person · Reporting owner

SCHWARTZ ADAM R

Disclosed activity across 4 companies

Tapewire entity: 109929
SEC CIK: 0001872317

Reported relationships

Latest disclosed role at each company.

Company	Last reported as	Report date	Published
TPG Twin Brook Capital Income FundN/A · Entity 27612	10% owner · Reporting Person	August 28, 2023	September 07, 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.

TPG Twin Brook Capital Income Fund

Report date August 28, 2023 · Filed September 07, 2023

Jointly reported with ANGELO GORDON & CO., L.P., AGTB BDC Holdings, L.P., AGTB BDC Holdings GP LLC, AG GP LLC, Baumgarten Joshua

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common shares of beneficial interestSEC Table I · non-derivative	IndirectSee Footnote	11,620,694.028	Reported balance After 2023-08-28 transaction · row 1 Holding and transaction disclosures are not merged. 1 source row Row 1 · 2023-08-28 · Purchase · Acquired 2,718,615.526 · Balance 11,620,694.028 F1: These securities are held directly by AGTB BDC Holdings, L.P. ("BDC Holdings"). AGTB BDC Holdings GP LLC ("BDC Holdings GP") is the sole general partner of BDC Holdings, Angelo, Gordon & Co., L.P. ("Angelo Gordon") is the investment advisor to BDC Holdings and sole member of BDC Holdings GP, AG GP LLC ("AG GP") is the sole general partner of Angelo Gordon, and Mr. Baumgarten and Mr. Schwartz are the co-managing members of AG GP. Each of Messrs. Baumgarten and Schwartz, and AG GP may be deemed to control Angelo Gordon. Each of BDC Holdings GP, Angelo Gordon, AG GP and Messrs. Baumgarten and Schwartz disclaim beneficial ownership of the securities reported herein except to the extent of its or his pecuniary interest therein and this report shall not be deemed to be an admission that any of BDC Holdings GP, Angelo Gordon, AG GP, Mr. Baumgarten or Mr. Schwartz is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.
Common shares of beneficial interestSEC Table I · non-derivative	IndirectSee Footnote	160,610.258	Reported balance Holding disclosure · report date 2023-08-28 · row 2 Holding and transaction disclosures are not merged. 1 source row Row 2 · Balance 160,610.258 F2: These securities are held directly by Angelo Gordon. Joshua Baumgarten and Adam Schwartz are the co-managing members of AG GP, which is the sole general partner of Angelo Gordon. Each of Messrs. Baumgarten and Schwartz, and AG GP may be deemed to control Angelo Gordon. Each of AG GP and Messrs. Baumgarten and Schwartz disclaim beneficial ownership of the securities reported herein except to the extent of its or his pecuniary interest therein and this report shall not be deemed to be an admission that any of AG GP, Mr. Baumgarten or Mr. Schwartz is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.

Filing footnotes · ownership attribution and instrument terms

F1: These securities are held directly by AGTB BDC Holdings, L.P. ("BDC Holdings"). AGTB BDC Holdings GP LLC ("BDC Holdings GP") is the sole general partner of BDC Holdings, Angelo, Gordon & Co., L.P. ("Angelo Gordon") is the investment advisor to BDC Holdings and sole member of BDC Holdings GP, AG GP LLC ("AG GP") is the sole general partner of Angelo Gordon, and Mr. Baumgarten and Mr. Schwartz are the co-managing members of AG GP. Each of Messrs. Baumgarten and Schwartz, and AG GP may be deemed to control Angelo Gordon. Each of BDC Holdings GP, Angelo Gordon, AG GP and Messrs. Baumgarten and Schwartz disclaim beneficial ownership of the securities reported herein except to the extent of its or his pecuniary interest therein and this report shall not be deemed to be an admission that any of BDC Holdings GP, Angelo Gordon, AG GP, Mr. Baumgarten or Mr. Schwartz is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.

F2: These securities are held directly by Angelo Gordon. Joshua Baumgarten and Adam Schwartz are the co-managing members of AG GP, which is the sole general partner of Angelo Gordon. Each of Messrs. Baumgarten and Schwartz, and AG GP may be deemed to control Angelo Gordon. Each of AG GP and Messrs. Baumgarten and Schwartz disclaim beneficial ownership of the securities reported herein except to the extent of its or his pecuniary interest therein and this report shall not be deemed to be an admission that any of AG GP, Mr. Baumgarten or Mr. Schwartz is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.

Past disclosures · reporting ended (3)

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

ABRAXAS PETROLEUM CORP

Report date September 14, 2022 · Filed September 16, 2022

Jointly reported with ANGELO GORDON & CO., L.P., AG Energy Funding, LLC, AG GP LLC, Baumgarten Joshua

Section 16 reporting ended · disclosed 2022-09-16. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Series A Preferred StockSEC Table I · non-derivative	IndirectSee Footnote	0	Reported balance After 2022-09-14 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2022-09-14 · Sale · Disposed 685,505 · Balance 0 F1: The shares of Series A Preferred Stock were held directly by AG Energy Funding, LLC ("AG Energy Funding") for which Angelo, Gordon & Co, L.P. ("Angelo Gordon") is the manager. Josh Baumgarten and Adam Schwartz are the co-managing members of AG GP LLC ("AG GP"), which is the sole general partner of Angelo Gordon and Josh Baumgarten and Adam Schwartz are the co-chief executive officers of Angelo Gordon. Each of Josh Baumgarten, Adam Schwartz and AG GP may be deemed to control Angelo Gordon. Each of Angelo Gordon, AG GP, Josh Baumgarten and Adam Schwartz disclaim beneficial ownership of the securities reported herein except to the extent of its or his pecuniary interest therein and this report shall not be deemed to be an admission that any of Angelo Gordon, AG GP, Josh Baumgarten or Adam Schwartz is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.

Filing footnotes · ownership attribution and instrument terms

F1: The shares of Series A Preferred Stock were held directly by AG Energy Funding, LLC ("AG Energy Funding") for which Angelo, Gordon & Co, L.P. ("Angelo Gordon") is the manager. Josh Baumgarten and Adam Schwartz are the co-managing members of AG GP LLC ("AG GP"), which is the sole general partner of Angelo Gordon and Josh Baumgarten and Adam Schwartz are the co-chief executive officers of Angelo Gordon. Each of Josh Baumgarten, Adam Schwartz and AG GP may be deemed to control Angelo Gordon. Each of Angelo Gordon, AG GP, Josh Baumgarten and Adam Schwartz disclaim beneficial ownership of the securities reported herein except to the extent of its or his pecuniary interest therein and this report shall not be deemed to be an admission that any of Angelo Gordon, AG GP, Josh Baumgarten or Adam Schwartz is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.

AGTB Private BDC

Report date January 01, 2023 · Filed January 09, 2023

Jointly reported with ANGELO GORDON & CO., L.P., AGTB BDC Holdings, L.P., AGTB BDC Holdings GP LLC, AG GP LLC, Baumgarten Joshua

Section 16 reporting ended · disclosed 2023-01-09. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common shares of beneficial interestSEC Table I · non-derivative	IndirectSee Footnote	0	Reported balance After 2023-01-01 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2023-01-01 · Other · Disposed 158,610.258 · Balance 0 F1: On January 1, 2023, Issuer completed its merger (the "Merger") with AG Twin Brook Capital Income Fund, a Delaware statutory trust ("TCAP"), with TCAP continuing as the surviving company. The Merger was completed pursuant to an Agreement and Plan of Merger dated December 30, 2022, by and between TCAP and Issuer. Prior to the Merger, Issuer was an affiliated, privately-offered business development company ("BDC") managed by AGTB Fund Manager, LLC, an affiliate of Angelo, Gordon & Co., L.P. ("Angelo Gordon"). TCAP is a public, non-exchange traded BDC, with the same investment manager and investment objective as Issuer. At the effective time of the Merger, each issued and outstanding common share of beneficial interest, par value $0.001 per share, of Issuer (other than certain excluded shares) outstanding immediately prior to the effective time was converted into Class I common shares of beneficial interest, par value $0.001 per share, of TCAP on a one-for-one basis. F2: Reflects shares held directly by Angelo Gordon. Joshua Baumgarten and Adam Schwartz are the co-managing members of AG GP LLC ("AG GP"), which is the sole general partner of Angelo Gordon. Each of Messrs. Baumgarten and Schwartz, and AG GP may be deemed to control Angelo Gordon. Each of AG GP and Messrs. Baumgarten and Schwartz disclaim beneficial ownership of the securities reported herein except to the extent of its or his pecuniary interest therein, and this report shall not be deemed to be an admission that any of AG GP, Mr. Baumgarten or Mr. Schwartz is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.
Common shares of beneficial interestSEC Table I · non-derivative	IndirectSee Footnote	0	Reported balance After 2023-01-01 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 2 · 2023-01-01 · Other · Disposed 8,902,078.502 · Balance 0 F1: On January 1, 2023, Issuer completed its merger (the "Merger") with AG Twin Brook Capital Income Fund, a Delaware statutory trust ("TCAP"), with TCAP continuing as the surviving company. The Merger was completed pursuant to an Agreement and Plan of Merger dated December 30, 2022, by and between TCAP and Issuer. Prior to the Merger, Issuer was an affiliated, privately-offered business development company ("BDC") managed by AGTB Fund Manager, LLC, an affiliate of Angelo, Gordon & Co., L.P. ("Angelo Gordon"). TCAP is a public, non-exchange traded BDC, with the same investment manager and investment objective as Issuer. At the effective time of the Merger, each issued and outstanding common share of beneficial interest, par value $0.001 per share, of Issuer (other than certain excluded shares) outstanding immediately prior to the effective time was converted into Class I common shares of beneficial interest, par value $0.001 per share, of TCAP on a one-for-one basis. F3: Reflects shares held directly by AGTB BDC Holdings, L.P. ("BDC Holdings"). AGTB BDC Holdings GP LLC ("BDC Holdings GP") is the sole general partner of BDC Holdings. Angelo Gordon is the investment advisor to BDC Holdings and sole member of BDC Holdings GP. AG GP is the sole general partner of Angelo Gordon, and Mr. Baumgarten and Mr. Schwartz are the co-managing members of AG GP. Each of Messrs. Baumgarten and Schwartz, and AG GP may be deemed to control Angelo Gordon. Each of BDC Holdings GP, Angelo Gordon, AG GP and Messrs. Baumgarten and Schwartz disclaim beneficial ownership of the securities reported herein except to the extent of its or his pecuniary interest therein and this report shall not be deemed to be an admission that any of BDC Holdings GP, Angelo Gordon, AG GP, Mr. Baumgarten or Mr. Schwartz is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.

Filing footnotes · ownership attribution and instrument terms

F1: On January 1, 2023, Issuer completed its merger (the "Merger") with AG Twin Brook Capital Income Fund, a Delaware statutory trust ("TCAP"), with TCAP continuing as the surviving company. The Merger was completed pursuant to an Agreement and Plan of Merger dated December 30, 2022, by and between TCAP and Issuer. Prior to the Merger, Issuer was an affiliated, privately-offered business development company ("BDC") managed by AGTB Fund Manager, LLC, an affiliate of Angelo, Gordon & Co., L.P. ("Angelo Gordon"). TCAP is a public, non-exchange traded BDC, with the same investment manager and investment objective as Issuer. At the effective time of the Merger, each issued and outstanding common share of beneficial interest, par value $0.001 per share, of Issuer (other than certain excluded shares) outstanding immediately prior to the effective time was converted into Class I common shares of beneficial interest, par value $0.001 per share, of TCAP on a one-for-one basis.

F2: Reflects shares held directly by Angelo Gordon. Joshua Baumgarten and Adam Schwartz are the co-managing members of AG GP LLC ("AG GP"), which is the sole general partner of Angelo Gordon. Each of Messrs. Baumgarten and Schwartz, and AG GP may be deemed to control Angelo Gordon. Each of AG GP and Messrs. Baumgarten and Schwartz disclaim beneficial ownership of the securities reported herein except to the extent of its or his pecuniary interest therein, and this report shall not be deemed to be an admission that any of AG GP, Mr. Baumgarten or Mr. Schwartz is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.

F3: Reflects shares held directly by AGTB BDC Holdings, L.P. ("BDC Holdings"). AGTB BDC Holdings GP LLC ("BDC Holdings GP") is the sole general partner of BDC Holdings. Angelo Gordon is the investment advisor to BDC Holdings and sole member of BDC Holdings GP. AG GP is the sole general partner of Angelo Gordon, and Mr. Baumgarten and Mr. Schwartz are the co-managing members of AG GP. Each of Messrs. Baumgarten and Schwartz, and AG GP may be deemed to control Angelo Gordon. Each of BDC Holdings GP, Angelo Gordon, AG GP and Messrs. Baumgarten and Schwartz disclaim beneficial ownership of the securities reported herein except to the extent of its or his pecuniary interest therein and this report shall not be deemed to be an admission that any of BDC Holdings GP, Angelo Gordon, AG GP, Mr. Baumgarten or Mr. Schwartz is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.

U.S. WELL SERVICES HOLDINGS, LLC

Report date April 29, 2022 · Filed May 02, 2022

Jointly reported with ANGELO GORDON & CO., L.P., AG Energy Funding, LLC, AG GP LLC, Baumgarten Joshua

Section 16 reporting ended · disclosed 2022-05-02. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosure context
Convertible Senior Secured (Third Lien) PIK NoteSEC Table II · derivative / convertible security · Conversion / exercise price $7.00 · Expires 2026-06-05	IndirectSee Footnote	Reported balance After 2022-04-29 transaction · row 1 Instrument identity requires review; Table II rows are not merged. 1 source row Row 1 · 2022-04-29 · Sale · Disposed 21,454,672.2 · Balance 0 F3: The price includes the payment for partially accrued in-kind interest or dividends. F2: AG Energy Funding may have converted the convertible note during its term into a number of shares of Class A Common Stock of U.S. Well Services, Inc. (the "Common Stock") equal to the outstanding principal and accrued but unpaid interest divided by a conversion price of $7, subject to adjustment. If the convertible note is outstanding as of maturity, the convertible note will automatically be converted into shares of Common Stock using the volume weighted average price. The convertible note was not able to be converted unless the Issuer filed a listing application with the Nasdaq Capital Market and that application had been approved. The convertible note may not be converted if the conversion would result in violations of Nasdaq Capital Market's change of control or certain other Nasdaq rules. F1: These securities were held directly by AG Energy Funding, LLC ("AG Energy Funding") for which Angelo, Gordon & Co, L.P. ("Angelo Gordon") is the manager. Josh Baumgarten and Adam Schwartz are the managing members of AG GP LLC ("AG GP"), which is the sole general partner of Angelo Gordon. Each of Messrs. Baumgarten and Schwartz, and AG GP may be deemed to control Angelo Gordon. Each of Angelo Gordon, AG GP and Messrs. Baumgarten and Schwartz disclaim beneficial ownership of the securities reported herein except to the extent of its or his pecuniary interest therein and this report shall not be deemed to be an admission that any of Angelo Gordon, AG GP, Mr. Baumgarten or Mr. Schwartz is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.
Convertible Senior Secured (Third Lien) PIK NoteSEC Table II · derivative / convertible security · Conversion / exercise price $4.38 · Expires 2026-06-05	IndirectSee Footnote	Reported balance After 2022-04-29 transaction · row 2 Instrument identity requires review; Table II rows are not merged. 1 source row Row 2 · 2022-04-29 · Sale · Disposed 21,454,672.2 · Balance 0 F3: The price includes the payment for partially accrued in-kind interest or dividends. F4: AG Energy Funding may convert the convertible note during its term into a number of shares of Class A Common Stock of Common Stock equal to the outstanding principal and accrued but unpaid interest divided by a conversion price of $4.38, subject to adjustment. If the convertible note is outstanding as of maturity, the convertible note will automatically be converted into shares of Common Stock using the volume weighted average price. The convertible note may not be converted if the conversion would result in violations of Nasdaq Capital Market's change of control or shareholder approval limitations. F1: These securities were held directly by AG Energy Funding, LLC ("AG Energy Funding") for which Angelo, Gordon & Co, L.P. ("Angelo Gordon") is the manager. Josh Baumgarten and Adam Schwartz are the managing members of AG GP LLC ("AG GP"), which is the sole general partner of Angelo Gordon. Each of Messrs. Baumgarten and Schwartz, and AG GP may be deemed to control Angelo Gordon. Each of Angelo Gordon, AG GP and Messrs. Baumgarten and Schwartz disclaim beneficial ownership of the securities reported herein except to the extent of its or his pecuniary interest therein and this report shall not be deemed to be an admission that any of Angelo Gordon, AG GP, Mr. Baumgarten or Mr. Schwartz is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.
Series A Redeemable Convertible Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $23.35	IndirectSee Footnote	Reported balance After 2022-04-29 transaction · row 3 Instrument identity requires review; Table II rows are not merged. 1 source row Row 3 · 2022-04-29 · Sale · Disposed 5,198 · Balance 0 F3: The price includes the payment for partially accrued in-kind interest or dividends. F5: The Series A Redeemable Convertible Preferred Stock has no expiration date. F1: These securities were held directly by AG Energy Funding, LLC ("AG Energy Funding") for which Angelo, Gordon & Co, L.P. ("Angelo Gordon") is the manager. Josh Baumgarten and Adam Schwartz are the managing members of AG GP LLC ("AG GP"), which is the sole general partner of Angelo Gordon. Each of Messrs. Baumgarten and Schwartz, and AG GP may be deemed to control Angelo Gordon. Each of Angelo Gordon, AG GP and Messrs. Baumgarten and Schwartz disclaim beneficial ownership of the securities reported herein except to the extent of its or his pecuniary interest therein and this report shall not be deemed to be an admission that any of Angelo Gordon, AG GP, Mr. Baumgarten or Mr. Schwartz is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.
Warrants for Class A Common Stock (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $26.81 · Expires 2025-05-24	IndirectSee Footnote	Reported balance After 2022-04-29 transaction · row 4 Instrument identity requires review; Table II rows are not merged. 1 source row Row 4 · 2022-04-29 · Sale · Disposed 2,666,669 · Balance 0 F1: These securities were held directly by AG Energy Funding, LLC ("AG Energy Funding") for which Angelo, Gordon & Co, L.P. ("Angelo Gordon") is the manager. Josh Baumgarten and Adam Schwartz are the managing members of AG GP LLC ("AG GP"), which is the sole general partner of Angelo Gordon. Each of Messrs. Baumgarten and Schwartz, and AG GP may be deemed to control Angelo Gordon. Each of Angelo Gordon, AG GP and Messrs. Baumgarten and Schwartz disclaim beneficial ownership of the securities reported herein except to the extent of its or his pecuniary interest therein and this report shall not be deemed to be an admission that any of Angelo Gordon, AG GP, Mr. Baumgarten or Mr. Schwartz is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.

Filing footnotes · ownership attribution and instrument terms

F1: These securities were held directly by AG Energy Funding, LLC ("AG Energy Funding") for which Angelo, Gordon & Co, L.P. ("Angelo Gordon") is the manager. Josh Baumgarten and Adam Schwartz are the managing members of AG GP LLC ("AG GP"), which is the sole general partner of Angelo Gordon. Each of Messrs. Baumgarten and Schwartz, and AG GP may be deemed to control Angelo Gordon. Each of Angelo Gordon, AG GP and Messrs. Baumgarten and Schwartz disclaim beneficial ownership of the securities reported herein except to the extent of its or his pecuniary interest therein and this report shall not be deemed to be an admission that any of Angelo Gordon, AG GP, Mr. Baumgarten or Mr. Schwartz is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.

F2: AG Energy Funding may have converted the convertible note during its term into a number of shares of Class A Common Stock of U.S. Well Services, Inc. (the "Common Stock") equal to the outstanding principal and accrued but unpaid interest divided by a conversion price of $7, subject to adjustment. If the convertible note is outstanding as of maturity, the convertible note will automatically be converted into shares of Common Stock using the volume weighted average price. The convertible note was not able to be converted unless the Issuer filed a listing application with the Nasdaq Capital Market and that application had been approved. The convertible note may not be converted if the conversion would result in violations of Nasdaq Capital Market's change of control or certain other Nasdaq rules.

F3: The price includes the payment for partially accrued in-kind interest or dividends.

F4: AG Energy Funding may convert the convertible note during its term into a number of shares of Class A Common Stock of Common Stock equal to the outstanding principal and accrued but unpaid interest divided by a conversion price of $4.38, subject to adjustment. If the convertible note is outstanding as of maturity, the convertible note will automatically be converted into shares of Common Stock using the volume weighted average price. The convertible note may not be converted if the conversion would result in violations of Nasdaq Capital Market's change of control or shareholder approval limitations.

F5: The Series A Redeemable Convertible Preferred Stock has no expiration date.

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
August 28, 2023 Filed Sep 7, 2023 20:25 UTC	TPG Twin Brook Capital Income Fund N/A · Entity 27612	PurchaseCommon shares of beneficial interest	2,718,615.526	$25.75	$70,004,349.79	Disclosure SEC source: 0001913724-23-000101 · wf-form4_169411834119200.xml · nonDerivative · entry 1 ANGELO GORDON & CO., L.P. · CIK 0000860662 · 10% owner AGTB BDC Holdings, L.P. · CIK 0001944208 · 10% owner AGTB BDC Holdings GP LLC · CIK 0001943685 · 10% owner · Reporting Person AG GP LLC · CIK 0001064683 · 10% owner · Reporting Person Baumgarten Joshua · CIK 0001320216 · 10% owner · Reporting Person SCHWARTZ ADAM R · CIK 0001872317 · 10% owner · Reporting Person Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 11,620,694.028 F1 · ownership.nature: These securities are held directly by AGTB BDC Holdings, L.P. ("BDC Holdings"). AGTB BDC Holdings GP LLC ("BDC Holdings GP") is the sole general partner of BDC Holdings, Angelo, Gordon & Co., L.P. ("Angelo Gordon") is the investment advisor to BDC Holdings and sole member of BDC Holdings GP, AG GP LLC ("AG GP") is the sole general partner of Angelo Gordon, and Mr. Baumgarten and Mr. Schwartz are the co-managing members of AG GP. Each of Messrs. Baumgarten and Schwartz, and AG GP may be deemed to control Angelo Gordon. Each of BDC Holdings GP, Angelo Gordon, AG GP and Messrs. Baumgarten and Schwartz disclaim beneficial ownership of the securities reported herein except to the extent of its or his pecuniary interest therein and this report shall not be deemed to be an admission that any of BDC Holdings GP, Angelo Gordon, AG GP, Mr. Baumgarten or Mr. Schwartz is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. Read SEC document
January 01, 2023 Filed Jan 9, 2023 22:13 UTC	AGTB Private BDC N/A · Entity 120862	OtherCommon shares of beneficial interest	8,902,078.502	$0.00	$0.00	Disclosure SEC source: 0000860662-23-000008 · wf-form4_167330240713482.xml · nonDerivative · entry 2 ANGELO GORDON & CO., L.P. · CIK 0000860662 · 10% owner AGTB BDC Holdings, L.P. · CIK 0001944208 · 10% owner AGTB BDC Holdings GP LLC · CIK 0001943685 · 10% owner AG GP LLC · CIK 0001064683 · 10% owner Baumgarten Joshua · CIK 0001320216 · 10% owner SCHWARTZ ADAM R · CIK 0001872317 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 F1 · kind: On January 1, 2023, Issuer completed its merger (the "Merger") with AG Twin Brook Capital Income Fund, a Delaware statutory trust ("TCAP"), with TCAP continuing as the surviving company. The Merger was completed pursuant to an Agreement and Plan of Merger dated December 30, 2022, by and between TCAP and Issuer. Prior to the Merger, Issuer was an affiliated, privately-offered business development company ("BDC") managed by AGTB Fund Manager, LLC, an affiliate of Angelo, Gordon & Co., L.P. ("Angelo Gordon"). TCAP is a public, non-exchange traded BDC, with the same investment manager and investment objective as Issuer. At the effective time of the Merger, each issued and outstanding common share of beneficial interest, par value $0.001 per share, of Issuer (other than certain excluded shares) outstanding immediately prior to the effective time was converted into Class I common shares of beneficial interest, par value $0.001 per share, of TCAP on a one-for-one basis. F1 · price: On January 1, 2023, Issuer completed its merger (the "Merger") with AG Twin Brook Capital Income Fund, a Delaware statutory trust ("TCAP"), with TCAP continuing as the surviving company. The Merger was completed pursuant to an Agreement and Plan of Merger dated December 30, 2022, by and between TCAP and Issuer. Prior to the Merger, Issuer was an affiliated, privately-offered business development company ("BDC") managed by AGTB Fund Manager, LLC, an affiliate of Angelo, Gordon & Co., L.P. ("Angelo Gordon"). TCAP is a public, non-exchange traded BDC, with the same investment manager and investment objective as Issuer. At the effective time of the Merger, each issued and outstanding common share of beneficial interest, par value $0.001 per share, of Issuer (other than certain excluded shares) outstanding immediately prior to the effective time was converted into Class I common shares of beneficial interest, par value $0.001 per share, of TCAP on a one-for-one basis. F3 · ownership.nature: Reflects shares held directly by AGTB BDC Holdings, L.P. ("BDC Holdings"). AGTB BDC Holdings GP LLC ("BDC Holdings GP") is the sole general partner of BDC Holdings. Angelo Gordon is the investment advisor to BDC Holdings and sole member of BDC Holdings GP. AG GP is the sole general partner of Angelo Gordon, and Mr. Baumgarten and Mr. Schwartz are the co-managing members of AG GP. Each of Messrs. Baumgarten and Schwartz, and AG GP may be deemed to control Angelo Gordon. Each of BDC Holdings GP, Angelo Gordon, AG GP and Messrs. Baumgarten and Schwartz disclaim beneficial ownership of the securities reported herein except to the extent of its or his pecuniary interest therein and this report shall not be deemed to be an admission that any of BDC Holdings GP, Angelo Gordon, AG GP, Mr. Baumgarten or Mr. Schwartz is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. Read SEC document
January 01, 2023 Filed Jan 9, 2023 22:13 UTC	AGTB Private BDC N/A · Entity 120862	OtherCommon shares of beneficial interest	158,610.258	$0.00	$0.00	Disclosure SEC source: 0000860662-23-000008 · wf-form4_167330240713482.xml · nonDerivative · entry 1 ANGELO GORDON & CO., L.P. · CIK 0000860662 · 10% owner AGTB BDC Holdings, L.P. · CIK 0001944208 · 10% owner AGTB BDC Holdings GP LLC · CIK 0001943685 · 10% owner AG GP LLC · CIK 0001064683 · 10% owner Baumgarten Joshua · CIK 0001320216 · 10% owner SCHWARTZ ADAM R · CIK 0001872317 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 F1 · kind: On January 1, 2023, Issuer completed its merger (the "Merger") with AG Twin Brook Capital Income Fund, a Delaware statutory trust ("TCAP"), with TCAP continuing as the surviving company. The Merger was completed pursuant to an Agreement and Plan of Merger dated December 30, 2022, by and between TCAP and Issuer. Prior to the Merger, Issuer was an affiliated, privately-offered business development company ("BDC") managed by AGTB Fund Manager, LLC, an affiliate of Angelo, Gordon & Co., L.P. ("Angelo Gordon"). TCAP is a public, non-exchange traded BDC, with the same investment manager and investment objective as Issuer. At the effective time of the Merger, each issued and outstanding common share of beneficial interest, par value $0.001 per share, of Issuer (other than certain excluded shares) outstanding immediately prior to the effective time was converted into Class I common shares of beneficial interest, par value $0.001 per share, of TCAP on a one-for-one basis. F1 · price: On January 1, 2023, Issuer completed its merger (the "Merger") with AG Twin Brook Capital Income Fund, a Delaware statutory trust ("TCAP"), with TCAP continuing as the surviving company. The Merger was completed pursuant to an Agreement and Plan of Merger dated December 30, 2022, by and between TCAP and Issuer. Prior to the Merger, Issuer was an affiliated, privately-offered business development company ("BDC") managed by AGTB Fund Manager, LLC, an affiliate of Angelo, Gordon & Co., L.P. ("Angelo Gordon"). TCAP is a public, non-exchange traded BDC, with the same investment manager and investment objective as Issuer. At the effective time of the Merger, each issued and outstanding common share of beneficial interest, par value $0.001 per share, of Issuer (other than certain excluded shares) outstanding immediately prior to the effective time was converted into Class I common shares of beneficial interest, par value $0.001 per share, of TCAP on a one-for-one basis. F2 · ownership.nature: Reflects shares held directly by Angelo Gordon. Joshua Baumgarten and Adam Schwartz are the co-managing members of AG GP LLC ("AG GP"), which is the sole general partner of Angelo Gordon. Each of Messrs. Baumgarten and Schwartz, and AG GP may be deemed to control Angelo Gordon. Each of AG GP and Messrs. Baumgarten and Schwartz disclaim beneficial ownership of the securities reported herein except to the extent of its or his pecuniary interest therein, and this report shall not be deemed to be an admission that any of AG GP, Mr. Baumgarten or Mr. Schwartz is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. Read SEC document
October 26, 2022 Filed Oct 28, 2022 21:00 UTC	AGTB Private BDC N/A · Entity 120862	PurchaseCommon shares of beneficial interest	2,031,544.544	$25.55	$51,901,900.01	Disclosure SEC source: 0001913721-22-000021 · wf-form4_166699078479233.xml · nonDerivative · entry 2 ANGELO GORDON & CO., L.P. · CIK 0000860662 · 10% owner AGTB BDC Holdings, L.P. · CIK 0001944208 · 10% owner AGTB BDC Holdings GP LLC · CIK 0001943685 · Reporting Person AG GP LLC · CIK 0001064683 · Reporting Person Baumgarten Joshua · CIK 0001320216 · Reporting Person SCHWARTZ ADAM R · CIK 0001872317 · Reporting Person Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 8,902,078.502 F2 · ownership.nature: These securities are held directly by AGTB BDC Holdings, L.P. ("BDC Holdings"). AGTB BDC Holdings GP LLC ("BDC Holdings GP") is the sole general partner of BDC Holdings, Angelo, Gordon & Co., L.P. ("Angelo Gordon") is the investment advisor to BDC Holdings and sole member of BDC Holdings GP, AG GP LLC ("AG GP") is the sole general partner of Angelo Gordon, and Mr. Baumgarten and Mr. Schwartz are the co-managing members of AG GP. Each of Messrs. Baumgarten and Schwartz, and AG GP may be deemed to control Angelo Gordon. Each of BDC Holdings GP, Angelo Gordon, AG GP and Messrs. Baumgarten and Schwartz disclaim beneficial ownership of the securities reported herein except to the extent of its or his pecuniary interest therein and this report shall not be deemed to be an admission that any of BDC Holdings GP, Angelo Gordon, AG GP, Mr. Baumgarten or Mr. Schwartz is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. Read SEC document
October 26, 2022 Filed Oct 28, 2022 21:00 UTC	AGTB Private BDC N/A · Entity 120862	PurchaseCommon shares of beneficial interest	32,841.788	$25.55	$839,042.00	Disclosure SEC source: 0001913721-22-000021 · wf-form4_166699078479233.xml · nonDerivative · entry 1 ANGELO GORDON & CO., L.P. · CIK 0000860662 · 10% owner AGTB BDC Holdings, L.P. · CIK 0001944208 · 10% owner AGTB BDC Holdings GP LLC · CIK 0001943685 · Reporting Person AG GP LLC · CIK 0001064683 · Reporting Person Baumgarten Joshua · CIK 0001320216 · Reporting Person SCHWARTZ ADAM R · CIK 0001872317 · Reporting Person Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 158,610.258 F1 · ownership.nature: These securities are held directly by Angelo Gordon. Josh Baumgarten and Adam Schwartz are the co-managing members of AG GP, which is the sole general partner of Angelo Gordon. Each of Messrs. Baumgarten and Schwartz, and AG GP may be deemed to control Angelo Gordon. Each of AG GP and Messrs. Baumgarten and Schwartz disclaim beneficial ownership of the securities reported herein except to the extent of its or his pecuniary interest therein and this report shall not be deemed to be an admission that any of AG GP, Mr. Baumgarten or Mr. Schwartz is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. Read SEC document
October 14, 2022 Filed Oct 18, 2022 20:35 UTC	AGTB Private BDC N/A · Entity 120862	PurchaseCommon shares of beneficial interest	1,686,589.482	$25.48	$42,974,300.00	Disclosure SEC source: 0001913721-22-000019 · wf-form4_166612530073395.xml · nonDerivative · entry 2 ANGELO GORDON & CO., L.P. · CIK 0000860662 · 10% owner AGTB BDC Holdings, L.P. · CIK 0001944208 · 10% owner AGTB BDC Holdings GP LLC · CIK 0001943685 · Reporting Person AG GP LLC · CIK 0001064683 · Reporting Person Baumgarten Joshua · CIK 0001320216 · Reporting Person SCHWARTZ ADAM R · CIK 0001872317 · Reporting Person Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 6,870,533.958 F2 · ownership.nature: These securities are held directly by AGTB BDC Holdings, L.P. ("BDC Holdings"). AGTB BDC Holdings GP LLC ("BDC Holdings GP") is the sole general partner of BDC Holdings, Angelo, Gordon & Co., L.P. ("Angelo Gordon") is the investment advisor to BDC Holdings and sole member of BDC Holdings GP, AG GP LLC ("AG GP") is the sole general partner of Angelo Gordon, and Mr. Baumgarten and Mr. Schwartz are the co-managing members of AG GP. Each of Messrs. Baumgarten and Schwartz, and AG GP may be deemed to control Angelo Gordon. Each of BDC Holdings GP, Angelo Gordon, AG GP and Messrs. Baumgarten and Schwartz disclaim beneficial ownership of the securities reported herein except to the extent of its or his pecuniary interest therein and this report shall not be deemed to be an admission that any of BDC Holdings GP, Angelo Gordon, AG GP, Mr. Baumgarten or Mr. Schwartz is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. Read SEC document
October 14, 2022 Filed Oct 18, 2022 20:35 UTC	AGTB Private BDC N/A · Entity 120862	PurchaseCommon shares of beneficial interest	33,265.306	$25.48	$847,600.00	Disclosure SEC source: 0001913721-22-000019 · wf-form4_166612530073395.xml · nonDerivative · entry 1 ANGELO GORDON & CO., L.P. · CIK 0000860662 · 10% owner AGTB BDC Holdings, L.P. · CIK 0001944208 · 10% owner AGTB BDC Holdings GP LLC · CIK 0001943685 · Reporting Person AG GP LLC · CIK 0001064683 · Reporting Person Baumgarten Joshua · CIK 0001320216 · Reporting Person SCHWARTZ ADAM R · CIK 0001872317 · Reporting Person Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 125,768.47 F1 · ownership.nature: These securities are held directly by Angelo Gordon. Josh Baumgarten and Adam Schwartz are the co-managing members of AG GP, which is the sole general partner of Angelo Gordon. Each of Messrs. Baumgarten and Schwartz, and AG GP may be deemed to control Angelo Gordon. Each of AG GP and Messrs. Baumgarten and Schwartz disclaim beneficial ownership of the securities reported herein except to the extent of its or his pecuniary interest therein and this report shall not be deemed to be an admission that any of AG GP, Mr. Baumgarten or Mr. Schwartz is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. Read SEC document
September 14, 2022 Filed Sep 16, 2022 21:30 UTC	ABRAXAS PETROLEUM CORP AXAS · Entity 117496	SaleSeries A Preferred Stock	685,505	$116.70	$79,998,433.50	Disclosure SEC source: 0000899243-22-031326 · doc4.xml · nonDerivative · entry 1 ANGELO GORDON & CO., L.P. · CIK 0000860662 · Director by Deputization AG Energy Funding, LLC · CIK 0001813673 · Director by Deputization AG GP LLC · CIK 0001064683 · Director by Deputization Baumgarten Joshua · CIK 0001320216 · Director by Deputization SCHWARTZ ADAM R · CIK 0001872317 · Director by Deputization Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 F1 · ownership.nature: The shares of Series A Preferred Stock were held directly by AG Energy Funding, LLC ("AG Energy Funding") for which Angelo, Gordon & Co, L.P. ("Angelo Gordon") is the manager. Josh Baumgarten and Adam Schwartz are the co-managing members of AG GP LLC ("AG GP"), which is the sole general partner of Angelo Gordon and Josh Baumgarten and Adam Schwartz are the co-chief executive officers of Angelo Gordon. Each of Josh Baumgarten, Adam Schwartz and AG GP may be deemed to control Angelo Gordon. Each of Angelo Gordon, AG GP, Josh Baumgarten and Adam Schwartz disclaim beneficial ownership of the securities reported herein except to the extent of its or his pecuniary interest therein and this report shall not be deemed to be an admission that any of Angelo Gordon, AG GP, Josh Baumgarten or Adam Schwartz is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. Read SEC document
August 31, 2022 Filed Sep 2, 2022 14:21 UTC	AGTB Private BDC N/A · Entity 120862	PurchaseCommon shares of beneficial interest	2,944,869.247	$25.16	$74,098,799.99	Disclosure SEC source: 0000860662-22-000011 · wf-form4_166212849499312.xml · nonDerivative · entry 4 ANGELO GORDON & CO., L.P. · CIK 0000860662 · 10% owner AGTB BDC Holdings, L.P. · CIK 0001944208 · 10% owner AGTB BDC Holdings GP LLC · CIK 0001943685 · Reporting Person AG GP LLC · CIK 0001064683 · Reporting Person Baumgarten Joshua · CIK 0001320216 · Reporting Person SCHWARTZ ADAM R · CIK 0001872317 · Reporting Person Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 5,183,944.476 F2 · ownership.nature: These securities are held directly by AGTB BDC Holdings, L.P. ("BDC Holdings"). AGTB BDC Holdings GP LLC ("BDC Holdings GP") is the sole general partner of BDC Holdings, Angelo, Gordon & Co., L.P. ("Angelo Gordon") is the investment advisor to BDC Holdings and sole member of BDC Holdings GP, AG GP LLC ("AG GP") is the sole general partner of Angelo Gordon, and Mr. Baumgarten and Mr. Schwartz are the co-managing members of AG GP. Each of Messrs. Baumgarten and Schwartz, and AG GP may be deemed to control Angelo Gordon. Each of BDC Holdings GP, Angelo Gordon, AG GP and Messrs. Baumgarten and Schwartz disclaim beneficial ownership of the securities reported herein except to the extent of its or his pecuniary interest therein and this report shall not be deemed to be an admission that any of BDC Holdings GP, Angelo Gordon, AG GP, Mr. Baumgarten or Mr. Schwartz is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. Read SEC document
August 31, 2022 Filed Sep 2, 2022 14:21 UTC	AGTB Private BDC N/A · Entity 120862	PurchaseCommon shares of beneficial interest	3,711.947	$25.16	$93,400.01	Disclosure SEC source: 0000860662-22-000011 · wf-form4_166212849499312.xml · nonDerivative · entry 3 ANGELO GORDON & CO., L.P. · CIK 0000860662 · 10% owner AGTB BDC Holdings, L.P. · CIK 0001944208 · 10% owner AGTB BDC Holdings GP LLC · CIK 0001943685 · Reporting Person AG GP LLC · CIK 0001064683 · Reporting Person Baumgarten Joshua · CIK 0001320216 · Reporting Person SCHWARTZ ADAM R · CIK 0001872317 · Reporting Person Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 92,503.164 F1 · ownership.nature: These securities are held directly by Angelo Gordon. Josh Baumgarten and Adam Schwartz are the co-managing members of AG GP, which is the sole general partner of Angelo Gordon. Each of Messrs. Baumgarten and Schwartz, and AG GP may be deemed to control Angelo Gordon. Each of AG GP and Messrs. Baumgarten and Schwartz disclaim beneficial ownership of the securities reported herein except to the extent of its or his pecuniary interest therein and this report shall not be deemed to be an admission that any of AG GP, Mr. Baumgarten or Mr. Schwartz is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. Read SEC document
August 15, 2022 Filed Sep 2, 2022 14:21 UTC	AGTB Private BDC N/A · Entity 120862	PurchaseCommon shares of beneficial interest	496,075.229	$25.10	$12,450,000.02	Disclosure SEC source: 0000860662-22-000011 · wf-form4_166212849499312.xml · nonDerivative · entry 2 ANGELO GORDON & CO., L.P. · CIK 0000860662 · 10% owner AGTB BDC Holdings, L.P. · CIK 0001944208 · 10% owner AGTB BDC Holdings GP LLC · CIK 0001943685 · Reporting Person AG GP LLC · CIK 0001064683 · Reporting Person Baumgarten Joshua · CIK 0001320216 · Reporting Person SCHWARTZ ADAM R · CIK 0001872317 · Reporting Person Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,239,075.229 F2 · ownership.nature: These securities are held directly by AGTB BDC Holdings, L.P. ("BDC Holdings"). AGTB BDC Holdings GP LLC ("BDC Holdings GP") is the sole general partner of BDC Holdings, Angelo, Gordon & Co., L.P. ("Angelo Gordon") is the investment advisor to BDC Holdings and sole member of BDC Holdings GP, AG GP LLC ("AG GP") is the sole general partner of Angelo Gordon, and Mr. Baumgarten and Mr. Schwartz are the co-managing members of AG GP. Each of Messrs. Baumgarten and Schwartz, and AG GP may be deemed to control Angelo Gordon. Each of BDC Holdings GP, Angelo Gordon, AG GP and Messrs. Baumgarten and Schwartz disclaim beneficial ownership of the securities reported herein except to the extent of its or his pecuniary interest therein and this report shall not be deemed to be an admission that any of BDC Holdings GP, Angelo Gordon, AG GP, Mr. Baumgarten or Mr. Schwartz is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. Read SEC document
August 15, 2022 Filed Sep 2, 2022 14:21 UTC	AGTB Private BDC N/A · Entity 120862	PurchaseCommon shares of beneficial interest	1,831.217	$25.10	$45,958.05	Disclosure SEC source: 0000860662-22-000011 · wf-form4_166212849499312.xml · nonDerivative · entry 1 ANGELO GORDON & CO., L.P. · CIK 0000860662 · 10% owner AGTB BDC Holdings, L.P. · CIK 0001944208 · 10% owner AGTB BDC Holdings GP LLC · CIK 0001943685 · Reporting Person AG GP LLC · CIK 0001064683 · Reporting Person Baumgarten Joshua · CIK 0001320216 · Reporting Person SCHWARTZ ADAM R · CIK 0001872317 · Reporting Person Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 88,791.217 F1 · ownership.nature: These securities are held directly by Angelo Gordon. Josh Baumgarten and Adam Schwartz are the co-managing members of AG GP, which is the sole general partner of Angelo Gordon. Each of Messrs. Baumgarten and Schwartz, and AG GP may be deemed to control Angelo Gordon. Each of AG GP and Messrs. Baumgarten and Schwartz disclaim beneficial ownership of the securities reported herein except to the extent of its or his pecuniary interest therein and this report shall not be deemed to be an admission that any of AG GP, Mr. Baumgarten or Mr. Schwartz is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. Read SEC document
April 29, 2022 Filed May 2, 2022 22:27 UTC	U.S. WELL SERVICES HOLDINGS, LLC USWS · Entity 122531	SaleWarrants for Class A Common Stock (Right to Buy) · Derivative	2,666,669	$0.00 Strike: $26.81	$0.00	Disclosure SEC source: 0000899243-22-016156 · doc4.xml · derivative · entry 4 ANGELO GORDON & CO., L.P. · CIK 0000860662 · 10% owner AG Energy Funding, LLC · CIK 0001813673 · 10% owner AG GP LLC · CIK 0001064683 · 10% owner Baumgarten Joshua · CIK 0001320216 · 10% owner SCHWARTZ ADAM R · CIK 0001872317 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Class A Common Stock · 761,905 shares Expires 2025-05-24 F1 · ownership.nature: These securities were held directly by AG Energy Funding, LLC ("AG Energy Funding") for which Angelo, Gordon & Co, L.P. ("Angelo Gordon") is the manager. Josh Baumgarten and Adam Schwartz are the managing members of AG GP LLC ("AG GP"), which is the sole general partner of Angelo Gordon. Each of Messrs. Baumgarten and Schwartz, and AG GP may be deemed to control Angelo Gordon. Each of Angelo Gordon, AG GP and Messrs. Baumgarten and Schwartz disclaim beneficial ownership of the securities reported herein except to the extent of its or his pecuniary interest therein and this report shall not be deemed to be an admission that any of Angelo Gordon, AG GP, Mr. Baumgarten or Mr. Schwartz is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. Read SEC document
April 29, 2022 Filed May 2, 2022 22:27 UTC	U.S. WELL SERVICES HOLDINGS, LLC USWS · Entity 122531	SaleSeries A Redeemable Convertible Preferred Stock · Derivative	5,198	$1,245.66 Strike: $23.35	$6,474,940.68	Disclosure SEC source: 0000899243-22-016156 · doc4.xml · derivative · entry 3 ANGELO GORDON & CO., L.P. · CIK 0000860662 · 10% owner AG Energy Funding, LLC · CIK 0001813673 · 10% owner AG GP LLC · CIK 0001064683 · 10% owner Baumgarten Joshua · CIK 0001320216 · 10% owner SCHWARTZ ADAM R · CIK 0001872317 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Class A Common Stock · 317,004 shares Expires not disclosed F3 · price: The price includes the payment for partially accrued in-kind interest or dividends. F5 · derivative.expiration_date: The Series A Redeemable Convertible Preferred Stock has no expiration date. F1 · ownership.nature: These securities were held directly by AG Energy Funding, LLC ("AG Energy Funding") for which Angelo, Gordon & Co, L.P. ("Angelo Gordon") is the manager. Josh Baumgarten and Adam Schwartz are the managing members of AG GP LLC ("AG GP"), which is the sole general partner of Angelo Gordon. Each of Messrs. Baumgarten and Schwartz, and AG GP may be deemed to control Angelo Gordon. Each of Angelo Gordon, AG GP and Messrs. Baumgarten and Schwartz disclaim beneficial ownership of the securities reported herein except to the extent of its or his pecuniary interest therein and this report shall not be deemed to be an admission that any of Angelo Gordon, AG GP, Mr. Baumgarten or Mr. Schwartz is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. Read SEC document
April 29, 2022 Filed May 2, 2022 22:27 UTC	U.S. WELL SERVICES HOLDINGS, LLC USWS · Entity 122531	SaleConvertible Senior Secured (Third Lien) PIK Note · Derivative	21,454,672.2	$21,523,327.20 Strike: $4.38	$461,775,929,729,343.84	Disclosure SEC source: 0000899243-22-016156 · doc4.xml · derivative · entry 2 ANGELO GORDON & CO., L.P. · CIK 0000860662 · 10% owner AG Energy Funding, LLC · CIK 0001813673 · 10% owner AG GP LLC · CIK 0001064683 · 10% owner Baumgarten Joshua · CIK 0001320216 · 10% owner SCHWARTZ ADAM R · CIK 0001872317 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Class A Common Stock · 4,903,925 shares Expires 2026-06-05 F3 · price: The price includes the payment for partially accrued in-kind interest or dividends. F4 · derivative.underlying_shares: AG Energy Funding may convert the convertible note during its term into a number of shares of Class A Common Stock of Common Stock equal to the outstanding principal and accrued but unpaid interest divided by a conversion price of $4.38, subject to adjustment. If the convertible note is outstanding as of maturity, the convertible note will automatically be converted into shares of Common Stock using the volume weighted average price. The convertible note may not be converted if the conversion would result in violations of Nasdaq Capital Market's change of control or shareholder approval limitations. F1 · ownership.nature: These securities were held directly by AG Energy Funding, LLC ("AG Energy Funding") for which Angelo, Gordon & Co, L.P. ("Angelo Gordon") is the manager. Josh Baumgarten and Adam Schwartz are the managing members of AG GP LLC ("AG GP"), which is the sole general partner of Angelo Gordon. Each of Messrs. Baumgarten and Schwartz, and AG GP may be deemed to control Angelo Gordon. Each of Angelo Gordon, AG GP and Messrs. Baumgarten and Schwartz disclaim beneficial ownership of the securities reported herein except to the extent of its or his pecuniary interest therein and this report shall not be deemed to be an admission that any of Angelo Gordon, AG GP, Mr. Baumgarten or Mr. Schwartz is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. Read SEC document
April 29, 2022 Filed May 2, 2022 22:27 UTC	U.S. WELL SERVICES HOLDINGS, LLC USWS · Entity 122531	SaleConvertible Senior Secured (Third Lien) PIK Note · Derivative	21,454,672.2	$21,523,327.20 Strike: $7.00	$461,775,929,729,343.84	Disclosure SEC source: 0000899243-22-016156 · doc4.xml · derivative · entry 1 ANGELO GORDON & CO., L.P. · CIK 0000860662 · 10% owner AG Energy Funding, LLC · CIK 0001813673 · 10% owner AG GP LLC · CIK 0001064683 · 10% owner Baumgarten Joshua · CIK 0001320216 · 10% owner SCHWARTZ ADAM R · CIK 0001872317 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Class A Common Stock · 3,064,953 shares Expires 2026-06-05 F3 · price: The price includes the payment for partially accrued in-kind interest or dividends. F2 · derivative.underlying_shares: AG Energy Funding may have converted the convertible note during its term into a number of shares of Class A Common Stock of U.S. Well Services, Inc. (the "Common Stock") equal to the outstanding principal and accrued but unpaid interest divided by a conversion price of $7, subject to adjustment. If the convertible note is outstanding as of maturity, the convertible note will automatically be converted into shares of Common Stock using the volume weighted average price. The convertible note was not able to be converted unless the Issuer filed a listing application with the Nasdaq Capital Market and that application had been approved. The convertible note may not be converted if the conversion would result in violations of Nasdaq Capital Market's change of control or certain other Nasdaq rules. F1 · ownership.nature: These securities were held directly by AG Energy Funding, LLC ("AG Energy Funding") for which Angelo, Gordon & Co, L.P. ("Angelo Gordon") is the manager. Josh Baumgarten and Adam Schwartz are the managing members of AG GP LLC ("AG GP"), which is the sole general partner of Angelo Gordon. Each of Messrs. Baumgarten and Schwartz, and AG GP may be deemed to control Angelo Gordon. Each of Angelo Gordon, AG GP and Messrs. Baumgarten and Schwartz disclaim beneficial ownership of the securities reported herein except to the extent of its or his pecuniary interest therein and this report shall not be deemed to be an admission that any of Angelo Gordon, AG GP, Mr. Baumgarten or Mr. Schwartz is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. 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.