Wunderlich Gary Kent JR

SEC source: 0000899243-21-041132 · doc4.xml · derivative · entry 10

Wunderlich Gary Kent JR · CIK 0001709974 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 4,666,667

Underlying: Class A Common Stock · 4,666,667 shares

Expires not disclosed

F7 · derivative.expiration_date: The warrants will expire on October 19, 2026, five years after the completion of the issuer's initial business combination which occurred on October 19, 2021, or earlier upon redemption or liquidation.

F11 · ownership.nature: These warrants represent warrants held by the Sponsor that were acquired pursuant to the private placement warrants purchase agreement, dated December 3, 2020. Richard J. Hendrix, a director of the issuer, and Gary J. Wunderlich, Jr., a director of the issuer, are the managing members of the Sponsor and have voting and investment discretion with respect to the securities held by the Sponsor. As such, Messrs. Hendrix and Wunderlich may be deemed to share beneficial ownership of the warrants held directly by the Sponsor.

SEC source: 0000899243-21-041132 · doc4.xml · derivative · entry 9

Wunderlich Gary Kent JR · CIK 0001709974 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 10,000

Underlying: Class A Common Stock · 10,000 shares

Expires not disclosed

F7 · derivative.expiration_date: The warrants will expire on October 19, 2026, five years after the completion of the issuer's initial business combination which occurred on October 19, 2021, or earlier upon redemption or liquidation.

F10 · ownership.nature: The warrants were purchased by a trust of which Mr. Wunderlich is a beneficiary. As such, Mr. Wunderlich may be deemed to have beneficial ownership of the securities owned by the trust.

SEC source: 0000899243-21-041132 · doc4.xml · derivative · entry 8

Wunderlich Gary Kent JR · CIK 0001709974 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 10,000

Underlying: Class A Common Stock · 10,000 shares

Expires not disclosed

F7 · derivative.expiration_date: The warrants will expire on October 19, 2026, five years after the completion of the issuer's initial business combination which occurred on October 19, 2021, or earlier upon redemption or liquidation.

F9 · ownership.nature: The warrants were purchased by Mr. Wunderlich's IRA. Mr. Wunderlich benefits from the shares held in his IRA account and, as a result, Mr. Wunderlich may be deemed to have beneficial ownership of the securities in his IRA account.

SEC source: 0000899243-21-041132 · doc4.xml · derivative · entry 7

Wunderlich Gary Kent JR · CIK 0001709974 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 10,000

Underlying: Class A Common Stock · 10,000 shares

Expires not disclosed

F7 · derivative.expiration_date: The warrants will expire on October 19, 2026, five years after the completion of the issuer's initial business combination which occurred on October 19, 2021, or earlier upon redemption or liquidation.

F8 · ownership.nature: The warrants were purchased by trusts of which Mr. Wunderlich is trustee. As such, Mr. Wunderlich may be deemed to have beneficial ownership of the securities owned by the trusts.

SEC source: 0000899243-21-041132 · doc4.xml · derivative · entry 6

Wunderlich Gary Kent JR · CIK 0001709974 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 10,000

Underlying: Class A Common Stock · 10,000 shares

Expires not disclosed

F7 · derivative.expiration_date: The warrants will expire on October 19, 2026, five years after the completion of the issuer's initial business combination which occurred on October 19, 2021, or earlier upon redemption or liquidation.

F8 · ownership.nature: The warrants were purchased by trusts of which Mr. Wunderlich is trustee. As such, Mr. Wunderlich may be deemed to have beneficial ownership of the securities owned by the trusts.

SEC source: 0000899243-21-041132 · doc4.xml · derivative · entry 5

Wunderlich Gary Kent JR · CIK 0001709974 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 10,000

Underlying: Class A Common Stock · 10,000 shares

Expires not disclosed

F7 · derivative.expiration_date: The warrants will expire on October 19, 2026, five years after the completion of the issuer's initial business combination which occurred on October 19, 2021, or earlier upon redemption or liquidation.

F8 · ownership.nature: The warrants were purchased by trusts of which Mr. Wunderlich is trustee. As such, Mr. Wunderlich may be deemed to have beneficial ownership of the securities owned by the trusts.

SEC source: 0000899243-21-041132 · doc4.xml · derivative · entry 4

Wunderlich Gary Kent JR · CIK 0001709974 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 6,315,000

Underlying: Class A Common Stock · 6,315,000 shares

Expires not disclosed

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

F1 · derivative.exercise_price: In connection with the closing of the business combination (the "business combination") among Live Oak Acquisition Corp. II ("Live Oak II"), Live Oak Merger Sub Inc., a Delaware corporation and a wholly owned direct subsidiary of Live Oak II, and Navitas Semiconductor Limited, a private company limited by shares organized under the laws of Ireland that was domesticated in the State of Delaware as Navitas Delaware Semiconductor Ireland, LLC, a Delaware limited liability company on October 19, 2021, Live Oak Sponsor Partners II, LLC (the "Sponsor") forfeited 10,000 shares of Class B common stock (the "Forfeiture"). Immediately following the Forfeiture, the reporting person's remaining shares of Class B common stock automatically converted into shares of Live Oak II's Class A common stock on a one-for-one basis.

F1 · price: In connection with the closing of the business combination (the "business combination") among Live Oak Acquisition Corp. II ("Live Oak II"), Live Oak Merger Sub Inc., a Delaware corporation and a wholly owned direct subsidiary of Live Oak II, and Navitas Semiconductor Limited, a private company limited by shares organized under the laws of Ireland that was domesticated in the State of Delaware as Navitas Delaware Semiconductor Ireland, LLC, a Delaware limited liability company on October 19, 2021, Live Oak Sponsor Partners II, LLC (the "Sponsor") forfeited 10,000 shares of Class B common stock (the "Forfeiture"). Immediately following the Forfeiture, the reporting person's remaining shares of Class B common stock automatically converted into shares of Live Oak II's Class A common stock on a one-for-one basis.

F6 · derivative.exercise_date: The shares of Class B common stock were automatically convertible into shares of Class A common stock at the time of Live Oak II's initial business combination on a one-for-one basis, subject to adjustment pursuant to certain anti-dilution rights (which rights were waived by the reporting person in connection with the business combination), and had no expiration date.

F6 · derivative.expiration_date: The shares of Class B common stock were automatically convertible into shares of Class A common stock at the time of Live Oak II's initial business combination on a one-for-one basis, subject to adjustment pursuant to certain anti-dilution rights (which rights were waived by the reporting person in connection with the business combination), and had no expiration date.

F2 · ownership.nature: These shares of Class B common stock represent shares of Class B common stock held by the Sponsor that were acquired pursuant to a securities subscription agreement, dated August 12, 2020, by and between the Sponsor and the issuer. Richard J. Hendrix, a director of the issuer, and Gary K. Wunderlich, Jr., a director of the issuer, are the managing members of the Sponsor and have voting and investment discretion with respect to the securities held by the Sponsor. As such, Messrs. Hendrix and Wunderlich may be deemed to share beneficial ownership of the shares of Class B common stock held directly by the Sponsor.

SEC source: 0000899243-21-041132 · doc4.xml · nonDerivative · entry 3

Wunderlich Gary Kent JR · CIK 0001709974 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 1,415,000

F5 · ownership.nature: As described in the issuer's registration statement on Form S-4 (File No. 333-256880) (the "Registration Statement") under the heading "Related Agreements-PIPE Financing," Live Oak GaN Partners LLC ("Live Oak GaN") purchased 1,415,000 shares of Class A common stock of the issuer in a private placement. Richard J. Hendrix, a director of the issuer, and Gary K. Wunderlich, Jr., a director of the issuer, are the managing members of Live Oak GaN and have voting and investment discretion with respect to the securities held by Live Oak GaN. As such, Messrs. Hendrix and Wunderlich may be deemed to share beneficial ownership of the securities held directly by Live Oak GaN.

SEC source: 0000899243-21-041132 · doc4.xml · nonDerivative · entry 2

Wunderlich Gary Kent JR · CIK 0001709974 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 6,315,000

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

F3 · price: In connection with the closing of the business combination, the reporting person's shares of Class B common stock automatically converted into shares of Live Oak II's Class A common stock on a one-for-one basis. Upon consummation of the business combination, Live Oak II changed its name to "Navitas Semiconductor Corporation."

F4 · ownership.nature: These shares of Class A common stock represent shares of Class A common stock held by the Sponsor that were acquired pursuant to a securities subscription agreement, dated August 12, 2020, by and between the Sponsor and the issuer. Richard J. Hendrix, a director of the issuer, and Gary J. Wunderlich, Jr., a director of the issuer, are the managing members of the Sponsor and have voting and investment discretion with respect to the securities held by the Sponsor. As such, Messrs. Hendrix and Wunderlich may be deemed to share beneficial ownership of the shares of Class A common stock held directly by the Sponsor.

SEC source: 0000899243-21-041132 · doc4.xml · nonDerivative · entry 1

Wunderlich Gary Kent JR · CIK 0001709974 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 6,315,000

F1 · price: In connection with the closing of the business combination (the "business combination") among Live Oak Acquisition Corp. II ("Live Oak II"), Live Oak Merger Sub Inc., a Delaware corporation and a wholly owned direct subsidiary of Live Oak II, and Navitas Semiconductor Limited, a private company limited by shares organized under the laws of Ireland that was domesticated in the State of Delaware as Navitas Delaware Semiconductor Ireland, LLC, a Delaware limited liability company on October 19, 2021, Live Oak Sponsor Partners II, LLC (the "Sponsor") forfeited 10,000 shares of Class B common stock (the "Forfeiture"). Immediately following the Forfeiture, the reporting person's remaining shares of Class B common stock automatically converted into shares of Live Oak II's Class A common stock on a one-for-one basis.

F2 · ownership.nature: These shares of Class B common stock represent shares of Class B common stock held by the Sponsor that were acquired pursuant to a securities subscription agreement, dated August 12, 2020, by and between the Sponsor and the issuer. Richard J. Hendrix, a director of the issuer, and Gary K. Wunderlich, Jr., a director of the issuer, are the managing members of the Sponsor and have voting and investment discretion with respect to the securities held by the Sponsor. As such, Messrs. Hendrix and Wunderlich may be deemed to share beneficial ownership of the shares of Class B common stock held directly by the Sponsor.

SEC source: 0001628280-22-011734 · wf-form4a_165152280939792.xml · derivative · entry 11

Wunderlich Gary Kent JR · CIK 0001709974 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote..

Disclosed balance after: 4,666,667

Underlying: Class A Common Stock · 4,666,667 shares

Expires not disclosed

F8 · derivative.expiration_date: The warrants will expire on October 19, 2026, five years after the completion of the issuer's initial business combination which occurred on October 19, 2021, or earlier upon redemption or liquidation.

F12 · ownership.nature: These warrants represent warrants held by the Sponsor that were acquired pursuant to the private placement warrants purchase agreement, dated December 3, 2020. Richard J. Hendrix, a director of the issuer, and Gary J. Wunderlich, Jr., a director of the issuer, are the managing members of the Sponsor and have voting and investment discretion with respect to the securities held by the Sponsor. As such, Messrs. Hendrix and Wunderlich may be deemed to share beneficial ownership of the warrants held directly by the Sponsor.

SEC source: 0001628280-22-011734 · wf-form4a_165152280939792.xml · derivative · entry 10

Wunderlich Gary Kent JR · CIK 0001709974 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote -

Disclosed balance after: 10,000

Underlying: Class A Common Stock · 10,000 shares

Expires not disclosed

F8 · derivative.expiration_date: The warrants will expire on October 19, 2026, five years after the completion of the issuer's initial business combination which occurred on October 19, 2021, or earlier upon redemption or liquidation.

F11 · ownership.nature: The warrants were purchased by a trust of which Mr. Wunderlich is a beneficiary. As such, Mr. Wunderlich may be deemed to have beneficial ownership of the securities owned by the trust.

SEC source: 0001628280-22-011734 · wf-form4a_165152280939792.xml · derivative · entry 9

Wunderlich Gary Kent JR · CIK 0001709974 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote.-

Disclosed balance after: 10,000

Underlying: Class A Common Stock · 10,000 shares

Expires not disclosed

F8 · derivative.expiration_date: The warrants will expire on October 19, 2026, five years after the completion of the issuer's initial business combination which occurred on October 19, 2021, or earlier upon redemption or liquidation.

F10 · ownership.nature: The warrants were purchased by Mr. Wunderlich's IRA. Mr. Wunderlich benefits from the shares held in his IRA account and, as a result, Mr. Wunderlich may be deemed to have beneficial ownership of the securities in his IRA account.

SEC source: 0001628280-22-011734 · wf-form4a_165152280939792.xml · derivative · entry 8

Wunderlich Gary Kent JR · CIK 0001709974 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote-.

Disclosed balance after: 10,000

Underlying: Class A Common Stock · 10,000 shares

Expires not disclosed

F8 · derivative.expiration_date: The warrants will expire on October 19, 2026, five years after the completion of the issuer's initial business combination which occurred on October 19, 2021, or earlier upon redemption or liquidation.

F9 · ownership.nature: The warrants were purchased by trusts of which Mr. Wunderlich is trustee. As such, Mr. Wunderlich may be deemed to have beneficial ownership of the securities owned by the trusts.

SEC source: 0001628280-22-011734 · wf-form4a_165152280939792.xml · derivative · entry 7

Wunderlich Gary Kent JR · CIK 0001709974 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 10,000

Underlying: Class A Common Stock · 10,000 shares

Expires not disclosed

F8 · derivative.expiration_date: The warrants will expire on October 19, 2026, five years after the completion of the issuer's initial business combination which occurred on October 19, 2021, or earlier upon redemption or liquidation.

F9 · ownership.nature: The warrants were purchased by trusts of which Mr. Wunderlich is trustee. As such, Mr. Wunderlich may be deemed to have beneficial ownership of the securities owned by the trusts.

SEC source: 0001628280-22-011734 · wf-form4a_165152280939792.xml · derivative · entry 6

Wunderlich Gary Kent JR · CIK 0001709974 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote.

Disclosed balance after: 10,000

Underlying: Class A Common Stock · 10,000 shares

Expires not disclosed

F8 · derivative.expiration_date: The warrants will expire on October 19, 2026, five years after the completion of the issuer's initial business combination which occurred on October 19, 2021, or earlier upon redemption or liquidation.

F9 · ownership.nature: The warrants were purchased by trusts of which Mr. Wunderlich is trustee. As such, Mr. Wunderlich may be deemed to have beneficial ownership of the securities owned by the trusts.

SEC source: 0001628280-22-011734 · wf-form4a_165152280939792.xml · derivative · entry 5

Wunderlich Gary Kent JR · CIK 0001709974 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote-

Disclosed balance after: 6,315,000

Underlying: Class A Common Stock · 6,315,000 shares

Expires not disclosed

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

F1 · derivative.exercise_price: In connection with the closing of the business combination (the "business combination") among Live Oak Acquisition Corp. II ("Live Oak II"), Live Oak Merger Sub Inc., a Delaware corporation and a wholly owned direct subsidiary of Live Oak II, and Navitas Semiconductor Limited, a private company limited by shares organized under the laws of Ireland that was domesticated in the State of Delaware as Navitas Delaware Semiconductor Ireland, LLC, a Delaware limited liability company on October 19, 2021, Live Oak Sponsor Partners II, LLC (the "Sponsor") forfeited 10,000 shares of Class B common stock (the "Forfeiture"). Immediately following the Forfeiture, the reporting person's remaining shares of Class B common stock automatically converted into shares of Live Oak II's Class A common stock on a one-for-one basis.

F1 · price: In connection with the closing of the business combination (the "business combination") among Live Oak Acquisition Corp. II ("Live Oak II"), Live Oak Merger Sub Inc., a Delaware corporation and a wholly owned direct subsidiary of Live Oak II, and Navitas Semiconductor Limited, a private company limited by shares organized under the laws of Ireland that was domesticated in the State of Delaware as Navitas Delaware Semiconductor Ireland, LLC, a Delaware limited liability company on October 19, 2021, Live Oak Sponsor Partners II, LLC (the "Sponsor") forfeited 10,000 shares of Class B common stock (the "Forfeiture"). Immediately following the Forfeiture, the reporting person's remaining shares of Class B common stock automatically converted into shares of Live Oak II's Class A common stock on a one-for-one basis.

F7 · derivative.exercise_date: The shares of Class B common stock were automatically convertible into shares of Class A common stock at the time of Live Oak II's initial business combination on a one-for-one basis, subject to adjustment pursuant to certain anti-dilution rights (which rights were waived by the reporting person in connection with the business combination), and had no expiration date.

F7 · derivative.expiration_date: The shares of Class B common stock were automatically convertible into shares of Class A common stock at the time of Live Oak II's initial business combination on a one-for-one basis, subject to adjustment pursuant to certain anti-dilution rights (which rights were waived by the reporting person in connection with the business combination), and had no expiration date.

F2 · ownership.nature: These shares of Class B common stock represent shares of Class B common stock held by the Sponsor that were acquired pursuant to a securities subscription agreement, dated August 12, 2020, by and between the Sponsor and the issuer. Richard J. Hendrix, a director of the issuer, and Gary J. Wunderlich, Jr., a director of the issuer, are the managing members of the Sponsor and have voting and investment discretion with respect to the securities held by the Sponsor. As such, Messrs. Hendrix and Wunderlich may be deemed to share beneficial ownership of the shares of Class B common stock held directly by the Sponsor.

SEC source: 0001628280-22-011734 · wf-form4a_165152280939792.xml · nonDerivative · entry 4

Wunderlich Gary Kent JR · CIK 0001709974 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,463

F6 · acquired: Restricted stock units convert into common stock on a one-for-one basis. The reporting person received a restricted stock unit award which are unvested and fully vest on October 19, 2022.

SEC source: 0001628280-22-011734 · wf-form4a_165152280939792.xml · nonDerivative · entry 3

Wunderlich Gary Kent JR · CIK 0001709974 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 1,415,000

F5 · ownership.nature: As described in the issuer's registration statement on Form S-4 (File No. 333-256880) (the "Registration Statement") under the heading "Related Agreements-PIPE Financing," Live Oak GaN Partners LLC ("Live Oak GaN") purchased 1,415,000 shares of Class A common stock of the issuer in a private placement. Richard J. Hendrix, a director of the issuer, and Gary K. Wunderlich, Jr., a director of the issuer, are the managing members of Live Oak GaN and have voting and investment discretion with respect to the securities held by Live Oak GaN. As such, Messrs. Hendrix and Wunderlich may be deemed to share beneficial ownership of the securities held directly by Live Oak GaN.

SEC source: 0001628280-22-011734 · wf-form4a_165152280939792.xml · nonDerivative · entry 2

Wunderlich Gary Kent JR · CIK 0001709974 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote-

Disclosed balance after: 6,315,000

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

F3 · price: In connection with the closing of the business combination, the reporting person's shares of Class B common stock automatically converted into shares of Live Oak II's Class A common stock on a one-for-one basis. Upon consummation of the business combination, Live Oak II changed its name to "Navitas Semiconductor Corporation."

F4 · ownership.nature: These shares of Class A common stock represent shares of Class A common stock held by the Sponsor that were acquired pursuant to a securities subscription agreement, dated August 12, 2020, and between the Sponsor and the issuer Richard J. Hendrix, a director of the issuer, and Gary J. Wunderlich, Jr., a director of the issuer, are the managing members of the Sponsor and have voting and investment discretion with respect to the securities held by the Sponsor. As such, Messrs. Hendrix and Wunderlich may be deemed to share beneficial ownership of the shares of Class A common stock held directly by the Sponsor.

SEC source: 0001628280-22-011734 · wf-form4a_165152280939792.xml · nonDerivative · entry 1

Wunderlich Gary Kent JR · CIK 0001709974 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 6,315,000

F1 · price: In connection with the closing of the business combination (the "business combination") among Live Oak Acquisition Corp. II ("Live Oak II"), Live Oak Merger Sub Inc., a Delaware corporation and a wholly owned direct subsidiary of Live Oak II, and Navitas Semiconductor Limited, a private company limited by shares organized under the laws of Ireland that was domesticated in the State of Delaware as Navitas Delaware Semiconductor Ireland, LLC, a Delaware limited liability company on October 19, 2021, Live Oak Sponsor Partners II, LLC (the "Sponsor") forfeited 10,000 shares of Class B common stock (the "Forfeiture"). Immediately following the Forfeiture, the reporting person's remaining shares of Class B common stock automatically converted into shares of Live Oak II's Class A common stock on a one-for-one basis.

F2 · ownership.nature: These shares of Class B common stock represent shares of Class B common stock held by the Sponsor that were acquired pursuant to a securities subscription agreement, dated August 12, 2020, by and between the Sponsor and the issuer. Richard J. Hendrix, a director of the issuer, and Gary J. Wunderlich, Jr., a director of the issuer, are the managing members of the Sponsor and have voting and investment discretion with respect to the securities held by the Sponsor. As such, Messrs. Hendrix and Wunderlich may be deemed to share beneficial ownership of the shares of Class B common stock held directly by the Sponsor.

SEC source: 0001213900-21-016091 · ownership.xml · nonDerivative · entry 1

Wunderlich Gary Kent JR · CIK 0001709974 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

F1 · kind: Live Oak ValFund Plastics Fund LLC ("ValFund") distributed these shares to its members on a pro rata basis for no consideration. Live Oak Merchant Partners, LLC, a Delaware limited liability company ("Live Oak Merchant Partners"), is one of the Managers of ValFund and may be deemed to have shared voting control and investment discretion over securities held by ValFund. Mr. Wunderlich is a controlling person of Live Oak Merchant Partners. Therefore, Mr. Wunderlich may also be deemed to have shared voting control and investment discretion over securities owned by ValFund and Live Oak Merchant Partners. Mr. Wunderlich disclaims any beneficial ownership of the reported securities other than to the extent of any pecuniary interest he may have therein, directly or indirectly.

SEC source: 0001213900-20-045640 · ownership.xml · derivative · entry 4

Wunderlich Gary Kent JR · CIK 0001709974 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 3,000,000

Underlying: Class A Common Stock · 3,000,000 shares

Expires 2025-12-29

F3 · kind: As described in the Registration Statement, the Sponsor privately sold an aggregate of 3,000,000 private placement warrants. Mr. Wunderlich is a managing member of the Sponsor and as such, has voting and investment discretion with respect to the warrants held of record by the Sponsor and may be deemed to have beneficial ownership of such warrants. Mr. Wunderlich disclaims any beneficial ownership of such shares of Class A Common Stock other than to the extent of any pecuniary interest he may have therein, directly or indirectly.

F3 · ownership.nature: As described in the Registration Statement, the Sponsor privately sold an aggregate of 3,000,000 private placement warrants. Mr. Wunderlich is a managing member of the Sponsor and as such, has voting and investment discretion with respect to the warrants held of record by the Sponsor and may be deemed to have beneficial ownership of such warrants. Mr. Wunderlich disclaims any beneficial ownership of such shares of Class A Common Stock other than to the extent of any pecuniary interest he may have therein, directly or indirectly.

SEC source: 0001213900-20-045640 · ownership.xml · derivative · entry 3

Wunderlich Gary Kent JR · CIK 0001709974 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Class A Common Stock · 5,000,000 shares

Expires not disclosed

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

F2 · derivative.exercise_price: As described in the Registration Statement, Live Oak Sponsor Partners, LLC (the "Sponsor") acquired 5,000,000 shares of Class A Common Stock upon conversion, on a one-for-one basis, of shares of Class B Common Stock of the issuer upon completion of the issuer's initial business combination on December 29, 2020. Mr. Wunderlich is a managing member of the Sponsor and as such, has voting and investment discretion with respect to the Class A Common Stock held of record by the Sponsor and may be deemed to have beneficial ownership of such Class A Common Stock. Mr. Wunderlich disclaims any beneficial ownership of such shares of Class A Common Stock other than to the extent of any pecuniary interest he may have therein, directly or indirectly.

F2 · kind: As described in the Registration Statement, Live Oak Sponsor Partners, LLC (the "Sponsor") acquired 5,000,000 shares of Class A Common Stock upon conversion, on a one-for-one basis, of shares of Class B Common Stock of the issuer upon completion of the issuer's initial business combination on December 29, 2020. Mr. Wunderlich is a managing member of the Sponsor and as such, has voting and investment discretion with respect to the Class A Common Stock held of record by the Sponsor and may be deemed to have beneficial ownership of such Class A Common Stock. Mr. Wunderlich disclaims any beneficial ownership of such shares of Class A Common Stock other than to the extent of any pecuniary interest he may have therein, directly or indirectly.

F2 · derivative.exercise_date: As described in the Registration Statement, Live Oak Sponsor Partners, LLC (the "Sponsor") acquired 5,000,000 shares of Class A Common Stock upon conversion, on a one-for-one basis, of shares of Class B Common Stock of the issuer upon completion of the issuer's initial business combination on December 29, 2020. Mr. Wunderlich is a managing member of the Sponsor and as such, has voting and investment discretion with respect to the Class A Common Stock held of record by the Sponsor and may be deemed to have beneficial ownership of such Class A Common Stock. Mr. Wunderlich disclaims any beneficial ownership of such shares of Class A Common Stock other than to the extent of any pecuniary interest he may have therein, directly or indirectly.

F2 · derivative.expiration_date: As described in the Registration Statement, Live Oak Sponsor Partners, LLC (the "Sponsor") acquired 5,000,000 shares of Class A Common Stock upon conversion, on a one-for-one basis, of shares of Class B Common Stock of the issuer upon completion of the issuer's initial business combination on December 29, 2020. Mr. Wunderlich is a managing member of the Sponsor and as such, has voting and investment discretion with respect to the Class A Common Stock held of record by the Sponsor and may be deemed to have beneficial ownership of such Class A Common Stock. Mr. Wunderlich disclaims any beneficial ownership of such shares of Class A Common Stock other than to the extent of any pecuniary interest he may have therein, directly or indirectly.

F2 · ownership.nature: As described in the Registration Statement, Live Oak Sponsor Partners, LLC (the "Sponsor") acquired 5,000,000 shares of Class A Common Stock upon conversion, on a one-for-one basis, of shares of Class B Common Stock of the issuer upon completion of the issuer's initial business combination on December 29, 2020. Mr. Wunderlich is a managing member of the Sponsor and as such, has voting and investment discretion with respect to the Class A Common Stock held of record by the Sponsor and may be deemed to have beneficial ownership of such Class A Common Stock. Mr. Wunderlich disclaims any beneficial ownership of such shares of Class A Common Stock other than to the extent of any pecuniary interest he may have therein, directly or indirectly.

SEC source: 0001213900-20-045640 · ownership.xml · nonDerivative · entry 2

Wunderlich Gary Kent JR · CIK 0001709974 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 5,000,000

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

F2 · kind: As described in the Registration Statement, Live Oak Sponsor Partners, LLC (the "Sponsor") acquired 5,000,000 shares of Class A Common Stock upon conversion, on a one-for-one basis, of shares of Class B Common Stock of the issuer upon completion of the issuer's initial business combination on December 29, 2020. Mr. Wunderlich is a managing member of the Sponsor and as such, has voting and investment discretion with respect to the Class A Common Stock held of record by the Sponsor and may be deemed to have beneficial ownership of such Class A Common Stock. Mr. Wunderlich disclaims any beneficial ownership of such shares of Class A Common Stock other than to the extent of any pecuniary interest he may have therein, directly or indirectly.

F2 · price: As described in the Registration Statement, Live Oak Sponsor Partners, LLC (the "Sponsor") acquired 5,000,000 shares of Class A Common Stock upon conversion, on a one-for-one basis, of shares of Class B Common Stock of the issuer upon completion of the issuer's initial business combination on December 29, 2020. Mr. Wunderlich is a managing member of the Sponsor and as such, has voting and investment discretion with respect to the Class A Common Stock held of record by the Sponsor and may be deemed to have beneficial ownership of such Class A Common Stock. Mr. Wunderlich disclaims any beneficial ownership of such shares of Class A Common Stock other than to the extent of any pecuniary interest he may have therein, directly or indirectly.

F2 · ownership.nature: As described in the Registration Statement, Live Oak Sponsor Partners, LLC (the "Sponsor") acquired 5,000,000 shares of Class A Common Stock upon conversion, on a one-for-one basis, of shares of Class B Common Stock of the issuer upon completion of the issuer's initial business combination on December 29, 2020. Mr. Wunderlich is a managing member of the Sponsor and as such, has voting and investment discretion with respect to the Class A Common Stock held of record by the Sponsor and may be deemed to have beneficial ownership of such Class A Common Stock. Mr. Wunderlich disclaims any beneficial ownership of such shares of Class A Common Stock other than to the extent of any pecuniary interest he may have therein, directly or indirectly.

SEC source: 0001213900-20-045640 · ownership.xml · nonDerivative · entry 1

Wunderlich Gary Kent JR · CIK 0001709974 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 4,905,000

F1 · ownership.nature: As described in the issuer's registration statement on Form S-4 (File No. 333-249691) (the "Registration Statement") under the headings "Certain Live Oak Relationships and Related Party Transactions--Investment Private Placement" and "Security Ownership of Certain Beneficial Owners and Management," Live Oak ValFund Plastics Fund LLC ("ValFund") purchased 4,905,000 shares of Class A Common Stock of the issuer in a private placement. Live Oak Merchant Partners, LLC, a Delaware limited liability company ("Live Oak Merchant Partners"), is one of the Managers of ValFund and may be deemed to have shared voting control and investment discretion over securities held by ValFund. Mr. Wunderlich is a controlling person of Live Oak Merchant Partners. Therefore, Mr. Wunderlich may also be deemed to have shared voting control and investment discretion over securities owned by ValFund and Live Oak Merchant Partners. Mr. Wunderlich disclaims any beneficial ownership of the reported securities other than to the extent of any pecuniary interest he may have therein, directly or indirectly.

SEC source: 0001213900-20-030714 · ownership.xml · derivative · entry 5

Wunderlich Gary Kent JR · CIK 0001709974 · President · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 4,293

Underlying: Class A Common Stock · 4,293 shares

Expires not disclosed

F1 · derivative.exercise_date: The warrants are exercisable at any time commencing on the later of (i) May 8, 2021 and (ii) 30 days after the completion of the issuer's initial business combination. The warrants will expire five years after the completion of the issuer's initial business combination, or earlier upon redemption or liquidation.

F1 · derivative.expiration_date: The warrants are exercisable at any time commencing on the later of (i) May 8, 2021 and (ii) 30 days after the completion of the issuer's initial business combination. The warrants will expire five years after the completion of the issuer's initial business combination, or earlier upon redemption or liquidation.

F4 · ownership.nature: The warrants were purchased by a trust of which Mr. Wunderlich is a beneficiary. As such, Mr. Wunderlich may be deemed to have beneficial ownership of the securities owned by the trust.

SEC source: 0001213900-20-030714 · ownership.xml · derivative · entry 4

Wunderlich Gary Kent JR · CIK 0001709974 · President · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 5,707

Underlying: Class A Common Stock · 5,707 shares

Expires not disclosed

F1 · derivative.exercise_date: The warrants are exercisable at any time commencing on the later of (i) May 8, 2021 and (ii) 30 days after the completion of the issuer's initial business combination. The warrants will expire five years after the completion of the issuer's initial business combination, or earlier upon redemption or liquidation.

F1 · derivative.expiration_date: The warrants are exercisable at any time commencing on the later of (i) May 8, 2021 and (ii) 30 days after the completion of the issuer's initial business combination. The warrants will expire five years after the completion of the issuer's initial business combination, or earlier upon redemption or liquidation.

F3 · ownership.nature: The warrants were purchased by Mr. Wunderlich's IRA. Mr. Wunderlich benefits from the shares held in his IRA account and, as a result, Mr. Wunderlich may be deemed to have beneficial ownership of the securities in his IRA account.

SEC source: 0001213900-20-030714 · ownership.xml · derivative · entry 3

Wunderlich Gary Kent JR · CIK 0001709974 · President · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 10,000

Underlying: Class A Common Stock · 10,000 shares

Expires not disclosed

F1 · derivative.exercise_date: The warrants are exercisable at any time commencing on the later of (i) May 8, 2021 and (ii) 30 days after the completion of the issuer's initial business combination. The warrants will expire five years after the completion of the issuer's initial business combination, or earlier upon redemption or liquidation.

F1 · derivative.expiration_date: The warrants are exercisable at any time commencing on the later of (i) May 8, 2021 and (ii) 30 days after the completion of the issuer's initial business combination. The warrants will expire five years after the completion of the issuer's initial business combination, or earlier upon redemption or liquidation.

F2 · ownership.nature: The warrants were purchased by trusts of which Mr. Wunderlich is trustee. As such, Mr. Wunderlich may be deemed to have beneficial ownership of the securities owned by the trusts.

SEC source: 0001213900-20-030714 · ownership.xml · derivative · entry 2

Wunderlich Gary Kent JR · CIK 0001709974 · President · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 10,000

Underlying: Class A Common Stock · 10,000 shares

Expires not disclosed

F1 · derivative.exercise_date: The warrants are exercisable at any time commencing on the later of (i) May 8, 2021 and (ii) 30 days after the completion of the issuer's initial business combination. The warrants will expire five years after the completion of the issuer's initial business combination, or earlier upon redemption or liquidation.

F1 · derivative.expiration_date: The warrants are exercisable at any time commencing on the later of (i) May 8, 2021 and (ii) 30 days after the completion of the issuer's initial business combination. The warrants will expire five years after the completion of the issuer's initial business combination, or earlier upon redemption or liquidation.

F1 · ownership.nature: The warrants are exercisable at any time commencing on the later of (i) May 8, 2021 and (ii) 30 days after the completion of the issuer's initial business combination. The warrants will expire five years after the completion of the issuer's initial business combination, or earlier upon redemption or liquidation.

SEC source: 0001213900-20-030714 · ownership.xml · derivative · entry 1

Wunderlich Gary Kent JR · CIK 0001709974 · President · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 10,000

Underlying: Class A Common Stock · 10,000 shares

Expires not disclosed

F1 · derivative.exercise_date: The warrants are exercisable at any time commencing on the later of (i) May 8, 2021 and (ii) 30 days after the completion of the issuer's initial business combination. The warrants will expire five years after the completion of the issuer's initial business combination, or earlier upon redemption or liquidation.

F1 · derivative.expiration_date: The warrants are exercisable at any time commencing on the later of (i) May 8, 2021 and (ii) 30 days after the completion of the issuer's initial business combination. The warrants will expire five years after the completion of the issuer's initial business combination, or earlier upon redemption or liquidation.

F1 · ownership.nature: The warrants are exercisable at any time commencing on the later of (i) May 8, 2021 and (ii) 30 days after the completion of the issuer's initial business combination. The warrants will expire five years after the completion of the issuer's initial business combination, or earlier upon redemption or liquidation.

SEC source: 0001213900-20-013538 · ownership.xml · derivative · entry 1

Wunderlich Gary Kent JR · CIK 0001709974 · President · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 5,000,000

Underlying: Class A Common Stock · 750,000 shares

Expires not disclosed

F1 · derivative.exercise_price: As described in the issuer's registration statement on Form S-1 (File No. 333-236800) under the heading "Description of Securities--Founder Shares ", the shares of Class B common stock will automatically convert into shares of Class A common stock at the time of the issuer's initial business combination, on a one-for-one basis, subject to certain adjustments and has no expiration date.

F2 · kind: As contemplated in connection with the initial public offering of the issuer, 750,000 shares of Class B common stock of the issuer were returned by the reporting person to the issuer for no consideration and cancelled because the underwriters' over-allotment option was not exercised.

F1 · derivative.exercise_date: As described in the issuer's registration statement on Form S-1 (File No. 333-236800) under the heading "Description of Securities--Founder Shares ", the shares of Class B common stock will automatically convert into shares of Class A common stock at the time of the issuer's initial business combination, on a one-for-one basis, subject to certain adjustments and has no expiration date.

F1 · derivative.expiration_date: As described in the issuer's registration statement on Form S-1 (File No. 333-236800) under the heading "Description of Securities--Founder Shares ", the shares of Class B common stock will automatically convert into shares of Class A common stock at the time of the issuer's initial business combination, on a one-for-one basis, subject to certain adjustments and has no expiration date.

F3 · ownership.nature: Gary K. Wunderlich, Jr. is the President of the issuer. He is also a managing members of the Sponsor and has voting and investment discretion with respect to the securities held by the Sponsor. As such, he may be deemed to share beneficial ownership of the securities held directly by the Sponsor. Mr. Wunderlich, Jr. disclaims any beneficial ownership of the reported securities other than to the extent of any pecuniary interest they may have therein, directly or indirectly.

SEC source: 0001615774-18-006276 · s111271_form4.xml · nonDerivative · entry 1

Wunderlich Gary Kent JR · CIK 0001709974 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 241,213

F1 · shares: Represents shares withheld by the Company and remitted on behalf of the Reporting Person for payment of taxes in connection with the vesting of shares from Restricted Stock Units granted on July 12, 2017.

SEC source: 0001615774-17-003618 · s106810_form4.xml · nonDerivative · entry 1

Wunderlich Gary Kent JR · CIK 0001709974 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 245,194

F1 · shares: Represents a restricted stock unit that settles in common stock of the Company and vests in five equal installments on or about each July 3rd of 2018 through 2022.

SEC source: 0001615774-17-003525 · s106758_f4.xml · derivative · entry 12

Wunderlich Gary Kent JR · CIK 0001709974 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Gary Wunderlich III Trust

Disclosed balance after: 147

Underlying: Common Stock · 147 shares

Expires 2022-07-03

F1 · price: On July 3, 2017, pursuant to the Merger Agreement, dated as of May 17, 2017, (the "Merger Agreement") by and among B. Riley Financial, Inc. ("B. Riley"), Foxhound Merger Sub, Inc., Wunderlich Investment Company, Inc. ("Wunderlich") and Stephen Bonnema, in his capacity as the Stockholder Representative, B. Riley paid approximately $36.6 million in cash, 2.0 million shares of common stock and 0.8 million warrants in aggregate consideration to holders of Wunderlich common and preferred stock, of which 0.39 million shares of B. Riley common stock and 0.17 million warrants were delivered to an escrow agent to be held pursuant to an escrow agreement entered into at closing by and among B. Riley, Wunderlich and Citibank, N.A., in its capacity as escrow agent (the "Escrow Agreement") in respect of certain potential post-closing claims and post-closing adjustment.

F2 · price: In connection with the issuance of the warrants, B. Riley entered into a warrant agreement with Continental Stock Transfer & Trust Company as warrant agent. The warrants entitle the holders thereof to acquire the same number of shares of B. Riley common stock as the number of warrants. Each share of B. Riley common stock acquired was valued at $14.67 per share and each warrant acquired was valued at $6.08 per warrant.

F19 · balance_after: Pursuant to the Merger Agreement, all warrants of the Gary Wunderlich III Trust received as consideration were deposited into an escrow account to be held pursuant to the terms of the Escrow Agreement.

F13 · ownership.nature: Mr. Wunderlich is the trustee of the Gary Wunderlich III Trust. As such, Mr. Wunderlich may be deemed to have beneficial ownership of the securities owned by this entity.

SEC source: 0001615774-17-003525 · s106758_f4.xml · derivative · entry 11

Wunderlich Gary Kent JR · CIK 0001709974 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Madison Wunderlich Trust

Disclosed balance after: 147

Underlying: Common Stock · 147 shares

Expires 2022-07-03

F1 · price: On July 3, 2017, pursuant to the Merger Agreement, dated as of May 17, 2017, (the "Merger Agreement") by and among B. Riley Financial, Inc. ("B. Riley"), Foxhound Merger Sub, Inc., Wunderlich Investment Company, Inc. ("Wunderlich") and Stephen Bonnema, in his capacity as the Stockholder Representative, B. Riley paid approximately $36.6 million in cash, 2.0 million shares of common stock and 0.8 million warrants in aggregate consideration to holders of Wunderlich common and preferred stock, of which 0.39 million shares of B. Riley common stock and 0.17 million warrants were delivered to an escrow agent to be held pursuant to an escrow agreement entered into at closing by and among B. Riley, Wunderlich and Citibank, N.A., in its capacity as escrow agent (the "Escrow Agreement") in respect of certain potential post-closing claims and post-closing adjustment.

F2 · price: In connection with the issuance of the warrants, B. Riley entered into a warrant agreement with Continental Stock Transfer & Trust Company as warrant agent. The warrants entitle the holders thereof to acquire the same number of shares of B. Riley common stock as the number of warrants. Each share of B. Riley common stock acquired was valued at $14.67 per share and each warrant acquired was valued at $6.08 per warrant.

F18 · balance_after: Pursuant to the Merger Agreement, all warrants of the Madison Wunderlich Trust received as consideration were deposited into an escrow account to be held pursuant to the terms of the Escrow Agreement.

F11 · ownership.nature: Mr. Wunderlich is the trustee of the Madison Wunderlich Trust. As such, Mr. Wunderlich may be deemed to have beneficial ownership of the securities owned by this entity.

SEC source: 0001615774-17-003525 · s106758_f4.xml · derivative · entry 10

Wunderlich Gary Kent JR · CIK 0001709974 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Gary Wunderlich Jr. IRA - WFCS as Custodian Trust

Disclosed balance after: 246

Underlying: Common Stock · 246 shares

Expires 2022-07-03

F1 · price: On July 3, 2017, pursuant to the Merger Agreement, dated as of May 17, 2017, (the "Merger Agreement") by and among B. Riley Financial, Inc. ("B. Riley"), Foxhound Merger Sub, Inc., Wunderlich Investment Company, Inc. ("Wunderlich") and Stephen Bonnema, in his capacity as the Stockholder Representative, B. Riley paid approximately $36.6 million in cash, 2.0 million shares of common stock and 0.8 million warrants in aggregate consideration to holders of Wunderlich common and preferred stock, of which 0.39 million shares of B. Riley common stock and 0.17 million warrants were delivered to an escrow agent to be held pursuant to an escrow agreement entered into at closing by and among B. Riley, Wunderlich and Citibank, N.A., in its capacity as escrow agent (the "Escrow Agreement") in respect of certain potential post-closing claims and post-closing adjustment.

F2 · price: In connection with the issuance of the warrants, B. Riley entered into a warrant agreement with Continental Stock Transfer & Trust Company as warrant agent. The warrants entitle the holders thereof to acquire the same number of shares of B. Riley common stock as the number of warrants. Each share of B. Riley common stock acquired was valued at $14.67 per share and each warrant acquired was valued at $6.08 per warrant.

F17 · balance_after: Pursuant to the Merger Agreement, all warrants of the Gary Wunderlich Jr. IRA - WFCS as Custodian Trust received as consideration were deposited into an escrow account to be held pursuant to the terms of the Escrow Agreement.

F9 · ownership.nature: Mr. Wunderlich benefits from the shares held in his IRA account. As such, Mr. Wunderlich may be deemed to have beneficial ownership of the securities in his IRA account.

SEC source: 0001615774-17-003525 · s106758_f4.xml · derivative · entry 9

Wunderlich Gary Kent JR · CIK 0001709974 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Alvin Wunderlich, Jr. Grandchildren's Trust

Disclosed balance after: 574

Underlying: Common Stock · 574 shares

Expires 2022-07-03

F1 · price: On July 3, 2017, pursuant to the Merger Agreement, dated as of May 17, 2017, (the "Merger Agreement") by and among B. Riley Financial, Inc. ("B. Riley"), Foxhound Merger Sub, Inc., Wunderlich Investment Company, Inc. ("Wunderlich") and Stephen Bonnema, in his capacity as the Stockholder Representative, B. Riley paid approximately $36.6 million in cash, 2.0 million shares of common stock and 0.8 million warrants in aggregate consideration to holders of Wunderlich common and preferred stock, of which 0.39 million shares of B. Riley common stock and 0.17 million warrants were delivered to an escrow agent to be held pursuant to an escrow agreement entered into at closing by and among B. Riley, Wunderlich and Citibank, N.A., in its capacity as escrow agent (the "Escrow Agreement") in respect of certain potential post-closing claims and post-closing adjustment.

F2 · price: In connection with the issuance of the warrants, B. Riley entered into a warrant agreement with Continental Stock Transfer & Trust Company as warrant agent. The warrants entitle the holders thereof to acquire the same number of shares of B. Riley common stock as the number of warrants. Each share of B. Riley common stock acquired was valued at $14.67 per share and each warrant acquired was valued at $6.08 per warrant.

F16 · balance_after: Pursuant to the Merger Agreement, all warrants of the Alvin Wunderlich, Jr. Grandchildren Trust received as consideration were deposited into an escrow account to be held pursuant to the terms of the Escrow Agreement.

F7 · ownership.nature: Mr. Wunderlich benefits from the Alvin Wunderlich, Jr. Grandchildren's Trust. As such, Mr. Wunderlich may be deemed to have beneficial ownership of the securities owned by this entity.

SEC source: 0001615774-17-003525 · s106758_f4.xml · derivative · entry 8

Wunderlich Gary Kent JR · CIK 0001709974 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Wunderlich Children's Trust

Disclosed balance after: 4,854

Underlying: Common Stock · 4,854 shares

Expires 2022-07-03

F1 · price: On July 3, 2017, pursuant to the Merger Agreement, dated as of May 17, 2017, (the "Merger Agreement") by and among B. Riley Financial, Inc. ("B. Riley"), Foxhound Merger Sub, Inc., Wunderlich Investment Company, Inc. ("Wunderlich") and Stephen Bonnema, in his capacity as the Stockholder Representative, B. Riley paid approximately $36.6 million in cash, 2.0 million shares of common stock and 0.8 million warrants in aggregate consideration to holders of Wunderlich common and preferred stock, of which 0.39 million shares of B. Riley common stock and 0.17 million warrants were delivered to an escrow agent to be held pursuant to an escrow agreement entered into at closing by and among B. Riley, Wunderlich and Citibank, N.A., in its capacity as escrow agent (the "Escrow Agreement") in respect of certain potential post-closing claims and post-closing adjustment.

F2 · price: In connection with the issuance of the warrants, B. Riley entered into a warrant agreement with Continental Stock Transfer & Trust Company as warrant agent. The warrants entitle the holders thereof to acquire the same number of shares of B. Riley common stock as the number of warrants. Each share of B. Riley common stock acquired was valued at $14.67 per share and each warrant acquired was valued at $6.08 per warrant.

F15 · balance_after: Pursuant to the Merger Agreement, 412 warrants of the Wunderlich Children's Trust's 4854 warrants received as consideration were deposited into an escrow account to be held pursuant to the terms of the Escrow Agreement.

F5 · ownership.nature: Mr. Wunderlich benefits from the Wunderlich Children's Trust. As such, Mr. Wunderlich may be deemed to have beneficial ownership of the securities owned by this entity.

SEC source: 0001615774-17-003525 · s106758_f4.xml · derivative · entry 7

Wunderlich Gary Kent JR · CIK 0001709974 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,541

Underlying: Common Stock · 63,541 shares

Expires 2022-07-03

F1 · price: On July 3, 2017, pursuant to the Merger Agreement, dated as of May 17, 2017, (the "Merger Agreement") by and among B. Riley Financial, Inc. ("B. Riley"), Foxhound Merger Sub, Inc., Wunderlich Investment Company, Inc. ("Wunderlich") and Stephen Bonnema, in his capacity as the Stockholder Representative, B. Riley paid approximately $36.6 million in cash, 2.0 million shares of common stock and 0.8 million warrants in aggregate consideration to holders of Wunderlich common and preferred stock, of which 0.39 million shares of B. Riley common stock and 0.17 million warrants were delivered to an escrow agent to be held pursuant to an escrow agreement entered into at closing by and among B. Riley, Wunderlich and Citibank, N.A., in its capacity as escrow agent (the "Escrow Agreement") in respect of certain potential post-closing claims and post-closing adjustment.

F2 · price: In connection with the issuance of the warrants, B. Riley entered into a warrant agreement with Continental Stock Transfer & Trust Company as warrant agent. The warrants entitle the holders thereof to acquire the same number of shares of B. Riley common stock as the number of warrants. Each share of B. Riley common stock acquired was valued at $14.67 per share and each warrant acquired was valued at $6.08 per warrant.

F14 · balance_after: Pursuant to the Merger Agreement, 15,263 warrants of Mr. Wunderlich's 63,541 warrants received as consideration were deposited into an escrow account to be held pursuant to the terms of the Escrow Agreement.

SEC source: 0001615774-17-003525 · s106758_f4.xml · nonDerivative · entry 6

Wunderlich Gary Kent JR · CIK 0001709974 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Gary Wunderlich III Trust

Disclosed balance after: 787

F1 · price: On July 3, 2017, pursuant to the Merger Agreement, dated as of May 17, 2017, (the "Merger Agreement") by and among B. Riley Financial, Inc. ("B. Riley"), Foxhound Merger Sub, Inc., Wunderlich Investment Company, Inc. ("Wunderlich") and Stephen Bonnema, in his capacity as the Stockholder Representative, B. Riley paid approximately $36.6 million in cash, 2.0 million shares of common stock and 0.8 million warrants in aggregate consideration to holders of Wunderlich common and preferred stock, of which 0.39 million shares of B. Riley common stock and 0.17 million warrants were delivered to an escrow agent to be held pursuant to an escrow agreement entered into at closing by and among B. Riley, Wunderlich and Citibank, N.A., in its capacity as escrow agent (the "Escrow Agreement") in respect of certain potential post-closing claims and post-closing adjustment.

F2 · price: In connection with the issuance of the warrants, B. Riley entered into a warrant agreement with Continental Stock Transfer & Trust Company as warrant agent. The warrants entitle the holders thereof to acquire the same number of shares of B. Riley common stock as the number of warrants. Each share of B. Riley common stock acquired was valued at $14.67 per share and each warrant acquired was valued at $6.08 per warrant.

F12 · balance_after: Pursuant to the Merger Agreement, 372 shares of the Gary Wunderlich III Trust's 787 shares received as consideration were deposited into an escrow account to be held pursuant to the terms of the Escrow Agreement.

F13 · ownership.nature: Mr. Wunderlich is the trustee of the Gary Wunderlich III Trust. As such, Mr. Wunderlich may be deemed to have beneficial ownership of the securities owned by this entity.

SEC source: 0001615774-17-003525 · s106758_f4.xml · nonDerivative · entry 5

Wunderlich Gary Kent JR · CIK 0001709974 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Madison Wunderlich Trust

Disclosed balance after: 787

F1 · price: On July 3, 2017, pursuant to the Merger Agreement, dated as of May 17, 2017, (the "Merger Agreement") by and among B. Riley Financial, Inc. ("B. Riley"), Foxhound Merger Sub, Inc., Wunderlich Investment Company, Inc. ("Wunderlich") and Stephen Bonnema, in his capacity as the Stockholder Representative, B. Riley paid approximately $36.6 million in cash, 2.0 million shares of common stock and 0.8 million warrants in aggregate consideration to holders of Wunderlich common and preferred stock, of which 0.39 million shares of B. Riley common stock and 0.17 million warrants were delivered to an escrow agent to be held pursuant to an escrow agreement entered into at closing by and among B. Riley, Wunderlich and Citibank, N.A., in its capacity as escrow agent (the "Escrow Agreement") in respect of certain potential post-closing claims and post-closing adjustment.

F2 · price: In connection with the issuance of the warrants, B. Riley entered into a warrant agreement with Continental Stock Transfer & Trust Company as warrant agent. The warrants entitle the holders thereof to acquire the same number of shares of B. Riley common stock as the number of warrants. Each share of B. Riley common stock acquired was valued at $14.67 per share and each warrant acquired was valued at $6.08 per warrant.

F10 · balance_after: Pursuant to the Merger Agreement, 372 shares of the Madison Wunderlich Trust's 787 shares received as consideration were deposited into an escrow account to be held pursuant to the terms of the Escrow Agreement.

F11 · ownership.nature: Mr. Wunderlich is the trustee of the Madison Wunderlich Trust. As such, Mr. Wunderlich may be deemed to have beneficial ownership of the securities owned by this entity.

SEC source: 0001615774-17-003525 · s106758_f4.xml · nonDerivative · entry 4

Wunderlich Gary Kent JR · CIK 0001709974 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Gary Wunderlich Jr. IRA - WFCS as Custodian Trust

Disclosed balance after: 1,320

F1 · price: On July 3, 2017, pursuant to the Merger Agreement, dated as of May 17, 2017, (the "Merger Agreement") by and among B. Riley Financial, Inc. ("B. Riley"), Foxhound Merger Sub, Inc., Wunderlich Investment Company, Inc. ("Wunderlich") and Stephen Bonnema, in his capacity as the Stockholder Representative, B. Riley paid approximately $36.6 million in cash, 2.0 million shares of common stock and 0.8 million warrants in aggregate consideration to holders of Wunderlich common and preferred stock, of which 0.39 million shares of B. Riley common stock and 0.17 million warrants were delivered to an escrow agent to be held pursuant to an escrow agreement entered into at closing by and among B. Riley, Wunderlich and Citibank, N.A., in its capacity as escrow agent (the "Escrow Agreement") in respect of certain potential post-closing claims and post-closing adjustment.

F2 · price: In connection with the issuance of the warrants, B. Riley entered into a warrant agreement with Continental Stock Transfer & Trust Company as warrant agent. The warrants entitle the holders thereof to acquire the same number of shares of B. Riley common stock as the number of warrants. Each share of B. Riley common stock acquired was valued at $14.67 per share and each warrant acquired was valued at $6.08 per warrant.

F8 · balance_after: Pursuant to the Merger Agreement, 623 shares of the Gary Wunderlich Jr. IRA - WFCS as Custodian Trust's 1320 shares received as consideration were deposited into an escrow account to be held pursuant to the terms of the Escrow Agreement.

F9 · ownership.nature: Mr. Wunderlich benefits from the shares held in his IRA account. As such, Mr. Wunderlich may be deemed to have beneficial ownership of the securities in his IRA account.

SEC source: 0001615774-17-003525 · s106758_f4.xml · nonDerivative · entry 3

Wunderlich Gary Kent JR · CIK 0001709974 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Alvin Wunderlich, Jr. Grandchildren's Trust

Disclosed balance after: 3,086

F1 · price: On July 3, 2017, pursuant to the Merger Agreement, dated as of May 17, 2017, (the "Merger Agreement") by and among B. Riley Financial, Inc. ("B. Riley"), Foxhound Merger Sub, Inc., Wunderlich Investment Company, Inc. ("Wunderlich") and Stephen Bonnema, in his capacity as the Stockholder Representative, B. Riley paid approximately $36.6 million in cash, 2.0 million shares of common stock and 0.8 million warrants in aggregate consideration to holders of Wunderlich common and preferred stock, of which 0.39 million shares of B. Riley common stock and 0.17 million warrants were delivered to an escrow agent to be held pursuant to an escrow agreement entered into at closing by and among B. Riley, Wunderlich and Citibank, N.A., in its capacity as escrow agent (the "Escrow Agreement") in respect of certain potential post-closing claims and post-closing adjustment.

F2 · price: In connection with the issuance of the warrants, B. Riley entered into a warrant agreement with Continental Stock Transfer & Trust Company as warrant agent. The warrants entitle the holders thereof to acquire the same number of shares of B. Riley common stock as the number of warrants. Each share of B. Riley common stock acquired was valued at $14.67 per share and each warrant acquired was valued at $6.08 per warrant.

F6 · balance_after: Pursuant to the Merger Agreement, 1457 shares of the Alvin Wunderlich, Jr. Grandchildren's Trust's 3086 shares received as consideration were deposited into an escrow account to be held pursuant to the terms of the Escrow Agreement.

F7 · ownership.nature: Mr. Wunderlich benefits from the Alvin Wunderlich, Jr. Grandchildren's Trust. As such, Mr. Wunderlich may be deemed to have beneficial ownership of the securities owned by this entity.

SEC source: 0001615774-17-003525 · s106758_f4.xml · nonDerivative · entry 2

Wunderlich Gary Kent JR · CIK 0001709974 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Wunderlich Children's Trust

Disclosed balance after: 9,707

F1 · price: On July 3, 2017, pursuant to the Merger Agreement, dated as of May 17, 2017, (the "Merger Agreement") by and among B. Riley Financial, Inc. ("B. Riley"), Foxhound Merger Sub, Inc., Wunderlich Investment Company, Inc. ("Wunderlich") and Stephen Bonnema, in his capacity as the Stockholder Representative, B. Riley paid approximately $36.6 million in cash, 2.0 million shares of common stock and 0.8 million warrants in aggregate consideration to holders of Wunderlich common and preferred stock, of which 0.39 million shares of B. Riley common stock and 0.17 million warrants were delivered to an escrow agent to be held pursuant to an escrow agreement entered into at closing by and among B. Riley, Wunderlich and Citibank, N.A., in its capacity as escrow agent (the "Escrow Agreement") in respect of certain potential post-closing claims and post-closing adjustment.

F2 · price: In connection with the issuance of the warrants, B. Riley entered into a warrant agreement with Continental Stock Transfer & Trust Company as warrant agent. The warrants entitle the holders thereof to acquire the same number of shares of B. Riley common stock as the number of warrants. Each share of B. Riley common stock acquired was valued at $14.67 per share and each warrant acquired was valued at $6.08 per warrant.

F4 · balance_after: Pursuant to the Merger Agreement, 825 shares of the Wunderlich Children's Trust's 9707 shares received as consideration were deposited into an escrow account to be held pursuant to the terms of the Escrow Agreement.

F5 · ownership.nature: Mr. Wunderlich benefits from the Wunderlich Children's Trust. As such, Mr. Wunderlich may be deemed to have beneficial ownership of the securities owned by this entity.

SEC source: 0001615774-17-003525 · s106758_f4.xml · nonDerivative · entry 1

Wunderlich Gary Kent JR · CIK 0001709974 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 163,450

F1 · price: On July 3, 2017, pursuant to the Merger Agreement, dated as of May 17, 2017, (the "Merger Agreement") by and among B. Riley Financial, Inc. ("B. Riley"), Foxhound Merger Sub, Inc., Wunderlich Investment Company, Inc. ("Wunderlich") and Stephen Bonnema, in his capacity as the Stockholder Representative, B. Riley paid approximately $36.6 million in cash, 2.0 million shares of common stock and 0.8 million warrants in aggregate consideration to holders of Wunderlich common and preferred stock, of which 0.39 million shares of B. Riley common stock and 0.17 million warrants were delivered to an escrow agent to be held pursuant to an escrow agreement entered into at closing by and among B. Riley, Wunderlich and Citibank, N.A., in its capacity as escrow agent (the "Escrow Agreement") in respect of certain potential post-closing claims and post-closing adjustment.

F2 · price: In connection with the issuance of the warrants, B. Riley entered into a warrant agreement with Continental Stock Transfer & Trust Company as warrant agent. The warrants entitle the holders thereof to acquire the same number of shares of B. Riley common stock as the number of warrants. Each share of B. Riley common stock acquired was valued at $14.67 per share and each warrant acquired was valued at $6.08 per warrant.

F3 · balance_after: Pursuant to the Merger Agreement, 36,308 shares of Gary K. Wunderlich, Jr.'s 163,450 shares received as consideration were deposited into an escrow account to be held pursuant to the terms of the Escrow Agreement.