BRC Partners Opportunity Fund, LP

SEC source: 0001213900-20-004334 · ownership.xml · derivative · entry 13

B. Riley Financial, Inc. · CIK 0001464790 · 10% owner

B. Riley Principal Sponsor Co., LLC · CIK 0001772457 · 10% owner

B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner

BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner

BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner

B. Riley FBR, Inc. · CIK 0001505748 · 10% owner

B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See notes

Disclosed balance after: 1,623,575

Underlying: Common Stock · 1,250,000 shares

Expires not disclosed

F7 · kind: Immediately prior to the closing, pursuant to the forward purchase agreement, dated as of April 8, 2019 (the "Forward Purchase Agreement"), by and between the Company and BRPI, the Company issued to BRPI 2,500,000 shares of common stock for $10.00 per share, for an aggregate purchase price of $25,000,000, plus 1,250,000 warrants.

F7 · price: Immediately prior to the closing, pursuant to the forward purchase agreement, dated as of April 8, 2019 (the "Forward Purchase Agreement"), by and between the Company and BRPI, the Company issued to BRPI 2,500,000 shares of common stock for $10.00 per share, for an aggregate purchase price of $25,000,000, plus 1,250,000 warrants.

F12 · derivative.exercise_date: The warrants will become exercisable on April 11, 2020, which is 12 months from the closing of the initial public offering of the Issuer.

F13 · derivative.expiration_date: The warrants will expire five years after the completion of the Business Combination or earlier upon redemption or liquidation, as further described in the Prospectus.

F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by B. Riley Principal Sponsor Co., LLC (the "Sponsor"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI"), and B. Riley FBR, Inc., a Delaware corporation ("BRFBR" and collectively, the "Filing Persons"). Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock ("Common Stock") of Alta Equipment Group Inc., a Delaware corporation (the "Issuer" or the "Company"), reported herein except to the extent of its pecuniary interest therein.

F2 · ownership.nature: BRPGP is the general partner of BRPLP, BRCM is an investment advisor to BRPLP, and BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the Shares held by BRPLP. BRF is the parent company of BRFBR and the sole member of the managing member of the Sponsor, and has voting and dispositive power over the securities held by each of BRFBR and the Sponsor. As a result, BRF may be deemed to indirectly beneficially own the securities held by BRFBR and the Sponsor. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRPI.

F8 · ownership.nature: Represents shares of Common Stock or warrants held directly by BRPI.

SEC source: 0001213900-20-004334 · ownership.xml · derivative · entry 12

B. Riley Financial, Inc. · CIK 0001464790 · 10% owner

B. Riley Principal Sponsor Co., LLC · CIK 0001772457 · 10% owner

B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner

BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner

BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner

B. Riley FBR, Inc. · CIK 0001505748 · 10% owner

B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See notes

Disclosed balance after: 373,575

Underlying: Common Stock · 138,750 shares

Expires not disclosed

F6 · kind: On February 12, 2020, the Company entered into securities purchase agreements (the "Securities Purchase Agreements") with BRPLP and certain PIPE investors, which include Zachary E. Savas and Andrew Studdert, two of the members of the Company's board of directors, pursuant to which such PIPE investors have agreed to purchase from BRPLP an aggregate of 370,000 of the shares of common stock BRPLP subscribed to purchase at a price of $10.00 per share, or $3,700,000, and pursuant to which such PIPE investors will receive an additional 19,473 shares of common stock (each, an "incentive share") and 138,750 warrants to purchase shares of common stock (each, an "incentive warrant") from BRPLP in the aggregate.

F6 · price: On February 12, 2020, the Company entered into securities purchase agreements (the "Securities Purchase Agreements") with BRPLP and certain PIPE investors, which include Zachary E. Savas and Andrew Studdert, two of the members of the Company's board of directors, pursuant to which such PIPE investors have agreed to purchase from BRPLP an aggregate of 370,000 of the shares of common stock BRPLP subscribed to purchase at a price of $10.00 per share, or $3,700,000, and pursuant to which such PIPE investors will receive an additional 19,473 shares of common stock (each, an "incentive share") and 138,750 warrants to purchase shares of common stock (each, an "incentive warrant") from BRPLP in the aggregate.

F12 · derivative.exercise_date: The warrants will become exercisable on April 11, 2020, which is 12 months from the closing of the initial public offering of the Issuer.

F13 · derivative.expiration_date: The warrants will expire five years after the completion of the Business Combination or earlier upon redemption or liquidation, as further described in the Prospectus.

F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by B. Riley Principal Sponsor Co., LLC (the "Sponsor"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI"), and B. Riley FBR, Inc., a Delaware corporation ("BRFBR" and collectively, the "Filing Persons"). Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock ("Common Stock") of Alta Equipment Group Inc., a Delaware corporation (the "Issuer" or the "Company"), reported herein except to the extent of its pecuniary interest therein.

F2 · ownership.nature: BRPGP is the general partner of BRPLP, BRCM is an investment advisor to BRPLP, and BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the Shares held by BRPLP. BRF is the parent company of BRFBR and the sole member of the managing member of the Sponsor, and has voting and dispositive power over the securities held by each of BRFBR and the Sponsor. As a result, BRF may be deemed to indirectly beneficially own the securities held by BRFBR and the Sponsor. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRPI.

F3 · ownership.nature: Represents shares of Common Stock or warrants held directly by BRPLP.

SEC source: 0001213900-20-004334 · ownership.xml · derivative · entry 11

B. Riley Financial, Inc. · CIK 0001464790 · 10% owner

B. Riley Principal Sponsor Co., LLC · CIK 0001772457 · 10% owner

B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner

BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner

BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner

B. Riley FBR, Inc. · CIK 0001505748 · 10% owner

B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See notes

Disclosed balance after: 512,325

Underlying: Common Stock · 256,875 shares

Expires not disclosed

F5 · kind: As an inducement to enter into the subscription agreements, and upon the consummation of the business combination, the PIPE investors (other than BRPI) received an aggregate of 178,947 incentive shares and an aggregate of 1,275,000 of the Company's warrants.

F5 · price: As an inducement to enter into the subscription agreements, and upon the consummation of the business combination, the PIPE investors (other than BRPI) received an aggregate of 178,947 incentive shares and an aggregate of 1,275,000 of the Company's warrants.

F12 · derivative.exercise_date: The warrants will become exercisable on April 11, 2020, which is 12 months from the closing of the initial public offering of the Issuer.

F13 · derivative.expiration_date: The warrants will expire five years after the completion of the Business Combination or earlier upon redemption or liquidation, as further described in the Prospectus.

F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by B. Riley Principal Sponsor Co., LLC (the "Sponsor"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI"), and B. Riley FBR, Inc., a Delaware corporation ("BRFBR" and collectively, the "Filing Persons"). Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock ("Common Stock") of Alta Equipment Group Inc., a Delaware corporation (the "Issuer" or the "Company"), reported herein except to the extent of its pecuniary interest therein.

F2 · ownership.nature: BRPGP is the general partner of BRPLP, BRCM is an investment advisor to BRPLP, and BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the Shares held by BRPLP. BRF is the parent company of BRFBR and the sole member of the managing member of the Sponsor, and has voting and dispositive power over the securities held by each of BRFBR and the Sponsor. As a result, BRF may be deemed to indirectly beneficially own the securities held by BRFBR and the Sponsor. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRPI.

F3 · ownership.nature: Represents shares of Common Stock or warrants held directly by BRPLP.

SEC source: 0001213900-20-004334 · ownership.xml · nonDerivative · entry 10

B. Riley Financial, Inc. · CIK 0001464790 · 10% owner

B. Riley Principal Sponsor Co., LLC · CIK 0001772457 · 10% owner

B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner

BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner

BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner

B. Riley FBR, Inc. · CIK 0001505748 · 10% owner

B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See notes

Disclosed balance after: 4,992,040

F11 · kind: Represents shares of Common Stock sent in a pro rata distribution by the Sponsor to certain of its members in connection with the business combination.

F11 · price: Represents shares of Common Stock sent in a pro rata distribution by the Sponsor to certain of its members in connection with the business combination.

F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by B. Riley Principal Sponsor Co., LLC (the "Sponsor"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI"), and B. Riley FBR, Inc., a Delaware corporation ("BRFBR" and collectively, the "Filing Persons"). Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock ("Common Stock") of Alta Equipment Group Inc., a Delaware corporation (the "Issuer" or the "Company"), reported herein except to the extent of its pecuniary interest therein.

F2 · ownership.nature: BRPGP is the general partner of BRPLP, BRCM is an investment advisor to BRPLP, and BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the Shares held by BRPLP. BRF is the parent company of BRFBR and the sole member of the managing member of the Sponsor, and has voting and dispositive power over the securities held by each of BRFBR and the Sponsor. As a result, BRF may be deemed to indirectly beneficially own the securities held by BRFBR and the Sponsor. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRPI.

F10 · ownership.nature: Represents shares of Common Stock or warrants held directly by the Sponsor.

SEC source: 0001213900-20-004334 · ownership.xml · nonDerivative · entry 9

B. Riley Financial, Inc. · CIK 0001464790 · 10% owner

B. Riley Principal Sponsor Co., LLC · CIK 0001772457 · 10% owner

B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner

BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner

BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner

B. Riley FBR, Inc. · CIK 0001505748 · 10% owner

B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See notes

Disclosed balance after: 5,178,435

F11 · kind: Represents shares of Common Stock sent in a pro rata distribution by the Sponsor to certain of its members in connection with the business combination.

F11 · price: Represents shares of Common Stock sent in a pro rata distribution by the Sponsor to certain of its members in connection with the business combination.

F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by B. Riley Principal Sponsor Co., LLC (the "Sponsor"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI"), and B. Riley FBR, Inc., a Delaware corporation ("BRFBR" and collectively, the "Filing Persons"). Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock ("Common Stock") of Alta Equipment Group Inc., a Delaware corporation (the "Issuer" or the "Company"), reported herein except to the extent of its pecuniary interest therein.

F2 · ownership.nature: BRPGP is the general partner of BRPLP, BRCM is an investment advisor to BRPLP, and BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the Shares held by BRPLP. BRF is the parent company of BRFBR and the sole member of the managing member of the Sponsor, and has voting and dispositive power over the securities held by each of BRFBR and the Sponsor. As a result, BRF may be deemed to indirectly beneficially own the securities held by BRFBR and the Sponsor. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRPI.

F10 · ownership.nature: Represents shares of Common Stock or warrants held directly by the Sponsor.

SEC source: 0001213900-20-004334 · ownership.xml · nonDerivative · entry 8

B. Riley Financial, Inc. · CIK 0001464790 · 10% owner

B. Riley Principal Sponsor Co., LLC · CIK 0001772457 · 10% owner

B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner

BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner

BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner

B. Riley FBR, Inc. · CIK 0001505748 · 10% owner

B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See notes

Disclosed balance after: 5,458,027

F9 · kind: Immediately prior to the Closing, in connection with the Subscription Agreements, the Sponsor forfeited 178,947 shares of common stock to the Company for cancellation for no consideration, and BRPI and the Sponsor transferred an aggregate of 1,275,000 warrants to the Company for no consideration. In addition, immediately prior to the Closing, the Sponsor forfeited to the Company for cancellation for no consideration an aggregate of 1,470,855 additional shares of common stock.

F9 · price: Immediately prior to the Closing, in connection with the Subscription Agreements, the Sponsor forfeited 178,947 shares of common stock to the Company for cancellation for no consideration, and BRPI and the Sponsor transferred an aggregate of 1,275,000 warrants to the Company for no consideration. In addition, immediately prior to the Closing, the Sponsor forfeited to the Company for cancellation for no consideration an aggregate of 1,470,855 additional shares of common stock.

F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by B. Riley Principal Sponsor Co., LLC (the "Sponsor"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI"), and B. Riley FBR, Inc., a Delaware corporation ("BRFBR" and collectively, the "Filing Persons"). Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock ("Common Stock") of Alta Equipment Group Inc., a Delaware corporation (the "Issuer" or the "Company"), reported herein except to the extent of its pecuniary interest therein.

F2 · ownership.nature: BRPGP is the general partner of BRPLP, BRCM is an investment advisor to BRPLP, and BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the Shares held by BRPLP. BRF is the parent company of BRFBR and the sole member of the managing member of the Sponsor, and has voting and dispositive power over the securities held by each of BRFBR and the Sponsor. As a result, BRF may be deemed to indirectly beneficially own the securities held by BRFBR and the Sponsor. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRPI.

F10 · ownership.nature: Represents shares of Common Stock or warrants held directly by the Sponsor.

SEC source: 0001213900-20-004334 · ownership.xml · nonDerivative · entry 7

B. Riley Financial, Inc. · CIK 0001464790 · 10% owner

B. Riley Principal Sponsor Co., LLC · CIK 0001772457 · 10% owner

B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner

BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner

BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner

B. Riley FBR, Inc. · CIK 0001505748 · 10% owner

B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See notes

Disclosed balance after: 6,928,882

F9 · kind: Immediately prior to the Closing, in connection with the Subscription Agreements, the Sponsor forfeited 178,947 shares of common stock to the Company for cancellation for no consideration, and BRPI and the Sponsor transferred an aggregate of 1,275,000 warrants to the Company for no consideration. In addition, immediately prior to the Closing, the Sponsor forfeited to the Company for cancellation for no consideration an aggregate of 1,470,855 additional shares of common stock.

F9 · price: Immediately prior to the Closing, in connection with the Subscription Agreements, the Sponsor forfeited 178,947 shares of common stock to the Company for cancellation for no consideration, and BRPI and the Sponsor transferred an aggregate of 1,275,000 warrants to the Company for no consideration. In addition, immediately prior to the Closing, the Sponsor forfeited to the Company for cancellation for no consideration an aggregate of 1,470,855 additional shares of common stock.

F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by B. Riley Principal Sponsor Co., LLC (the "Sponsor"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI"), and B. Riley FBR, Inc., a Delaware corporation ("BRFBR" and collectively, the "Filing Persons"). Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock ("Common Stock") of Alta Equipment Group Inc., a Delaware corporation (the "Issuer" or the "Company"), reported herein except to the extent of its pecuniary interest therein.

F2 · ownership.nature: BRPGP is the general partner of BRPLP, BRCM is an investment advisor to BRPLP, and BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the Shares held by BRPLP. BRF is the parent company of BRFBR and the sole member of the managing member of the Sponsor, and has voting and dispositive power over the securities held by each of BRFBR and the Sponsor. As a result, BRF may be deemed to indirectly beneficially own the securities held by BRFBR and the Sponsor. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRPI.

F10 · ownership.nature: Represents shares of Common Stock or warrants held directly by the Sponsor.

SEC source: 0001213900-20-004334 · ownership.xml · nonDerivative · entry 6

B. Riley Financial, Inc. · CIK 0001464790 · 10% owner

B. Riley Principal Sponsor Co., LLC · CIK 0001772457 · 10% owner

B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner

BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner

BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner

B. Riley FBR, Inc. · CIK 0001505748 · 10% owner

B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See notes

Disclosed balance after: 7,107,829

F4 · kind: As previously disclosed, on December 12, 2019, the Company entered into certain subscription agreements (the "Subscription Agreements") with institutional and accredited investors (the "PIPE investors") pursuant to which such investors agreed to purchase, immediately prior to the closing of the Business Combination, an aggregate of $35,000,000 of the Company's shares of common stock at a price of $10.00 per share, or an aggregate of 3,500,000 shares of common stock. As previously disclosed, BRPLP and BRPI are among the PIPE investors.

F4 · price: As previously disclosed, on December 12, 2019, the Company entered into certain subscription agreements (the "Subscription Agreements") with institutional and accredited investors (the "PIPE investors") pursuant to which such investors agreed to purchase, immediately prior to the closing of the Business Combination, an aggregate of $35,000,000 of the Company's shares of common stock at a price of $10.00 per share, or an aggregate of 3,500,000 shares of common stock. As previously disclosed, BRPLP and BRPI are among the PIPE investors.

F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by B. Riley Principal Sponsor Co., LLC (the "Sponsor"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI"), and B. Riley FBR, Inc., a Delaware corporation ("BRFBR" and collectively, the "Filing Persons"). Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock ("Common Stock") of Alta Equipment Group Inc., a Delaware corporation (the "Issuer" or the "Company"), reported herein except to the extent of its pecuniary interest therein.

F2 · ownership.nature: BRPGP is the general partner of BRPLP, BRCM is an investment advisor to BRPLP, and BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the Shares held by BRPLP. BRF is the parent company of BRFBR and the sole member of the managing member of the Sponsor, and has voting and dispositive power over the securities held by each of BRFBR and the Sponsor. As a result, BRF may be deemed to indirectly beneficially own the securities held by BRFBR and the Sponsor. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRPI.

F8 · ownership.nature: Represents shares of Common Stock or warrants held directly by BRPI.

SEC source: 0001213900-20-004334 · ownership.xml · nonDerivative · entry 5

B. Riley Financial, Inc. · CIK 0001464790 · 10% owner

B. Riley Principal Sponsor Co., LLC · CIK 0001772457 · 10% owner

B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner

BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner

BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner

B. Riley FBR, Inc. · CIK 0001505748 · 10% owner

B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See notes

Disclosed balance after: 7,007,829

F7 · kind: Immediately prior to the closing, pursuant to the forward purchase agreement, dated as of April 8, 2019 (the "Forward Purchase Agreement"), by and between the Company and BRPI, the Company issued to BRPI 2,500,000 shares of common stock for $10.00 per share, for an aggregate purchase price of $25,000,000, plus 1,250,000 warrants.

F7 · price: Immediately prior to the closing, pursuant to the forward purchase agreement, dated as of April 8, 2019 (the "Forward Purchase Agreement"), by and between the Company and BRPI, the Company issued to BRPI 2,500,000 shares of common stock for $10.00 per share, for an aggregate purchase price of $25,000,000, plus 1,250,000 warrants.

F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by B. Riley Principal Sponsor Co., LLC (the "Sponsor"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI"), and B. Riley FBR, Inc., a Delaware corporation ("BRFBR" and collectively, the "Filing Persons"). Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock ("Common Stock") of Alta Equipment Group Inc., a Delaware corporation (the "Issuer" or the "Company"), reported herein except to the extent of its pecuniary interest therein.

F2 · ownership.nature: BRPGP is the general partner of BRPLP, BRCM is an investment advisor to BRPLP, and BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the Shares held by BRPLP. BRF is the parent company of BRFBR and the sole member of the managing member of the Sponsor, and has voting and dispositive power over the securities held by each of BRFBR and the Sponsor. As a result, BRF may be deemed to indirectly beneficially own the securities held by BRFBR and the Sponsor. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRPI.

F8 · ownership.nature: Represents shares of Common Stock or warrants held directly by BRPI.

SEC source: 0001213900-20-004334 · ownership.xml · nonDerivative · entry 4

B. Riley Financial, Inc. · CIK 0001464790 · 10% owner

B. Riley Principal Sponsor Co., LLC · CIK 0001772457 · 10% owner

B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner

BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner

BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner

B. Riley FBR, Inc. · CIK 0001505748 · 10% owner

B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See notes

Disclosed balance after: 4,507,829

F6 · kind: On February 12, 2020, the Company entered into securities purchase agreements (the "Securities Purchase Agreements") with BRPLP and certain PIPE investors, which include Zachary E. Savas and Andrew Studdert, two of the members of the Company's board of directors, pursuant to which such PIPE investors have agreed to purchase from BRPLP an aggregate of 370,000 of the shares of common stock BRPLP subscribed to purchase at a price of $10.00 per share, or $3,700,000, and pursuant to which such PIPE investors will receive an additional 19,473 shares of common stock (each, an "incentive share") and 138,750 warrants to purchase shares of common stock (each, an "incentive warrant") from BRPLP in the aggregate.

F6 · price: On February 12, 2020, the Company entered into securities purchase agreements (the "Securities Purchase Agreements") with BRPLP and certain PIPE investors, which include Zachary E. Savas and Andrew Studdert, two of the members of the Company's board of directors, pursuant to which such PIPE investors have agreed to purchase from BRPLP an aggregate of 370,000 of the shares of common stock BRPLP subscribed to purchase at a price of $10.00 per share, or $3,700,000, and pursuant to which such PIPE investors will receive an additional 19,473 shares of common stock (each, an "incentive share") and 138,750 warrants to purchase shares of common stock (each, an "incentive warrant") from BRPLP in the aggregate.

F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by B. Riley Principal Sponsor Co., LLC (the "Sponsor"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI"), and B. Riley FBR, Inc., a Delaware corporation ("BRFBR" and collectively, the "Filing Persons"). Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock ("Common Stock") of Alta Equipment Group Inc., a Delaware corporation (the "Issuer" or the "Company"), reported herein except to the extent of its pecuniary interest therein.

F2 · ownership.nature: BRPGP is the general partner of BRPLP, BRCM is an investment advisor to BRPLP, and BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the Shares held by BRPLP. BRF is the parent company of BRFBR and the sole member of the managing member of the Sponsor, and has voting and dispositive power over the securities held by each of BRFBR and the Sponsor. As a result, BRF may be deemed to indirectly beneficially own the securities held by BRFBR and the Sponsor. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRPI.

F3 · ownership.nature: Represents shares of Common Stock or warrants held directly by BRPLP.

SEC source: 0001213900-20-004334 · ownership.xml · nonDerivative · entry 3

B. Riley Financial, Inc. · CIK 0001464790 · 10% owner

B. Riley Principal Sponsor Co., LLC · CIK 0001772457 · 10% owner

B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner

BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner

BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner

B. Riley FBR, Inc. · CIK 0001505748 · 10% owner

B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See notes

Disclosed balance after: 4,527,302

F6 · kind: On February 12, 2020, the Company entered into securities purchase agreements (the "Securities Purchase Agreements") with BRPLP and certain PIPE investors, which include Zachary E. Savas and Andrew Studdert, two of the members of the Company's board of directors, pursuant to which such PIPE investors have agreed to purchase from BRPLP an aggregate of 370,000 of the shares of common stock BRPLP subscribed to purchase at a price of $10.00 per share, or $3,700,000, and pursuant to which such PIPE investors will receive an additional 19,473 shares of common stock (each, an "incentive share") and 138,750 warrants to purchase shares of common stock (each, an "incentive warrant") from BRPLP in the aggregate.

F6 · price: On February 12, 2020, the Company entered into securities purchase agreements (the "Securities Purchase Agreements") with BRPLP and certain PIPE investors, which include Zachary E. Savas and Andrew Studdert, two of the members of the Company's board of directors, pursuant to which such PIPE investors have agreed to purchase from BRPLP an aggregate of 370,000 of the shares of common stock BRPLP subscribed to purchase at a price of $10.00 per share, or $3,700,000, and pursuant to which such PIPE investors will receive an additional 19,473 shares of common stock (each, an "incentive share") and 138,750 warrants to purchase shares of common stock (each, an "incentive warrant") from BRPLP in the aggregate.

F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by B. Riley Principal Sponsor Co., LLC (the "Sponsor"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI"), and B. Riley FBR, Inc., a Delaware corporation ("BRFBR" and collectively, the "Filing Persons"). Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock ("Common Stock") of Alta Equipment Group Inc., a Delaware corporation (the "Issuer" or the "Company"), reported herein except to the extent of its pecuniary interest therein.

F2 · ownership.nature: BRPGP is the general partner of BRPLP, BRCM is an investment advisor to BRPLP, and BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the Shares held by BRPLP. BRF is the parent company of BRFBR and the sole member of the managing member of the Sponsor, and has voting and dispositive power over the securities held by each of BRFBR and the Sponsor. As a result, BRF may be deemed to indirectly beneficially own the securities held by BRFBR and the Sponsor. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRPI.

F3 · ownership.nature: Represents shares of Common Stock or warrants held directly by BRPLP.

SEC source: 0001213900-20-004334 · ownership.xml · nonDerivative · entry 2

B. Riley Financial, Inc. · CIK 0001464790 · 10% owner

B. Riley Principal Sponsor Co., LLC · CIK 0001772457 · 10% owner

B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner

BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner

BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner

B. Riley FBR, Inc. · CIK 0001505748 · 10% owner

B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See notes

Disclosed balance after: 4,897,302

F5 · kind: As an inducement to enter into the subscription agreements, and upon the consummation of the business combination, the PIPE investors (other than BRPI) received an aggregate of 178,947 incentive shares and an aggregate of 1,275,000 of the Company's warrants.

F5 · price: As an inducement to enter into the subscription agreements, and upon the consummation of the business combination, the PIPE investors (other than BRPI) received an aggregate of 178,947 incentive shares and an aggregate of 1,275,000 of the Company's warrants.

F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by B. Riley Principal Sponsor Co., LLC (the "Sponsor"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI"), and B. Riley FBR, Inc., a Delaware corporation ("BRFBR" and collectively, the "Filing Persons"). Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock ("Common Stock") of Alta Equipment Group Inc., a Delaware corporation (the "Issuer" or the "Company"), reported herein except to the extent of its pecuniary interest therein.

F2 · ownership.nature: BRPGP is the general partner of BRPLP, BRCM is an investment advisor to BRPLP, and BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the Shares held by BRPLP. BRF is the parent company of BRFBR and the sole member of the managing member of the Sponsor, and has voting and dispositive power over the securities held by each of BRFBR and the Sponsor. As a result, BRF may be deemed to indirectly beneficially own the securities held by BRFBR and the Sponsor. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRPI.

F3 · ownership.nature: Represents shares of Common Stock or warrants held directly by BRPLP.

SEC source: 0001213900-20-004334 · ownership.xml · nonDerivative · entry 1

B. Riley Financial, Inc. · CIK 0001464790 · 10% owner

B. Riley Principal Sponsor Co., LLC · CIK 0001772457 · 10% owner

B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner

BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner

BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner

B. Riley FBR, Inc. · CIK 0001505748 · 10% owner

B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See notes

Disclosed balance after: 4,861,248

F4 · kind: As previously disclosed, on December 12, 2019, the Company entered into certain subscription agreements (the "Subscription Agreements") with institutional and accredited investors (the "PIPE investors") pursuant to which such investors agreed to purchase, immediately prior to the closing of the Business Combination, an aggregate of $35,000,000 of the Company's shares of common stock at a price of $10.00 per share, or an aggregate of 3,500,000 shares of common stock. As previously disclosed, BRPLP and BRPI are among the PIPE investors.

F4 · price: As previously disclosed, on December 12, 2019, the Company entered into certain subscription agreements (the "Subscription Agreements") with institutional and accredited investors (the "PIPE investors") pursuant to which such investors agreed to purchase, immediately prior to the closing of the Business Combination, an aggregate of $35,000,000 of the Company's shares of common stock at a price of $10.00 per share, or an aggregate of 3,500,000 shares of common stock. As previously disclosed, BRPLP and BRPI are among the PIPE investors.

F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by B. Riley Principal Sponsor Co., LLC (the "Sponsor"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI"), and B. Riley FBR, Inc., a Delaware corporation ("BRFBR" and collectively, the "Filing Persons"). Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock ("Common Stock") of Alta Equipment Group Inc., a Delaware corporation (the "Issuer" or the "Company"), reported herein except to the extent of its pecuniary interest therein.

F2 · ownership.nature: BRPGP is the general partner of BRPLP, BRCM is an investment advisor to BRPLP, and BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the Shares held by BRPLP. BRF is the parent company of BRFBR and the sole member of the managing member of the Sponsor, and has voting and dispositive power over the securities held by each of BRFBR and the Sponsor. As a result, BRF may be deemed to indirectly beneficially own the securities held by BRFBR and the Sponsor. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRPI.

F3 · ownership.nature: Represents shares of Common Stock or warrants held directly by BRPLP.

SEC source: 0001213900-20-004034 · ownership.xml · nonDerivative · entry 1

B. Riley Financial, Inc. · CIK 0001464790 · 10% owner

B. Riley Principal Sponsor Co., LLC · CIK 0001772457 · 10% owner

B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner

BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner

BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner

B. Riley FBR, Inc. · CIK 0001505748 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See notes

Disclosed balance after: 4,176,248

F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by B. Riley Principal Sponsor Co., LLC (the "Sponsor"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), and B. Riley FBR, Inc., a Delaware corporation ("BRFBR" and collectively, the "Filing Persons"). Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock ("Common Stock") of B. Riley Principal Merger Corp, a Delaware corporation (the "Issuer"), reported herein except to the extent of its pecuniary interest therein.

F2 · ownership.nature: BRPGP is the general partner of BRPLP, BRCM is an investment advisor to BRPLP, and BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the Shares held by BRPLP. BRF is the parent company of BRFBR and the sole member of the managing member of the Sponsor, and has voting and dispositive power over the securities held by each of BRFBR and the Sponsor. As a result, BRF may be deemed to indirectly beneficially own the securities held by BRFBR and the Sponsor.

F3 · ownership.nature: Represents shares of Common Stock held directly by BRPLP.

SEC source: 0001213900-20-003132 · ownership.xml · nonDerivative · entry 7

B. Riley Financial, Inc. · CIK 0001464790 · 10% owner

B. Riley Principal Sponsor Co., LLC · CIK 0001772457 · 10% owner

B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner

BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner

BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner

B. Riley FBR, Inc. · CIK 0001505748 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See notes

Disclosed balance after: 4,162,420

F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by B. Riley Principal Sponsor Co., LLC (the "Sponsor"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), and B. Riley FBR, Inc., a Delaware corporation ("BRFBR" and collectively, the "Filing Persons"). Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock ("Common Stock") of B. Riley Principal Merger Corp, a Delaware corporation (the "Issuer"), reported herein except to the extent of its pecuniary interest therein.

F2 · ownership.nature: BRPGP is the general partner of BRPLP, BRCM is an investment advisor to BRPLP, and BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the Shares held by BRPLP. BRF is the parent company of BRFBR and the sole member of the managing member of the Sponsor, and has voting and dispositive power over the securities held by each of BRFBR and the Sponsor. As a result, BRF may be deemed to indirectly beneficially own the securities held by BRFBR and the Sponsor.

F4 · ownership.nature: Represents shares of Common Stock held directly by BRFBR. BRFBR is a FINRA registered broker dealer and market maker. The transactions reported herein reflect executions in which BRFBR had no direct or indirect beneficial interest. Such transactions were executed in furtherance of BRFBR's bona-fide market making activities. As part of its bona-fide market making activities, BRFBR may hold long or short positions overnight.

SEC source: 0001213900-20-010215 · ownership.xml · nonDerivative · entry 6

B. Riley Financial, Inc. · CIK 0001464790 · 10% owner

B. Riley Principal Sponsor Co., LLC · CIK 0001772457 · 10% owner

B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner

BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner

BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner

B. Riley FBR, Inc. · CIK 0001505748 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See notes

Disclosed balance after: 4,162,420

F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by B. Riley Principal Sponsor Co., LLC (the "Sponsor"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), and B. Riley FBR, Inc., a Delaware corporation ("BRFBR" and collectively, the "Filing Persons"). Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock ("Common Stock") of Alta Equipment Group, Inc., a Delaware corporation (the "Issuer"), reported herein except to the extent of its pecuniary interest therein.

F2 · ownership.nature: BRPGP is the general partner of BRPLP, BRCM is an investment advisor to BRPLP, and BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the Shares held by BRPLP. BRF is the parent company of BRFBR and the sole member of the managing member of the Sponsor, and has voting and dispositive power over the securities held by each of BRFBR and the Sponsor. As a result, BRF may be deemed to indirectly beneficially own the securities held by BRFBR and the Sponsor.

F4 · ownership.nature: Represents shares of Common Stock held directly by BRFBR. BRFBR is a FINRA registered broker dealer and market maker. The transactions reported herein reflect executions in which BRFBR had no direct or indirect beneficial interest. Such transactions were executed in furtherance of BRFBR's bona-fide market making activities. As part of its bona-fide market making activities, BRFBR may hold long or short positions overnight.

SEC source: 0001213900-20-003132 · ownership.xml · nonDerivative · entry 6

B. Riley Financial, Inc. · CIK 0001464790 · 10% owner

B. Riley Principal Sponsor Co., LLC · CIK 0001772457 · 10% owner

B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner

BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner

BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner

B. Riley FBR, Inc. · CIK 0001505748 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See notes

Disclosed balance after: 4,162,372

F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by B. Riley Principal Sponsor Co., LLC (the "Sponsor"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), and B. Riley FBR, Inc., a Delaware corporation ("BRFBR" and collectively, the "Filing Persons"). Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock ("Common Stock") of B. Riley Principal Merger Corp, a Delaware corporation (the "Issuer"), reported herein except to the extent of its pecuniary interest therein.

F2 · ownership.nature: BRPGP is the general partner of BRPLP, BRCM is an investment advisor to BRPLP, and BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the Shares held by BRPLP. BRF is the parent company of BRFBR and the sole member of the managing member of the Sponsor, and has voting and dispositive power over the securities held by each of BRFBR and the Sponsor. As a result, BRF may be deemed to indirectly beneficially own the securities held by BRFBR and the Sponsor.

F5 · ownership.nature: Represents shares of Common Stock held directly by BRPLP.

SEC source: 0001213900-20-003132 · ownership.xml · nonDerivative · entry 5

B. Riley Financial, Inc. · CIK 0001464790 · 10% owner

B. Riley Principal Sponsor Co., LLC · CIK 0001772457 · 10% owner

B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner

BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner

BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner

B. Riley FBR, Inc. · CIK 0001505748 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See notes

Disclosed balance after: 4,005,299

F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by B. Riley Principal Sponsor Co., LLC (the "Sponsor"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), and B. Riley FBR, Inc., a Delaware corporation ("BRFBR" and collectively, the "Filing Persons"). Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock ("Common Stock") of B. Riley Principal Merger Corp, a Delaware corporation (the "Issuer"), reported herein except to the extent of its pecuniary interest therein.

F2 · ownership.nature: BRPGP is the general partner of BRPLP, BRCM is an investment advisor to BRPLP, and BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the Shares held by BRPLP. BRF is the parent company of BRFBR and the sole member of the managing member of the Sponsor, and has voting and dispositive power over the securities held by each of BRFBR and the Sponsor. As a result, BRF may be deemed to indirectly beneficially own the securities held by BRFBR and the Sponsor.

F4 · ownership.nature: Represents shares of Common Stock held directly by BRFBR. BRFBR is a FINRA registered broker dealer and market maker. The transactions reported herein reflect executions in which BRFBR had no direct or indirect beneficial interest. Such transactions were executed in furtherance of BRFBR's bona-fide market making activities. As part of its bona-fide market making activities, BRFBR may hold long or short positions overnight.

SEC source: 0001213900-20-003132 · ownership.xml · nonDerivative · entry 4

B. Riley Financial, Inc. · CIK 0001464790 · 10% owner

B. Riley Principal Sponsor Co., LLC · CIK 0001772457 · 10% owner

B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner

BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner

BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner

B. Riley FBR, Inc. · CIK 0001505748 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See notes

Disclosed balance after: 4,113,406

F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by B. Riley Principal Sponsor Co., LLC (the "Sponsor"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), and B. Riley FBR, Inc., a Delaware corporation ("BRFBR" and collectively, the "Filing Persons"). Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock ("Common Stock") of B. Riley Principal Merger Corp, a Delaware corporation (the "Issuer"), reported herein except to the extent of its pecuniary interest therein.

F2 · ownership.nature: BRPGP is the general partner of BRPLP, BRCM is an investment advisor to BRPLP, and BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the Shares held by BRPLP. BRF is the parent company of BRFBR and the sole member of the managing member of the Sponsor, and has voting and dispositive power over the securities held by each of BRFBR and the Sponsor. As a result, BRF may be deemed to indirectly beneficially own the securities held by BRFBR and the Sponsor.

F4 · ownership.nature: Represents shares of Common Stock held directly by BRFBR. BRFBR is a FINRA registered broker dealer and market maker. The transactions reported herein reflect executions in which BRFBR had no direct or indirect beneficial interest. Such transactions were executed in furtherance of BRFBR's bona-fide market making activities. As part of its bona-fide market making activities, BRFBR may hold long or short positions overnight.

SEC source: 0001213900-20-003132 · ownership.xml · nonDerivative · entry 3

B. Riley Financial, Inc. · CIK 0001464790 · 10% owner

B. Riley Principal Sponsor Co., LLC · CIK 0001772457 · 10% owner

B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner

BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner

BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner

B. Riley FBR, Inc. · CIK 0001505748 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See notes

Disclosed balance after: 3,983,575

F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by B. Riley Principal Sponsor Co., LLC (the "Sponsor"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), and B. Riley FBR, Inc., a Delaware corporation ("BRFBR" and collectively, the "Filing Persons"). Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock ("Common Stock") of B. Riley Principal Merger Corp, a Delaware corporation (the "Issuer"), reported herein except to the extent of its pecuniary interest therein.

F2 · ownership.nature: BRPGP is the general partner of BRPLP, BRCM is an investment advisor to BRPLP, and BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the Shares held by BRPLP. BRF is the parent company of BRFBR and the sole member of the managing member of the Sponsor, and has voting and dispositive power over the securities held by each of BRFBR and the Sponsor. As a result, BRF may be deemed to indirectly beneficially own the securities held by BRFBR and the Sponsor.

F4 · ownership.nature: Represents shares of Common Stock held directly by BRFBR. BRFBR is a FINRA registered broker dealer and market maker. The transactions reported herein reflect executions in which BRFBR had no direct or indirect beneficial interest. Such transactions were executed in furtherance of BRFBR's bona-fide market making activities. As part of its bona-fide market making activities, BRFBR may hold long or short positions overnight.

SEC source: 0001213900-20-003132 · ownership.xml · nonDerivative · entry 2

B. Riley Financial, Inc. · CIK 0001464790 · 10% owner

B. Riley Principal Sponsor Co., LLC · CIK 0001772457 · 10% owner

B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner

BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner

BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner

B. Riley FBR, Inc. · CIK 0001505748 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See notes

Disclosed balance after: 4,050,650

F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by B. Riley Principal Sponsor Co., LLC (the "Sponsor"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), and B. Riley FBR, Inc., a Delaware corporation ("BRFBR" and collectively, the "Filing Persons"). Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock ("Common Stock") of B. Riley Principal Merger Corp, a Delaware corporation (the "Issuer"), reported herein except to the extent of its pecuniary interest therein.

F2 · ownership.nature: BRPGP is the general partner of BRPLP, BRCM is an investment advisor to BRPLP, and BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the Shares held by BRPLP. BRF is the parent company of BRFBR and the sole member of the managing member of the Sponsor, and has voting and dispositive power over the securities held by each of BRFBR and the Sponsor. As a result, BRF may be deemed to indirectly beneficially own the securities held by BRFBR and the Sponsor.

F4 · ownership.nature: Represents shares of Common Stock held directly by BRFBR. BRFBR is a FINRA registered broker dealer and market maker. The transactions reported herein reflect executions in which BRFBR had no direct or indirect beneficial interest. Such transactions were executed in furtherance of BRFBR's bona-fide market making activities. As part of its bona-fide market making activities, BRFBR may hold long or short positions overnight.

SEC source: 0001213900-20-003132 · ownership.xml · nonDerivative · entry 1

B. Riley Financial, Inc. · CIK 0001464790 · 10% owner

B. Riley Principal Sponsor Co., LLC · CIK 0001772457 · 10% owner

B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner

BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner

BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner

B. Riley FBR, Inc. · CIK 0001505748 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See notes

Disclosed balance after: 3,976,250

F3 · kind: On February 6, 2020, BRPLP redeemed 240,608 shares of Common Stock with the Issuer for cash at a price of $10.16 per share, as stated on the received redemption notice. As previously announced, the Issuer has scheduled a special meeting on February 11, 2020 in lieu of the 2020 annual meeting of its stockholders, to vote on the proposals (the "vote") relating to the Issuer's proposed business combination with Alta Equipment Holdings, Inc. Holders of shares of the Issuer's Common Stock were entitled to request that the Issuer redeem all or a portion of their public shares for cash in connection with the vote until February 7, 2020.

F3 · price: On February 6, 2020, BRPLP redeemed 240,608 shares of Common Stock with the Issuer for cash at a price of $10.16 per share, as stated on the received redemption notice. As previously announced, the Issuer has scheduled a special meeting on February 11, 2020 in lieu of the 2020 annual meeting of its stockholders, to vote on the proposals (the "vote") relating to the Issuer's proposed business combination with Alta Equipment Holdings, Inc. Holders of shares of the Issuer's Common Stock were entitled to request that the Issuer redeem all or a portion of their public shares for cash in connection with the vote until February 7, 2020.

F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by B. Riley Principal Sponsor Co., LLC (the "Sponsor"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), and B. Riley FBR, Inc., a Delaware corporation ("BRFBR" and collectively, the "Filing Persons"). Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock ("Common Stock") of B. Riley Principal Merger Corp, a Delaware corporation (the "Issuer"), reported herein except to the extent of its pecuniary interest therein.

F2 · ownership.nature: BRPGP is the general partner of BRPLP, BRCM is an investment advisor to BRPLP, and BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the Shares held by BRPLP. BRF is the parent company of BRFBR and the sole member of the managing member of the Sponsor, and has voting and dispositive power over the securities held by each of BRFBR and the Sponsor. As a result, BRF may be deemed to indirectly beneficially own the securities held by BRFBR and the Sponsor.

SEC source: 0001213900-20-010215 · ownership.xml · nonDerivative · entry 5

B. Riley Financial, Inc. · CIK 0001464790 · 10% owner

B. Riley Principal Sponsor Co., LLC · CIK 0001772457 · 10% owner

B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner

BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner

BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner

B. Riley FBR, Inc. · CIK 0001505748 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See notes

Disclosed balance after: 4,162,372

F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by B. Riley Principal Sponsor Co., LLC (the "Sponsor"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), and B. Riley FBR, Inc., a Delaware corporation ("BRFBR" and collectively, the "Filing Persons"). Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock ("Common Stock") of Alta Equipment Group, Inc., a Delaware corporation (the "Issuer"), reported herein except to the extent of its pecuniary interest therein.

F2 · ownership.nature: BRPGP is the general partner of BRPLP, BRCM is an investment advisor to BRPLP, and BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the Shares held by BRPLP. BRF is the parent company of BRFBR and the sole member of the managing member of the Sponsor, and has voting and dispositive power over the securities held by each of BRFBR and the Sponsor. As a result, BRF may be deemed to indirectly beneficially own the securities held by BRFBR and the Sponsor.

F5 · ownership.nature: Represents shares of Common Stock held directly by BRPLP.

SEC source: 0001213900-20-010215 · ownership.xml · nonDerivative · entry 4

B. Riley Financial, Inc. · CIK 0001464790 · 10% owner

B. Riley Principal Sponsor Co., LLC · CIK 0001772457 · 10% owner

B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner

BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner

BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner

B. Riley FBR, Inc. · CIK 0001505748 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See notes

Disclosed balance after: 4,005,299

F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by B. Riley Principal Sponsor Co., LLC (the "Sponsor"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), and B. Riley FBR, Inc., a Delaware corporation ("BRFBR" and collectively, the "Filing Persons"). Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock ("Common Stock") of Alta Equipment Group, Inc., a Delaware corporation (the "Issuer"), reported herein except to the extent of its pecuniary interest therein.

F2 · ownership.nature: BRPGP is the general partner of BRPLP, BRCM is an investment advisor to BRPLP, and BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the Shares held by BRPLP. BRF is the parent company of BRFBR and the sole member of the managing member of the Sponsor, and has voting and dispositive power over the securities held by each of BRFBR and the Sponsor. As a result, BRF may be deemed to indirectly beneficially own the securities held by BRFBR and the Sponsor.

F4 · ownership.nature: Represents shares of Common Stock held directly by BRFBR. BRFBR is a FINRA registered broker dealer and market maker. The transactions reported herein reflect executions in which BRFBR had no direct or indirect beneficial interest. Such transactions were executed in furtherance of BRFBR's bona-fide market making activities. As part of its bona-fide market making activities, BRFBR may hold long or short positions overnight.

SEC source: 0001213900-20-010215 · ownership.xml · nonDerivative · entry 3

B. Riley Financial, Inc. · CIK 0001464790 · 10% owner

B. Riley Principal Sponsor Co., LLC · CIK 0001772457 · 10% owner

B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner

BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner

BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner

B. Riley FBR, Inc. · CIK 0001505748 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See notes

Disclosed balance after: 4,012,624

F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by B. Riley Principal Sponsor Co., LLC (the "Sponsor"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), and B. Riley FBR, Inc., a Delaware corporation ("BRFBR" and collectively, the "Filing Persons"). Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock ("Common Stock") of Alta Equipment Group, Inc., a Delaware corporation (the "Issuer"), reported herein except to the extent of its pecuniary interest therein.

F2 · ownership.nature: BRPGP is the general partner of BRPLP, BRCM is an investment advisor to BRPLP, and BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the Shares held by BRPLP. BRF is the parent company of BRFBR and the sole member of the managing member of the Sponsor, and has voting and dispositive power over the securities held by each of BRFBR and the Sponsor. As a result, BRF may be deemed to indirectly beneficially own the securities held by BRFBR and the Sponsor.

F4 · ownership.nature: Represents shares of Common Stock held directly by BRFBR. BRFBR is a FINRA registered broker dealer and market maker. The transactions reported herein reflect executions in which BRFBR had no direct or indirect beneficial interest. Such transactions were executed in furtherance of BRFBR's bona-fide market making activities. As part of its bona-fide market making activities, BRFBR may hold long or short positions overnight.

SEC source: 0001213900-20-010215 · ownership.xml · nonDerivative · entry 2

B. Riley Financial, Inc. · CIK 0001464790 · 10% owner

B. Riley Principal Sponsor Co., LLC · CIK 0001772457 · 10% owner

B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner

BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner

BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner

B. Riley FBR, Inc. · CIK 0001505748 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See notes

Disclosed balance after: 3,983,575

F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by B. Riley Principal Sponsor Co., LLC (the "Sponsor"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), and B. Riley FBR, Inc., a Delaware corporation ("BRFBR" and collectively, the "Filing Persons"). Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock ("Common Stock") of Alta Equipment Group, Inc., a Delaware corporation (the "Issuer"), reported herein except to the extent of its pecuniary interest therein.

F2 · ownership.nature: BRPGP is the general partner of BRPLP, BRCM is an investment advisor to BRPLP, and BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the Shares held by BRPLP. BRF is the parent company of BRFBR and the sole member of the managing member of the Sponsor, and has voting and dispositive power over the securities held by each of BRFBR and the Sponsor. As a result, BRF may be deemed to indirectly beneficially own the securities held by BRFBR and the Sponsor.

F4 · ownership.nature: Represents shares of Common Stock held directly by BRFBR. BRFBR is a FINRA registered broker dealer and market maker. The transactions reported herein reflect executions in which BRFBR had no direct or indirect beneficial interest. Such transactions were executed in furtherance of BRFBR's bona-fide market making activities. As part of its bona-fide market making activities, BRFBR may hold long or short positions overnight.

SEC source: 0001213900-20-010215 · ownership.xml · nonDerivative · entry 1

B. Riley Financial, Inc. · CIK 0001464790 · 10% owner

B. Riley Principal Sponsor Co., LLC · CIK 0001772457 · 10% owner

B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner

BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner

BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner

B. Riley FBR, Inc. · CIK 0001505748 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See notes

Disclosed balance after: 3,976,250

F3 · kind: On February 6, 2020, BRPLP redeemed 240,608 shares of Common Stock with the Issuer for cash at a price of $10.16 per share, as stated on the received redemption notice. As previously announced, the Issuer has scheduled a special meeting on February 11, 2020 in lieu of the 2020 annual meeting of its stockholders, to vote on the proposals (the "vote") relating to the Issuer's proposed business combination with Alta Equipment Holdings, Inc. Holders of shares of the Issuer's Common Stock were entitled to request that the Issuer redeem all or a portion of their public shares for cash in connection with the vote until February 7, 2020.

F3 · price: On February 6, 2020, BRPLP redeemed 240,608 shares of Common Stock with the Issuer for cash at a price of $10.16 per share, as stated on the received redemption notice. As previously announced, the Issuer has scheduled a special meeting on February 11, 2020 in lieu of the 2020 annual meeting of its stockholders, to vote on the proposals (the "vote") relating to the Issuer's proposed business combination with Alta Equipment Holdings, Inc. Holders of shares of the Issuer's Common Stock were entitled to request that the Issuer redeem all or a portion of their public shares for cash in connection with the vote until February 7, 2020.

F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by B. Riley Principal Sponsor Co., LLC (the "Sponsor"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), and B. Riley FBR, Inc., a Delaware corporation ("BRFBR" and collectively, the "Filing Persons"). Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock ("Common Stock") of Alta Equipment Group, Inc., a Delaware corporation (the "Issuer"), reported herein except to the extent of its pecuniary interest therein.

F2 · ownership.nature: BRPGP is the general partner of BRPLP, BRCM is an investment advisor to BRPLP, and BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the Shares held by BRPLP. BRF is the parent company of BRFBR and the sole member of the managing member of the Sponsor, and has voting and dispositive power over the securities held by each of BRFBR and the Sponsor. As a result, BRF may be deemed to indirectly beneficially own the securities held by BRFBR and the Sponsor.

SEC source: 0001213900-20-002704 · ownership.xml · nonDerivative · entry 1

B. Riley Financial, Inc. · CIK 0001464790 · 10% owner

B. Riley Principal Sponsor Co., LLC · CIK 0001772457 · 10% owner

B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner

BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner

BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner

B. Riley FBR, Inc. · CIK 0001505748 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See notes

Disclosed balance after: 4,241,058

F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by B. Riley Principal Sponsor Co., LLC (the "Sponsor"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), and B. Riley FBR, Inc., a Delaware corporation ("BRFBR" and collectively, the "Filing Persons"). Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock ("Common Stock") of B. Riley Principal Merger Corp, a Delaware corporation (the "Issuer"), reported herein except to the extent of its pecuniary interest therein.

F2 · ownership.nature: BRPGP is the general partner of BRPLP, BRCM is an investment advisor to BRPLP, and BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the Shares held by BRPLP. BRF is the parent company of BRFBR and the sole member of the managing member of the Sponsor, and has voting and dispositive power over the securities held by each of BRFBR and the Sponsor. As a result, BRF may be deemed to indirectly beneficially own the securities held by BRFBR and the Sponsor.

F3 · ownership.nature: Represents shares of Common Stock held directly by BRPLP.

SEC source: 0001213900-20-002290 · ownership.xml · nonDerivative · entry 2

B. Riley Financial, Inc. · CIK 0001464790 · 10% owner

BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner

BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner

B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner

B. Riley FBR, Inc. · CIK 0001505748 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See notes

Disclosed balance after: 4,597,562

F3 · kind: This Form 4 is being filed voluntarily to reflect a mere change in form of beneficial ownership by BRF, which is exempt from Section 16 of the Exchange Act of 1934 pursuant to Rule 16a-13. On January 29, 2020, BRF sold 969,900 shares of Common Stock to BRFBR at a price of $8.35 per share. BRF previously reported that it may have been deemed to directly beneficially own the 969,900 shares of Common Stock sold to BRFBR. Following the sale, the form of BRF's beneficial ownership changed from direct to indirect.

F3 · price: This Form 4 is being filed voluntarily to reflect a mere change in form of beneficial ownership by BRF, which is exempt from Section 16 of the Exchange Act of 1934 pursuant to Rule 16a-13. On January 29, 2020, BRF sold 969,900 shares of Common Stock to BRFBR at a price of $8.35 per share. BRF previously reported that it may have been deemed to directly beneficially own the 969,900 shares of Common Stock sold to BRFBR. Following the sale, the form of BRF's beneficial ownership changed from direct to indirect.

F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP") and B. Riley FBR, Inc., a Delaware corporation ("BRFBR" and collectively, the "Filing Persons").

F2 · ownership.nature: BRPGP is a subsidiary of BRCM, a registered investment advisor, and is the general partner of BRPLP. BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the securities held by BRPLP. BRF is the parent company of BRFBR. As a result, BRF may be deemed to indirectly beneficially own the securities held by BRFBR. Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock ("Common Stock") of Quantum Corporation, a Delaware corporation (the "Issuer"), reported herein except to the extent of its pecuniary interest therein.

F4 · ownership.nature: Represents shares of Common Stock owned directly by BRFBR.

SEC source: 0001213900-20-002290 · ownership.xml · nonDerivative · entry 1

B. Riley Financial, Inc. · CIK 0001464790 · 10% owner

BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner

BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner

B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner

B. Riley FBR, Inc. · CIK 0001505748 · 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 · security: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP") and B. Riley FBR, Inc., a Delaware corporation ("BRFBR" and collectively, the "Filing Persons").

F2 · security: BRPGP is a subsidiary of BRCM, a registered investment advisor, and is the general partner of BRPLP. BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the securities held by BRPLP. BRF is the parent company of BRFBR. As a result, BRF may be deemed to indirectly beneficially own the securities held by BRFBR. Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock ("Common Stock") of Quantum Corporation, a Delaware corporation (the "Issuer"), reported herein except to the extent of its pecuniary interest therein.

F3 · kind: This Form 4 is being filed voluntarily to reflect a mere change in form of beneficial ownership by BRF, which is exempt from Section 16 of the Exchange Act of 1934 pursuant to Rule 16a-13. On January 29, 2020, BRF sold 969,900 shares of Common Stock to BRFBR at a price of $8.35 per share. BRF previously reported that it may have been deemed to directly beneficially own the 969,900 shares of Common Stock sold to BRFBR. Following the sale, the form of BRF's beneficial ownership changed from direct to indirect.

F3 · price: This Form 4 is being filed voluntarily to reflect a mere change in form of beneficial ownership by BRF, which is exempt from Section 16 of the Exchange Act of 1934 pursuant to Rule 16a-13. On January 29, 2020, BRF sold 969,900 shares of Common Stock to BRFBR at a price of $8.35 per share. BRF previously reported that it may have been deemed to directly beneficially own the 969,900 shares of Common Stock sold to BRFBR. Following the sale, the form of BRF's beneficial ownership changed from direct to indirect.

SEC source: 0001213900-20-002041 · ownership.xml · nonDerivative · entry 3

B. Riley Financial, Inc. · CIK 0001464790 · 10% owner

B. Riley Principal Sponsor Co., LLC · CIK 0001772457 · 10% owner

B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner

BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner

BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner

B. Riley FBR, Inc. · CIK 0001505748 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See notes

Disclosed balance after: 4,132,725

F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by B. Riley Principal Sponsor Co., LLC (the "Sponsor"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), and B. Riley FBR, Inc., a Delaware corporation ("BRFBR" and collectively, the "Filing Persons"). Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock ("Common Stock") of B. Riley Principal Merger Corp, a Delaware corporation (the "Issuer"), reported herein except to the extent of its pecuniary interest therein.

F2 · ownership.nature: BRPGP is the general partner of BRPLP, BRCM is an investment advisor to BRPLP, and BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the Shares held by BRPLP. BRF is the parent company of BRFBR and the sole member of the managing member of the Sponsor, and has voting and dispositive power over the securities held by each of BRFBR and the Sponsor. As a result, BRF may be deemed to indirectly beneficially own the securities held by BRFBR and the Sponsor.

F3 · ownership.nature: Represents shares of Common Stock held directly by BRPLP.

SEC source: 0001213900-20-002041 · ownership.xml · nonDerivative · entry 2

B. Riley Financial, Inc. · CIK 0001464790 · 10% owner

B. Riley Principal Sponsor Co., LLC · CIK 0001772457 · 10% owner

B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner

BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner

BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner

B. Riley FBR, Inc. · CIK 0001505748 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See notes

Disclosed balance after: 4,025,172

F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by B. Riley Principal Sponsor Co., LLC (the "Sponsor"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), and B. Riley FBR, Inc., a Delaware corporation ("BRFBR" and collectively, the "Filing Persons"). Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock ("Common Stock") of B. Riley Principal Merger Corp, a Delaware corporation (the "Issuer"), reported herein except to the extent of its pecuniary interest therein.

F2 · ownership.nature: BRPGP is the general partner of BRPLP, BRCM is an investment advisor to BRPLP, and BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the Shares held by BRPLP. BRF is the parent company of BRFBR and the sole member of the managing member of the Sponsor, and has voting and dispositive power over the securities held by each of BRFBR and the Sponsor. As a result, BRF may be deemed to indirectly beneficially own the securities held by BRFBR and the Sponsor.

F3 · ownership.nature: Represents shares of Common Stock held directly by BRPLP.

SEC source: 0001213900-20-002041 · ownership.xml · nonDerivative · entry 1

B. Riley Financial, Inc. · CIK 0001464790 · 10% owner

B. Riley Principal Sponsor Co., LLC · CIK 0001772457 · 10% owner

B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner

BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner

BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner

B. Riley FBR, Inc. · CIK 0001505748 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See notes

Disclosed balance after: 4,015,863

F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by B. Riley Principal Sponsor Co., LLC (the "Sponsor"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), and B. Riley FBR, Inc., a Delaware corporation ("BRFBR" and collectively, the "Filing Persons"). Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock ("Common Stock") of B. Riley Principal Merger Corp, a Delaware corporation (the "Issuer"), reported herein except to the extent of its pecuniary interest therein.

F2 · ownership.nature: BRPGP is the general partner of BRPLP, BRCM is an investment advisor to BRPLP, and BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the Shares held by BRPLP. BRF is the parent company of BRFBR and the sole member of the managing member of the Sponsor, and has voting and dispositive power over the securities held by each of BRFBR and the Sponsor. As a result, BRF may be deemed to indirectly beneficially own the securities held by BRFBR and the Sponsor.

F3 · ownership.nature: Represents shares of Common Stock held directly by BRPLP.

SEC source: 0001213900-19-025436 · ownership.xml · nonDerivative · entry 1

B. Riley Financial, Inc. · CIK 0001464790 · 10% owner

BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner

BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner

B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner

B. Riley FBR, Inc. · CIK 0001505748 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 969,900

F1 · security: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP") and B. Riley FBR, Inc., a Delaware corporation ("BRFBR" and collectively, the "Filing Persons").

F2 · security: BRPGP is a subsidiary of BRCM, a registered investment advisor, and is the general partner of BRPLP. BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the securities held by BRPLP. BRF is the parent company of BRFBR. As a result, BRF may be deemed to indirectly beneficially own the securities held by BRFBR. Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock ("Common Stock") of Quantum Corporation, a Delaware corporation (the "Issuer"), reported herein except to the extent of its pecuniary interest therein.

F3 · kind: This Form 4 is being filed voluntarily to reflect a mere change in form of beneficial ownership by BRF, which is exempt from Section 16 of the Exchange Act of 1934 pursuant to Rule 16a-13. On December 3, 2019, BRF purchased 969,900 shares of Common Stock from Dialectic Antithesis Partners, LP ("Dialectic") at a purchase price of $5.25 per share. BRF previously reported that it may have been deemed to indirectly beneficially own the 969,900 shares of Common Stock that were previously held by Dialectic. Following the purchase, the form of BRF's beneficial ownership changed from indirect to direct.

F3 · price: This Form 4 is being filed voluntarily to reflect a mere change in form of beneficial ownership by BRF, which is exempt from Section 16 of the Exchange Act of 1934 pursuant to Rule 16a-13. On December 3, 2019, BRF purchased 969,900 shares of Common Stock from Dialectic Antithesis Partners, LP ("Dialectic") at a purchase price of $5.25 per share. BRF previously reported that it may have been deemed to indirectly beneficially own the 969,900 shares of Common Stock that were previously held by Dialectic. Following the purchase, the form of BRF's beneficial ownership changed from indirect to direct.

SEC source: 0001213900-19-021860 · ownership.xml · nonDerivative · entry 16

B. Riley Financial, Inc. · CIK 0001464790 · Director · 10% owner

BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner

BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner

B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner

B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner

B. Riley FBR, Inc. · CIK 0001505748 · 10% owner

Young Kenneth M · CIK 0001365572 · Director

RILEY BRYANT R · CIK 0001207269 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By B. Riley FBR, Inc.

Disclosed balance after: 0

F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI"), B. Riley FBR, Inc., a Delaware corporation ("BRFBR"), Kenneth M. Young and Bryant R. Riley.

F2 · ownership.nature: BRPGP is a subsidiary of BRCM, a registered investment advisor, and is the general partner of BRPLP. BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the Shares held by BRPLP. BRF is the parent company of BRFBR. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRFBR. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRPI.

F3 · ownership.nature: Bryant Riley, as Chief Executive Officer of BRCM and Chairman and Co-Chief Executive Officer of BRF, has voting and dispositive power over the shares held by BRPLP, BRPI and BRF. Mr. Young is the President of BRF and the Chief Executive Officer of BRPI. He has voting and dispositive power over the shares held by BRPI. Mr. Young does not have either voting or investment control over the securities held by the BRF. Each reporting person disclaims beneficial ownership of the securities of the Issuer reported herein held indirectly except to the extent of such person's pecuniary interest therein.

SEC source: 0001213900-19-021860 · ownership.xml · nonDerivative · entry 15

B. Riley Financial, Inc. · CIK 0001464790 · Director · 10% owner

BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner

BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner

B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner

B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner

B. Riley FBR, Inc. · CIK 0001505748 · 10% owner

Young Kenneth M · CIK 0001365572 · Director

RILEY BRYANT R · CIK 0001207269 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By B. Riley FBR, Inc.

Disclosed balance after: 900

F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI"), B. Riley FBR, Inc., a Delaware corporation ("BRFBR"), Kenneth M. Young and Bryant R. Riley.

F2 · ownership.nature: BRPGP is a subsidiary of BRCM, a registered investment advisor, and is the general partner of BRPLP. BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the Shares held by BRPLP. BRF is the parent company of BRFBR. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRFBR. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRPI.

F3 · ownership.nature: Bryant Riley, as Chief Executive Officer of BRCM and Chairman and Co-Chief Executive Officer of BRF, has voting and dispositive power over the shares held by BRPLP, BRPI and BRF. Mr. Young is the President of BRF and the Chief Executive Officer of BRPI. He has voting and dispositive power over the shares held by BRPI. Mr. Young does not have either voting or investment control over the securities held by the BRF. Each reporting person disclaims beneficial ownership of the securities of the Issuer reported herein held indirectly except to the extent of such person's pecuniary interest therein.

SEC source: 0001213900-19-021860 · ownership.xml · nonDerivative · entry 14

B. Riley Financial, Inc. · CIK 0001464790 · Director · 10% owner

BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner

BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner

B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner

B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner

B. Riley FBR, Inc. · CIK 0001505748 · 10% owner

Young Kenneth M · CIK 0001365572 · Director

RILEY BRYANT R · CIK 0001207269 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By B. Riley FBR, Inc.

Disclosed balance after: 9,005

F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI"), B. Riley FBR, Inc., a Delaware corporation ("BRFBR"), Kenneth M. Young and Bryant R. Riley.

F2 · ownership.nature: BRPGP is a subsidiary of BRCM, a registered investment advisor, and is the general partner of BRPLP. BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the Shares held by BRPLP. BRF is the parent company of BRFBR. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRFBR. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRPI.

F3 · ownership.nature: Bryant Riley, as Chief Executive Officer of BRCM and Chairman and Co-Chief Executive Officer of BRF, has voting and dispositive power over the shares held by BRPLP, BRPI and BRF. Mr. Young is the President of BRF and the Chief Executive Officer of BRPI. He has voting and dispositive power over the shares held by BRPI. Mr. Young does not have either voting or investment control over the securities held by the BRF. Each reporting person disclaims beneficial ownership of the securities of the Issuer reported herein held indirectly except to the extent of such person's pecuniary interest therein.

SEC source: 0001213900-19-021860 · ownership.xml · nonDerivative · entry 13

B. Riley Financial, Inc. · CIK 0001464790 · Director · 10% owner

BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner

BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner

B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner

B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner

B. Riley FBR, Inc. · CIK 0001505748 · 10% owner

Young Kenneth M · CIK 0001365572 · Director

RILEY BRYANT R · CIK 0001207269 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By B. Riley FBR, Inc.

Disclosed balance after: 10,005

F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI"), B. Riley FBR, Inc., a Delaware corporation ("BRFBR"), Kenneth M. Young and Bryant R. Riley.

F2 · ownership.nature: BRPGP is a subsidiary of BRCM, a registered investment advisor, and is the general partner of BRPLP. BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the Shares held by BRPLP. BRF is the parent company of BRFBR. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRFBR. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRPI.

F3 · ownership.nature: Bryant Riley, as Chief Executive Officer of BRCM and Chairman and Co-Chief Executive Officer of BRF, has voting and dispositive power over the shares held by BRPLP, BRPI and BRF. Mr. Young is the President of BRF and the Chief Executive Officer of BRPI. He has voting and dispositive power over the shares held by BRPI. Mr. Young does not have either voting or investment control over the securities held by the BRF. Each reporting person disclaims beneficial ownership of the securities of the Issuer reported herein held indirectly except to the extent of such person's pecuniary interest therein.

SEC source: 0001213900-19-021860 · ownership.xml · nonDerivative · entry 12

B. Riley Financial, Inc. · CIK 0001464790 · Director · 10% owner

BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner

BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner

B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner

B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner

B. Riley FBR, Inc. · CIK 0001505748 · 10% owner

Young Kenneth M · CIK 0001365572 · Director

RILEY BRYANT R · CIK 0001207269 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By B. Riley FBR, Inc.

Disclosed balance after: 10,405

F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI"), B. Riley FBR, Inc., a Delaware corporation ("BRFBR"), Kenneth M. Young and Bryant R. Riley.

F2 · ownership.nature: BRPGP is a subsidiary of BRCM, a registered investment advisor, and is the general partner of BRPLP. BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the Shares held by BRPLP. BRF is the parent company of BRFBR. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRFBR. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRPI.

F3 · ownership.nature: Bryant Riley, as Chief Executive Officer of BRCM and Chairman and Co-Chief Executive Officer of BRF, has voting and dispositive power over the shares held by BRPLP, BRPI and BRF. Mr. Young is the President of BRF and the Chief Executive Officer of BRPI. He has voting and dispositive power over the shares held by BRPI. Mr. Young does not have either voting or investment control over the securities held by the BRF. Each reporting person disclaims beneficial ownership of the securities of the Issuer reported herein held indirectly except to the extent of such person's pecuniary interest therein.

SEC source: 0001213900-19-021860 · ownership.xml · nonDerivative · entry 11

B. Riley Financial, Inc. · CIK 0001464790 · Director · 10% owner

BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner

BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner

B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner

B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner

B. Riley FBR, Inc. · CIK 0001505748 · 10% owner

Young Kenneth M · CIK 0001365572 · Director

RILEY BRYANT R · CIK 0001207269 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By B. Riley FBR, Inc.

Disclosed balance after: 10,735

F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI"), B. Riley FBR, Inc., a Delaware corporation ("BRFBR"), Kenneth M. Young and Bryant R. Riley.

F2 · ownership.nature: BRPGP is a subsidiary of BRCM, a registered investment advisor, and is the general partner of BRPLP. BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the Shares held by BRPLP. BRF is the parent company of BRFBR. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRFBR. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRPI.

F3 · ownership.nature: Bryant Riley, as Chief Executive Officer of BRCM and Chairman and Co-Chief Executive Officer of BRF, has voting and dispositive power over the shares held by BRPLP, BRPI and BRF. Mr. Young is the President of BRF and the Chief Executive Officer of BRPI. He has voting and dispositive power over the shares held by BRPI. Mr. Young does not have either voting or investment control over the securities held by the BRF. Each reporting person disclaims beneficial ownership of the securities of the Issuer reported herein held indirectly except to the extent of such person's pecuniary interest therein.

SEC source: 0001213900-19-021860 · ownership.xml · nonDerivative · entry 10

B. Riley Financial, Inc. · CIK 0001464790 · Director · 10% owner

BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner

BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner

B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner

B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner

B. Riley FBR, Inc. · CIK 0001505748 · 10% owner

Young Kenneth M · CIK 0001365572 · Director

RILEY BRYANT R · CIK 0001207269 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By B. Riley FBR, Inc.

Disclosed balance after: 11,235

F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI"), B. Riley FBR, Inc., a Delaware corporation ("BRFBR"), Kenneth M. Young and Bryant R. Riley.

F2 · ownership.nature: BRPGP is a subsidiary of BRCM, a registered investment advisor, and is the general partner of BRPLP. BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the Shares held by BRPLP. BRF is the parent company of BRFBR. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRFBR. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRPI.

F3 · ownership.nature: Bryant Riley, as Chief Executive Officer of BRCM and Chairman and Co-Chief Executive Officer of BRF, has voting and dispositive power over the shares held by BRPLP, BRPI and BRF. Mr. Young is the President of BRF and the Chief Executive Officer of BRPI. He has voting and dispositive power over the shares held by BRPI. Mr. Young does not have either voting or investment control over the securities held by the BRF. Each reporting person disclaims beneficial ownership of the securities of the Issuer reported herein held indirectly except to the extent of such person's pecuniary interest therein.

SEC source: 0001213900-19-021860 · ownership.xml · nonDerivative · entry 9

B. Riley Financial, Inc. · CIK 0001464790 · Director · 10% owner

BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner

BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner

B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner

B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner

B. Riley FBR, Inc. · CIK 0001505748 · 10% owner

Young Kenneth M · CIK 0001365572 · Director

RILEY BRYANT R · CIK 0001207269 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By B. Riley FBR, Inc.

Disclosed balance after: 11,835

F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI"), B. Riley FBR, Inc., a Delaware corporation ("BRFBR"), Kenneth M. Young and Bryant R. Riley.

F2 · ownership.nature: BRPGP is a subsidiary of BRCM, a registered investment advisor, and is the general partner of BRPLP. BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the Shares held by BRPLP. BRF is the parent company of BRFBR. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRFBR. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRPI.

F3 · ownership.nature: Bryant Riley, as Chief Executive Officer of BRCM and Chairman and Co-Chief Executive Officer of BRF, has voting and dispositive power over the shares held by BRPLP, BRPI and BRF. Mr. Young is the President of BRF and the Chief Executive Officer of BRPI. He has voting and dispositive power over the shares held by BRPI. Mr. Young does not have either voting or investment control over the securities held by the BRF. Each reporting person disclaims beneficial ownership of the securities of the Issuer reported herein held indirectly except to the extent of such person's pecuniary interest therein.

SEC source: 0001213900-19-021860 · ownership.xml · nonDerivative · entry 8

B. Riley Financial, Inc. · CIK 0001464790 · Director · 10% owner

BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner

BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner

B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner

B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner

B. Riley FBR, Inc. · CIK 0001505748 · 10% owner

Young Kenneth M · CIK 0001365572 · Director

RILEY BRYANT R · CIK 0001207269 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By B. Riley FBR, Inc.

Disclosed balance after: 13,335

F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI"), B. Riley FBR, Inc., a Delaware corporation ("BRFBR"), Kenneth M. Young and Bryant R. Riley.

F2 · ownership.nature: BRPGP is a subsidiary of BRCM, a registered investment advisor, and is the general partner of BRPLP. BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the Shares held by BRPLP. BRF is the parent company of BRFBR. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRFBR. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRPI.

F3 · ownership.nature: Bryant Riley, as Chief Executive Officer of BRCM and Chairman and Co-Chief Executive Officer of BRF, has voting and dispositive power over the shares held by BRPLP, BRPI and BRF. Mr. Young is the President of BRF and the Chief Executive Officer of BRPI. He has voting and dispositive power over the shares held by BRPI. Mr. Young does not have either voting or investment control over the securities held by the BRF. Each reporting person disclaims beneficial ownership of the securities of the Issuer reported herein held indirectly except to the extent of such person's pecuniary interest therein.

SEC source: 0001213900-19-021860 · ownership.xml · nonDerivative · entry 7

B. Riley Financial, Inc. · CIK 0001464790 · Director · 10% owner

BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner

BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner

B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner

B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner

B. Riley FBR, Inc. · CIK 0001505748 · 10% owner

Young Kenneth M · CIK 0001365572 · Director

RILEY BRYANT R · CIK 0001207269 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By B. Riley FBR, Inc.

Disclosed balance after: 13,535

F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI"), B. Riley FBR, Inc., a Delaware corporation ("BRFBR"), Kenneth M. Young and Bryant R. Riley.

F2 · ownership.nature: BRPGP is a subsidiary of BRCM, a registered investment advisor, and is the general partner of BRPLP. BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the Shares held by BRPLP. BRF is the parent company of BRFBR. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRFBR. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRPI.

F3 · ownership.nature: Bryant Riley, as Chief Executive Officer of BRCM and Chairman and Co-Chief Executive Officer of BRF, has voting and dispositive power over the shares held by BRPLP, BRPI and BRF. Mr. Young is the President of BRF and the Chief Executive Officer of BRPI. He has voting and dispositive power over the shares held by BRPI. Mr. Young does not have either voting or investment control over the securities held by the BRF. Each reporting person disclaims beneficial ownership of the securities of the Issuer reported herein held indirectly except to the extent of such person's pecuniary interest therein.

SEC source: 0001213900-19-021860 · ownership.xml · nonDerivative · entry 6

B. Riley Financial, Inc. · CIK 0001464790 · Director · 10% owner

BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner

BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner

B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner

B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner

B. Riley FBR, Inc. · CIK 0001505748 · 10% owner

Young Kenneth M · CIK 0001365572 · Director

RILEY BRYANT R · CIK 0001207269 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By B. Riley FBR, Inc.

Disclosed balance after: 14,035

F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI"), B. Riley FBR, Inc., a Delaware corporation ("BRFBR"), Kenneth M. Young and Bryant R. Riley.

F2 · ownership.nature: BRPGP is a subsidiary of BRCM, a registered investment advisor, and is the general partner of BRPLP. BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the Shares held by BRPLP. BRF is the parent company of BRFBR. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRFBR. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRPI.

F3 · ownership.nature: Bryant Riley, as Chief Executive Officer of BRCM and Chairman and Co-Chief Executive Officer of BRF, has voting and dispositive power over the shares held by BRPLP, BRPI and BRF. Mr. Young is the President of BRF and the Chief Executive Officer of BRPI. He has voting and dispositive power over the shares held by BRPI. Mr. Young does not have either voting or investment control over the securities held by the BRF. Each reporting person disclaims beneficial ownership of the securities of the Issuer reported herein held indirectly except to the extent of such person's pecuniary interest therein.

SEC source: 0001213900-19-021860 · ownership.xml · nonDerivative · entry 5

B. Riley Financial, Inc. · CIK 0001464790 · Director · 10% owner

BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner

BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner

B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner

B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner

B. Riley FBR, Inc. · CIK 0001505748 · 10% owner

Young Kenneth M · CIK 0001365572 · Director

RILEY BRYANT R · CIK 0001207269 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By B. Riley FBR, Inc.

Disclosed balance after: 14,235

F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI"), B. Riley FBR, Inc., a Delaware corporation ("BRFBR"), Kenneth M. Young and Bryant R. Riley.

F2 · ownership.nature: BRPGP is a subsidiary of BRCM, a registered investment advisor, and is the general partner of BRPLP. BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the Shares held by BRPLP. BRF is the parent company of BRFBR. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRFBR. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRPI.

F3 · ownership.nature: Bryant Riley, as Chief Executive Officer of BRCM and Chairman and Co-Chief Executive Officer of BRF, has voting and dispositive power over the shares held by BRPLP, BRPI and BRF. Mr. Young is the President of BRF and the Chief Executive Officer of BRPI. He has voting and dispositive power over the shares held by BRPI. Mr. Young does not have either voting or investment control over the securities held by the BRF. Each reporting person disclaims beneficial ownership of the securities of the Issuer reported herein held indirectly except to the extent of such person's pecuniary interest therein.

SEC source: 0001213900-19-021860 · ownership.xml · nonDerivative · entry 4

B. Riley Financial, Inc. · CIK 0001464790 · Director · 10% owner

BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner

BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner

B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner

B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner

B. Riley FBR, Inc. · CIK 0001505748 · 10% owner

Young Kenneth M · CIK 0001365572 · Director

RILEY BRYANT R · CIK 0001207269 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By B. Riley FBR, Inc.

Disclosed balance after: 25,500

F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI"), B. Riley FBR, Inc., a Delaware corporation ("BRFBR"), Kenneth M. Young and Bryant R. Riley.

F2 · ownership.nature: BRPGP is a subsidiary of BRCM, a registered investment advisor, and is the general partner of BRPLP. BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the Shares held by BRPLP. BRF is the parent company of BRFBR. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRFBR. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRPI.

F3 · ownership.nature: Bryant Riley, as Chief Executive Officer of BRCM and Chairman and Co-Chief Executive Officer of BRF, has voting and dispositive power over the shares held by BRPLP, BRPI and BRF. Mr. Young is the President of BRF and the Chief Executive Officer of BRPI. He has voting and dispositive power over the shares held by BRPI. Mr. Young does not have either voting or investment control over the securities held by the BRF. Each reporting person disclaims beneficial ownership of the securities of the Issuer reported herein held indirectly except to the extent of such person's pecuniary interest therein.

SEC source: 0001213900-19-021860 · ownership.xml · nonDerivative · entry 3

B. Riley Financial, Inc. · CIK 0001464790 · Director · 10% owner

BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner

BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner

B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner

B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner

B. Riley FBR, Inc. · CIK 0001505748 · 10% owner

Young Kenneth M · CIK 0001365572 · Director

RILEY BRYANT R · CIK 0001207269 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By B. Riley FBR, Inc.

Disclosed balance after: 500

F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI"), B. Riley FBR, Inc., a Delaware corporation ("BRFBR"), Kenneth M. Young and Bryant R. Riley.

F2 · ownership.nature: BRPGP is a subsidiary of BRCM, a registered investment advisor, and is the general partner of BRPLP. BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the Shares held by BRPLP. BRF is the parent company of BRFBR. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRFBR. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRPI.

F3 · ownership.nature: Bryant Riley, as Chief Executive Officer of BRCM and Chairman and Co-Chief Executive Officer of BRF, has voting and dispositive power over the shares held by BRPLP, BRPI and BRF. Mr. Young is the President of BRF and the Chief Executive Officer of BRPI. He has voting and dispositive power over the shares held by BRPI. Mr. Young does not have either voting or investment control over the securities held by the BRF. Each reporting person disclaims beneficial ownership of the securities of the Issuer reported herein held indirectly except to the extent of such person's pecuniary interest therein.

SEC source: 0001213900-19-021860 · ownership.xml · nonDerivative · entry 2

B. Riley Financial, Inc. · CIK 0001464790 · Director · 10% owner

BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner

BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner

B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner

B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner

B. Riley FBR, Inc. · CIK 0001505748 · 10% owner

Young Kenneth M · CIK 0001365572 · Director

RILEY BRYANT R · CIK 0001207269 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By B. Riley FBR, Inc.

Disclosed balance after: 300

F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI"), B. Riley FBR, Inc., a Delaware corporation ("BRFBR"), Kenneth M. Young and Bryant R. Riley.

F2 · ownership.nature: BRPGP is a subsidiary of BRCM, a registered investment advisor, and is the general partner of BRPLP. BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the Shares held by BRPLP. BRF is the parent company of BRFBR. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRFBR. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRPI.

F3 · ownership.nature: Bryant Riley, as Chief Executive Officer of BRCM and Chairman and Co-Chief Executive Officer of BRF, has voting and dispositive power over the shares held by BRPLP, BRPI and BRF. Mr. Young is the President of BRF and the Chief Executive Officer of BRPI. He has voting and dispositive power over the shares held by BRPI. Mr. Young does not have either voting or investment control over the securities held by the BRF. Each reporting person disclaims beneficial ownership of the securities of the Issuer reported herein held indirectly except to the extent of such person's pecuniary interest therein.

SEC source: 0001213900-19-021860 · ownership.xml · nonDerivative · entry 1

B. Riley Financial, Inc. · CIK 0001464790 · Director · 10% owner

BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner

BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner

B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner

B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner

B. Riley FBR, Inc. · CIK 0001505748 · 10% owner

Young Kenneth M · CIK 0001365572 · Director

RILEY BRYANT R · CIK 0001207269 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By B. Riley FBR, Inc.

Disclosed balance after: 200

F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI"), B. Riley FBR, Inc., a Delaware corporation ("BRFBR"), Kenneth M. Young and Bryant R. Riley.

F2 · ownership.nature: BRPGP is a subsidiary of BRCM, a registered investment advisor, and is the general partner of BRPLP. BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the Shares held by BRPLP. BRF is the parent company of BRFBR. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRFBR. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRPI.

F3 · ownership.nature: Bryant Riley, as Chief Executive Officer of BRCM and Chairman and Co-Chief Executive Officer of BRF, has voting and dispositive power over the shares held by BRPLP, BRPI and BRF. Mr. Young is the President of BRF and the Chief Executive Officer of BRPI. He has voting and dispositive power over the shares held by BRPI. Mr. Young does not have either voting or investment control over the securities held by the BRF. Each reporting person disclaims beneficial ownership of the securities of the Issuer reported herein held indirectly except to the extent of such person's pecuniary interest therein.