organization · Reporting owner

Whitebox Multi-Strategy Partners LP

Disclosed activity across 4 companies

Tapewire entity: 145644
SEC CIK: 0001452149

Reported relationships

Latest disclosed role at each company.

Company	Last reported as	Report date	Published
A. M. Castle & Co.CTAM · Entity 144324	10% owner	March 27, 2020	March 31, 2020
Garrett Motion Inc.GTXMQ · Entity 1720	10% owner	October 20, 2020	October 30, 2020
SAExploration Holdings, Inc.SAEX · Entity 147534	10% owner	July 28, 2020	July 30, 2020

Disclosed balances

About these balances

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

A. M. Castle & Co.

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

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	10,613,180	Reported balance Holding disclosure · report date 2020-03-27 · row 1 Holding and transaction disclosures are not merged. 1 source row Row 1 · Balance 10,613,180
3%/5% Convertible Sr. Secured PIK Toggle Notes due 2024SEC Table II · derivative / convertible security	Direct	Not disclosed	Reported balance Holding disclosure · report date 2020-03-27 · row 2 Instrument identity requires review; Table II rows are not merged. 1 source row Row 2 · Balance Not disclosed F3: The Reporting Person does not acknowledge that the Convertible Notes are derivative securities for purposes of Section 16 of the Securities Exchange Act of 1934. F2: The number of shares assumes that the Convertible Notes are converted at a rate of 2.1939631 shares of common stock, par value $0.01 per share ("Common Stock") per $1.00 principal amount of Convertible Notes. However, upon conversion of the Convertible Notes, the settlement of the conversion right may, at the option of the Issuer, be in the form of shares of Common Stock, cash or a combination of cash and shares of Common Stock in amounts determined in accordance with the indenture for the Convertible Notes and therefore there can be no certainty that the Convertible Notes could be converted into the number of shares provided in column 3. F1: The Issuer's 3.00% / 5.00% Convertible Senior Secured PIK Toggle Notes due 2024 (the "Convertible Notes") are convertible at the election of the holder at any time prior to the close of business on the trading day immediately preceding August 31, 2024, the maturity date for the Convertible Notes.

Filing footnotes · ownership attribution and instrument terms

F1: The Issuer's 3.00% / 5.00% Convertible Senior Secured PIK Toggle Notes due 2024 (the "Convertible Notes") are convertible at the election of the holder at any time prior to the close of business on the trading day immediately preceding August 31, 2024, the maturity date for the Convertible Notes.

F2: The number of shares assumes that the Convertible Notes are converted at a rate of 2.1939631 shares of common stock, par value $0.01 per share ("Common Stock") per $1.00 principal amount of Convertible Notes. However, upon conversion of the Convertible Notes, the settlement of the conversion right may, at the option of the Issuer, be in the form of shares of Common Stock, cash or a combination of cash and shares of Common Stock in amounts determined in accordance with the indenture for the Convertible Notes and therefore there can be no certainty that the Convertible Notes could be converted into the number of shares provided in column 3.

F3: The Reporting Person does not acknowledge that the Convertible Notes are derivative securities for purposes of Section 16 of the Securities Exchange Act of 1934.

Garrett Motion Inc.

Report date October 20, 2020 · Filed October 30, 2020

Jointly reported with WHITEBOX ADVISORS LLC, WHITEBOX GENERAL PARTNER LLC

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common Stock, $0.001 par value per shareSEC Table I · non-derivative	IndirectSee Footnotes	750,000	Reported balance Holding disclosure · report date 2020-10-20 · row 1 Holding and transaction disclosures are not merged. 1 source row Row 1 · Balance 750,000 F1: Includes 750,000 shares of Common Stock, $0.001 par value per share ("Common Stock") directly owned by Whitebox Multi-Strategy Partners, L.P. ("WMP") and that may be deemed to be beneficially owned by Whitebox Advisors LLC by virtue of its role as the investment manager of WMP and Whitebox General Partner LLC by virtue of its role as the general partner of WMP. The Reporting Persons with certain other parties may be deemed to constitute a group for purposes of Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Reference is made to the Schedule 13D filed with the Securities and Exchange Commission by the Reporting Persons on October 30, 2020. F2: The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of the securities for purposes of Section 16 of the Exchange Act or for any other purpose. This filing should not be construed to be an admission that any of the Reporting Persons are members of a "group" for the purposes of Sections 13(d) of the Exchange Act.
Common Stock, $0.001 par value per shareSEC Table I · non-derivative	Direct	750,000	Reported balance Holding disclosure · report date 2020-10-20 · row 2 Holding and transaction disclosures are not merged. 1 source row Row 2 · Balance 750,000 F3: These securities are directly beneficially owned by WMP.

Filing footnotes · ownership attribution and instrument terms

F1: Includes 750,000 shares of Common Stock, $0.001 par value per share ("Common Stock") directly owned by Whitebox Multi-Strategy Partners, L.P. ("WMP") and that may be deemed to be beneficially owned by Whitebox Advisors LLC by virtue of its role as the investment manager of WMP and Whitebox General Partner LLC by virtue of its role as the general partner of WMP. The Reporting Persons with certain other parties may be deemed to constitute a group for purposes of Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Reference is made to the Schedule 13D filed with the Securities and Exchange Commission by the Reporting Persons on October 30, 2020.

F2: The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of the securities for purposes of Section 16 of the Exchange Act or for any other purpose. This filing should not be construed to be an admission that any of the Reporting Persons are members of a "group" for the purposes of Sections 13(d) of the Exchange Act.

F3: These securities are directly beneficially owned by WMP.

SAExploration Holdings, Inc.

Report date July 28, 2020 · Filed July 30, 2020

Jointly reported with WHITEBOX ADVISORS LLC, WHITEBOX GENERAL PARTNER LLC

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common Stock, $0.0001 par valueSEC Table I · non-derivative	IndirectSee Footnote	2,336,520	Last balance in matching sequence After 2020-07-28 transaction · row 14 Source-order balances reconcile. Account continuity and personal attribution are not independently verified. 8 source rows Row 1 · 2020-07-28 · Other · Acquired 122,299 · Balance 282,779 F1: These securities are directly beneficially owned by certain private investment funds, including Whitebox Multi-Strategy Partners, LP ("WMP") (the "Private Funds") and may be deemed to be beneficially owned by (a) Whitebox Advisors LLC by virtue of its role as the investment manager of the Private Funds, and (b) Whitebox General Partner LLC by virtue of its role as the general partner of the Private Funds. Each of the Private Funds, Whitebox Advisors LLC and Whitebox General Partner LLC disclaim beneficial ownership of the reported securities except to the extent of his or its pecuniary interest therein, and affirmatively disclaim being a "group" for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Row 2 · 2020-07-28 · Other · Disposed 13 · Balance 282,766 F3: Reflects shares of Common Stock, $0.0001 par value ("Common Stock") withheld at the 20-Day volume weighted average price of $1.0952 per share of Common Stock to fund the cashless exercise of the warrants held by the Reporting Persons. F1: These securities are directly beneficially owned by certain private investment funds, including Whitebox Multi-Strategy Partners, LP ("WMP") (the "Private Funds") and may be deemed to be beneficially owned by (a) Whitebox Advisors LLC by virtue of its role as the investment manager of the Private Funds, and (b) Whitebox General Partner LLC by virtue of its role as the general partner of the Private Funds. Each of the Private Funds, Whitebox Advisors LLC and Whitebox General Partner LLC disclaim beneficial ownership of the reported securities except to the extent of his or its pecuniary interest therein, and affirmatively disclaim being a "group" for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Row 5 · 2020-07-28 · Other · Acquired 249,889 · Balance 532,655 F1: These securities are directly beneficially owned by certain private investment funds, including Whitebox Multi-Strategy Partners, LP ("WMP") (the "Private Funds") and may be deemed to be beneficially owned by (a) Whitebox Advisors LLC by virtue of its role as the investment manager of the Private Funds, and (b) Whitebox General Partner LLC by virtue of its role as the general partner of the Private Funds. Each of the Private Funds, Whitebox Advisors LLC and Whitebox General Partner LLC disclaim beneficial ownership of the reported securities except to the extent of his or its pecuniary interest therein, and affirmatively disclaim being a "group" for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Row 6 · 2020-07-28 · Other · Disposed 25 · Balance 532,630 F3: Reflects shares of Common Stock, $0.0001 par value ("Common Stock") withheld at the 20-Day volume weighted average price of $1.0952 per share of Common Stock to fund the cashless exercise of the warrants held by the Reporting Persons. F1: These securities are directly beneficially owned by certain private investment funds, including Whitebox Multi-Strategy Partners, LP ("WMP") (the "Private Funds") and may be deemed to be beneficially owned by (a) Whitebox Advisors LLC by virtue of its role as the investment manager of the Private Funds, and (b) Whitebox General Partner LLC by virtue of its role as the general partner of the Private Funds. Each of the Private Funds, Whitebox Advisors LLC and Whitebox General Partner LLC disclaim beneficial ownership of the reported securities except to the extent of his or its pecuniary interest therein, and affirmatively disclaim being a "group" for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Row 9 · 2020-07-28 · Other · Acquired 1,461,688 · Balance 1,994,318 F1: These securities are directly beneficially owned by certain private investment funds, including Whitebox Multi-Strategy Partners, LP ("WMP") (the "Private Funds") and may be deemed to be beneficially owned by (a) Whitebox Advisors LLC by virtue of its role as the investment manager of the Private Funds, and (b) Whitebox General Partner LLC by virtue of its role as the general partner of the Private Funds. Each of the Private Funds, Whitebox Advisors LLC and Whitebox General Partner LLC disclaim beneficial ownership of the reported securities except to the extent of his or its pecuniary interest therein, and affirmatively disclaim being a "group" for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Row 10 · 2020-07-28 · Other · Disposed 135 · Balance 1,994,183 F3: Reflects shares of Common Stock, $0.0001 par value ("Common Stock") withheld at the 20-Day volume weighted average price of $1.0952 per share of Common Stock to fund the cashless exercise of the warrants held by the Reporting Persons. F1: These securities are directly beneficially owned by certain private investment funds, including Whitebox Multi-Strategy Partners, LP ("WMP") (the "Private Funds") and may be deemed to be beneficially owned by (a) Whitebox Advisors LLC by virtue of its role as the investment manager of the Private Funds, and (b) Whitebox General Partner LLC by virtue of its role as the general partner of the Private Funds. Each of the Private Funds, Whitebox Advisors LLC and Whitebox General Partner LLC disclaim beneficial ownership of the reported securities except to the extent of his or its pecuniary interest therein, and affirmatively disclaim being a "group" for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Row 13 · 2020-07-28 · Other · Acquired 342,369 · Balance 2,336,552 F1: These securities are directly beneficially owned by certain private investment funds, including Whitebox Multi-Strategy Partners, LP ("WMP") (the "Private Funds") and may be deemed to be beneficially owned by (a) Whitebox Advisors LLC by virtue of its role as the investment manager of the Private Funds, and (b) Whitebox General Partner LLC by virtue of its role as the general partner of the Private Funds. Each of the Private Funds, Whitebox Advisors LLC and Whitebox General Partner LLC disclaim beneficial ownership of the reported securities except to the extent of his or its pecuniary interest therein, and affirmatively disclaim being a "group" for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Row 14 · 2020-07-28 · Other · Disposed 32 · Balance 2,336,520 F3: Reflects shares of Common Stock, $0.0001 par value ("Common Stock") withheld at the 20-Day volume weighted average price of $1.0952 per share of Common Stock to fund the cashless exercise of the warrants held by the Reporting Persons. F1: These securities are directly beneficially owned by certain private investment funds, including Whitebox Multi-Strategy Partners, LP ("WMP") (the "Private Funds") and may be deemed to be beneficially owned by (a) Whitebox Advisors LLC by virtue of its role as the investment manager of the Private Funds, and (b) Whitebox General Partner LLC by virtue of its role as the general partner of the Private Funds. Each of the Private Funds, Whitebox Advisors LLC and Whitebox General Partner LLC disclaim beneficial ownership of the reported securities except to the extent of his or its pecuniary interest therein, and affirmatively disclaim being a "group" for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act").
Common Stock, $0.0001 par valueSEC Table I · non-derivative	Direct	1,431,072	Last balance in matching sequence After 2020-07-28 transaction · row 16 Source-order balances reconcile. Account continuity and personal attribution are not independently verified. 8 source rows Row 3 · 2020-07-28 · Other · Acquired 72,921 · Balance 171,016 F2: These securities are directly beneficially owned by WMP. Row 4 · 2020-07-28 · Other · Disposed 7 · Balance 171,009 F3: Reflects shares of Common Stock, $0.0001 par value ("Common Stock") withheld at the 20-Day volume weighted average price of $1.0952 per share of Common Stock to fund the cashless exercise of the warrants held by the Reporting Persons. F2: These securities are directly beneficially owned by WMP. Row 7 · 2020-07-28 · Other · Acquired 148,995 · Balance 320,004 F2: These securities are directly beneficially owned by WMP. Row 8 · 2020-07-28 · Other · Disposed 14 · Balance 319,990 F3: Reflects shares of Common Stock, $0.0001 par value ("Common Stock") withheld at the 20-Day volume weighted average price of $1.0952 per share of Common Stock to fund the cashless exercise of the warrants held by the Reporting Persons. F2: These securities are directly beneficially owned by WMP. Row 11 · 2020-07-28 · Other · Acquired 871,354 · Balance 1,191,344 F2: These securities are directly beneficially owned by WMP. Row 12 · 2020-07-28 · Other · Disposed 80 · Balance 1,191,264 F3: Reflects shares of Common Stock, $0.0001 par value ("Common Stock") withheld at the 20-Day volume weighted average price of $1.0952 per share of Common Stock to fund the cashless exercise of the warrants held by the Reporting Persons. F2: These securities are directly beneficially owned by WMP. Row 15 · 2020-07-28 · Other · Acquired 239,830 · Balance 1,431,094 F2: These securities are directly beneficially owned by WMP. Row 16 · 2020-07-28 · Other · Disposed 22 · Balance 1,431,072 F3: Reflects shares of Common Stock, $0.0001 par value ("Common Stock") withheld at the 20-Day volume weighted average price of $1.0952 per share of Common Stock to fund the cashless exercise of the warrants held by the Reporting Persons. F2: These securities are directly beneficially owned by WMP.
Series C WarrantsSEC Table II · derivative / convertible security	IndirectSee Footnote	0	Reported balance After 2020-07-28 transaction · row 17 Instrument identity requires review; Table II rows are not merged. 1 source row Row 17 · 2020-07-28 · Other · Disposed 2,446,026 · Balance 0 F4: Pursuant to the applicable warrant agreement, each Series C Warrant gives the holder thereof the right to purchase one share of Common Stock, subject to certain exceptions. The Series C Warrants have an initial exercise price of $0.0001 per share of Common Stock, subject to customary anti-dilution provisions. Reference is made to the Issuer's 8-K and Exhibit 10.2 attached thereto filed on February 1, 2018, which is incorporated by reference. The reported amount of Common Stock after exercise takes into account the Issuer's 20-to-1 reverse stock split as provided in the Issuer's 8-K filed on September 19, 2018, with shares of Common Stock rounded down in lieu of any fractional shares (the "Reverse Stock Split"). F1: These securities are directly beneficially owned by certain private investment funds, including Whitebox Multi-Strategy Partners, LP ("WMP") (the "Private Funds") and may be deemed to be beneficially owned by (a) Whitebox Advisors LLC by virtue of its role as the investment manager of the Private Funds, and (b) Whitebox General Partner LLC by virtue of its role as the general partner of the Private Funds. Each of the Private Funds, Whitebox Advisors LLC and Whitebox General Partner LLC disclaim beneficial ownership of the reported securities except to the extent of his or its pecuniary interest therein, and affirmatively disclaim being a "group" for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act").
Series C WarrantsSEC Table II · derivative / convertible security	Direct	0	Reported balance After 2020-07-28 transaction · row 18 Instrument identity requires review; Table II rows are not merged. 1 source row Row 18 · 2020-07-28 · Other · Disposed 1,458,434 · Balance 0 F4: Pursuant to the applicable warrant agreement, each Series C Warrant gives the holder thereof the right to purchase one share of Common Stock, subject to certain exceptions. The Series C Warrants have an initial exercise price of $0.0001 per share of Common Stock, subject to customary anti-dilution provisions. Reference is made to the Issuer's 8-K and Exhibit 10.2 attached thereto filed on February 1, 2018, which is incorporated by reference. The reported amount of Common Stock after exercise takes into account the Issuer's 20-to-1 reverse stock split as provided in the Issuer's 8-K filed on September 19, 2018, with shares of Common Stock rounded down in lieu of any fractional shares (the "Reverse Stock Split"). F2: These securities are directly beneficially owned by WMP.
Series D WarrantsSEC Table II · derivative / convertible security	IndirectSee Footnote	0	Reported balance After 2020-07-28 transaction · row 19 Instrument identity requires review; Table II rows are not merged. 1 source row Row 19 · 2020-07-28 · Other · Disposed 4,997,800 · Balance 0 F5: Pursuant to the applicable warrant agreement, each Series D Warrant gives the holder thereof the right to purchase one share of Common Stock, subject to certain exceptions. The Series D Warrants have an initial exercise price of $0.0001 per share of Common Stock, subject to customary anti-dilution provisions. Reference is made to the Issuer's 8-K and Exhibit 10.1 attached thereto filed on March 8, 2018, which is incorporated by reference. The reported amount of Common Stock after exercise takes into account the Reverse Stock Split. F1: These securities are directly beneficially owned by certain private investment funds, including Whitebox Multi-Strategy Partners, LP ("WMP") (the "Private Funds") and may be deemed to be beneficially owned by (a) Whitebox Advisors LLC by virtue of its role as the investment manager of the Private Funds, and (b) Whitebox General Partner LLC by virtue of its role as the general partner of the Private Funds. Each of the Private Funds, Whitebox Advisors LLC and Whitebox General Partner LLC disclaim beneficial ownership of the reported securities except to the extent of his or its pecuniary interest therein, and affirmatively disclaim being a "group" for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act").
Series D WarrantsSEC Table II · derivative / convertible security	Direct	0	Reported balance After 2020-07-28 transaction · row 20 Instrument identity requires review; Table II rows are not merged. 1 source row Row 20 · 2020-07-28 · Other · Disposed 2,979,904 · Balance 0 F5: Pursuant to the applicable warrant agreement, each Series D Warrant gives the holder thereof the right to purchase one share of Common Stock, subject to certain exceptions. The Series D Warrants have an initial exercise price of $0.0001 per share of Common Stock, subject to customary anti-dilution provisions. Reference is made to the Issuer's 8-K and Exhibit 10.1 attached thereto filed on March 8, 2018, which is incorporated by reference. The reported amount of Common Stock after exercise takes into account the Reverse Stock Split. F2: These securities are directly beneficially owned by WMP.
Series E WarrantsSEC Table II · derivative / convertible security	IndirectSee Footnote	0	Reported balance After 2020-07-28 transaction · row 21 Instrument identity requires review; Table II rows are not merged. 1 source row Row 21 · 2020-07-28 · Other · Disposed 29,233,812 · Balance 0 F6: Pursuant to the applicable warrant agreement, each Series E Warrant gives the holder thereof the right to purchase one share of Common Stock, subject to certain. The Series E Warrants have an initial exercise price of $0.0001 per share of Common Stock, subject to customary anti-dilution provisions. Reference is made to the Issuer's 8-K and Exhibit 4.1 attached thereto filed on September 11, 2018, which is incorporated by reference. The reported amount of Common Stock after exercise takes into account the Reverse Stock Split. F1: These securities are directly beneficially owned by certain private investment funds, including Whitebox Multi-Strategy Partners, LP ("WMP") (the "Private Funds") and may be deemed to be beneficially owned by (a) Whitebox Advisors LLC by virtue of its role as the investment manager of the Private Funds, and (b) Whitebox General Partner LLC by virtue of its role as the general partner of the Private Funds. Each of the Private Funds, Whitebox Advisors LLC and Whitebox General Partner LLC disclaim beneficial ownership of the reported securities except to the extent of his or its pecuniary interest therein, and affirmatively disclaim being a "group" for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act").
Series E WarrantsSEC Table II · derivative / convertible security	Direct	0	Reported balance After 2020-07-28 transaction · row 22 Instrument identity requires review; Table II rows are not merged. 1 source row Row 22 · 2020-07-28 · Other · Disposed 17,427,095 · Balance 0 F6: Pursuant to the applicable warrant agreement, each Series E Warrant gives the holder thereof the right to purchase one share of Common Stock, subject to certain. The Series E Warrants have an initial exercise price of $0.0001 per share of Common Stock, subject to customary anti-dilution provisions. Reference is made to the Issuer's 8-K and Exhibit 4.1 attached thereto filed on September 11, 2018, which is incorporated by reference. The reported amount of Common Stock after exercise takes into account the Reverse Stock Split. F2: These securities are directly beneficially owned by WMP.
Series F WarrantsSEC Table II · derivative / convertible security	IndirectSee Footnote	0	Reported balance After 2020-07-28 transaction · row 23 Instrument identity requires review; Table II rows are not merged. 1 source row Row 23 · 2020-07-28 · Other · Disposed 342,369 · Balance 0 F7: Pursuant to the applicable warrant agreement, each Series F Warrant gives the holder thereof the right to purchase one share of Common Stock of the Issuer, subject to certain limitations. Reference is made to the Issuer's 8-K and Exhibit 4.1 attached thereto filed on December 12, 2019, which is incorporated by reference. F1: These securities are directly beneficially owned by certain private investment funds, including Whitebox Multi-Strategy Partners, LP ("WMP") (the "Private Funds") and may be deemed to be beneficially owned by (a) Whitebox Advisors LLC by virtue of its role as the investment manager of the Private Funds, and (b) Whitebox General Partner LLC by virtue of its role as the general partner of the Private Funds. Each of the Private Funds, Whitebox Advisors LLC and Whitebox General Partner LLC disclaim beneficial ownership of the reported securities except to the extent of his or its pecuniary interest therein, and affirmatively disclaim being a "group" for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act").
Series F WarrantsSEC Table II · derivative / convertible security	Direct	0	Reported balance After 2020-07-28 transaction · row 24 Instrument identity requires review; Table II rows are not merged. 1 source row Row 24 · 2020-07-28 · Other · Disposed 239,830 · Balance 0 F7: Pursuant to the applicable warrant agreement, each Series F Warrant gives the holder thereof the right to purchase one share of Common Stock of the Issuer, subject to certain limitations. Reference is made to the Issuer's 8-K and Exhibit 4.1 attached thereto filed on December 12, 2019, which is incorporated by reference. F2: These securities are directly beneficially owned by WMP.

Filing footnotes · ownership attribution and instrument terms

F1: These securities are directly beneficially owned by certain private investment funds, including Whitebox Multi-Strategy Partners, LP ("WMP") (the "Private Funds") and may be deemed to be beneficially owned by (a) Whitebox Advisors LLC by virtue of its role as the investment manager of the Private Funds, and (b) Whitebox General Partner LLC by virtue of its role as the general partner of the Private Funds. Each of the Private Funds, Whitebox Advisors LLC and Whitebox General Partner LLC disclaim beneficial ownership of the reported securities except to the extent of his or its pecuniary interest therein, and affirmatively disclaim being a "group" for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act").

F2: These securities are directly beneficially owned by WMP.

F3: Reflects shares of Common Stock, $0.0001 par value ("Common Stock") withheld at the 20-Day volume weighted average price of $1.0952 per share of Common Stock to fund the cashless exercise of the warrants held by the Reporting Persons.

F4: Pursuant to the applicable warrant agreement, each Series C Warrant gives the holder thereof the right to purchase one share of Common Stock, subject to certain exceptions. The Series C Warrants have an initial exercise price of $0.0001 per share of Common Stock, subject to customary anti-dilution provisions. Reference is made to the Issuer's 8-K and Exhibit 10.2 attached thereto filed on February 1, 2018, which is incorporated by reference. The reported amount of Common Stock after exercise takes into account the Issuer's 20-to-1 reverse stock split as provided in the Issuer's 8-K filed on September 19, 2018, with shares of Common Stock rounded down in lieu of any fractional shares (the "Reverse Stock Split").

F5: Pursuant to the applicable warrant agreement, each Series D Warrant gives the holder thereof the right to purchase one share of Common Stock, subject to certain exceptions. The Series D Warrants have an initial exercise price of $0.0001 per share of Common Stock, subject to customary anti-dilution provisions. Reference is made to the Issuer's 8-K and Exhibit 10.1 attached thereto filed on March 8, 2018, which is incorporated by reference. The reported amount of Common Stock after exercise takes into account the Reverse Stock Split.

F6: Pursuant to the applicable warrant agreement, each Series E Warrant gives the holder thereof the right to purchase one share of Common Stock, subject to certain. The Series E Warrants have an initial exercise price of $0.0001 per share of Common Stock, subject to customary anti-dilution provisions. Reference is made to the Issuer's 8-K and Exhibit 4.1 attached thereto filed on September 11, 2018, which is incorporated by reference. The reported amount of Common Stock after exercise takes into account the Reverse Stock Split.

F7: Pursuant to the applicable warrant agreement, each Series F Warrant gives the holder thereof the right to purchase one share of Common Stock of the Issuer, subject to certain limitations. Reference is made to the Issuer's 8-K and Exhibit 4.1 attached thereto filed on December 12, 2019, which is incorporated by reference.

Past disclosures · reporting ended (1)

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

TETRALOGIC PHARMACEUTICALS Corp

Report date November 14, 2016 · Filed November 14, 2016

Jointly reported with WHITEBOX ADVISORS LLC, WHITEBOX GENERAL PARTNER LLC, Whitebox Relative Value Partners, L.P., Pandora Select Partners, L.P., Whitebox GT Fund, LP

Section 16 reporting ended · disclosed 2016-11-14. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
8% Senior Convertible Notes due 2019SEC Table II · derivative / convertible security	IndirectSee Footnotes	0	Reported balance After 2016-11-14 transaction · row 1 Instrument identity requires review; Table II rows are not merged. 1 source row Row 1 · 2016-11-14 · Other · Disposed Not disclosed · Balance 0 F1: On November 14, 2016, pursuant to the Exchange Agreement, the Reporting Persons agreed (i) to exchange $543,287 in aggregate principal amount of the Senior Notes for 3,018,260 shares of Preferred Stock and (ii) to extend the maturity date and modify the conversion terms of the Reporting Persons' remaining $10,260,713 in aggregate principal amount Senior Notes (the "Remaining Senior Notes"). F6: These securities are directly beneficially owned by certain private investment funds, including Whitebox Relative Value Partners, LP ("WRP") Whitebox Multi-Strategy Partners, LP ("WMP"), Pandora Select Partners, LP ("PSP"), and Whitebox GT Fund, LP ("WGT" and collectively with, WRP, WMP and PSP, the "Private Funds") and may be deemed to be beneficially owned by (a) Whitebox Advisors LLC by virtue of its role as the investment manager of the Private Funds, and (b) Whitebox General Partner LLC by virtue of its role as the general partner of the Private Funds. Immediately prior to the transactions reported herein, WRP directly beneficially owned $3,528,000 of Senior Notes, WMP directly beneficially owned $6,076,000 of Senior Notes, PSP directly beneficially owned $800,000 of Senior Notes and WGT directly beneficially owned $400,000 of Senior Notes. F7: Following the transactions reported herein, WRP directly beneficially owns 985,600 shares of Preferred Stock and $3,350,592 in aggregate principal amount of Remaining Senior Notes, WMP directly beneficially owns 1,697,422 shares of Preferred Stock and $5,770,464 in aggregate principal amount of Remaining Senior Notes, PSP directly beneficially owns 223,494 shares of Preferred Stock and $759,771 in aggregate principal amount of Remaining Senior Notes, and WGT directly beneficially owns 111,744 shares of Preferred Stock and $379,886 in aggregate principal amount of Remaining Senior Notes.
Preferred StockSEC Table II · derivative / convertible security	IndirectSee Footnotes	3,018,260	Reported balance After 2016-11-14 transaction · row 2 Instrument identity requires review; Table II rows are not merged. 1 source row Row 2 · 2016-11-14 · Other · Acquired 3,018,260 · Balance 3,018,260 F2: Each share of Preferred Stock is initially convertible into one share of Common Stock, subject to adjustment as described in the Certificate of Designations for the Preferred Stock. F3: The Preferred Stock is contingently convertible into Common Stock, subject to the Issuer's achievement of certain milestones payments and the deregistration of the Issuer's Common Stock, as further described in the Certificate of Designations for the Preferred Stock. The Preferred Stock is not currently convertible. The Reporting Persons expressly disclaim beneficial ownership of the shares of Common Stock underlying the Preferred Stock. F6: These securities are directly beneficially owned by certain private investment funds, including Whitebox Relative Value Partners, LP ("WRP") Whitebox Multi-Strategy Partners, LP ("WMP"), Pandora Select Partners, LP ("PSP"), and Whitebox GT Fund, LP ("WGT" and collectively with, WRP, WMP and PSP, the "Private Funds") and may be deemed to be beneficially owned by (a) Whitebox Advisors LLC by virtue of its role as the investment manager of the Private Funds, and (b) Whitebox General Partner LLC by virtue of its role as the general partner of the Private Funds. Immediately prior to the transactions reported herein, WRP directly beneficially owned $3,528,000 of Senior Notes, WMP directly beneficially owned $6,076,000 of Senior Notes, PSP directly beneficially owned $800,000 of Senior Notes and WGT directly beneficially owned $400,000 of Senior Notes. F7: Following the transactions reported herein, WRP directly beneficially owns 985,600 shares of Preferred Stock and $3,350,592 in aggregate principal amount of Remaining Senior Notes, WMP directly beneficially owns 1,697,422 shares of Preferred Stock and $5,770,464 in aggregate principal amount of Remaining Senior Notes, PSP directly beneficially owns 223,494 shares of Preferred Stock and $759,771 in aggregate principal amount of Remaining Senior Notes, and WGT directly beneficially owns 111,744 shares of Preferred Stock and $379,886 in aggregate principal amount of Remaining Senior Notes.
8% Senior Convertible Notes due 2024SEC Table II · derivative / convertible security · Expires 2024-06-15	IndirectSee Footnotes	Not disclosed	Reported balance After 2016-11-14 transaction · row 3 Instrument identity requires review; Table II rows are not merged. 1 source row Row 3 · 2016-11-14 · Other · Acquired Not disclosed · Balance Not disclosed F4: The conversion rate for the Senior Notes is equal 148.3019 shares of the Company's common stock per $1,000 principal amount of Notes (which is equivalent to an initial conversion price of approximately $6.74 per share of common stock), subject to adjustment upon the occurrence of certain specified events. F5: The Remaining Senior Notes are contingently convertible into Common Stock, subject to the Issuer's achievement of certain milestones payments. The Remaining Senior Notes are not currently convertible. The Reporting Persons expressly disclaim beneficial ownership of the shares of Common Stock underlying the Remaining Senior Notes. F6: These securities are directly beneficially owned by certain private investment funds, including Whitebox Relative Value Partners, LP ("WRP") Whitebox Multi-Strategy Partners, LP ("WMP"), Pandora Select Partners, LP ("PSP"), and Whitebox GT Fund, LP ("WGT" and collectively with, WRP, WMP and PSP, the "Private Funds") and may be deemed to be beneficially owned by (a) Whitebox Advisors LLC by virtue of its role as the investment manager of the Private Funds, and (b) Whitebox General Partner LLC by virtue of its role as the general partner of the Private Funds. Immediately prior to the transactions reported herein, WRP directly beneficially owned $3,528,000 of Senior Notes, WMP directly beneficially owned $6,076,000 of Senior Notes, PSP directly beneficially owned $800,000 of Senior Notes and WGT directly beneficially owned $400,000 of Senior Notes. F7: Following the transactions reported herein, WRP directly beneficially owns 985,600 shares of Preferred Stock and $3,350,592 in aggregate principal amount of Remaining Senior Notes, WMP directly beneficially owns 1,697,422 shares of Preferred Stock and $5,770,464 in aggregate principal amount of Remaining Senior Notes, PSP directly beneficially owns 223,494 shares of Preferred Stock and $759,771 in aggregate principal amount of Remaining Senior Notes, and WGT directly beneficially owns 111,744 shares of Preferred Stock and $379,886 in aggregate principal amount of Remaining Senior Notes.

Filing footnotes · ownership attribution and instrument terms

F1: On November 14, 2016, pursuant to the Exchange Agreement, the Reporting Persons agreed (i) to exchange $543,287 in aggregate principal amount of the Senior Notes for 3,018,260 shares of Preferred Stock and (ii) to extend the maturity date and modify the conversion terms of the Reporting Persons' remaining $10,260,713 in aggregate principal amount Senior Notes (the "Remaining Senior Notes").

F2: Each share of Preferred Stock is initially convertible into one share of Common Stock, subject to adjustment as described in the Certificate of Designations for the Preferred Stock.

F3: The Preferred Stock is contingently convertible into Common Stock, subject to the Issuer's achievement of certain milestones payments and the deregistration of the Issuer's Common Stock, as further described in the Certificate of Designations for the Preferred Stock. The Preferred Stock is not currently convertible. The Reporting Persons expressly disclaim beneficial ownership of the shares of Common Stock underlying the Preferred Stock.

F4: The conversion rate for the Senior Notes is equal 148.3019 shares of the Company's common stock per $1,000 principal amount of Notes (which is equivalent to an initial conversion price of approximately $6.74 per share of common stock), subject to adjustment upon the occurrence of certain specified events.

F5: The Remaining Senior Notes are contingently convertible into Common Stock, subject to the Issuer's achievement of certain milestones payments. The Remaining Senior Notes are not currently convertible. The Reporting Persons expressly disclaim beneficial ownership of the shares of Common Stock underlying the Remaining Senior Notes.

F6: These securities are directly beneficially owned by certain private investment funds, including Whitebox Relative Value Partners, LP ("WRP") Whitebox Multi-Strategy Partners, LP ("WMP"), Pandora Select Partners, LP ("PSP"), and Whitebox GT Fund, LP ("WGT" and collectively with, WRP, WMP and PSP, the "Private Funds") and may be deemed to be beneficially owned by (a) Whitebox Advisors LLC by virtue of its role as the investment manager of the Private Funds, and (b) Whitebox General Partner LLC by virtue of its role as the general partner of the Private Funds. Immediately prior to the transactions reported herein, WRP directly beneficially owned $3,528,000 of Senior Notes, WMP directly beneficially owned $6,076,000 of Senior Notes, PSP directly beneficially owned $800,000 of Senior Notes and WGT directly beneficially owned $400,000 of Senior Notes.

F7: Following the transactions reported herein, WRP directly beneficially owns 985,600 shares of Preferred Stock and $3,350,592 in aggregate principal amount of Remaining Senior Notes, WMP directly beneficially owns 1,697,422 shares of Preferred Stock and $5,770,464 in aggregate principal amount of Remaining Senior Notes, PSP directly beneficially owns 223,494 shares of Preferred Stock and $759,771 in aggregate principal amount of Remaining Senior Notes, and WGT directly beneficially owns 111,744 shares of Preferred Stock and $379,886 in aggregate principal amount of Remaining Senior Notes.

Transaction history

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Transaction date	Company	Activity / security	Shares / units	Reported price	Reported value	Details
January 29, 2018 Filed Feb 6, 2018 13:57 UTC Amendment	SAExploration Holdings, Inc. SAEX · Entity 147534	OtherMandatorily Convertible Series B Preferred Stock · Derivative	137,084	Not disclosed	Not disclosed	Disclosure SEC source: 0000919574-18-000873 · p7814116.xml · derivative · entry 5 WHITEBOX ADVISORS LLC · CIK 0001257391 · 10% owner WHITEBOX GENERAL PARTNER LLC · CIK 0001650272 · 10% owner Whitebox Multi-Strategy Partners LP · CIK 0001452149 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 137,084 Underlying: Common Stock · Not disclosed shares Expires not disclosed F3 · derivative.exercise_price: The derivative securities were acquired pursuant to the exchange offer (the "Exchange Offer") and consent solicitation related to the Issuer's 10.000% Senior Secured Second Lien Notes due 2019 and the Issuer's 10.000% Senior Secured Notes due 2019. Reference is made to the Issuer's 8-K and the attachments thereto filed on February 1, 2018. F3 · price: The derivative securities were acquired pursuant to the exchange offer (the "Exchange Offer") and consent solicitation related to the Issuer's 10.000% Senior Secured Second Lien Notes due 2019 and the Issuer's 10.000% Senior Secured Notes due 2019. Reference is made to the Issuer's 8-K and the attachments thereto filed on February 1, 2018. F3 · derivative.exercise_date: The derivative securities were acquired pursuant to the exchange offer (the "Exchange Offer") and consent solicitation related to the Issuer's 10.000% Senior Secured Second Lien Notes due 2019 and the Issuer's 10.000% Senior Secured Notes due 2019. Reference is made to the Issuer's 8-K and the attachments thereto filed on February 1, 2018. F3 · derivative.expiration_date: The derivative securities were acquired pursuant to the exchange offer (the "Exchange Offer") and consent solicitation related to the Issuer's 10.000% Senior Secured Second Lien Notes due 2019 and the Issuer's 10.000% Senior Secured Notes due 2019. Reference is made to the Issuer's 8-K and the attachments thereto filed on February 1, 2018. F3 · derivative.underlying_shares: The derivative securities were acquired pursuant to the exchange offer (the "Exchange Offer") and consent solicitation related to the Issuer's 10.000% Senior Secured Second Lien Notes due 2019 and the Issuer's 10.000% Senior Secured Notes due 2019. Reference is made to the Issuer's 8-K and the attachments thereto filed on February 1, 2018. F2 · ownership.direct: These securities are directly beneficially owned by WMP. Read SEC document
January 29, 2018 Filed Feb 6, 2018 13:57 UTC Amendment	SAExploration Holdings, Inc. SAEX · Entity 147534	Other8.0% Cumulative Perpetual Series A Preferred Stock · Derivative	5,077	Not disclosed	Not disclosed	Disclosure SEC source: 0000919574-18-000873 · p7814116.xml · derivative · entry 4 WHITEBOX ADVISORS LLC · CIK 0001257391 · 10% owner WHITEBOX GENERAL PARTNER LLC · CIK 0001650272 · 10% owner Whitebox Multi-Strategy Partners LP · CIK 0001452149 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,077 Underlying: Common Stock · Not disclosed shares Expires not disclosed F3 · derivative.exercise_price: The derivative securities were acquired pursuant to the exchange offer (the "Exchange Offer") and consent solicitation related to the Issuer's 10.000% Senior Secured Second Lien Notes due 2019 and the Issuer's 10.000% Senior Secured Notes due 2019. Reference is made to the Issuer's 8-K and the attachments thereto filed on February 1, 2018. F3 · price: The derivative securities were acquired pursuant to the exchange offer (the "Exchange Offer") and consent solicitation related to the Issuer's 10.000% Senior Secured Second Lien Notes due 2019 and the Issuer's 10.000% Senior Secured Notes due 2019. Reference is made to the Issuer's 8-K and the attachments thereto filed on February 1, 2018. F3 · derivative.expiration_date: The derivative securities were acquired pursuant to the exchange offer (the "Exchange Offer") and consent solicitation related to the Issuer's 10.000% Senior Secured Second Lien Notes due 2019 and the Issuer's 10.000% Senior Secured Notes due 2019. Reference is made to the Issuer's 8-K and the attachments thereto filed on February 1, 2018. F3 · derivative.underlying_shares: The derivative securities were acquired pursuant to the exchange offer (the "Exchange Offer") and consent solicitation related to the Issuer's 10.000% Senior Secured Second Lien Notes due 2019 and the Issuer's 10.000% Senior Secured Notes due 2019. Reference is made to the Issuer's 8-K and the attachments thereto filed on February 1, 2018. F2 · ownership.direct: These securities are directly beneficially owned by WMP. Read SEC document
January 29, 2018 Filed Feb 6, 2018 13:57 UTC Amendment	SAExploration Holdings, Inc. SAEX · Entity 147534	OtherSeries C Warrants · Derivative	2,446,026	Not disclosed	Not disclosed	Disclosure SEC source: 0000919574-18-000873 · p7814116.xml · derivative · entry 3 WHITEBOX ADVISORS LLC · CIK 0001257391 · 10% owner WHITEBOX GENERAL PARTNER LLC · CIK 0001650272 · 10% owner Whitebox Multi-Strategy Partners LP · CIK 0001452149 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,446,026 Underlying: Common Stock · Not disclosed shares Expires not disclosed F3 · derivative.exercise_price: The derivative securities were acquired pursuant to the exchange offer (the "Exchange Offer") and consent solicitation related to the Issuer's 10.000% Senior Secured Second Lien Notes due 2019 and the Issuer's 10.000% Senior Secured Notes due 2019. Reference is made to the Issuer's 8-K and the attachments thereto filed on February 1, 2018. F3 · price: The derivative securities were acquired pursuant to the exchange offer (the "Exchange Offer") and consent solicitation related to the Issuer's 10.000% Senior Secured Second Lien Notes due 2019 and the Issuer's 10.000% Senior Secured Notes due 2019. Reference is made to the Issuer's 8-K and the attachments thereto filed on February 1, 2018. F3 · derivative.expiration_date: The derivative securities were acquired pursuant to the exchange offer (the "Exchange Offer") and consent solicitation related to the Issuer's 10.000% Senior Secured Second Lien Notes due 2019 and the Issuer's 10.000% Senior Secured Notes due 2019. Reference is made to the Issuer's 8-K and the attachments thereto filed on February 1, 2018. F3 · derivative.underlying_shares: The derivative securities were acquired pursuant to the exchange offer (the "Exchange Offer") and consent solicitation related to the Issuer's 10.000% Senior Secured Second Lien Notes due 2019 and the Issuer's 10.000% Senior Secured Notes due 2019. Reference is made to the Issuer's 8-K and the attachments thereto filed on February 1, 2018. F1 · ownership.nature: These securities are directly beneficially owned by certain private investment funds, including Whitebox Multi-Strategy Partners, LP ("WMP") (together, the "Private Funds") and may be deemed to be beneficially owned by (a) Whitebox Advisors LLC by virtue of its role as the investment manager of the Private Funds, and (b) Whitebox General Partner LLC by virtue of its role as the general partner of the Private Funds. Each of the Private Funds, Whitebox Advisors LLC and Whitebox General Partner LLC disclaim beneficial ownership of the reported securities except to the extent of his or its pecuniary interest therein, and affirmatively disclaim being a "group" for purposes of Section 16 of the Securities Exchange Act of 1934, as amended. F3 · ownership.nature: The derivative securities were acquired pursuant to the exchange offer (the "Exchange Offer") and consent solicitation related to the Issuer's 10.000% Senior Secured Second Lien Notes due 2019 and the Issuer's 10.000% Senior Secured Notes due 2019. Reference is made to the Issuer's 8-K and the attachments thereto filed on February 1, 2018. Read SEC document
January 29, 2018 Filed Feb 6, 2018 13:57 UTC Amendment	SAExploration Holdings, Inc. SAEX · Entity 147534	OtherMandatorily Convertible Series B Preferred Stock · Derivative	229,913	Not disclosed	Not disclosed	Disclosure SEC source: 0000919574-18-000873 · p7814116.xml · derivative · entry 2 WHITEBOX ADVISORS LLC · CIK 0001257391 · 10% owner WHITEBOX GENERAL PARTNER LLC · CIK 0001650272 · 10% owner Whitebox Multi-Strategy Partners LP · CIK 0001452149 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 229,913 Underlying: Common Stock · Not disclosed shares Expires not disclosed F3 · derivative.exercise_price: The derivative securities were acquired pursuant to the exchange offer (the "Exchange Offer") and consent solicitation related to the Issuer's 10.000% Senior Secured Second Lien Notes due 2019 and the Issuer's 10.000% Senior Secured Notes due 2019. Reference is made to the Issuer's 8-K and the attachments thereto filed on February 1, 2018. F3 · price: The derivative securities were acquired pursuant to the exchange offer (the "Exchange Offer") and consent solicitation related to the Issuer's 10.000% Senior Secured Second Lien Notes due 2019 and the Issuer's 10.000% Senior Secured Notes due 2019. Reference is made to the Issuer's 8-K and the attachments thereto filed on February 1, 2018. F3 · derivative.exercise_date: The derivative securities were acquired pursuant to the exchange offer (the "Exchange Offer") and consent solicitation related to the Issuer's 10.000% Senior Secured Second Lien Notes due 2019 and the Issuer's 10.000% Senior Secured Notes due 2019. Reference is made to the Issuer's 8-K and the attachments thereto filed on February 1, 2018. F3 · derivative.expiration_date: The derivative securities were acquired pursuant to the exchange offer (the "Exchange Offer") and consent solicitation related to the Issuer's 10.000% Senior Secured Second Lien Notes due 2019 and the Issuer's 10.000% Senior Secured Notes due 2019. Reference is made to the Issuer's 8-K and the attachments thereto filed on February 1, 2018. F3 · derivative.underlying_shares: The derivative securities were acquired pursuant to the exchange offer (the "Exchange Offer") and consent solicitation related to the Issuer's 10.000% Senior Secured Second Lien Notes due 2019 and the Issuer's 10.000% Senior Secured Notes due 2019. Reference is made to the Issuer's 8-K and the attachments thereto filed on February 1, 2018. F1 · ownership.nature: These securities are directly beneficially owned by certain private investment funds, including Whitebox Multi-Strategy Partners, LP ("WMP") (together, the "Private Funds") and may be deemed to be beneficially owned by (a) Whitebox Advisors LLC by virtue of its role as the investment manager of the Private Funds, and (b) Whitebox General Partner LLC by virtue of its role as the general partner of the Private Funds. Each of the Private Funds, Whitebox Advisors LLC and Whitebox General Partner LLC disclaim beneficial ownership of the reported securities except to the extent of his or its pecuniary interest therein, and affirmatively disclaim being a "group" for purposes of Section 16 of the Securities Exchange Act of 1934, as amended. F3 · ownership.nature: The derivative securities were acquired pursuant to the exchange offer (the "Exchange Offer") and consent solicitation related to the Issuer's 10.000% Senior Secured Second Lien Notes due 2019 and the Issuer's 10.000% Senior Secured Notes due 2019. Reference is made to the Issuer's 8-K and the attachments thereto filed on February 1, 2018. Read SEC document
January 29, 2018 Filed Feb 6, 2018 13:57 UTC Amendment	SAExploration Holdings, Inc. SAEX · Entity 147534	Other8.0% Cumulative Perpetual Series A Preferred Stock · Derivative	8,514	Not disclosed	Not disclosed	Disclosure SEC source: 0000919574-18-000873 · p7814116.xml · derivative · entry 1 WHITEBOX ADVISORS LLC · CIK 0001257391 · 10% owner WHITEBOX GENERAL PARTNER LLC · CIK 0001650272 · 10% owner Whitebox Multi-Strategy Partners LP · CIK 0001452149 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 8,514 Underlying: Common Stock · Not disclosed shares Expires not disclosed F3 · derivative.exercise_price: The derivative securities were acquired pursuant to the exchange offer (the "Exchange Offer") and consent solicitation related to the Issuer's 10.000% Senior Secured Second Lien Notes due 2019 and the Issuer's 10.000% Senior Secured Notes due 2019. Reference is made to the Issuer's 8-K and the attachments thereto filed on February 1, 2018. F3 · price: The derivative securities were acquired pursuant to the exchange offer (the "Exchange Offer") and consent solicitation related to the Issuer's 10.000% Senior Secured Second Lien Notes due 2019 and the Issuer's 10.000% Senior Secured Notes due 2019. Reference is made to the Issuer's 8-K and the attachments thereto filed on February 1, 2018. F3 · derivative.expiration_date: The derivative securities were acquired pursuant to the exchange offer (the "Exchange Offer") and consent solicitation related to the Issuer's 10.000% Senior Secured Second Lien Notes due 2019 and the Issuer's 10.000% Senior Secured Notes due 2019. Reference is made to the Issuer's 8-K and the attachments thereto filed on February 1, 2018. F3 · derivative.underlying_shares: The derivative securities were acquired pursuant to the exchange offer (the "Exchange Offer") and consent solicitation related to the Issuer's 10.000% Senior Secured Second Lien Notes due 2019 and the Issuer's 10.000% Senior Secured Notes due 2019. Reference is made to the Issuer's 8-K and the attachments thereto filed on February 1, 2018. F1 · ownership.nature: These securities are directly beneficially owned by certain private investment funds, including Whitebox Multi-Strategy Partners, LP ("WMP") (together, the "Private Funds") and may be deemed to be beneficially owned by (a) Whitebox Advisors LLC by virtue of its role as the investment manager of the Private Funds, and (b) Whitebox General Partner LLC by virtue of its role as the general partner of the Private Funds. Each of the Private Funds, Whitebox Advisors LLC and Whitebox General Partner LLC disclaim beneficial ownership of the reported securities except to the extent of his or its pecuniary interest therein, and affirmatively disclaim being a "group" for purposes of Section 16 of the Securities Exchange Act of 1934, as amended. F3 · ownership.nature: The derivative securities were acquired pursuant to the exchange offer (the "Exchange Offer") and consent solicitation related to the Issuer's 10.000% Senior Secured Second Lien Notes due 2019 and the Issuer's 10.000% Senior Secured Notes due 2019. Reference is made to the Issuer's 8-K and the attachments thereto filed on February 1, 2018. Read SEC document
November 14, 2016 Filed Nov 14, 2016 21:44 UTC	TETRALOGIC PHARMACEUTICALS Corp TLOG · Entity 12646	Other8% Senior Convertible Notes due 2024 · Derivative	Not disclosed	Not disclosed	$10,260,716.00	Disclosure SEC source: 0001104659-16-157088 · a4.xml · derivative · entry 3 WHITEBOX ADVISORS LLC · CIK 0001257391 · See Remarks WHITEBOX GENERAL PARTNER LLC · CIK 0001650272 · See Remarks Whitebox Relative Value Partners, L.P. · CIK 0001311162 · See Remarks Whitebox Multi-Strategy Partners LP · CIK 0001452149 · See Remarks Pandora Select Partners, L.P. · CIK 0001311923 · See Remarks Whitebox GT Fund, LP · CIK 0001669846 · See Remarks Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: Not disclosed Underlying: Common Stock · 1,521,683 shares Expires 2024-06-15 F4 · derivative.exercise_price: The conversion rate for the Senior Notes is equal 148.3019 shares of the Company's common stock per $1,000 principal amount of Notes (which is equivalent to an initial conversion price of approximately $6.74 per share of common stock), subject to adjustment upon the occurrence of certain specified events. F4 · price: The conversion rate for the Senior Notes is equal 148.3019 shares of the Company's common stock per $1,000 principal amount of Notes (which is equivalent to an initial conversion price of approximately $6.74 per share of common stock), subject to adjustment upon the occurrence of certain specified events. F5 · derivative.exercise_date: The Remaining Senior Notes are contingently convertible into Common Stock, subject to the Issuer's achievement of certain milestones payments. The Remaining Senior Notes are not currently convertible. The Reporting Persons expressly disclaim beneficial ownership of the shares of Common Stock underlying the Remaining Senior Notes. F6 · ownership.nature: These securities are directly beneficially owned by certain private investment funds, including Whitebox Relative Value Partners, LP ("WRP") Whitebox Multi-Strategy Partners, LP ("WMP"), Pandora Select Partners, LP ("PSP"), and Whitebox GT Fund, LP ("WGT" and collectively with, WRP, WMP and PSP, the "Private Funds") and may be deemed to be beneficially owned by (a) Whitebox Advisors LLC by virtue of its role as the investment manager of the Private Funds, and (b) Whitebox General Partner LLC by virtue of its role as the general partner of the Private Funds. Immediately prior to the transactions reported herein, WRP directly beneficially owned $3,528,000 of Senior Notes, WMP directly beneficially owned $6,076,000 of Senior Notes, PSP directly beneficially owned $800,000 of Senior Notes and WGT directly beneficially owned $400,000 of Senior Notes. F7 · ownership.nature: Following the transactions reported herein, WRP directly beneficially owns 985,600 shares of Preferred Stock and $3,350,592 in aggregate principal amount of Remaining Senior Notes, WMP directly beneficially owns 1,697,422 shares of Preferred Stock and $5,770,464 in aggregate principal amount of Remaining Senior Notes, PSP directly beneficially owns 223,494 shares of Preferred Stock and $759,771 in aggregate principal amount of Remaining Senior Notes, and WGT directly beneficially owns 111,744 shares of Preferred Stock and $379,886 in aggregate principal amount of Remaining Senior Notes. Read SEC document
November 14, 2016 Filed Nov 14, 2016 21:44 UTC	TETRALOGIC PHARMACEUTICALS Corp TLOG · Entity 12646	OtherPreferred Stock · Derivative	3,018,260	Not disclosed	Not disclosed	Disclosure SEC source: 0001104659-16-157088 · a4.xml · derivative · entry 2 WHITEBOX ADVISORS LLC · CIK 0001257391 · See Remarks WHITEBOX GENERAL PARTNER LLC · CIK 0001650272 · See Remarks Whitebox Relative Value Partners, L.P. · CIK 0001311162 · See Remarks Whitebox Multi-Strategy Partners LP · CIK 0001452149 · See Remarks Pandora Select Partners, L.P. · CIK 0001311923 · See Remarks Whitebox GT Fund, LP · CIK 0001669846 · See Remarks Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 3,018,260 Underlying: Common Stock · 3,018,260 shares Expires not disclosed F2 · derivative.exercise_price: Each share of Preferred Stock is initially convertible into one share of Common Stock, subject to adjustment as described in the Certificate of Designations for the Preferred Stock. F2 · price: Each share of Preferred Stock is initially convertible into one share of Common Stock, subject to adjustment as described in the Certificate of Designations for the Preferred Stock. F3 · derivative.exercise_date: The Preferred Stock is contingently convertible into Common Stock, subject to the Issuer's achievement of certain milestones payments and the deregistration of the Issuer's Common Stock, as further described in the Certificate of Designations for the Preferred Stock. The Preferred Stock is not currently convertible. The Reporting Persons expressly disclaim beneficial ownership of the shares of Common Stock underlying the Preferred Stock. F3 · derivative.expiration_date: The Preferred Stock is contingently convertible into Common Stock, subject to the Issuer's achievement of certain milestones payments and the deregistration of the Issuer's Common Stock, as further described in the Certificate of Designations for the Preferred Stock. The Preferred Stock is not currently convertible. The Reporting Persons expressly disclaim beneficial ownership of the shares of Common Stock underlying the Preferred Stock. F6 · ownership.nature: These securities are directly beneficially owned by certain private investment funds, including Whitebox Relative Value Partners, LP ("WRP") Whitebox Multi-Strategy Partners, LP ("WMP"), Pandora Select Partners, LP ("PSP"), and Whitebox GT Fund, LP ("WGT" and collectively with, WRP, WMP and PSP, the "Private Funds") and may be deemed to be beneficially owned by (a) Whitebox Advisors LLC by virtue of its role as the investment manager of the Private Funds, and (b) Whitebox General Partner LLC by virtue of its role as the general partner of the Private Funds. Immediately prior to the transactions reported herein, WRP directly beneficially owned $3,528,000 of Senior Notes, WMP directly beneficially owned $6,076,000 of Senior Notes, PSP directly beneficially owned $800,000 of Senior Notes and WGT directly beneficially owned $400,000 of Senior Notes. F7 · ownership.nature: Following the transactions reported herein, WRP directly beneficially owns 985,600 shares of Preferred Stock and $3,350,592 in aggregate principal amount of Remaining Senior Notes, WMP directly beneficially owns 1,697,422 shares of Preferred Stock and $5,770,464 in aggregate principal amount of Remaining Senior Notes, PSP directly beneficially owns 223,494 shares of Preferred Stock and $759,771 in aggregate principal amount of Remaining Senior Notes, and WGT directly beneficially owns 111,744 shares of Preferred Stock and $379,886 in aggregate principal amount of Remaining Senior Notes. Read SEC document
November 14, 2016 Filed Nov 14, 2016 21:44 UTC	TETRALOGIC PHARMACEUTICALS Corp TLOG · Entity 12646	Other8% Senior Convertible Notes due 2019 · Derivative	Not disclosed	Not disclosed	$10,804,000.00	Disclosure SEC source: 0001104659-16-157088 · a4.xml · derivative · entry 1 WHITEBOX ADVISORS LLC · CIK 0001257391 · See Remarks WHITEBOX GENERAL PARTNER LLC · CIK 0001650272 · See Remarks Whitebox Relative Value Partners, L.P. · CIK 0001311162 · See Remarks Whitebox Multi-Strategy Partners LP · CIK 0001452149 · See Remarks Pandora Select Partners, L.P. · CIK 0001311923 · See Remarks Whitebox GT Fund, LP · CIK 0001669846 · See Remarks Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 0 Underlying: See Footnote · Not disclosed shares Expires not disclosed F1 · derivative.exercise_price: On November 14, 2016, pursuant to the Exchange Agreement, the Reporting Persons agreed (i) to exchange $543,287 in aggregate principal amount of the Senior Notes for 3,018,260 shares of Preferred Stock and (ii) to extend the maturity date and modify the conversion terms of the Reporting Persons' remaining $10,260,713 in aggregate principal amount Senior Notes (the "Remaining Senior Notes"). F1 · price: On November 14, 2016, pursuant to the Exchange Agreement, the Reporting Persons agreed (i) to exchange $543,287 in aggregate principal amount of the Senior Notes for 3,018,260 shares of Preferred Stock and (ii) to extend the maturity date and modify the conversion terms of the Reporting Persons' remaining $10,260,713 in aggregate principal amount Senior Notes (the "Remaining Senior Notes"). F1 · derivative.exercise_date: On November 14, 2016, pursuant to the Exchange Agreement, the Reporting Persons agreed (i) to exchange $543,287 in aggregate principal amount of the Senior Notes for 3,018,260 shares of Preferred Stock and (ii) to extend the maturity date and modify the conversion terms of the Reporting Persons' remaining $10,260,713 in aggregate principal amount Senior Notes (the "Remaining Senior Notes"). F1 · derivative.expiration_date: On November 14, 2016, pursuant to the Exchange Agreement, the Reporting Persons agreed (i) to exchange $543,287 in aggregate principal amount of the Senior Notes for 3,018,260 shares of Preferred Stock and (ii) to extend the maturity date and modify the conversion terms of the Reporting Persons' remaining $10,260,713 in aggregate principal amount Senior Notes (the "Remaining Senior Notes"). F1 · derivative.underlying: On November 14, 2016, pursuant to the Exchange Agreement, the Reporting Persons agreed (i) to exchange $543,287 in aggregate principal amount of the Senior Notes for 3,018,260 shares of Preferred Stock and (ii) to extend the maturity date and modify the conversion terms of the Reporting Persons' remaining $10,260,713 in aggregate principal amount Senior Notes (the "Remaining Senior Notes"). F1 · derivative.underlying_shares: On November 14, 2016, pursuant to the Exchange Agreement, the Reporting Persons agreed (i) to exchange $543,287 in aggregate principal amount of the Senior Notes for 3,018,260 shares of Preferred Stock and (ii) to extend the maturity date and modify the conversion terms of the Reporting Persons' remaining $10,260,713 in aggregate principal amount Senior Notes (the "Remaining Senior Notes"). F6 · ownership.nature: These securities are directly beneficially owned by certain private investment funds, including Whitebox Relative Value Partners, LP ("WRP") Whitebox Multi-Strategy Partners, LP ("WMP"), Pandora Select Partners, LP ("PSP"), and Whitebox GT Fund, LP ("WGT" and collectively with, WRP, WMP and PSP, the "Private Funds") and may be deemed to be beneficially owned by (a) Whitebox Advisors LLC by virtue of its role as the investment manager of the Private Funds, and (b) Whitebox General Partner LLC by virtue of its role as the general partner of the Private Funds. Immediately prior to the transactions reported herein, WRP directly beneficially owned $3,528,000 of Senior Notes, WMP directly beneficially owned $6,076,000 of Senior Notes, PSP directly beneficially owned $800,000 of Senior Notes and WGT directly beneficially owned $400,000 of Senior Notes. F7 · ownership.nature: Following the transactions reported herein, WRP directly beneficially owns 985,600 shares of Preferred Stock and $3,350,592 in aggregate principal amount of Remaining Senior Notes, WMP directly beneficially owns 1,697,422 shares of Preferred Stock and $5,770,464 in aggregate principal amount of Remaining Senior Notes, PSP directly beneficially owns 223,494 shares of Preferred Stock and $759,771 in aggregate principal amount of Remaining Senior Notes, and WGT directly beneficially owns 111,744 shares of Preferred Stock and $379,886 in aggregate principal amount of Remaining Senior Notes. Read SEC document

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