownership attribution and instrument terms

F1: SMC Select Co-Investment Fund I, LP ("SMC Co-Investment") sold 1,947,370 shares of the Issuer's common stock, par $0.01 par value per share ("Common Stock"). SMC Select Co-Investment I GP, LLC is the general partner of SMC Co-Investment ("SMC Co-Investment GP") and pursuant to Rule 16a-1 of the Securities Exchange Act of 1934, as amended, it may be deemed to have been the beneficial owner of any securities reported herein that were beneficially owned by SMC Co-Investment. SMC Co-Investment GP disclaims beneficial ownership with respect to any shares of Common Stock except to the extent of its pecuniary interest therein.

F2: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00.

F3: Spring Mountain Capital G.P., LLC ("Spring Mountain GP") is the general partner to SMC Reserve Fund II, LP ("SMC Reserve II") and SMC Reserve Fund II Offshore, LP ("SMC Reserve II Offshore"), which is not a reporting person, and is the sole member of SMC Co-Investment GP. Entities over which Spring Mountain GP is deemed to have voting and investment sold 4,123,095 shares of Common Stock. Spring Mountain Capital, LP ("SMC LP") acts as investment manager to SMC Reserve II, SMC Reserve II Offshore and SMC Co-Investment. Spring Mountain Capital, LLC ("SMC LLC") is the general partner of SMC LP.

F4: Pursuant to Rule 16a-1 of the Securities Exchange Act of 1934, as amended, each of Spring Mountain GP, SMC LP and SMC LLC may be deemed to have been the beneficial owner of any securities reported herein that were beneficially owned by SMC Reserve II, SMC Reserve II Offshore and SMC Co-Investment. Each of Spring Mountain GP, SMC LP and SMC LLC disclaims beneficial ownership with respect to any shares of common stock except to the extent of its pecuniary interest therein.

F5: Mr. John L. Steffens and Mr. Gregory P. Ho are managing members of Spring Mountain GP and SMC LLC, and are also partners in SMC Employees Partnership ("SMC EP"). Entities over which Mr. Steffens and Mr. Ho are deemed to have voting and investment control sold an aggregate of 5,077,704 shares of Common Stock. Pursuant to Rule 16a-1 of the Securities Exchange Act of 1934, as amended, each of Mr. Steffens and Mr. Ho may be deemed to have been the beneficial owner of any securities reported herein that may be deemed to have been beneficially owned by SMC Reserve II, SMC Reserve II Offshore, SMC Co-Investment and SMC EP. Each of Mr. Steffens and Mr. Ho disclaims beneficial ownership with respect to any shares of common stock except to the extent of his pecuniary interest therein.

F6: SMC EP sold 954,209 shares of Common Stock.

F7: The 10% Convertible Preferred Stock ("10% Preferred Stock") is convertible at any time, at the respective holder's election and has no expiration date.

F8: SMC Co-Investment sold (i) 133.3333 shares of 10% Preferred Stock, which are convertible into 3,333,333 shares of Common Stock, and (ii) warrants to purchase Common Stock at an initial exercise price of $0.50 per share ("$0.50 Warrants") exercisable for up to 3,333,333 shares of Common Stock. SMC Co-Investment GP is the general partner of SMC Co-Investment SMC Co-Investment GP and pursuant to Rule 16a-1 of the Securities Exchange Act of 1934, as amended, it may be deemed to have been the beneficial owner of any securities reported herein that were beneficially owned by SMC Co-Investment. SMC Co-Investment GP disclaims beneficial ownership with respect to any shares of common stock except to the extent of its pecuniary interest therein.

F9: Spring Mountain GP is the general partner to SMC Reserve II and SMC Reserve II Offshore, which is not a reporting person, and is the sole member of SMC Co-Investment GP. Entities over which Spring Mountain GP is deemed to have voting and investment sold (i) 399.9999 shares of 10% Preferred Stock, which are convertible into 9,999,999 shares of Common Stock, and (ii) $0.50 Warrants exercisable for up to 9,999,999 shares of Common Stock. SMC LP acts as investment manager to SMC Reserve II, SMC Reserve II Offshore and SMC Co-Investment. SMC LLC is the general partner of SMC LP.

F10: Pursuant to Rule 16a-1 of the Securities Exchange Act of 1934, as amended, each of Spring Mountain GP, SMC LP and SMC LLC may be deemed to have been the beneficial owner of any securities reported herein that were beneficially owned by SMC Reserve II, SMC Reserve II Offshore and SMC Co-Investment. Each of Spring Mountain GP, SMC LP and SMC LLC disclaims beneficial ownership with respect to any shares of common stock except to the extent of its pecuniary interest therein.

F11: Mr. John L. Steffens and Mr. Gregory P. Ho are managing members of Spring Mountain GP and SMC LLC, and are also partners in SMC Employees Partnership ("SMC EP"). Entities over which Mr. Steffens and Mr. Ho are deemed to have voting and investment control sold (i) 465.3333 shares of 10% Preferred Stock, which are convertible into 11,633,332 shares of Common Stock, (ii) 51.9320 shares of Series C Preferred Stock, which are convertible into 2,596,600 shares of Common Stock, (iii) $0.50 Warrants exercisable for up to 11,633,332 shares of Common Stock, and (iv) warrants to purchase Common Stock at an initial exercise price of $0.20 per share ("$0.20 Warrants") exercisable for up to 2,596,575 shares of Common Stock.

F12: Pursuant to Rule 16a-1 of the Securities Exchange Act of 1934, as amended, each of Mr. Steffens and Mr. Ho may be deemed to have been the beneficial owner of any securities reported herein that may be deemed to have been beneficially owned by SMC Reserve II, SMC Reserve II Offshore, SMC Co-Investment and SMC EP. Each of Mr. Steffens and Mr. Ho disclaims beneficial ownership with respect to any shares of common stock except to the extent of his pecuniary interest therein.

F13: The Series C Convertible Preferred Stock ("Series C Preferred Stock") is convertible at any time, at the respective holder's election and has no expiration date.

F14: SMC EP sold (i) 65.3333 shares of 10% Preferred Stock, which are convertible into 1,633,333 shares of Common Stock, (ii) 51.9320 shares of Series C Preferred Stock, which are convertible into 2,596,600 shares of Common Stock, (iii) $0.50 Warrants exercisable for up to 1,633,333 shares of Common Stock, and (iv) $0.20 Warrants exercisable for up to 2,596,575 shares of Common Stock.

F15: SMC Reserve II sold 1,740,585 shares of Common Stock.

F16: SMC Reserve II sold (i) 213.3333 shares of 10% Preferred Stock, which are convertible into 5,333,333 shares of Common Stock, and (ii) $0.50 Warrants exercisable for up to 5,333,333 shares of Common Stock.

Colony Capital, Inc.

Report date January 10, 2017 · Filed January 13, 2017

Section 16 reporting ended · disclosed 2017-01-13. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Class A Common StockSEC Table I · non-derivative	Direct	0	Reported balance After 2017-01-10 transaction · row 1 1 source row Row 1 · 2017-01-10 · Disposition to issuer · Disposed 35,252 · Balance 0 F1: Pursuant to the terms of that certain Agreement and Plans of Merger, dated as of June 2, 2016 (as amended by the two separate letter agreements dated July 28, 2016 and October 16, 2016, respectively, the "Merger Agreement"), by and among NorthStar Asset Management Group Inc. ("NSAM"), Colony Capital, Inc. ("Colony"), NorthStar Realty Finance Corp., Colony NorthStar, Inc. (formerly known as New Polaris Inc.) ("Colony NorthStar"), New Sirius Inc., NorthStar Realty Finance Limited Partnership, Sirius Merger Sub-T, LLC and New Sirius Merger Sub, LLC, at the effective time of the merger of Colony into Colony NorthStar ("Merger"), each share of Colony class A common stock converted into the right to receive 1.4663 shares of Colony NorthStar's class A common stock, which converted shares of Colony NorthStar class A common stock shall be timely reported in accordance with Section 16 of the Securities Exchnge Act of 1934, as amended. F2: On the effective date of the Merger, the closing price of Colony's class A common stock was $21.52 per share, and the closing price of Colony NorthStar's class A common stock (as successor issuer of NSAM under Rule 12g-3(a) of the Securities Exchange Act of 1934, as amended) was $15.84 per share.

Filing footnotes · ownership attribution and instrument terms

F1: Pursuant to the terms of that certain Agreement and Plans of Merger, dated as of June 2, 2016 (as amended by the two separate letter agreements dated July 28, 2016 and October 16, 2016, respectively, the "Merger Agreement"), by and among NorthStar Asset Management Group Inc. ("NSAM"), Colony Capital, Inc. ("Colony"), NorthStar Realty Finance Corp., Colony NorthStar, Inc. (formerly known as New Polaris Inc.) ("Colony NorthStar"), New Sirius Inc., NorthStar Realty Finance Limited Partnership, Sirius Merger Sub-T, LLC and New Sirius Merger Sub, LLC, at the effective time of the merger of Colony into Colony NorthStar ("Merger"), each share of Colony class A common stock converted into the right to receive 1.4663 shares of Colony NorthStar's class A common stock, which converted shares of Colony NorthStar class A common stock shall be timely reported in accordance with Section 16 of the Securities Exchnge Act of 1934, as amended.

F2: On the effective date of the Merger, the closing price of Colony's class A common stock was $21.52 per share, and the closing price of Colony NorthStar's class A common stock (as successor issuer of NSAM under Rule 12g-3(a) of the Securities Exchange Act of 1934, as amended) was $15.84 per share.

GRESHAM WORLDWIDE, INC.

Report date August 27, 2020 · Filed August 31, 2020

Jointly reported with Spring Mountain Capital, LLC, Spring Mountain Capital G.P., LLC, SMC Private Equity Holdings GP, LLC, SMC Private Equity Holdings, LP, SMC Select Co-Investment I GP, LLC, SMC Select Co-Investment Fund I LP, Ho Gregory P.

Section 16 reporting ended · disclosed 2020-08-31. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosure context
Common StockSEC Table I · non-derivative	Direct	Reported balance After 2020-08-27 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2020-08-27 · Sale · Disposed 62,715 · Balance 0 F1: Represents shares of common stock of Issuer disposed of directly by the Reporting Persons as follows: 33,305 shares by SMC Select Co-Investment Fund I, LP ("SMC Co-Investment LP") and 29,410 shares by SMC Private Equity Holdings, LP ("SMC PE LP").
Series B Convertible Voting Perpetual Preferred StockSEC Table II · derivative / convertible security	Direct	Reported balance After 2020-08-27 transaction · row 2 Instrument identity requires review; Table II rows are not merged. 1 source row Row 2 · 2020-08-27 · Sale · Disposed 8,704.44 · Balance 0 F2: Each of the Series B Convertible Voting Perpetual Preferred Stock ("Series B Preferred Stock"), Series C Convertible Voting Perpetual Preferred Stock ("Series C Preferred Stock") and Series D Convertible Voting Perpetual Preferred Stock ("Series D Preferred Stock") was convertible at any time upon request and was initially convertible into shares of common stock on a 1:100 basis. Each such class of stock had no expiration date. F3: Represents shares of Series B Preferred Stock disposed of by the Reporting Persons as follows: 6,885.52 shares by SMC Co-Investment LP, 97.54 shares by Spring Mountain Capital G.P., LLC and 1,721.38 shares by Mr. Steffens. F6: As reported by the Issuer on Form 8-K, on December 12, 2019 the Issuer effected a 1 for 15 reverse stock split. The number of shares of common stock indicated in this Statement reflects the post-split number of shares disposed of. All warrants previously acquired by the Reporting Persons and disclosed in its Form 3 filed on January 9, 2019 expired without any portion being exercised. As a result of the transactions reported herein, the Reporting Persons were completely divested of the shares of Issuer's securities.
Series C Convertible Voting Perpetual Preferred StockSEC Table II · derivative / convertible security	Direct	Reported balance After 2020-08-27 transaction · row 3 Instrument identity requires review; Table II rows are not merged. 1 source row Row 3 · 2020-08-27 · Sale · Disposed 3,020.35 · Balance 0 F2: Each of the Series B Convertible Voting Perpetual Preferred Stock ("Series B Preferred Stock"), Series C Convertible Voting Perpetual Preferred Stock ("Series C Preferred Stock") and Series D Convertible Voting Perpetual Preferred Stock ("Series D Preferred Stock") was convertible at any time upon request and was initially convertible into shares of common stock on a 1:100 basis. Each such class of stock had no expiration date. F4: Represents shares of Series C Preferred Stock disposed of by the Reporting Persons as follows: 1,476.19 shares by SMC Co-Investment LP, 82.81 shares by Spring Mountain Capital G.P., LLC and 1,461.34 shares by Mr. Steffens. F6: As reported by the Issuer on Form 8-K, on December 12, 2019 the Issuer effected a 1 for 15 reverse stock split. The number of shares of common stock indicated in this Statement reflects the post-split number of shares disposed of. All warrants previously acquired by the Reporting Persons and disclosed in its Form 3 filed on January 9, 2019 expired without any portion being exercised. As a result of the transactions reported herein, the Reporting Persons were completely divested of the shares of Issuer's securities.
Series D Convertible Voting Perpetual Preferred StockSEC Table II · derivative / convertible security	Direct	Reported balance After 2020-08-27 transaction · row 4 Instrument identity requires review; Table II rows are not merged. 1 source row Row 4 · 2020-08-27 · Sale · Disposed 5,111.86 · Balance 0 F2: Each of the Series B Convertible Voting Perpetual Preferred Stock ("Series B Preferred Stock"), Series C Convertible Voting Perpetual Preferred Stock ("Series C Preferred Stock") and Series D Convertible Voting Perpetual Preferred Stock ("Series D Preferred Stock") was convertible at any time upon request and was initially convertible into shares of common stock on a 1:100 basis. Each such class of stock had no expiration date. F5: Represents shares of Series D Preferred Stock disposed of by the Reporting Persons as follows: 700.28 shares by SMC Co-Investment LP and 4,411.58 shares by SMC PE LP. F6: As reported by the Issuer on Form 8-K, on December 12, 2019 the Issuer effected a 1 for 15 reverse stock split. The number of shares of common stock indicated in this Statement reflects the post-split number of shares disposed of. All warrants previously acquired by the Reporting Persons and disclosed in its Form 3 filed on January 9, 2019 expired without any portion being exercised. As a result of the transactions reported herein, the Reporting Persons were completely divested of the shares of Issuer's securities.

Filing footnotes · ownership attribution and instrument terms

F1: Represents shares of common stock of Issuer disposed of directly by the Reporting Persons as follows: 33,305 shares by SMC Select Co-Investment Fund I, LP ("SMC Co-Investment LP") and 29,410 shares by SMC Private Equity Holdings, LP ("SMC PE LP").

F2: Each of the Series B Convertible Voting Perpetual Preferred Stock ("Series B Preferred Stock"), Series C Convertible Voting Perpetual Preferred Stock ("Series C Preferred Stock") and Series D Convertible Voting Perpetual Preferred Stock ("Series D Preferred Stock") was convertible at any time upon request and was initially convertible into shares of common stock on a 1:100 basis. Each such class of stock had no expiration date.

F3: Represents shares of Series B Preferred Stock disposed of by the Reporting Persons as follows: 6,885.52 shares by SMC Co-Investment LP, 97.54 shares by Spring Mountain Capital G.P., LLC and 1,721.38 shares by Mr. Steffens.

F4: Represents shares of Series C Preferred Stock disposed of by the Reporting Persons as follows: 1,476.19 shares by SMC Co-Investment LP, 82.81 shares by Spring Mountain Capital G.P., LLC and 1,461.34 shares by Mr. Steffens.

F5: Represents shares of Series D Preferred Stock disposed of by the Reporting Persons as follows: 700.28 shares by SMC Co-Investment LP and 4,411.58 shares by SMC PE LP.

F6: As reported by the Issuer on Form 8-K, on December 12, 2019 the Issuer effected a 1 for 15 reverse stock split. The number of shares of common stock indicated in this Statement reflects the post-split number of shares disposed of. All warrants previously acquired by the Reporting Persons and disclosed in its Form 3 filed on January 9, 2019 expired without any portion being exercised. As a result of the transactions reported herein, the Reporting Persons were completely divested of the shares of Issuer's securities.

Starwood Waypoint Homes

Report date June 30, 2017 · Filed July 03, 2017

Section 16 reporting ended · disclosed 2017-07-03. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Shares of beneficial interestSEC Table I · non-derivative	Direct	6,702	Reported balance After 2017-06-30 transaction · row 1 1 source row Row 1 · 2017-06-30 · Grant · Acquired 464 · Balance 6,702 F1: Reporting person elected to receive their quarterly compensation for service as a trustee of the issuer in common shares of the issuer pursuant to the Non-Executive Trustee Share Plan, under which the fair value per share upon award was $34.99.

Filing footnotes · ownership attribution and instrument terms

F1: Reporting person elected to receive their quarterly compensation for service as a trustee of the issuer in common shares of the issuer pursuant to the Non-Executive Trustee Share Plan, under which the fair value per share upon award was $34.99.

Transaction history

JSON API

Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction date	Company	Activity / security	Shares / units	Reported price	Reported value	Details
July 15, 2019 Filed Jul 17, 2019 19:03 UTC	DigitalBridge Group, Inc. CLNY · Entity 4232	GrantDeferred Stock · Derivative	5,682	$5.06	$28,750.92	Disclosure SEC source: 0000899243-19-019802 · doc4.xml · derivative · entry 1 Steffens John · CIK 0001373619 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 113,563 Underlying: Class A Common Stock · 5,682 shares Expires not disclosed F1 · security: Represents the receipt of deferred stock units ("Deferred Stock") granted by the Issuer in respect of the reporting person's election to defer cash compensation payable in accordance with the Issuer's non-executive director compensation policy. F2 · derivative.exercise_price: Deferred Stock has no expiration date and is payable in Class A Common Stock after the reporting person's separation from service with the Issuer. F2 · derivative.exercise_date: Deferred Stock has no expiration date and is payable in Class A Common Stock after the reporting person's separation from service with the Issuer. F2 · derivative.expiration_date: Deferred Stock has no expiration date and is payable in Class A Common Stock after the reporting person's separation from service with the Issuer. Read SEC document
May 09, 2019 Filed May 13, 2019 18:00 UTC	DigitalBridge Group, Inc. CLNY · Entity 4232	GrantDeferred Stock · Derivative	31,873	Not disclosed	Not disclosed	Disclosure SEC source: 0000899243-19-013288 · doc4.xml · derivative · entry 1 Steffens John · CIK 0001373619 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 107,881 Underlying: Class A Common Stock · 31,873 shares Expires not disclosed F1 · security: Represents the receipt of deferred stock units ("Deferred Stock") granted by the Issuer in respect of the reporting person's election to defer equity compensation payable in accordance with the Issuer's non-executive director compensation policy in connection with the reporting person's recent re-election to the Issuer's board of directors. F2 · derivative.exercise_price: Deferred Stock has no expiration date and is payable in the Issuer's Class A Common Stock, on a one-for-one basis, after the reporting person's separation from service with the Issuer. The Deferred Stock is scheduled to vest on May 9, 2020. The amount of Deferred Stock was determined by dividing the fixed grant value of $160,000 by the closing price of the Issuer's common stock on the New York Stock Exchange on the business day prior to the grant date. F2 · price: Deferred Stock has no expiration date and is payable in the Issuer's Class A Common Stock, on a one-for-one basis, after the reporting person's separation from service with the Issuer. The Deferred Stock is scheduled to vest on May 9, 2020. The amount of Deferred Stock was determined by dividing the fixed grant value of $160,000 by the closing price of the Issuer's common stock on the New York Stock Exchange on the business day prior to the grant date. F2 · derivative.exercise_date: Deferred Stock has no expiration date and is payable in the Issuer's Class A Common Stock, on a one-for-one basis, after the reporting person's separation from service with the Issuer. The Deferred Stock is scheduled to vest on May 9, 2020. The amount of Deferred Stock was determined by dividing the fixed grant value of $160,000 by the closing price of the Issuer's common stock on the New York Stock Exchange on the business day prior to the grant date. F2 · derivative.expiration_date: Deferred Stock has no expiration date and is payable in the Issuer's Class A Common Stock, on a one-for-one basis, after the reporting person's separation from service with the Issuer. The Deferred Stock is scheduled to vest on May 9, 2020. The amount of Deferred Stock was determined by dividing the fixed grant value of $160,000 by the closing price of the Issuer's common stock on the New York Stock Exchange on the business day prior to the grant date. Read SEC document
April 15, 2019 Filed Apr 17, 2019 18:01 UTC	DigitalBridge Group, Inc. CLNY · Entity 4232	OtherDeferred Stock · Derivative	1,410	$5.41	$7,628.10	Disclosure SEC source: 0000899243-19-010781 · doc4.xml · derivative · entry 2 Steffens John · CIK 0001373619 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 76,008 Underlying: Class A Common Stock · 1,410 shares Expires not disclosed F3 · security: Represents Deferred Stock granted pursuant to dividend equivalent rights on previously awarded Deferred Stock, 543 of which is scheduled to vest on May 10, 2019. F2 · derivative.exercise_price: Deferred Stock has no expiration date and is payable in Class A Common Stock after the reporting person's separation from service with the Issuer. F2 · derivative.exercise_date: Deferred Stock has no expiration date and is payable in Class A Common Stock after the reporting person's separation from service with the Issuer. F2 · derivative.expiration_date: Deferred Stock has no expiration date and is payable in Class A Common Stock after the reporting person's separation from service with the Issuer. Read SEC document
April 15, 2019 Filed Apr 17, 2019 18:01 UTC	DigitalBridge Group, Inc. CLNY · Entity 4232	GrantDeferred Stock · Derivative	5,315	$5.41	$28,754.15	Disclosure SEC source: 0000899243-19-010781 · doc4.xml · derivative · entry 1 Steffens John · CIK 0001373619 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 74,598 Underlying: Class A Common Stock · 5,315 shares Expires not disclosed F1 · security: Represents the receipt of deferred stock units ("Deferred Stock") granted by the Issuer in respect of the reporting person's election to defer cash compensation payable in accordance with the Issuer's non-executive director compensation policy. F2 · derivative.exercise_price: Deferred Stock has no expiration date and is payable in Class A Common Stock after the reporting person's separation from service with the Issuer. F2 · derivative.exercise_date: Deferred Stock has no expiration date and is payable in Class A Common Stock after the reporting person's separation from service with the Issuer. F2 · derivative.expiration_date: Deferred Stock has no expiration date and is payable in Class A Common Stock after the reporting person's separation from service with the Issuer. Read SEC document
March 27, 2019 Filed Mar 29, 2019 11:56 UTC	CICERO INC CICN · Entity 149678	PurchaseSeries A Preferred Stock · Derivative	4,250	Not disclosed Strike: $0.05	Not disclosed	Disclosure SEC source: 0001654954-19-003621 · section16.xml · derivative · entry 2 Steffens John · CIK 0001373619 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,333 Underlying: Common Stock · 85,003,934 shares Expires not disclosed F1 · price: The purchase price is included in the note exchange between Mr. Steffens and the Company for the exchange of $4,250,197 of debt and interest exchanged for 4,250 Series A Preferred Stock and a warrant for 17,000,787 common shares. F2 · derivative.expiration_date: The Series A Preferred Shares have no expiration date. Read SEC document
March 27, 2019 Filed Mar 29, 2019 11:56 UTC	CICERO INC CICN · Entity 149678	PurchaseWarrant · Derivative	17,000,787	Not disclosed Strike: $0.05	Not disclosed	Disclosure SEC source: 0001654954-19-003621 · section16.xml · derivative · entry 1 Steffens John · CIK 0001373619 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,334,407 Underlying: Common Stock · 17,000,787 shares Expires 2029-03-27 F1 · price: The purchase price is included in the note exchange between Mr. Steffens and the Company for the exchange of $4,250,197 of debt and interest exchanged for 4,250 Series A Preferred Stock and a warrant for 17,000,787 common shares. Read SEC document
January 15, 2019 Filed Jan 17, 2019 19:02 UTC	DigitalBridge Group, Inc. CLNY · Entity 4232	OtherDeferred Stock · Derivative	1,243	$5.57	$6,923.51	Disclosure SEC source: 0000899243-19-001395 · doc4.xml · derivative · entry 2 Steffens John · CIK 0001373619 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 69,283 Underlying: Class A Common Stock · 1,243 shares Expires not disclosed F3 · security: Represents Deferred Stock granted pursuant to dividend equivalent rights on previously awarded Deferred Stock, 517 of which is scheduled to vest on May 10, 2019. F2 · derivative.exercise_price: Deferred Stock has no expiration date and is payable in Class A Common Stock after the reporting person's separation from service with the Issuer. F2 · derivative.exercise_date: Deferred Stock has no expiration date and is payable in Class A Common Stock after the reporting person's separation from service with the Issuer. F2 · derivative.expiration_date: Deferred Stock has no expiration date and is payable in Class A Common Stock after the reporting person's separation from service with the Issuer. Read SEC document
January 15, 2019 Filed Jan 17, 2019 19:02 UTC	DigitalBridge Group, Inc. CLNY · Entity 4232	GrantDeferred Stock · Derivative	5,162	$5.57	$28,752.34	Disclosure SEC source: 0000899243-19-001395 · doc4.xml · derivative · entry 1 Steffens John · CIK 0001373619 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 68,040 Underlying: Class A Common Stock · 5,162 shares Expires not disclosed F1 · security: Represents the receipt of deferred stock units ("Deferred Stock") granted by the Issuer in respect of the reporting person's election to defer cash compensation payable in accordance with the Issuer's non-executive director compensation policy. F2 · derivative.exercise_price: Deferred Stock has no expiration date and is payable in Class A Common Stock after the reporting person's separation from service with the Issuer. F2 · derivative.exercise_date: Deferred Stock has no expiration date and is payable in Class A Common Stock after the reporting person's separation from service with the Issuer. F2 · derivative.expiration_date: Deferred Stock has no expiration date and is payable in Class A Common Stock after the reporting person's separation from service with the Issuer. Read SEC document
October 15, 2018 Filed Oct 17, 2018 17:00 UTC	DigitalBridge Group, Inc. CLNY · Entity 4232	OtherDeferred Stock · Derivative	1,139	$5.46	$6,218.94	Disclosure SEC source: 0000899243-18-026880 · doc4.xml · derivative · entry 2 Steffens John · CIK 0001373619 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 62,878 Underlying: Class A Common Stock · 1,139 shares Expires not disclosed F3 · security: Represents Deferred Stock granted pursuant to dividend equivalent rights on previously awarded Deferred Stock, 517 of which is scheduled to vest on May 10, 2019. F2 · derivative.exercise_price: Deferred Stock has no expiration date and is payable in Class A Common Stock after the reporting person's separation from service with the Issuer. F2 · derivative.exercise_date: Deferred Stock has no expiration date and is payable in Class A Common Stock after the reporting person's separation from service with the Issuer. F2 · derivative.expiration_date: Deferred Stock has no expiration date and is payable in Class A Common Stock after the reporting person's separation from service with the Issuer. Read SEC document
October 15, 2018 Filed Oct 17, 2018 17:00 UTC	DigitalBridge Group, Inc. CLNY · Entity 4232	GrantDeferred Stock · Derivative	5,266	$5.46	$28,752.36	Disclosure SEC source: 0000899243-18-026880 · doc4.xml · derivative · entry 1 Steffens John · CIK 0001373619 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 61,739 Underlying: Class A Common Stock · 5,266 shares Expires not disclosed F1 · security: Represents the receipt of deferred stock units ("Deferred Stock") granted by the Issuer in respect of the reporting person's election to defer cash compensation payable in accordance with the Issuer's non-executive director compensation policy. F2 · derivative.exercise_price: Deferred Stock has no expiration date and is payable in Class A Common Stock after the reporting person's separation from service with the Issuer. F2 · derivative.exercise_date: Deferred Stock has no expiration date and is payable in Class A Common Stock after the reporting person's separation from service with the Issuer. F2 · derivative.expiration_date: Deferred Stock has no expiration date and is payable in Class A Common Stock after the reporting person's separation from service with the Issuer. Read SEC document
July 16, 2018 Filed Jul 18, 2018 20:01 UTC	DigitalBridge Group, Inc. CLNY · Entity 4232	OtherDeferred Stock · Derivative	906	$6.19	$5,608.14	Disclosure SEC source: 0000899243-18-020146 · doc4.xml · derivative · entry 2 Steffens John · CIK 0001373619 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 56,473 Underlying: Class A Common Stock · 906 shares Expires not disclosed F3 · security: Represents Deferred Stock granted pursuant to dividend equivalent rights on previously awarded Deferred Stock, 448 of which is scheduled to vest on May 10, 2019. F2 · derivative.exercise_price: Deferred Stock has no expiration date and is payable in Class A Common Stock after the reporting person's separation from service with the Issuer. F2 · derivative.exercise_date: Deferred Stock has no expiration date and is payable in Class A Common Stock after the reporting person's separation from service with the Issuer. F2 · derivative.expiration_date: Deferred Stock has no expiration date and is payable in Class A Common Stock after the reporting person's separation from service with the Issuer. Read SEC document
July 16, 2018 Filed Jul 18, 2018 20:01 UTC	DigitalBridge Group, Inc. CLNY · Entity 4232	GrantDeferred Stock · Derivative	4,645	$6.19	$28,752.55	Disclosure SEC source: 0000899243-18-020146 · doc4.xml · derivative · entry 1 Steffens John · CIK 0001373619 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,567 Underlying: Class A Common Stock · 4,645 shares Expires not disclosed F1 · security: Represents the receipt of deferred stock units ("Deferred Stock") granted by the Issuer in respect of the reporting person's election to defer cash compensation payable in accordance with the Issuer's non-executive director compensation policy. F2 · derivative.exercise_price: Deferred Stock has no expiration date and is payable in Class A Common Stock after the reporting person's separation from service with the Issuer. F2 · derivative.exercise_date: Deferred Stock has no expiration date and is payable in Class A Common Stock after the reporting person's separation from service with the Issuer. F2 · derivative.expiration_date: Deferred Stock has no expiration date and is payable in Class A Common Stock after the reporting person's separation from service with the Issuer. Read SEC document
May 10, 2018 Filed May 14, 2018 17:01 UTC	DigitalBridge Group, Inc. CLNS · Entity 4232	GrantDeferred Stock · Derivative	25,197	Not disclosed	Not disclosed	Disclosure SEC source: 0000899243-18-012728 · doc4.xml · derivative · entry 1 Steffens John · CIK 0001373619 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,922 Underlying: Class A Common Stock · 25,197 shares Expires not disclosed F1 · derivative.exercise_price: Deferred stock units ("Deferred Stock") have no expiration date and are payable in shares of the Issuer's Class A Common Stock, on a one-for-one basis, after the reporting person's separation from service with the Issuer. F2 · price: The Deferred Stock was granted by the Issuer in respect of the reporting person's election to defer equity compensation payable in accordance with the Issuer's non-executive director compensation policy in connection with the reporting person's recent re-election to the Issuer's board of directors. The Deferred Stock is scheduled to vest on May 10, 2019.The amount of Deferred Stock was determined by dividing the fixed grant value of $160,000 by the closing price of the Issuer's common stock on the New York Stock Exchange on the business day prior to the grant date. F1 · derivative.exercise_date: Deferred stock units ("Deferred Stock") have no expiration date and are payable in shares of the Issuer's Class A Common Stock, on a one-for-one basis, after the reporting person's separation from service with the Issuer. F1 · derivative.expiration_date: Deferred stock units ("Deferred Stock") have no expiration date and are payable in shares of the Issuer's Class A Common Stock, on a one-for-one basis, after the reporting person's separation from service with the Issuer. Read SEC document
April 16, 2018 Filed Apr 18, 2018 17:51 UTC	DigitalBridge Group, Inc. CLNS · Entity 4232	OtherDeferred Stock · Derivative	398	$5.60	$2,228.80	Disclosure SEC source: 0000899243-18-010369 · doc4.xml · derivative · entry 2 Steffens John · CIK 0001373619 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,725 Underlying: Class A Common Stock · 398 shares Expires not disclosed F3 · security: Represents Deferred Stock granted pursuant to dividend equivalent rights on previously awarded Deferred Stock, 226 of which is scheduled to vest on May 4, 2018. F2 · derivative.exercise_price: Deferred Stock has no expiration date and is payable in Class A Common Stock after the reporting person's separation from service with the Issuer. F2 · derivative.exercise_date: Deferred Stock has no expiration date and is payable in Class A Common Stock after the reporting person's separation from service with the Issuer. F2 · derivative.expiration_date: Deferred Stock has no expiration date and is payable in Class A Common Stock after the reporting person's separation from service with the Issuer. Read SEC document
April 16, 2018 Filed Apr 18, 2018 17:51 UTC	DigitalBridge Group, Inc. CLNS · Entity 4232	GrantDeferred Stock · Derivative	5,134	$5.60	$28,750.40	Disclosure SEC source: 0000899243-18-010369 · doc4.xml · derivative · entry 1 Steffens John · CIK 0001373619 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,327 Underlying: Class A Common Stock · 5,134 shares Expires not disclosed F1 · security: Represents the receipt of deferred stock units ("Deferred Stock") granted by the Issuer in respect of the reporting person's election to defer cash compensation payable in accordance with the Issuer's non-executive director compensation policy. F2 · derivative.exercise_price: Deferred Stock has no expiration date and is payable in Class A Common Stock after the reporting person's separation from service with the Issuer. F2 · derivative.exercise_date: Deferred Stock has no expiration date and is payable in Class A Common Stock after the reporting person's separation from service with the Issuer. F2 · derivative.expiration_date: Deferred Stock has no expiration date and is payable in Class A Common Stock after the reporting person's separation from service with the Issuer. Read SEC document
March 06, 2018 Filed Mar 7, 2018 18:00 UTC	DigitalBridge Group, Inc. CLNS · Entity 4232	PurchaseClass A Common Stock	10,000	$5.94	$59,392.00	Disclosure SEC source: 0000899243-18-006674 · doc4.xml · nonDerivative · entry 1 Steffens John · CIK 0001373619 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 61,690 F1 · price: The price reported in Column 4 is the weighted average price. These shares were acquired in multiple transactionz at prices ranging from $5.9375 to $5.94. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above. Read SEC document
January 16, 2018 Filed Jan 19, 2018 09:35 UTC	DigitalBridge Group, Inc. CLNS · Entity 4232	OtherDeferred Stock · Derivative	443	$10.36	$4,589.48	Disclosure SEC source: 0000899243-18-001477 · doc4.xml · derivative · entry 2 Steffens John · CIK 0001373619 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,193 Underlying: Class A Common Stock · 443 shares Expires not disclosed F3 · security: Represents Deferred Stock granted pursuant to dividend equivalent rights on previously awarded Deferred Stock. F2 · derivative.exercise_price: Deferred Stock has no expiration date and is payable in Class A Common Stock after the reporting person's separation from service with the Issuer. F2 · derivative.exercise_date: Deferred Stock has no expiration date and is payable in Class A Common Stock after the reporting person's separation from service with the Issuer. F2 · derivative.expiration_date: Deferred Stock has no expiration date and is payable in Class A Common Stock after the reporting person's separation from service with the Issuer. Read SEC document
January 16, 2018 Filed Jan 19, 2018 09:35 UTC	DigitalBridge Group, Inc. CLNS · Entity 4232	GrantDeferred Stock · Derivative	2,776	$10.36	$28,759.36	Disclosure SEC source: 0000899243-18-001477 · doc4.xml · derivative · entry 1 Steffens John · CIK 0001373619 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,750 Underlying: Class A Common Stock · 2,776 shares Expires not disclosed F1 · security: Represents the receipt of deferred stock units ("Deferred Stock") granted by the Issuer in respect of the reporting person's election to defer cash compensation payable in accordance with the Issuer's non-executive director compensation policy. F2 · derivative.exercise_price: Deferred Stock has no expiration date and is payable in Class A Common Stock after the reporting person's separation from service with the Issuer. F2 · derivative.exercise_date: Deferred Stock has no expiration date and is payable in Class A Common Stock after the reporting person's separation from service with the Issuer. F2 · derivative.expiration_date: Deferred Stock has no expiration date and is payable in Class A Common Stock after the reporting person's separation from service with the Issuer. Read SEC document
December 22, 2017 Filed Dec 27, 2017 16:06 UTC	CICERO INC CICN · Entity 149678	PurchaseCommon Stock	8,000,000	$0.00	$16,000.00	Disclosure SEC source: 0001515971-17-000166 · primary_doc.xml · nonDerivative · entry 1 Steffens John · CIK 0001373619 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 120,932,501 Read SEC document
December 19, 2017 Filed Dec 21, 2017 16:17 UTC	AMERICAN POWER GROUP Corp APGI · Entity 170990	SaleCommon Stock Warrants (right to buy) · Derivative	1,333,333	Not disclosed Strike: $0.50	Not disclosed	Disclosure SEC source: 0001515971-17-000163 · primary_doc.xml · derivative · entry 24 Spring Mountain Capital, LLC · CIK 0001549455 · 10% owner SMC Select Co-Investment Fund I LP · CIK 0001414754 · 10% owner SMC Select Co-Investment I GP, LLC · CIK 0001549445 · 10% owner Spring Mountain Capital G.P., LLC · CIK 0001549593 · 10% owner Spring Mountain Capital, LP · CIK 0001549456 · 10% owner SMC Employees Partnership · CIK 0001657291 · 10% owner Steffens John · CIK 0001373619 · 10% owner Ho Gregory P. · CIK 0001549584 · 10% owner SMC Reserve Fund II, LP · CIK 0001408571 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 1,333,333 shares Expires 2018-09-28 F2 · price: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00. F16 · ownership.direct: SMC Reserve II sold (i) 213.3333 shares of 10% Preferred Stock, which are convertible into 5,333,333 shares of Common Stock, and (ii) $0.50 Warrants exercisable for up to 5,333,333 shares of Common Stock. Read SEC document
December 19, 2017 Filed Dec 21, 2017 16:17 UTC	AMERICAN POWER GROUP Corp APGI · Entity 170990	SaleCommon Stock Warrants (right to buy) · Derivative	4,000,000	Not disclosed Strike: $0.50	Not disclosed	Disclosure SEC source: 0001515971-17-000163 · primary_doc.xml · derivative · entry 23 Spring Mountain Capital, LLC · CIK 0001549455 · 10% owner SMC Select Co-Investment Fund I LP · CIK 0001414754 · 10% owner SMC Select Co-Investment I GP, LLC · CIK 0001549445 · 10% owner Spring Mountain Capital G.P., LLC · CIK 0001549593 · 10% owner Spring Mountain Capital, LP · CIK 0001549456 · 10% owner SMC Employees Partnership · CIK 0001657291 · 10% owner Steffens John · CIK 0001373619 · 10% owner Ho Gregory P. · CIK 0001549584 · 10% owner SMC Reserve Fund II, LP · CIK 0001408571 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 4,000,000 shares Expires 2020-05-30 F2 · price: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00. F16 · ownership.direct: SMC Reserve II sold (i) 213.3333 shares of 10% Preferred Stock, which are convertible into 5,333,333 shares of Common Stock, and (ii) $0.50 Warrants exercisable for up to 5,333,333 shares of Common Stock. Read SEC document
December 19, 2017 Filed Dec 21, 2017 16:17 UTC	AMERICAN POWER GROUP Corp APGI · Entity 170990	Sale10% Convertible Preferred Stock · Derivative	213.3333	Not disclosed Strike: $0.40	Not disclosed	Disclosure SEC source: 0001515971-17-000163 · primary_doc.xml · derivative · entry 22 Spring Mountain Capital, LLC · CIK 0001549455 · 10% owner SMC Select Co-Investment Fund I LP · CIK 0001414754 · 10% owner SMC Select Co-Investment I GP, LLC · CIK 0001549445 · 10% owner Spring Mountain Capital G.P., LLC · CIK 0001549593 · 10% owner Spring Mountain Capital, LP · CIK 0001549456 · 10% owner SMC Employees Partnership · CIK 0001657291 · 10% owner Steffens John · CIK 0001373619 · 10% owner Ho Gregory P. · CIK 0001549584 · 10% owner SMC Reserve Fund II, LP · CIK 0001408571 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 5,333,333 shares Expires not disclosed F2 · price: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00. F7 · derivative.exercise_date: The 10% Convertible Preferred Stock ("10% Preferred Stock") is convertible at any time, at the respective holder's election and has no expiration date. F7 · derivative.expiration_date: The 10% Convertible Preferred Stock ("10% Preferred Stock") is convertible at any time, at the respective holder's election and has no expiration date. F16 · ownership.direct: SMC Reserve II sold (i) 213.3333 shares of 10% Preferred Stock, which are convertible into 5,333,333 shares of Common Stock, and (ii) $0.50 Warrants exercisable for up to 5,333,333 shares of Common Stock. Read SEC document
December 19, 2017 Filed Dec 21, 2017 16:17 UTC	AMERICAN POWER GROUP Corp APGI · Entity 170990	SaleCommon Stock Warrants (right to buy) · Derivative	2,596,575	Not disclosed Strike: $0.20	Not disclosed	Disclosure SEC source: 0001515971-17-000163 · primary_doc.xml · derivative · entry 21 Spring Mountain Capital, LLC · CIK 0001549455 · 10% owner SMC Select Co-Investment Fund I LP · CIK 0001414754 · 10% owner SMC Select Co-Investment I GP, LLC · CIK 0001549445 · 10% owner Spring Mountain Capital G.P., LLC · CIK 0001549593 · 10% owner Spring Mountain Capital, LP · CIK 0001549456 · 10% owner SMC Employees Partnership · CIK 0001657291 · 10% owner Steffens John · CIK 0001373619 · 10% owner Ho Gregory P. · CIK 0001549584 · 10% owner SMC Reserve Fund II, LP · CIK 0001408571 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,596,575 shares Expires 2020-10-21 F2 · price: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00. F14 · ownership.direct: SMC EP sold (i) 65.3333 shares of 10% Preferred Stock, which are convertible into 1,633,333 shares of Common Stock, (ii) 51.9320 shares of Series C Preferred Stock, which are convertible into 2,596,600 shares of Common Stock, (iii) $0.50 Warrants exercisable for up to 1,633,333 shares of Common Stock, and (iv) $0.20 Warrants exercisable for up to 2,596,575 shares of Common Stock. Read SEC document
December 19, 2017 Filed Dec 21, 2017 16:17 UTC	AMERICAN POWER GROUP Corp APGI · Entity 170990	SaleCommon Stock Warrants (right to buy) · Derivative	408,333	Not disclosed Strike: $0.50	Not disclosed	Disclosure SEC source: 0001515971-17-000163 · primary_doc.xml · derivative · entry 20 Spring Mountain Capital, LLC · CIK 0001549455 · 10% owner SMC Select Co-Investment Fund I LP · CIK 0001414754 · 10% owner SMC Select Co-Investment I GP, LLC · CIK 0001549445 · 10% owner Spring Mountain Capital G.P., LLC · CIK 0001549593 · 10% owner Spring Mountain Capital, LP · CIK 0001549456 · 10% owner SMC Employees Partnership · CIK 0001657291 · 10% owner Steffens John · CIK 0001373619 · 10% owner Ho Gregory P. · CIK 0001549584 · 10% owner SMC Reserve Fund II, LP · CIK 0001408571 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 408,333 shares Expires 2018-09-28 F2 · price: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00. F14 · ownership.direct: SMC EP sold (i) 65.3333 shares of 10% Preferred Stock, which are convertible into 1,633,333 shares of Common Stock, (ii) 51.9320 shares of Series C Preferred Stock, which are convertible into 2,596,600 shares of Common Stock, (iii) $0.50 Warrants exercisable for up to 1,633,333 shares of Common Stock, and (iv) $0.20 Warrants exercisable for up to 2,596,575 shares of Common Stock. Read SEC document
December 19, 2017 Filed Dec 21, 2017 16:17 UTC	AMERICAN POWER GROUP Corp APGI · Entity 170990	SaleCommon Stock Warrants (right to buy) · Derivative	1,225,000	Not disclosed Strike: $0.50	Not disclosed	Disclosure SEC source: 0001515971-17-000163 · primary_doc.xml · derivative · entry 19 Spring Mountain Capital, LLC · CIK 0001549455 · 10% owner SMC Select Co-Investment Fund I LP · CIK 0001414754 · 10% owner SMC Select Co-Investment I GP, LLC · CIK 0001549445 · 10% owner Spring Mountain Capital G.P., LLC · CIK 0001549593 · 10% owner Spring Mountain Capital, LP · CIK 0001549456 · 10% owner SMC Employees Partnership · CIK 0001657291 · 10% owner Steffens John · CIK 0001373619 · 10% owner Ho Gregory P. · CIK 0001549584 · 10% owner SMC Reserve Fund II, LP · CIK 0001408571 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 1,225,000 shares Expires 2020-05-30 F2 · price: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00. F14 · ownership.direct: SMC EP sold (i) 65.3333 shares of 10% Preferred Stock, which are convertible into 1,633,333 shares of Common Stock, (ii) 51.9320 shares of Series C Preferred Stock, which are convertible into 2,596,600 shares of Common Stock, (iii) $0.50 Warrants exercisable for up to 1,633,333 shares of Common Stock, and (iv) $0.20 Warrants exercisable for up to 2,596,575 shares of Common Stock. Read SEC document
December 19, 2017 Filed Dec 21, 2017 16:17 UTC	AMERICAN POWER GROUP Corp APGI · Entity 170990	SaleSeries C Convertible Preferred Stock · Derivative	51.932	Not disclosed Strike: $0.20	Not disclosed	Disclosure SEC source: 0001515971-17-000163 · primary_doc.xml · derivative · entry 18 Spring Mountain Capital, LLC · CIK 0001549455 · 10% owner SMC Select Co-Investment Fund I LP · CIK 0001414754 · 10% owner SMC Select Co-Investment I GP, LLC · CIK 0001549445 · 10% owner Spring Mountain Capital G.P., LLC · CIK 0001549593 · 10% owner Spring Mountain Capital, LP · CIK 0001549456 · 10% owner SMC Employees Partnership · CIK 0001657291 · 10% owner Steffens John · CIK 0001373619 · 10% owner Ho Gregory P. · CIK 0001549584 · 10% owner SMC Reserve Fund II, LP · CIK 0001408571 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,596,600 shares Expires not disclosed F2 · price: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00. F13 · derivative.exercise_date: The Series C Convertible Preferred Stock ("Series C Preferred Stock") is convertible at any time, at the respective holder's election and has no expiration date. F13 · derivative.expiration_date: The Series C Convertible Preferred Stock ("Series C Preferred Stock") is convertible at any time, at the respective holder's election and has no expiration date. F14 · ownership.direct: SMC EP sold (i) 65.3333 shares of 10% Preferred Stock, which are convertible into 1,633,333 shares of Common Stock, (ii) 51.9320 shares of Series C Preferred Stock, which are convertible into 2,596,600 shares of Common Stock, (iii) $0.50 Warrants exercisable for up to 1,633,333 shares of Common Stock, and (iv) $0.20 Warrants exercisable for up to 2,596,575 shares of Common Stock. Read SEC document
December 19, 2017 Filed Dec 21, 2017 16:17 UTC	AMERICAN POWER GROUP Corp APGI · Entity 170990	Sale10% Convertible Preferred Stock · Derivative	65.3333	Not disclosed Strike: $0.40	Not disclosed	Disclosure SEC source: 0001515971-17-000163 · primary_doc.xml · derivative · entry 17 Spring Mountain Capital, LLC · CIK 0001549455 · 10% owner SMC Select Co-Investment Fund I LP · CIK 0001414754 · 10% owner SMC Select Co-Investment I GP, LLC · CIK 0001549445 · 10% owner Spring Mountain Capital G.P., LLC · CIK 0001549593 · 10% owner Spring Mountain Capital, LP · CIK 0001549456 · 10% owner SMC Employees Partnership · CIK 0001657291 · 10% owner Steffens John · CIK 0001373619 · 10% owner Ho Gregory P. · CIK 0001549584 · 10% owner SMC Reserve Fund II, LP · CIK 0001408571 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 1,633,333 shares Expires not disclosed F2 · price: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00. F7 · derivative.exercise_date: The 10% Convertible Preferred Stock ("10% Preferred Stock") is convertible at any time, at the respective holder's election and has no expiration date. F7 · derivative.expiration_date: The 10% Convertible Preferred Stock ("10% Preferred Stock") is convertible at any time, at the respective holder's election and has no expiration date. F14 · ownership.direct: SMC EP sold (i) 65.3333 shares of 10% Preferred Stock, which are convertible into 1,633,333 shares of Common Stock, (ii) 51.9320 shares of Series C Preferred Stock, which are convertible into 2,596,600 shares of Common Stock, (iii) $0.50 Warrants exercisable for up to 1,633,333 shares of Common Stock, and (iv) $0.20 Warrants exercisable for up to 2,596,575 shares of Common Stock. Read SEC document
December 19, 2017 Filed Dec 21, 2017 16:17 UTC	AMERICAN POWER GROUP Corp APGI · Entity 170990	SaleCommon Stock Warrants (right to buy) · Derivative	2,596,575	Not disclosed Strike: $0.20	Not disclosed	Disclosure SEC source: 0001515971-17-000163 · primary_doc.xml · derivative · entry 16 Spring Mountain Capital, LLC · CIK 0001549455 · 10% owner SMC Select Co-Investment Fund I LP · CIK 0001414754 · 10% owner SMC Select Co-Investment I GP, LLC · CIK 0001549445 · 10% owner Spring Mountain Capital G.P., LLC · CIK 0001549593 · 10% owner Spring Mountain Capital, LP · CIK 0001549456 · 10% owner SMC Employees Partnership · CIK 0001657291 · 10% owner Steffens John · CIK 0001373619 · 10% owner Ho Gregory P. · CIK 0001549584 · 10% owner SMC Reserve Fund II, LP · CIK 0001408571 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 0 Underlying: Common Stock · 2,596,575 shares Expires 2020-10-21 F2 · price: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00. F11 · ownership.nature: Mr. John L. Steffens and Mr. Gregory P. Ho are managing members of Spring Mountain GP and SMC LLC, and are also partners in SMC Employees Partnership ("SMC EP"). Entities over which Mr. Steffens and Mr. Ho are deemed to have voting and investment control sold (i) 465.3333 shares of 10% Preferred Stock, which are convertible into 11,633,332 shares of Common Stock, (ii) 51.9320 shares of Series C Preferred Stock, which are convertible into 2,596,600 shares of Common Stock, (iii) $0.50 Warrants exercisable for up to 11,633,332 shares of Common Stock, and (iv) warrants to purchase Common Stock at an initial exercise price of $0.20 per share ("$0.20 Warrants") exercisable for up to 2,596,575 shares of Common Stock. F12 · ownership.nature: Pursuant to Rule 16a-1 of the Securities Exchange Act of 1934, as amended, each of Mr. Steffens and Mr. Ho may be deemed to have been the beneficial owner of any securities reported herein that may be deemed to have been beneficially owned by SMC Reserve II, SMC Reserve II Offshore, SMC Co-Investment and SMC EP. Each of Mr. Steffens and Mr. Ho disclaims beneficial ownership with respect to any shares of common stock except to the extent of his pecuniary interest therein. Read SEC document
December 19, 2017 Filed Dec 21, 2017 16:17 UTC	AMERICAN POWER GROUP Corp APGI · Entity 170990	SaleCommon Stock Warrants (right to buy) · Derivative	2,908,332	Not disclosed Strike: $0.50	Not disclosed	Disclosure SEC source: 0001515971-17-000163 · primary_doc.xml · derivative · entry 15 Spring Mountain Capital, LLC · CIK 0001549455 · 10% owner SMC Select Co-Investment Fund I LP · CIK 0001414754 · 10% owner SMC Select Co-Investment I GP, LLC · CIK 0001549445 · 10% owner Spring Mountain Capital G.P., LLC · CIK 0001549593 · 10% owner Spring Mountain Capital, LP · CIK 0001549456 · 10% owner SMC Employees Partnership · CIK 0001657291 · 10% owner Steffens John · CIK 0001373619 · 10% owner Ho Gregory P. · CIK 0001549584 · 10% owner SMC Reserve Fund II, LP · CIK 0001408571 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 0 Underlying: Common Stock · 2,908,332 shares Expires 2018-09-28 F2 · price: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00. F11 · ownership.nature: Mr. John L. Steffens and Mr. Gregory P. Ho are managing members of Spring Mountain GP and SMC LLC, and are also partners in SMC Employees Partnership ("SMC EP"). Entities over which Mr. Steffens and Mr. Ho are deemed to have voting and investment control sold (i) 465.3333 shares of 10% Preferred Stock, which are convertible into 11,633,332 shares of Common Stock, (ii) 51.9320 shares of Series C Preferred Stock, which are convertible into 2,596,600 shares of Common Stock, (iii) $0.50 Warrants exercisable for up to 11,633,332 shares of Common Stock, and (iv) warrants to purchase Common Stock at an initial exercise price of $0.20 per share ("$0.20 Warrants") exercisable for up to 2,596,575 shares of Common Stock. F12 · ownership.nature: Pursuant to Rule 16a-1 of the Securities Exchange Act of 1934, as amended, each of Mr. Steffens and Mr. Ho may be deemed to have been the beneficial owner of any securities reported herein that may be deemed to have been beneficially owned by SMC Reserve II, SMC Reserve II Offshore, SMC Co-Investment and SMC EP. Each of Mr. Steffens and Mr. Ho disclaims beneficial ownership with respect to any shares of common stock except to the extent of his pecuniary interest therein. Read SEC document
December 19, 2017 Filed Dec 21, 2017 16:17 UTC	AMERICAN POWER GROUP Corp APGI · Entity 170990	SaleCommon Stock Warrants (right to buy) · Derivative	8,725,000	Not disclosed Strike: $0.50	Not disclosed	Disclosure SEC source: 0001515971-17-000163 · primary_doc.xml · derivative · entry 14 Spring Mountain Capital, LLC · CIK 0001549455 · 10% owner SMC Select Co-Investment Fund I LP · CIK 0001414754 · 10% owner SMC Select Co-Investment I GP, LLC · CIK 0001549445 · 10% owner Spring Mountain Capital G.P., LLC · CIK 0001549593 · 10% owner Spring Mountain Capital, LP · CIK 0001549456 · 10% owner SMC Employees Partnership · CIK 0001657291 · 10% owner Steffens John · CIK 0001373619 · 10% owner Ho Gregory P. · CIK 0001549584 · 10% owner SMC Reserve Fund II, LP · CIK 0001408571 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 0 Underlying: Common Stock · 8,725,000 shares Expires 2020-05-30 F2 · price: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00. F11 · ownership.nature: Mr. John L. Steffens and Mr. Gregory P. Ho are managing members of Spring Mountain GP and SMC LLC, and are also partners in SMC Employees Partnership ("SMC EP"). Entities over which Mr. Steffens and Mr. Ho are deemed to have voting and investment control sold (i) 465.3333 shares of 10% Preferred Stock, which are convertible into 11,633,332 shares of Common Stock, (ii) 51.9320 shares of Series C Preferred Stock, which are convertible into 2,596,600 shares of Common Stock, (iii) $0.50 Warrants exercisable for up to 11,633,332 shares of Common Stock, and (iv) warrants to purchase Common Stock at an initial exercise price of $0.20 per share ("$0.20 Warrants") exercisable for up to 2,596,575 shares of Common Stock. F12 · ownership.nature: Pursuant to Rule 16a-1 of the Securities Exchange Act of 1934, as amended, each of Mr. Steffens and Mr. Ho may be deemed to have been the beneficial owner of any securities reported herein that may be deemed to have been beneficially owned by SMC Reserve II, SMC Reserve II Offshore, SMC Co-Investment and SMC EP. Each of Mr. Steffens and Mr. Ho disclaims beneficial ownership with respect to any shares of common stock except to the extent of his pecuniary interest therein. Read SEC document
December 19, 2017 Filed Dec 21, 2017 16:17 UTC	AMERICAN POWER GROUP Corp APGI · Entity 170990	SaleSeries C Convertible Preferred Stock · Derivative	51.932	Not disclosed Strike: $0.20	Not disclosed	Disclosure SEC source: 0001515971-17-000163 · primary_doc.xml · derivative · entry 13 Spring Mountain Capital, LLC · CIK 0001549455 · 10% owner SMC Select Co-Investment Fund I LP · CIK 0001414754 · 10% owner SMC Select Co-Investment I GP, LLC · CIK 0001549445 · 10% owner Spring Mountain Capital G.P., LLC · CIK 0001549593 · 10% owner Spring Mountain Capital, LP · CIK 0001549456 · 10% owner SMC Employees Partnership · CIK 0001657291 · 10% owner Steffens John · CIK 0001373619 · 10% owner Ho Gregory P. · CIK 0001549584 · 10% owner SMC Reserve Fund II, LP · CIK 0001408571 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 0 Underlying: Common Stock · 2,596,600 shares Expires not disclosed F2 · price: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00. F13 · derivative.exercise_date: The Series C Convertible Preferred Stock ("Series C Preferred Stock") is convertible at any time, at the respective holder's election and has no expiration date. F13 · derivative.expiration_date: The Series C Convertible Preferred Stock ("Series C Preferred Stock") is convertible at any time, at the respective holder's election and has no expiration date. F11 · ownership.nature: Mr. John L. Steffens and Mr. Gregory P. Ho are managing members of Spring Mountain GP and SMC LLC, and are also partners in SMC Employees Partnership ("SMC EP"). Entities over which Mr. Steffens and Mr. Ho are deemed to have voting and investment control sold (i) 465.3333 shares of 10% Preferred Stock, which are convertible into 11,633,332 shares of Common Stock, (ii) 51.9320 shares of Series C Preferred Stock, which are convertible into 2,596,600 shares of Common Stock, (iii) $0.50 Warrants exercisable for up to 11,633,332 shares of Common Stock, and (iv) warrants to purchase Common Stock at an initial exercise price of $0.20 per share ("$0.20 Warrants") exercisable for up to 2,596,575 shares of Common Stock. F12 · ownership.nature: Pursuant to Rule 16a-1 of the Securities Exchange Act of 1934, as amended, each of Mr. Steffens and Mr. Ho may be deemed to have been the beneficial owner of any securities reported herein that may be deemed to have been beneficially owned by SMC Reserve II, SMC Reserve II Offshore, SMC Co-Investment and SMC EP. Each of Mr. Steffens and Mr. Ho disclaims beneficial ownership with respect to any shares of common stock except to the extent of his pecuniary interest therein. Read SEC document
December 19, 2017 Filed Dec 21, 2017 16:17 UTC	AMERICAN POWER GROUP Corp APGI · Entity 170990	Sale10% Convertible Preferred Stock · Derivative	465.3333	Not disclosed Strike: $0.40	Not disclosed	Disclosure SEC source: 0001515971-17-000163 · primary_doc.xml · derivative · entry 12 Spring Mountain Capital, LLC · CIK 0001549455 · 10% owner SMC Select Co-Investment Fund I LP · CIK 0001414754 · 10% owner SMC Select Co-Investment I GP, LLC · CIK 0001549445 · 10% owner Spring Mountain Capital G.P., LLC · CIK 0001549593 · 10% owner Spring Mountain Capital, LP · CIK 0001549456 · 10% owner SMC Employees Partnership · CIK 0001657291 · 10% owner Steffens John · CIK 0001373619 · 10% owner Ho Gregory P. · CIK 0001549584 · 10% owner SMC Reserve Fund II, LP · CIK 0001408571 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 0 Underlying: Common Stock · 11,633,332 shares Expires not disclosed F2 · price: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00. F7 · derivative.exercise_date: The 10% Convertible Preferred Stock ("10% Preferred Stock") is convertible at any time, at the respective holder's election and has no expiration date. F7 · derivative.expiration_date: The 10% Convertible Preferred Stock ("10% Preferred Stock") is convertible at any time, at the respective holder's election and has no expiration date. F11 · ownership.nature: Mr. John L. Steffens and Mr. Gregory P. Ho are managing members of Spring Mountain GP and SMC LLC, and are also partners in SMC Employees Partnership ("SMC EP"). Entities over which Mr. Steffens and Mr. Ho are deemed to have voting and investment control sold (i) 465.3333 shares of 10% Preferred Stock, which are convertible into 11,633,332 shares of Common Stock, (ii) 51.9320 shares of Series C Preferred Stock, which are convertible into 2,596,600 shares of Common Stock, (iii) $0.50 Warrants exercisable for up to 11,633,332 shares of Common Stock, and (iv) warrants to purchase Common Stock at an initial exercise price of $0.20 per share ("$0.20 Warrants") exercisable for up to 2,596,575 shares of Common Stock. F12 · ownership.nature: Pursuant to Rule 16a-1 of the Securities Exchange Act of 1934, as amended, each of Mr. Steffens and Mr. Ho may be deemed to have been the beneficial owner of any securities reported herein that may be deemed to have been beneficially owned by SMC Reserve II, SMC Reserve II Offshore, SMC Co-Investment and SMC EP. Each of Mr. Steffens and Mr. Ho disclaims beneficial ownership with respect to any shares of common stock except to the extent of his pecuniary interest therein. Read SEC document
December 19, 2017 Filed Dec 21, 2017 16:17 UTC	AMERICAN POWER GROUP Corp APGI · Entity 170990	SaleCommon Stock Warrants (right to buy) · Derivative	2,499,999	Not disclosed Strike: $0.50	Not disclosed	Disclosure SEC source: 0001515971-17-000163 · primary_doc.xml · derivative · entry 11 Spring Mountain Capital, LLC · CIK 0001549455 · 10% owner SMC Select Co-Investment Fund I LP · CIK 0001414754 · 10% owner SMC Select Co-Investment I GP, LLC · CIK 0001549445 · 10% owner Spring Mountain Capital G.P., LLC · CIK 0001549593 · 10% owner Spring Mountain Capital, LP · CIK 0001549456 · 10% owner SMC Employees Partnership · CIK 0001657291 · 10% owner Steffens John · CIK 0001373619 · 10% owner Ho Gregory P. · CIK 0001549584 · 10% owner SMC Reserve Fund II, LP · CIK 0001408571 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 0 Underlying: Common Stock · 2,499,999 shares Expires 2018-09-28 F2 · price: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00. F9 · ownership.nature: Spring Mountain GP is the general partner to SMC Reserve II and SMC Reserve II Offshore, which is not a reporting person, and is the sole member of SMC Co-Investment GP. Entities over which Spring Mountain GP is deemed to have voting and investment sold (i) 399.9999 shares of 10% Preferred Stock, which are convertible into 9,999,999 shares of Common Stock, and (ii) $0.50 Warrants exercisable for up to 9,999,999 shares of Common Stock. SMC LP acts as investment manager to SMC Reserve II, SMC Reserve II Offshore and SMC Co-Investment. SMC LLC is the general partner of SMC LP. F10 · ownership.nature: Pursuant to Rule 16a-1 of the Securities Exchange Act of 1934, as amended, each of Spring Mountain GP, SMC LP and SMC LLC may be deemed to have been the beneficial owner of any securities reported herein that were beneficially owned by SMC Reserve II, SMC Reserve II Offshore and SMC Co-Investment. Each of Spring Mountain GP, SMC LP and SMC LLC disclaims beneficial ownership with respect to any shares of common stock except to the extent of its pecuniary interest therein. Read SEC document
December 19, 2017 Filed Dec 21, 2017 16:17 UTC	AMERICAN POWER GROUP Corp APGI · Entity 170990	SaleCommon Stock Warrants (right to buy) · Derivative	7,500,000	Not disclosed Strike: $0.50	Not disclosed	Disclosure SEC source: 0001515971-17-000163 · primary_doc.xml · derivative · entry 10 Spring Mountain Capital, LLC · CIK 0001549455 · 10% owner SMC Select Co-Investment Fund I LP · CIK 0001414754 · 10% owner SMC Select Co-Investment I GP, LLC · CIK 0001549445 · 10% owner Spring Mountain Capital G.P., LLC · CIK 0001549593 · 10% owner Spring Mountain Capital, LP · CIK 0001549456 · 10% owner SMC Employees Partnership · CIK 0001657291 · 10% owner Steffens John · CIK 0001373619 · 10% owner Ho Gregory P. · CIK 0001549584 · 10% owner SMC Reserve Fund II, LP · CIK 0001408571 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 0 Underlying: Common Stock · 7,500,000 shares Expires 2020-05-30 F2 · price: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00. F9 · ownership.nature: Spring Mountain GP is the general partner to SMC Reserve II and SMC Reserve II Offshore, which is not a reporting person, and is the sole member of SMC Co-Investment GP. Entities over which Spring Mountain GP is deemed to have voting and investment sold (i) 399.9999 shares of 10% Preferred Stock, which are convertible into 9,999,999 shares of Common Stock, and (ii) $0.50 Warrants exercisable for up to 9,999,999 shares of Common Stock. SMC LP acts as investment manager to SMC Reserve II, SMC Reserve II Offshore and SMC Co-Investment. SMC LLC is the general partner of SMC LP. F10 · ownership.nature: Pursuant to Rule 16a-1 of the Securities Exchange Act of 1934, as amended, each of Spring Mountain GP, SMC LP and SMC LLC may be deemed to have been the beneficial owner of any securities reported herein that were beneficially owned by SMC Reserve II, SMC Reserve II Offshore and SMC Co-Investment. Each of Spring Mountain GP, SMC LP and SMC LLC disclaims beneficial ownership with respect to any shares of common stock except to the extent of its pecuniary interest therein. Read SEC document
December 19, 2017 Filed Dec 21, 2017 16:17 UTC	AMERICAN POWER GROUP Corp APGI · Entity 170990	Sale10% Convertible Preferred Stock · Derivative	399.9999	Not disclosed Strike: $0.40	Not disclosed	Disclosure SEC source: 0001515971-17-000163 · primary_doc.xml · derivative · entry 9 Spring Mountain Capital, LLC · CIK 0001549455 · 10% owner SMC Select Co-Investment Fund I LP · CIK 0001414754 · 10% owner SMC Select Co-Investment I GP, LLC · CIK 0001549445 · 10% owner Spring Mountain Capital G.P., LLC · CIK 0001549593 · 10% owner Spring Mountain Capital, LP · CIK 0001549456 · 10% owner SMC Employees Partnership · CIK 0001657291 · 10% owner Steffens John · CIK 0001373619 · 10% owner Ho Gregory P. · CIK 0001549584 · 10% owner SMC Reserve Fund II, LP · CIK 0001408571 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 0 Underlying: Common Stock · 9,999,999 shares Expires not disclosed F2 · price: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00. F7 · derivative.exercise_date: The 10% Convertible Preferred Stock ("10% Preferred Stock") is convertible at any time, at the respective holder's election and has no expiration date. F7 · derivative.expiration_date: The 10% Convertible Preferred Stock ("10% Preferred Stock") is convertible at any time, at the respective holder's election and has no expiration date. F9 · ownership.nature: Spring Mountain GP is the general partner to SMC Reserve II and SMC Reserve II Offshore, which is not a reporting person, and is the sole member of SMC Co-Investment GP. Entities over which Spring Mountain GP is deemed to have voting and investment sold (i) 399.9999 shares of 10% Preferred Stock, which are convertible into 9,999,999 shares of Common Stock, and (ii) $0.50 Warrants exercisable for up to 9,999,999 shares of Common Stock. SMC LP acts as investment manager to SMC Reserve II, SMC Reserve II Offshore and SMC Co-Investment. SMC LLC is the general partner of SMC LP. F10 · ownership.nature: Pursuant to Rule 16a-1 of the Securities Exchange Act of 1934, as amended, each of Spring Mountain GP, SMC LP and SMC LLC may be deemed to have been the beneficial owner of any securities reported herein that were beneficially owned by SMC Reserve II, SMC Reserve II Offshore and SMC Co-Investment. Each of Spring Mountain GP, SMC LP and SMC LLC disclaims beneficial ownership with respect to any shares of common stock except to the extent of its pecuniary interest therein. Read SEC document
December 19, 2017 Filed Dec 21, 2017 16:17 UTC	AMERICAN POWER GROUP Corp APGI · Entity 170990	SaleCommon Stock Warrants (right to buy) · Derivative	833,333	Not disclosed Strike: $0.50	Not disclosed	Disclosure SEC source: 0001515971-17-000163 · primary_doc.xml · derivative · entry 8 Spring Mountain Capital, LLC · CIK 0001549455 · 10% owner SMC Select Co-Investment Fund I LP · CIK 0001414754 · 10% owner SMC Select Co-Investment I GP, LLC · CIK 0001549445 · 10% owner Spring Mountain Capital G.P., LLC · CIK 0001549593 · 10% owner Spring Mountain Capital, LP · CIK 0001549456 · 10% owner SMC Employees Partnership · CIK 0001657291 · 10% owner Steffens John · CIK 0001373619 · 10% owner Ho Gregory P. · CIK 0001549584 · 10% owner SMC Reserve Fund II, LP · CIK 0001408571 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 833,333 shares Expires 2018-09-28 F2 · price: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00. F8 · ownership.direct: SMC Co-Investment sold (i) 133.3333 shares of 10% Preferred Stock, which are convertible into 3,333,333 shares of Common Stock, and (ii) warrants to purchase Common Stock at an initial exercise price of $0.50 per share ("$0.50 Warrants") exercisable for up to 3,333,333 shares of Common Stock. SMC Co-Investment GP is the general partner of SMC Co-Investment SMC Co-Investment GP and pursuant to Rule 16a-1 of the Securities Exchange Act of 1934, as amended, it may be deemed to have been the beneficial owner of any securities reported herein that were beneficially owned by SMC Co-Investment. SMC Co-Investment GP disclaims beneficial ownership with respect to any shares of common stock except to the extent of its pecuniary interest therein. Read SEC document
December 19, 2017 Filed Dec 21, 2017 16:17 UTC	AMERICAN POWER GROUP Corp APGI · Entity 170990	SaleCommon Stock Warrants (right to buy) · Derivative	2,500,000	Not disclosed Strike: $0.50	Not disclosed	Disclosure SEC source: 0001515971-17-000163 · primary_doc.xml · derivative · entry 7 Spring Mountain Capital, LLC · CIK 0001549455 · 10% owner SMC Select Co-Investment Fund I LP · CIK 0001414754 · 10% owner SMC Select Co-Investment I GP, LLC · CIK 0001549445 · 10% owner Spring Mountain Capital G.P., LLC · CIK 0001549593 · 10% owner Spring Mountain Capital, LP · CIK 0001549456 · 10% owner SMC Employees Partnership · CIK 0001657291 · 10% owner Steffens John · CIK 0001373619 · 10% owner Ho Gregory P. · CIK 0001549584 · 10% owner SMC Reserve Fund II, LP · CIK 0001408571 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,500,000 shares Expires 2020-05-30 F2 · price: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00. F8 · ownership.direct: SMC Co-Investment sold (i) 133.3333 shares of 10% Preferred Stock, which are convertible into 3,333,333 shares of Common Stock, and (ii) warrants to purchase Common Stock at an initial exercise price of $0.50 per share ("$0.50 Warrants") exercisable for up to 3,333,333 shares of Common Stock. SMC Co-Investment GP is the general partner of SMC Co-Investment SMC Co-Investment GP and pursuant to Rule 16a-1 of the Securities Exchange Act of 1934, as amended, it may be deemed to have been the beneficial owner of any securities reported herein that were beneficially owned by SMC Co-Investment. SMC Co-Investment GP disclaims beneficial ownership with respect to any shares of common stock except to the extent of its pecuniary interest therein. Read SEC document
December 19, 2017 Filed Dec 21, 2017 16:17 UTC	AMERICAN POWER GROUP Corp APGI · Entity 170990	Sale10% Convertible Preferred Stock · Derivative	133.3333	Not disclosed Strike: $0.40	Not disclosed	Disclosure SEC source: 0001515971-17-000163 · primary_doc.xml · derivative · entry 6 Spring Mountain Capital, LLC · CIK 0001549455 · 10% owner SMC Select Co-Investment Fund I LP · CIK 0001414754 · 10% owner SMC Select Co-Investment I GP, LLC · CIK 0001549445 · 10% owner Spring Mountain Capital G.P., LLC · CIK 0001549593 · 10% owner Spring Mountain Capital, LP · CIK 0001549456 · 10% owner SMC Employees Partnership · CIK 0001657291 · 10% owner Steffens John · CIK 0001373619 · 10% owner Ho Gregory P. · CIK 0001549584 · 10% owner SMC Reserve Fund II, LP · CIK 0001408571 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 3,333,333 shares Expires not disclosed F2 · price: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00. F7 · derivative.exercise_date: The 10% Convertible Preferred Stock ("10% Preferred Stock") is convertible at any time, at the respective holder's election and has no expiration date. F7 · derivative.expiration_date: The 10% Convertible Preferred Stock ("10% Preferred Stock") is convertible at any time, at the respective holder's election and has no expiration date. F8 · ownership.direct: SMC Co-Investment sold (i) 133.3333 shares of 10% Preferred Stock, which are convertible into 3,333,333 shares of Common Stock, and (ii) warrants to purchase Common Stock at an initial exercise price of $0.50 per share ("$0.50 Warrants") exercisable for up to 3,333,333 shares of Common Stock. SMC Co-Investment GP is the general partner of SMC Co-Investment SMC Co-Investment GP and pursuant to Rule 16a-1 of the Securities Exchange Act of 1934, as amended, it may be deemed to have been the beneficial owner of any securities reported herein that were beneficially owned by SMC Co-Investment. SMC Co-Investment GP disclaims beneficial ownership with respect to any shares of common stock except to the extent of its pecuniary interest therein. Read SEC document
December 19, 2017 Filed Dec 21, 2017 16:17 UTC	AMERICAN POWER GROUP Corp APGI · Entity 170990	SaleCommon Stock	1,740,585	Not disclosed	Not disclosed	Disclosure SEC source: 0001515971-17-000163 · primary_doc.xml · nonDerivative · entry 5 Spring Mountain Capital, LLC · CIK 0001549455 · 10% owner SMC Select Co-Investment Fund I LP · CIK 0001414754 · 10% owner SMC Select Co-Investment I GP, LLC · CIK 0001549445 · 10% owner Spring Mountain Capital G.P., LLC · CIK 0001549593 · 10% owner Spring Mountain Capital, LP · CIK 0001549456 · 10% owner SMC Employees Partnership · CIK 0001657291 · 10% owner Steffens John · CIK 0001373619 · 10% owner Ho Gregory P. · CIK 0001549584 · 10% owner SMC Reserve Fund II, LP · CIK 0001408571 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F15 · kind: SMC Reserve II sold 1,740,585 shares of Common Stock. F2 · price: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00. Read SEC document
December 19, 2017 Filed Dec 21, 2017 16:17 UTC	AMERICAN POWER GROUP Corp APGI · Entity 170990	SaleCommon Stock	954,209	Not disclosed	Not disclosed	Disclosure SEC source: 0001515971-17-000163 · primary_doc.xml · nonDerivative · entry 4 Spring Mountain Capital, LLC · CIK 0001549455 · 10% owner SMC Select Co-Investment Fund I LP · CIK 0001414754 · 10% owner SMC Select Co-Investment I GP, LLC · CIK 0001549445 · 10% owner Spring Mountain Capital G.P., LLC · CIK 0001549593 · 10% owner Spring Mountain Capital, LP · CIK 0001549456 · 10% owner SMC Employees Partnership · CIK 0001657291 · 10% owner Steffens John · CIK 0001373619 · 10% owner Ho Gregory P. · CIK 0001549584 · 10% owner SMC Reserve Fund II, LP · CIK 0001408571 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F6 · kind: SMC EP sold 954,209 shares of Common Stock. F2 · price: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00. Read SEC document
December 19, 2017 Filed Dec 21, 2017 16:17 UTC	AMERICAN POWER GROUP Corp APGI · Entity 170990	SaleCommon Stock	5,077,704	Not disclosed	Not disclosed	Disclosure SEC source: 0001515971-17-000163 · primary_doc.xml · nonDerivative · entry 3 Spring Mountain Capital, LLC · CIK 0001549455 · 10% owner SMC Select Co-Investment Fund I LP · CIK 0001414754 · 10% owner SMC Select Co-Investment I GP, LLC · CIK 0001549445 · 10% owner Spring Mountain Capital G.P., LLC · CIK 0001549593 · 10% owner Spring Mountain Capital, LP · CIK 0001549456 · 10% owner SMC Employees Partnership · CIK 0001657291 · 10% owner Steffens John · CIK 0001373619 · 10% owner Ho Gregory P. · CIK 0001549584 · 10% owner SMC Reserve Fund II, LP · CIK 0001408571 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 0 F5 · kind: Mr. John L. Steffens and Mr. Gregory P. Ho are managing members of Spring Mountain GP and SMC LLC, and are also partners in SMC Employees Partnership ("SMC EP"). Entities over which Mr. Steffens and Mr. Ho are deemed to have voting and investment control sold an aggregate of 5,077,704 shares of Common Stock. Pursuant to Rule 16a-1 of the Securities Exchange Act of 1934, as amended, each of Mr. Steffens and Mr. Ho may be deemed to have been the beneficial owner of any securities reported herein that may be deemed to have been beneficially owned by SMC Reserve II, SMC Reserve II Offshore, SMC Co-Investment and SMC EP. Each of Mr. Steffens and Mr. Ho disclaims beneficial ownership with respect to any shares of common stock except to the extent of his pecuniary interest therein. F2 · price: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00. F5 · ownership.nature: Mr. John L. Steffens and Mr. Gregory P. Ho are managing members of Spring Mountain GP and SMC LLC, and are also partners in SMC Employees Partnership ("SMC EP"). Entities over which Mr. Steffens and Mr. Ho are deemed to have voting and investment control sold an aggregate of 5,077,704 shares of Common Stock. Pursuant to Rule 16a-1 of the Securities Exchange Act of 1934, as amended, each of Mr. Steffens and Mr. Ho may be deemed to have been the beneficial owner of any securities reported herein that may be deemed to have been beneficially owned by SMC Reserve II, SMC Reserve II Offshore, SMC Co-Investment and SMC EP. Each of Mr. Steffens and Mr. Ho disclaims beneficial ownership with respect to any shares of common stock except to the extent of his pecuniary interest therein. Read SEC document
December 19, 2017 Filed Dec 21, 2017 16:17 UTC	AMERICAN POWER GROUP Corp APGI · Entity 170990	SaleCommon Stock	4,123,095	Not disclosed	Not disclosed	Disclosure SEC source: 0001515971-17-000163 · primary_doc.xml · nonDerivative · entry 2 Spring Mountain Capital, LLC · CIK 0001549455 · 10% owner SMC Select Co-Investment Fund I LP · CIK 0001414754 · 10% owner SMC Select Co-Investment I GP, LLC · CIK 0001549445 · 10% owner Spring Mountain Capital G.P., LLC · CIK 0001549593 · 10% owner Spring Mountain Capital, LP · CIK 0001549456 · 10% owner SMC Employees Partnership · CIK 0001657291 · 10% owner Steffens John · CIK 0001373619 · 10% owner Ho Gregory P. · CIK 0001549584 · 10% owner SMC Reserve Fund II, LP · CIK 0001408571 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 0 F3 · kind: Spring Mountain Capital G.P., LLC ("Spring Mountain GP") is the general partner to SMC Reserve Fund II, LP ("SMC Reserve II") and SMC Reserve Fund II Offshore, LP ("SMC Reserve II Offshore"), which is not a reporting person, and is the sole member of SMC Co-Investment GP. Entities over which Spring Mountain GP is deemed to have voting and investment sold 4,123,095 shares of Common Stock. Spring Mountain Capital, LP ("SMC LP") acts as investment manager to SMC Reserve II, SMC Reserve II Offshore and SMC Co-Investment. Spring Mountain Capital, LLC ("SMC LLC") is the general partner of SMC LP. F4 · kind: Pursuant to Rule 16a-1 of the Securities Exchange Act of 1934, as amended, each of Spring Mountain GP, SMC LP and SMC LLC may be deemed to have been the beneficial owner of any securities reported herein that were beneficially owned by SMC Reserve II, SMC Reserve II Offshore and SMC Co-Investment. Each of Spring Mountain GP, SMC LP and SMC LLC disclaims beneficial ownership with respect to any shares of common stock except to the extent of its pecuniary interest therein. F2 · price: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00. F3 · ownership.nature: Spring Mountain Capital G.P., LLC ("Spring Mountain GP") is the general partner to SMC Reserve Fund II, LP ("SMC Reserve II") and SMC Reserve Fund II Offshore, LP ("SMC Reserve II Offshore"), which is not a reporting person, and is the sole member of SMC Co-Investment GP. Entities over which Spring Mountain GP is deemed to have voting and investment sold 4,123,095 shares of Common Stock. Spring Mountain Capital, LP ("SMC LP") acts as investment manager to SMC Reserve II, SMC Reserve II Offshore and SMC Co-Investment. Spring Mountain Capital, LLC ("SMC LLC") is the general partner of SMC LP. F4 · ownership.nature: Pursuant to Rule 16a-1 of the Securities Exchange Act of 1934, as amended, each of Spring Mountain GP, SMC LP and SMC LLC may be deemed to have been the beneficial owner of any securities reported herein that were beneficially owned by SMC Reserve II, SMC Reserve II Offshore and SMC Co-Investment. Each of Spring Mountain GP, SMC LP and SMC LLC disclaims beneficial ownership with respect to any shares of common stock except to the extent of its pecuniary interest therein. Read SEC document
December 19, 2017 Filed Dec 21, 2017 16:17 UTC	AMERICAN POWER GROUP Corp APGI · Entity 170990	SaleCommon Stock	1,947,370	Not disclosed	Not disclosed	Disclosure SEC source: 0001515971-17-000163 · primary_doc.xml · nonDerivative · entry 1 Spring Mountain Capital, LLC · CIK 0001549455 · 10% owner SMC Select Co-Investment Fund I LP · CIK 0001414754 · 10% owner SMC Select Co-Investment I GP, LLC · CIK 0001549445 · 10% owner Spring Mountain Capital G.P., LLC · CIK 0001549593 · 10% owner Spring Mountain Capital, LP · CIK 0001549456 · 10% owner SMC Employees Partnership · CIK 0001657291 · 10% owner Steffens John · CIK 0001373619 · 10% owner Ho Gregory P. · CIK 0001549584 · 10% owner SMC Reserve Fund II, LP · CIK 0001408571 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · kind: SMC Select Co-Investment Fund I, LP ("SMC Co-Investment") sold 1,947,370 shares of the Issuer's common stock, par $0.01 par value per share ("Common Stock"). SMC Select Co-Investment I GP, LLC is the general partner of SMC Co-Investment ("SMC Co-Investment GP") and pursuant to Rule 16a-1 of the Securities Exchange Act of 1934, as amended, it may be deemed to have been the beneficial owner of any securities reported herein that were beneficially owned by SMC Co-Investment. SMC Co-Investment GP disclaims beneficial ownership with respect to any shares of Common Stock except to the extent of its pecuniary interest therein. F2 · price: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00. Read SEC document
October 16, 2017 Filed Oct 18, 2017 18:01 UTC	DigitalBridge Group, Inc. CLNS · Entity 4232	OtherDeferred Stock · Derivative	311	$12.51	$3,890.61	Disclosure SEC source: 0000899243-17-024426 · doc4.xml · derivative · entry 2 Steffens John · CIK 0001373619 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,974 Underlying: Class A Common Stock · 311 shares Expires not disclosed F3 · security: Represents Deferred Stock granted pursuant to dividend equivalent rights on previously awarded Deferred Stock. F2 · derivative.exercise_price: Deferred Stock has no expiration date and is payable in Class A Common Stock after the reporting person's separation from service with the Issuer. F2 · derivative.exercise_date: Deferred Stock has no expiration date and is payable in Class A Common Stock after the reporting person's separation from service with the Issuer. F2 · derivative.expiration_date: Deferred Stock has no expiration date and is payable in Class A Common Stock after the reporting person's separation from service with the Issuer. Read SEC document
October 16, 2017 Filed Oct 18, 2017 18:01 UTC	DigitalBridge Group, Inc. CLNS · Entity 4232	GrantDeferred Stock · Derivative	2,299	$12.51	$28,760.49	Disclosure SEC source: 0000899243-17-024426 · doc4.xml · derivative · entry 1 Steffens John · CIK 0001373619 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,663 Underlying: Class A Common Stock · 2,299 shares Expires not disclosed F1 · security: Represents the receipt of deferred stock units ("Deferred Stock") granted by the Issuer in respect of the reporting person's election to defer cash compensation payable in accordance with the Issuer's non-executive director compensation policy. F2 · derivative.exercise_price: Deferred Stock has no expiration date and is payable in Class A Common Stock after the reporting person's separation from service with the Issuer. F2 · derivative.exercise_date: Deferred Stock has no expiration date and is payable in Class A Common Stock after the reporting person's separation from service with the Issuer. F2 · derivative.expiration_date: Deferred Stock has no expiration date and is payable in Class A Common Stock after the reporting person's separation from service with the Issuer. Read SEC document
August 14, 2017 Filed Aug 16, 2017 13:44 UTC	CICERO INC CICN · Entity 149678	PurchaseSeries A Preferred Stock · Derivative	5,083	Not disclosed Strike: $0.05	Not disclosed	Disclosure SEC source: 0001654954-17-007672 · section16.xml · derivative · entry 2 Steffens John · CIK 0001373619 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,083 Underlying: Common Stock · 101,668,101 shares Expires not disclosed F1 · price: The purchase price is included in the note exchange between Mr. Steffens and the Company for the exchange of $5,083,405 of debt and interest exchanged for 5,083 Series A Preferred Stock and a warrant for 20,333,620 common shares. F2 · derivative.expiration_date: The Series A Preferred Shares have no expiration date. Read SEC document
August 14, 2017 Filed Aug 16, 2017 13:44 UTC	CICERO INC CICN · Entity 149678	PurchaseWarrant · Derivative	20,333,620	Not disclosed Strike: $0.07	Not disclosed	Disclosure SEC source: 0001654954-17-007672 · section16.xml · derivative · entry 1 Steffens John · CIK 0001373619 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,333,620 Underlying: Common Stock · 20,333,620 shares Expires 2027-08-14 F1 · price: The purchase price is included in the note exchange between Mr. Steffens and the Company for the exchange of $5,083,405 of debt and interest exchanged for 5,083 Series A Preferred Stock and a warrant for 20,333,620 common shares. Read SEC document
July 17, 2017 Filed Jul 18, 2017 21:34 UTC	DigitalBridge Group, Inc. CLNS · Entity 4232	GrantDeferred Stock · Derivative	14,364	Not disclosed	Not disclosed	Disclosure SEC source: 0000899243-17-018494 · doc4.xml · derivative · entry 1 Steffens John · CIK 0001373619 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,364 Underlying: Class A Common Stock · 14,364 shares Expires not disclosed F1 · derivative.exercise_price: Represents the receipt of deferred stock units ("Deferred Stock") granted by the Issuer in respect of the reporting person's election to defer equity compensation payable in accordance with the Issuer's non-executive compensation policy. Deferred Stock has no expiration date and is payable in Class A Common Stock after the reporting person's separation from service with the Issuer. F1 · price: Represents the receipt of deferred stock units ("Deferred Stock") granted by the Issuer in respect of the reporting person's election to defer equity compensation payable in accordance with the Issuer's non-executive compensation policy. Deferred Stock has no expiration date and is payable in Class A Common Stock after the reporting person's separation from service with the Issuer. F1 · derivative.exercise_date: Represents the receipt of deferred stock units ("Deferred Stock") granted by the Issuer in respect of the reporting person's election to defer equity compensation payable in accordance with the Issuer's non-executive compensation policy. Deferred Stock has no expiration date and is payable in Class A Common Stock after the reporting person's separation from service with the Issuer. F1 · derivative.expiration_date: Represents the receipt of deferred stock units ("Deferred Stock") granted by the Issuer in respect of the reporting person's election to defer equity compensation payable in accordance with the Issuer's non-executive compensation policy. Deferred Stock has no expiration date and is payable in Class A Common Stock after the reporting person's separation from service with the Issuer. Read SEC document
June 30, 2017 Filed Jul 3, 2017 14:23 UTC	Starwood Waypoint Homes SFR · Entity 171717	GrantShares of beneficial interest	464	$0.00	$0.00	Disclosure SEC source: 0001209191-17-042773 · doc4.xml · nonDerivative · entry 1 Steffens John · CIK 0001373619 · Former Trustee 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,702 F1 · price: Reporting person elected to receive their quarterly compensation for service as a trustee of the issuer in common shares of the issuer pursuant to the Non-Executive Trustee Share Plan, under which the fair value per share upon award was $34.99. Read SEC document
May 15, 2017 Filed May 16, 2017 17:01 UTC	Starwood Waypoint Homes SFR · Entity 171717	GrantCommon shares of beneficial interest	1,490	Not disclosed	Not disclosed	Disclosure SEC source: 0001209191-17-032764 · doc4.xml · nonDerivative · entry 1 Steffens John · CIK 0001373619 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,238 F1 · price: The reporting person received an annual award of $50,000 of the issuer's restricted common shares, calculated based the average closing price of the issuer's common shares on the five trading days preceeding the date of the grant. This award will vest on May 15, 2018. Read SEC document

Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.