HENDRIX RICHARD J

SEC source: 0001821769-23-000002 · wf-form4_167288284002456.xml · nonDerivative · entry 2

HENDRIX RICHARD J · CIK 0001218306 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Individual retirement accounts

Disclosed balance after: 6,525

F3 · kind: The number of net shares issuable, and thus the number of shares deemed "disposed of" upon cashless exercise of the warrants, was determined by the Issuer pursuant to Sections 3.3.1 and 6.2 of the Warrant Agreement. Accordingly, on 2/22/2022, the Issuer announced that warrant holders who exercise warrants on a cashless basis prior to the Redemption Date would receive 0.261 shares of common stock per warrant exercised (rounded down to the nearest whole share). See the Issuer's current reports on Form 8-K, filed with the SEC on 2/4/2022 and 2/22/2022. See also the entries in Table II accompanying notes 6, 7 and 9. The related disposition of shares, in addition to being provided for in the Warrant Agreement, was exempted from Section 16(b) of the Exchange Act, pursuant to Rule 16b-3(e) thereunder, by resolution of the board of directors of the Issuer prior to such disposition.

F2 · shares: Since shares were acquired on a net basis, this entry is provided to satisfy the requirements of Form 4. As applicable based on the figure to which this note 2 pertains, (i) number of shares shown as "acquired" reflects gross number of shares subject to warrant upon exercise; (ii) number of shares shown as "disposed of" equals the difference between the gross number of shares subject to the warrant and the net number issuable under the terms of the Warrant Agreement, as explained in note 3. For more information, see the Warrant Agreement filed as Exhibit 4.1 to the Issuer's current report on Form 8-K, filed with the SEC on 12/8/2020.

F2 · price: Since shares were acquired on a net basis, this entry is provided to satisfy the requirements of Form 4. As applicable based on the figure to which this note 2 pertains, (i) number of shares shown as "acquired" reflects gross number of shares subject to warrant upon exercise; (ii) number of shares shown as "disposed of" equals the difference between the gross number of shares subject to the warrant and the net number issuable under the terms of the Warrant Agreement, as explained in note 3. For more information, see the Warrant Agreement filed as Exhibit 4.1 to the Issuer's current report on Form 8-K, filed with the SEC on 12/8/2020.

SEC source: 0001821769-23-000002 · wf-form4_167288284002456.xml · nonDerivative · entry 1

HENDRIX RICHARD J · CIK 0001218306 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Individual retirement accounts

Disclosed balance after: 25,000

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.

F1 · kind: Reflects cashless exercise of warrants in connection with the Issuer's redemption of all outstanding and unexercised public and private placement warrants at 5:00 pm New York City time on 3/7/2022 (the "Redemption Date") for a redemption price of $0.10 per warrant, in accordance with the Warrant Agreement dated 12/2/2020 between the Issuer (fka Live Oak Acquisition Corp. II) and Continental Stock Transfer & Trust Company (the "Warrant Agreement"). Pursuant to the Warrant Agreement, each warrant was exercisable, before the Redemption Date only, for one share of common stock for $11.50 per share in cash or on a cashless basis. In accordance with SEC requirements, the cashless exercise is reported on two rows of Table I: the row that includes this note 1, which sets forth the gross number of shares subject to the warrant, and the subsequent row that includes note 3, which reflects the number of shares deemed surrendered in lieu of payment of the exercise price. See also notes 2 and 3.

F2 · shares: Since shares were acquired on a net basis, this entry is provided to satisfy the requirements of Form 4. As applicable based on the figure to which this note 2 pertains, (i) number of shares shown as "acquired" reflects gross number of shares subject to warrant upon exercise; (ii) number of shares shown as "disposed of" equals the difference between the gross number of shares subject to the warrant and the net number issuable under the terms of the Warrant Agreement, as explained in note 3. For more information, see the Warrant Agreement filed as Exhibit 4.1 to the Issuer's current report on Form 8-K, filed with the SEC on 12/8/2020.

F2 · price: Since shares were acquired on a net basis, this entry is provided to satisfy the requirements of Form 4. As applicable based on the figure to which this note 2 pertains, (i) number of shares shown as "acquired" reflects gross number of shares subject to warrant upon exercise; (ii) number of shares shown as "disposed of" equals the difference between the gross number of shares subject to the warrant and the net number issuable under the terms of the Warrant Agreement, as explained in note 3. For more information, see the Warrant Agreement filed as Exhibit 4.1 to the Issuer's current report on Form 8-K, filed with the SEC on 12/8/2020.

F2 · balance_after: Since shares were acquired on a net basis, this entry is provided to satisfy the requirements of Form 4. As applicable based on the figure to which this note 2 pertains, (i) number of shares shown as "acquired" reflects gross number of shares subject to warrant upon exercise; (ii) number of shares shown as "disposed of" equals the difference between the gross number of shares subject to the warrant and the net number issuable under the terms of the Warrant Agreement, as explained in note 3. For more information, see the Warrant Agreement filed as Exhibit 4.1 to the Issuer's current report on Form 8-K, filed with the SEC on 12/8/2020.

SEC source: 0001213900-21-061945 · ownership.xml · nonDerivative · entry 1

HENDRIX RICHARD J · CIK 0001218306 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · RJH Management LLC

Disclosed balance after: 341,324

F1 · kind: This transaction represents a bona fide gift made by the Reporting Person.

F2 · ownership.nature: The Reporting Person owns and controls RJH Management LLC ("RJH Management"). Therefore, the Reporting Person may be deemed to beneficially own the securities held by RJH Management. The Reporting Person disclaims any beneficial ownership of the reported securities owned by RJH Management other than to the extent of any pecuniary interest he may have therein, directly or indirectly.

SEC source: 0000899243-21-041136 · doc4.xml · derivative · entry 7

HENDRIX RICHARD J · CIK 0001218306 · 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.

F10 · 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: 0000899243-21-041136 · doc4.xml · derivative · entry 6

HENDRIX RICHARD J · CIK 0001218306 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 15,000

Underlying: Class A Common Stock · 15,000 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. Hendrix's IRA. Mr. Hendrix benefits from the shares held in his IRA account and, as a result, Mr. Hendrix may be deemed to have beneficial ownership of the securities in his IRA account.

SEC source: 0000899243-21-041136 · doc4.xml · derivative · entry 5

HENDRIX RICHARD J · CIK 0001218306 · 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 Mr. Hendrix's IRA. Mr. Hendrix benefits from the shares held in his IRA account and, as a result, Mr. Hendrix may be deemed to have beneficial ownership of the securities in his IRA account.

SEC source: 0000899243-21-041136 · doc4.xml · derivative · entry 4

HENDRIX RICHARD J · CIK 0001218306 · 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 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: 0000899243-21-041136 · doc4.xml · nonDerivative · entry 3

HENDRIX RICHARD J · CIK 0001218306 · 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: 0000899243-21-041136 · doc4.xml · nonDerivative · entry 2

HENDRIX RICHARD J · CIK 0001218306 · 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: 0000899243-21-041136 · doc4.xml · nonDerivative · entry 1

HENDRIX RICHARD J · CIK 0001218306 · 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: 0001628280-22-011735 · wf-form4a_165152297097555.xml · derivative · entry 8

HENDRIX RICHARD J · CIK 0001218306 · 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.

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: 0001628280-22-011735 · wf-form4a_165152297097555.xml · derivative · entry 7

HENDRIX RICHARD J · CIK 0001218306 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote.-

Disclosed balance after: 15,000

Underlying: Class A Common Stock · 15,000 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. Hendrix's IRA. Mr. Hendrix benefits from the shares held in his IRA account and, as a result, Mr. Hendrix may be deemed to have beneficial ownership of the securities in his IRA account.

SEC source: 0001628280-22-011735 · wf-form4a_165152297097555.xml · derivative · entry 6

HENDRIX RICHARD J · CIK 0001218306 · 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 Mr. Hendrix's IRA. Mr. Hendrix benefits from the shares held in his IRA account and, as a result, Mr. Hendrix may be deemed to have beneficial ownership of the securities in his IRA account.

SEC source: 0001628280-22-011735 · wf-form4a_165152297097555.xml · derivative · entry 5

HENDRIX RICHARD J · CIK 0001218306 · 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: 0001628280-22-011735 · wf-form4a_165152297097555.xml · nonDerivative · entry 4

HENDRIX RICHARD J · CIK 0001218306 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,463

F6 · shares: 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: 0001628280-22-011735 · wf-form4a_165152297097555.xml · nonDerivative · entry 3

HENDRIX RICHARD J · CIK 0001218306 · 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: 0001628280-22-011735 · wf-form4a_165152297097555.xml · nonDerivative · entry 2

HENDRIX RICHARD J · CIK 0001218306 · 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: 0001628280-22-011735 · wf-form4a_165152297097555.xml · nonDerivative · entry 1

HENDRIX RICHARD J · CIK 0001218306 · 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: 0001213900-21-041390 · ownership.xml · nonDerivative · entry 1

HENDRIX RICHARD J · CIK 0001218306 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Live Oak Sponsor Partners, LLC

Disclosed balance after: 0

F1 · kind: Represents the pro rata in kind distribution of all of the shares of Common Stock of the Issuer held by Live Oak Sponsor Partners, LLC (the "Sponsor"), without consideration, to its members. The Reporting Person is a managing member of the Sponsor and as such, has voting and investment discretion with respect to the securities held by the Sponsor and therefore the Reporting Person may be deemed to beneficially own the securities held by the Sponsor. The Reporting Person disclaims any beneficial ownership of the reported securities owned by the Sponsor other than to the extent of any pecuniary interest he may have therein, directly or indirectly.

F1 · price: Represents the pro rata in kind distribution of all of the shares of Common Stock of the Issuer held by Live Oak Sponsor Partners, LLC (the "Sponsor"), without consideration, to its members. The Reporting Person is a managing member of the Sponsor and as such, has voting and investment discretion with respect to the securities held by the Sponsor and therefore the Reporting Person may be deemed to beneficially own the securities held by the Sponsor. The Reporting Person disclaims any beneficial ownership of the reported securities owned by the Sponsor other than to the extent of any pecuniary interest he may have therein, directly or indirectly.

F1 · ownership.nature: Represents the pro rata in kind distribution of all of the shares of Common Stock of the Issuer held by Live Oak Sponsor Partners, LLC (the "Sponsor"), without consideration, to its members. The Reporting Person is a managing member of the Sponsor and as such, has voting and investment discretion with respect to the securities held by the Sponsor and therefore the Reporting Person may be deemed to beneficially own the securities held by the Sponsor. The Reporting Person disclaims any beneficial ownership of the reported securities owned by the Sponsor other than to the extent of any pecuniary interest he may have therein, directly or indirectly.

SEC source: 0001213900-21-017832 · ownership.xml · derivative · entry 1

HENDRIX RICHARD J · CIK 0001218306 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Live Oak Sponsor Partners, LLC

Disclosed balance after: 0

Underlying: Class A Common Stock ("Common Stock") · 3,000,000 shares

Expires 2025-12-29

F1 · kind: Represents the pro rata in kind distribution of all of the Warrants for the purchase of shares of Common Stock of the Issuer held by Live Oak Sponsor Partners, LLC (the "Sponsor"), without consideration, to its members. The Reporting Person is a managing member of the Sponsor and as such, has voting and investment discretion with respect to the securities held by the Sponsor and therefore the Reporting Person may be deemed to beneficially own the securities held by the Sponsor. The Reporting Person disclaims any beneficial ownership of the reported securities owned by the Sponsor other than to the extent of any pecuniary interest he may have therein, directly or indirectly.

F1 · price: Represents the pro rata in kind distribution of all of the Warrants for the purchase of shares of Common Stock of the Issuer held by Live Oak Sponsor Partners, LLC (the "Sponsor"), without consideration, to its members. The Reporting Person is a managing member of the Sponsor and as such, has voting and investment discretion with respect to the securities held by the Sponsor and therefore the Reporting Person may be deemed to beneficially own the securities held by the Sponsor. The Reporting Person disclaims any beneficial ownership of the reported securities owned by the Sponsor other than to the extent of any pecuniary interest he may have therein, directly or indirectly.

F1 · ownership.nature: Represents the pro rata in kind distribution of all of the Warrants for the purchase of shares of Common Stock of the Issuer held by Live Oak Sponsor Partners, LLC (the "Sponsor"), without consideration, to its members. The Reporting Person is a managing member of the Sponsor and as such, has voting and investment discretion with respect to the securities held by the Sponsor and therefore the Reporting Person may be deemed to beneficially own the securities held by the Sponsor. The Reporting Person disclaims any beneficial ownership of the reported securities owned by the Sponsor other than to the extent of any pecuniary interest he may have therein, directly or indirectly.

SEC source: 0001213900-21-016126 · ownership.xml · nonDerivative · entry 1

HENDRIX RICHARD J · CIK 0001218306 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Seefootnote

Disclosed balance after: 0

F1 · kind: Represents the pro rata in-kind distribution of all of the shares of Common Stock of the Issuer held by Live Oak ValFund Plastics Fund LLC ("ValFund"), without consideration, to its members. Live Oak Merchant Partners, LLC ("Live Oak Merchant Partners") is a manager of ValFund and may be deemed to have shared voting control and investment discretion over the securities owned by ValFund. The Reporting Person is a controlling person of Live Oak Merchant Partners, and therefore may be deemed to have shared voting control and investment discretion over the securities owned by ValFund and Live Oak Merchant Partners. The Reporting Person is not a member of ValFund, did not receive any distribution of the shares of Common Stock of the Issuer owned by ValFund, and disclaims any beneficial ownership of the reported securities other than to the extent of any pecuniary interest he may have therein, directly or indirectly.

F1 · price: Represents the pro rata in-kind distribution of all of the shares of Common Stock of the Issuer held by Live Oak ValFund Plastics Fund LLC ("ValFund"), without consideration, to its members. Live Oak Merchant Partners, LLC ("Live Oak Merchant Partners") is a manager of ValFund and may be deemed to have shared voting control and investment discretion over the securities owned by ValFund. The Reporting Person is a controlling person of Live Oak Merchant Partners, and therefore may be deemed to have shared voting control and investment discretion over the securities owned by ValFund and Live Oak Merchant Partners. The Reporting Person is not a member of ValFund, did not receive any distribution of the shares of Common Stock of the Issuer owned by ValFund, and disclaims any beneficial ownership of the reported securities other than to the extent of any pecuniary interest he may have therein, directly or indirectly.

F1 · ownership.nature: Represents the pro rata in-kind distribution of all of the shares of Common Stock of the Issuer held by Live Oak ValFund Plastics Fund LLC ("ValFund"), without consideration, to its members. Live Oak Merchant Partners, LLC ("Live Oak Merchant Partners") is a manager of ValFund and may be deemed to have shared voting control and investment discretion over the securities owned by ValFund. The Reporting Person is a controlling person of Live Oak Merchant Partners, and therefore may be deemed to have shared voting control and investment discretion over the securities owned by ValFund and Live Oak Merchant Partners. The Reporting Person is not a member of ValFund, did not receive any distribution of the shares of Common Stock of the Issuer owned by ValFund, and 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: 0001213900-20-045638 · ownership.xml · derivative · entry 4

HENDRIX RICHARD J · CIK 0001218306 · Director · 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. Hendrix 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. Hendrix 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. Hendrix 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. Hendrix 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: 0001213900-20-045638 · ownership.xml · derivative · entry 3

HENDRIX RICHARD J · CIK 0001218306 · Director · 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. Hendrix 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. Hendrix 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. Hendrix 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. Hendrix 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. Hendrix 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. Hendrix 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. Hendrix 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. Hendrix 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. Hendrix 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. Hendrix 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: 0001213900-20-045638 · ownership.xml · nonDerivative · entry 2

HENDRIX RICHARD J · CIK 0001218306 · Director · 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. Hendrix 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. Hendrix 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. Hendrix 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. Hendrix 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. Hendrix 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. Hendrix 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: 0001213900-20-045638 · ownership.xml · nonDerivative · entry 1

HENDRIX RICHARD J · CIK 0001218306 · Director · 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. Hendrix is a controlling person of Live Oak Merchant Partners. Therefore, Mr. Hendrix may also be deemed to have shared voting control and investment discretion over securities owned by ValFund and Live Oak Merchant Partners. Mr. Hendrix 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: 0001213900-21-000016 · ownership.xml · derivative · entry 1

HENDRIX RICHARD J · CIK 0001218306 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Class A Common Stock ("Common Stock") · 50,000 shares

Expires 2030-12-29

F1 · security: The Form 4 originally filed on December 31, 2020 is hereby amended to include this option grant.

F2 · price: The option to purchase Common Stock of the Issuer was granted as director compensation under the Plan.

SEC source: 0001213900-20-013539 · ownership.xml · derivative · entry 1

HENDRIX RICHARD J · CIK 0001218306 · Chief Executive Officer · 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: Richard J. Hendrix is the Chief Executive Officer 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. Hendrix 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: 0001615774-17-003527 · s106766_form4.xml · nonDerivative · entry 2

HENDRIX RICHARD J · CIK 0001218306 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 236,862

F2 · shares: Represents shares of common stock of B. Riley withheld by the Company and remitted on behalf of the Reporting Person for payment of income taxes incurred for compensation received by the Reporting Person in connection with the issuance of shares of common stock of B. Riley resulting from separation of service as of July 3rd, 2017.

SEC source: 0001615774-17-003527 · s106766_form4.xml · nonDerivative · entry 1

HENDRIX RICHARD J · CIK 0001218306 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 251,654

F1 · shares: Represents non-discretionary formulaic awards of RSUs which are granted on July 3, 2017 to the Reporting Person, and vest on July 3, 2017 pursuant to the Reporting Person's separation agreement. Of these shares, 670 are issued under the 2016 Retention and Incentive Plan, 1,194 are issued under the 2017 One Year Retention and Incentive Plan and 1,194 are issued under the 2017 Two Year Retention and Incentive Plan.

SEC source: 0001140361-17-023561 · doc1.xml · derivative · entry 4

HENDRIX RICHARD J · CIK 0001218306 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 46,051 shares

Expires not disclosed

F4 · derivative.exercise_price: Represents previously unearned performance stock units. Pursuant to the merger agreement between issuer and B. Riley Financial, Inc., as of the effective date of the merger, each performance stock unit was canceled and converted into an RSU denominated in shares of B. Riley Financial, Inc. common stock. The number of shares of B. Riley Financial, Inc. common stock subject to each such RSU equals the product (rounded to the nearest whole number) of the number of shares of the issuer's common stock that would be earned based on the level of achievement that would result in 50% of the number of shares of the issuer's common stock subject to the performance stock unit being earned, multiplied by the exchange ratio of 0.671.

F5 · kind: Disposed of pursuant to the merger agreement between issuer and B. Riley Financial, Inc.

F4 · price: Represents previously unearned performance stock units. Pursuant to the merger agreement between issuer and B. Riley Financial, Inc., as of the effective date of the merger, each performance stock unit was canceled and converted into an RSU denominated in shares of B. Riley Financial, Inc. common stock. The number of shares of B. Riley Financial, Inc. common stock subject to each such RSU equals the product (rounded to the nearest whole number) of the number of shares of the issuer's common stock that would be earned based on the level of achievement that would result in 50% of the number of shares of the issuer's common stock subject to the performance stock unit being earned, multiplied by the exchange ratio of 0.671.

F4 · derivative.exercise_date: Represents previously unearned performance stock units. Pursuant to the merger agreement between issuer and B. Riley Financial, Inc., as of the effective date of the merger, each performance stock unit was canceled and converted into an RSU denominated in shares of B. Riley Financial, Inc. common stock. The number of shares of B. Riley Financial, Inc. common stock subject to each such RSU equals the product (rounded to the nearest whole number) of the number of shares of the issuer's common stock that would be earned based on the level of achievement that would result in 50% of the number of shares of the issuer's common stock subject to the performance stock unit being earned, multiplied by the exchange ratio of 0.671.

F4 · derivative.expiration_date: Represents previously unearned performance stock units. Pursuant to the merger agreement between issuer and B. Riley Financial, Inc., as of the effective date of the merger, each performance stock unit was canceled and converted into an RSU denominated in shares of B. Riley Financial, Inc. common stock. The number of shares of B. Riley Financial, Inc. common stock subject to each such RSU equals the product (rounded to the nearest whole number) of the number of shares of the issuer's common stock that would be earned based on the level of achievement that would result in 50% of the number of shares of the issuer's common stock subject to the performance stock unit being earned, multiplied by the exchange ratio of 0.671.

SEC source: 0001140361-17-023561 · doc1.xml · derivative · entry 3

HENDRIX RICHARD J · CIK 0001218306 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 65,000 shares

Expires 2019-02-24

F3 · price: This option, which vested on February 10, 2017, was cancelled in the merger and converted into 26,024 shares of B. Riley Financial, Inc. common stock, representing (i) the number of the issuer's common shares subject to such option immediately prior to the effective time, multiplied by the issuer's option spread (which is the difference between the closing price of a share of the issuer's common stock on the trading day immediately prior to the effective time of the merger ($17.55) and the exercise price of the option), divided by (ii) the volume-weighted average price of a share of B. Riley Financial, Inc. common stock for the ten trading day period ending on May 30, 2017 ($14.36), of which 10,695 shares of B. Riley Financial, Inc. common stock were withheld to satisfy tax withholding obligations in connection with the delivery of shares.

F3 · derivative.exercise_date: This option, which vested on February 10, 2017, was cancelled in the merger and converted into 26,024 shares of B. Riley Financial, Inc. common stock, representing (i) the number of the issuer's common shares subject to such option immediately prior to the effective time, multiplied by the issuer's option spread (which is the difference between the closing price of a share of the issuer's common stock on the trading day immediately prior to the effective time of the merger ($17.55) and the exercise price of the option), divided by (ii) the volume-weighted average price of a share of B. Riley Financial, Inc. common stock for the ten trading day period ending on May 30, 2017 ($14.36), of which 10,695 shares of B. Riley Financial, Inc. common stock were withheld to satisfy tax withholding obligations in connection with the delivery of shares.

SEC source: 0001140361-17-023561 · doc1.xml · nonDerivative · entry 2

HENDRIX RICHARD J · CIK 0001218306 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F2 · price: Represents 283,646 shares of issuer common stock and 41,658 restricted stock units ("RSU"s) disposed of pursuant to merger agreement between issuer and B. Riley Financial, Inc. in exchange for shares of B. Riley Financial, Inc. common stock and B. Riley Financial, Inc. RSUs at an exchange ratio of 0.671. B. Riley Financial, Inc. common stock had a closing market value of $14.70 per share on the effective date of the merger.

SEC source: 0001615774-17-002945 · s106459_form4.xml · nonDerivative · entry 4

HENDRIX RICHARD J · CIK 0001218306 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 248,596

F5 · kind: Represents shares of common stock of B. Riley withheld by the Company and remitted on behalf of the Reporting Person for payment of income taxes incurred for compensation received by the Reporting Person in connection with the issuance of shares of common stock of B. Riley resulting from the conversion of the Option.

SEC source: 0001615774-17-002945 · s106459_form4.xml · nonDerivative · entry 3

HENDRIX RICHARD J · CIK 0001218306 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 259,203

F3 · kind: The Reporting Person acquired beneficial ownership of 43,402 shares of common stock of B. Riley in connection with the receipt of a restricted stock unit ("RSU") issued by B. Riley that settles in shares of common stock of B. Riley on certain dates through February 10, 2020, subject to the Reporting Person's continued employment with B. Riley and/or its subsidiaries. Pursuant to the Merger Agreement, the Reporting Person's 41,658 FBR RSUs were converted into B. Riley RSUs, with the number of shares of common stock of B. Riley subject to each such B. Riley RSU equal to the product (rounded to the nearest whole number) of (i) the number of shares of common stock of FBR subject to such FBR RSUs prior to the effective time, multiplied by (ii) the exchange ratio of 0.671.

F4 · kind: (continued from footnote 3) Pursuant to the Merger Agreement, the Reporting Person's 46,051 FBR performance stock units ("PSUs") were also converted into B. Riley RSUs, with the number of shares of common stock of B. Riley subject to such B. Riley RSUs equal to the product (rounded to the nearest whole number) of (i) the number of shares of common stock of FBR that would be earned based on the level of achievement that would result in 50% of the number of shares of common stock of FBR subject to the FBR PSU being earned, multiplied by (ii) the exchange ratio of 0.671. The acquired B. Riley RSUs will continued to be governed on the same terms and conditions as applied to the converted FBR RSUs or FBR PSUs, as applicable (except that performance-based vesting conditions will no longer apply to B. Riley RSUs acquired in respect of FBR PSUs).

F3 · price: The Reporting Person acquired beneficial ownership of 43,402 shares of common stock of B. Riley in connection with the receipt of a restricted stock unit ("RSU") issued by B. Riley that settles in shares of common stock of B. Riley on certain dates through February 10, 2020, subject to the Reporting Person's continued employment with B. Riley and/or its subsidiaries. Pursuant to the Merger Agreement, the Reporting Person's 41,658 FBR RSUs were converted into B. Riley RSUs, with the number of shares of common stock of B. Riley subject to each such B. Riley RSU equal to the product (rounded to the nearest whole number) of (i) the number of shares of common stock of FBR subject to such FBR RSUs prior to the effective time, multiplied by (ii) the exchange ratio of 0.671.

F4 · price: (continued from footnote 3) Pursuant to the Merger Agreement, the Reporting Person's 46,051 FBR performance stock units ("PSUs") were also converted into B. Riley RSUs, with the number of shares of common stock of B. Riley subject to such B. Riley RSUs equal to the product (rounded to the nearest whole number) of (i) the number of shares of common stock of FBR that would be earned based on the level of achievement that would result in 50% of the number of shares of common stock of FBR subject to the FBR PSU being earned, multiplied by (ii) the exchange ratio of 0.671. The acquired B. Riley RSUs will continued to be governed on the same terms and conditions as applied to the converted FBR RSUs or FBR PSUs, as applicable (except that performance-based vesting conditions will no longer apply to B. Riley RSUs acquired in respect of FBR PSUs).

SEC source: 0001615774-17-002945 · s106459_form4.xml · nonDerivative · entry 2

HENDRIX RICHARD J · CIK 0001218306 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 215,801

F2 · kind: The Reporting Person acquired 26,024 shares of common stock of B. Riley in exchange for an option (the "Option") held thereby to purchase 65,000 shares of common stock of FBR. Pursuant to the Merger Agreement, the Option was converted into a number of shares of common stock of B. Riley equal to (i) the number of shares of common stock of FBR subject to the Option immediately prior to the effective time of the merger, multiplied by FBR's option spread (which is the difference between the closing price of a share of common stock of FBR on the trading day immediately prior to the effective time of the merger ($17.55) and the exercise price of the option), divided by (ii) the volume-weighted average price of a share of common stock of B. Riley for the ten trading day period ending on May 30, 2017 ($14.36).

F2 · price: The Reporting Person acquired 26,024 shares of common stock of B. Riley in exchange for an option (the "Option") held thereby to purchase 65,000 shares of common stock of FBR. Pursuant to the Merger Agreement, the Option was converted into a number of shares of common stock of B. Riley equal to (i) the number of shares of common stock of FBR subject to the Option immediately prior to the effective time of the merger, multiplied by FBR's option spread (which is the difference between the closing price of a share of common stock of FBR on the trading day immediately prior to the effective time of the merger ($17.55) and the exercise price of the option), divided by (ii) the volume-weighted average price of a share of common stock of B. Riley for the ten trading day period ending on May 30, 2017 ($14.36).

SEC source: 0001615774-17-002945 · s106459_form4.xml · nonDerivative · entry 1

HENDRIX RICHARD J · CIK 0001218306 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 189,777

F1 · kind: The Reporting Person acquired 189,777 shares of common stock of B. Riley Financial, Inc. ("B. Riley") in exchange for 282,828 shares of common stock of FBR & Co. ("FBR") held thereby at an exchange ratio of 0.671 in connection with the merger of FBR into BRC Merger Sub, LLC, a wholly owned subsidiary of B. Riley (the "Merger" ). The Merger was effected pursuant to that certain Amended and Restated Agreement and Plan of Merger, dated as of March 15, 2017 and effective as of February 17, 2017 (the "Merger Agreement"), by and among FBR, B. Riley and BRC Merger Sub, LLC, and closed on June 1, 2017. Common stock of B. Riley had a closing market value of $14.70 per share on the effective date of the Merger.

F1 · price: The Reporting Person acquired 189,777 shares of common stock of B. Riley Financial, Inc. ("B. Riley") in exchange for 282,828 shares of common stock of FBR & Co. ("FBR") held thereby at an exchange ratio of 0.671 in connection with the merger of FBR into BRC Merger Sub, LLC, a wholly owned subsidiary of B. Riley (the "Merger" ). The Merger was effected pursuant to that certain Amended and Restated Agreement and Plan of Merger, dated as of March 15, 2017 and effective as of February 17, 2017 (the "Merger Agreement"), by and among FBR, B. Riley and BRC Merger Sub, LLC, and closed on June 1, 2017. Common stock of B. Riley had a closing market value of $14.70 per share on the effective date of the Merger.

SEC source: 0001140361-17-023561 · doc1.xml · nonDerivative · entry 1

HENDRIX RICHARD J · CIK 0001218306 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 325,304

F1 · shares: Shares acquired under brokerage dividend reinvestment plan.

SEC source: 0001140361-17-016399 · doc1.xml · derivative · entry 3

HENDRIX RICHARD J · CIK 0001218306 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,000

Underlying: Common Stock · 30,000 shares

Expires 2019-02-24

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_date: These options became exercisable in equal one-fourth increments in February 24, 2010, February 24, 2011, February 24, 2012 and February 24, 2013, which were the respective 1st, 2nd, 3rd, and 4th anniversary dates on which the options were granted.

SEC source: 0001140361-17-016399 · doc1.xml · nonDerivative · entry 2

HENDRIX RICHARD J · CIK 0001218306 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 324,486

SEC source: 0001140361-17-016399 · doc1.xml · nonDerivative · entry 1

HENDRIX RICHARD J · CIK 0001218306 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 347,647

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 · balance_after: This includes a non-discretionary reallocation of 194 RSUs made on April 3, 2017 to the Reporting Person pursuant to the Issuer's 2016 Retention and Incentive Plan under the 2006 Long Term Incentive Plan.

SEC source: 0001140361-17-014206 · doc1.xml · derivative · entry 3

HENDRIX RICHARD J · CIK 0001218306 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 95,000

Underlying: Common Stock · 30,000 shares

Expires 2019-02-24

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_date: These options became exercisable in equal one-fourth increments in February 24, 2010, February 24, 2011, February 24, 2012 and February 24, 2013, which were the respective 1st, 2nd, 3rd, and 4th anniversary dates on which the options were granted.

SEC source: 0001140361-17-014206 · doc1.xml · nonDerivative · entry 2

HENDRIX RICHARD J · CIK 0001218306 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 317,453

SEC source: 0001140361-17-014206 · doc1.xml · nonDerivative · entry 1

HENDRIX RICHARD J · CIK 0001218306 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 340,432

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.

SEC source: 0001140361-17-011197 · doc1.xml · nonDerivative · entry 2

HENDRIX RICHARD J · CIK 0001218306 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 310,432

F2 · shares: Represents 14,245 restricted stock units (RSUs) awarded to the reporting person, in accordance with the issuer's One-Year Retention and Incentive Plan under its 2006 Long Term Incentive Plan, and 14,245 RSUs awarded to the reporting person in accordance with the issuer's Two-Year Retention and Incentive Plan under its under its 2006 Long Term Incentive Plan. The RSUs will lapse on the one-year and two-year anniversary after the date of the grant, respectively.

SEC source: 0001140361-17-011197 · doc1.xml · nonDerivative · entry 1

HENDRIX RICHARD J · CIK 0001218306 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 281,942

F1 · shares: Shares acquired under brokerage dividend reinvestment plan.

SEC source: 0001140361-17-004879 · doc1.xml · nonDerivative · entry 1

HENDRIX RICHARD J · CIK 0001218306 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 281,931

F1 · shares: Represents shares of the Issuer's common stock withheld to satisfy tax withholding obligations in connection with the delivery of common stock underlying the vesting of previously awarded restricted stock units (RSUs).

F2 · balance_after: This includes a non-discretionary reallocation of 518 RSUs made on January 3, 2017 to the Reporting Person pursuant to the Issuer's 2016 Retention and Incentive Plan under the 2006 Long Term Incentive Plan.

SEC source: 0001140361-16-088613 · doc1.xml · nonDerivative · entry 1

HENDRIX RICHARD J · CIK 0001218306 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 290,760

F1 · shares: Shares acquired under brokerage dividend reinvestment plan.

SEC source: 0001140361-16-086953 · doc1.xml · nonDerivative · entry 1

HENDRIX RICHARD J · CIK 0001218306 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 290,742

SEC source: 0001140361-16-086616 · doc1.xml · nonDerivative · entry 1

HENDRIX RICHARD J · CIK 0001218306 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 290,709

SEC source: 0001140361-16-085828 · doc1.xml · nonDerivative · entry 1

HENDRIX RICHARD J · CIK 0001218306 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 289,709

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $11.12 and $11.25, inclusive. The reporting person undertakes to provide FBR & Co., any security holder of FBR & Co., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in footnote (1) to this Form 4.