person · Reporting owner

Horowitz Joshua

Disclosed activity across 8 companies

Tapewire entity: 21335
SEC CIK: 0001612424

Reported relationships

Latest disclosed role at each company.

Company	Last reported as	Report date	Published
BARNWELL INDUSTRIES INCBRN · Entity 7823	Director	September 08, 2026	September 10, 2026
BK Technologies CorpBKTI · Entity 6049	Director	January 26, 2026	January 27, 2026
FG Communities Holdings Inc.PIH · Entity 7310	Director	December 15, 2017	December 19, 2017
KINGSWAY CorpKWY · Entity 5976	Director	September 28, 2026	September 30, 2026
Limbach Holdings, Inc.LMB · Entity 5430	Director	September 11, 2026	September 15, 2026
NeuroMetrix, Inc.NURO · Entity 14008	Director	May 01, 2025	May 05, 2025

Disclosed balances

About these balances

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

BARNWELL INDUSTRIES INC

Report date September 08, 2026 · Filed September 10, 2026

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectBy Palm Global Small Cap Master Fund LP	330,187	Reported balance After 2026-09-08 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 1 · 2026-09-08 · Purchase · Acquired 10,478 · Balance 330,187 F1: The price reported represents a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.9696 to $1.00 per share. The Reporting Person undertakes to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price. F2: Palm Management (US) LLC, as the investment manager of Palm Global Small Cap Master Fund LP ("Palm Global"), may be deemed to be a beneficial owner of the shares of common stock disclosed as directly owned by Palm Global. Due to his positions as a portfolio manager and special limited partner of Palm Global and as an employee of Palm Management (US) LLC, Mr. Horowitz may be deemed to be a beneficial owner of the shares of common stock disclosed as directly owned by Palm Global. Palm Management (US) LLC and Mr. Horowitz expressly disclaim such beneficial ownership except to the extent of their pecuniary interest therein.
Common StockSEC Table I · non-derivative	Direct	202,221	Reported balance Holding disclosure · report date 2026-09-08 · row 2 Holding and transaction disclosures are not merged. 1 source row Row 2 · Balance 202,221 F3: Includes 77,878 unvested restricted stock units.

Filing footnotes · ownership attribution and instrument terms

F1: The price reported represents a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.9696 to $1.00 per share. The Reporting Person undertakes to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price.

F2: Palm Management (US) LLC, as the investment manager of Palm Global Small Cap Master Fund LP ("Palm Global"), may be deemed to be a beneficial owner of the shares of common stock disclosed as directly owned by Palm Global. Due to his positions as a portfolio manager and special limited partner of Palm Global and as an employee of Palm Management (US) LLC, Mr. Horowitz may be deemed to be a beneficial owner of the shares of common stock disclosed as directly owned by Palm Global. Palm Management (US) LLC and Mr. Horowitz expressly disclaim such beneficial ownership except to the extent of their pecuniary interest therein.

F3: Includes 77,878 unvested restricted stock units.

BK Technologies Corp

Report date January 26, 2026 · Filed January 27, 2026

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	28,461	Reported balance After 2026-01-26 transaction · row 1 Account or security details depend on footnotes; rows are not merged. 1 source row Row 1 · 2026-01-26 · Grant · Acquired 461 · Balance 28,461 F1: Represents a grant of restricted stock units ("RSUs") under the Issuer's 2025 Incentive Compensation Plan. Each RSU represents a contingent right to receive one share of the Issuer's Common Stock. The RSUs vest in three equal annual installments beginning on the first anniversary of the grant date and on each anniversary date thereafter, subject to the Reporting Person's continued service as a director of the Issuer through such date. F2: Includes the following RSUs, which will vest as follows: (i) 4,890 RSUs, which will vest in two equal annual installments beginning on February 6, 2026; and (ii) 461 RSUs, which will vest in three equal annual installments beginning on January 26, 2027.
Common StockSEC Table I · non-derivative	IndirectBy Palm Global Small Cap Master Fund LP	90,000	Reported balance Holding disclosure · report date 2026-01-26 · row 2 Holding and transaction disclosures are not merged. 1 source row Row 2 · Balance 90,000 F4: Palm Management (US) LLC, as the investment manager of Palm Global Small Cap Master Fund LP ("Palm Global"), may be deemed to be a beneficial owner of the shares of Common Stock disclosed as directly owned by Palm Global. Due to his positions as a portfolio manager and special limited partner of Palm Global and as an employee of Palm Management (US) LLC, the Reporting Person may be deemed to be a beneficial owner of the shares of Common Stock disclosed as directly owned by Palm Global. Palm Management (US) LLC and the Reporting Person expressly disclaim such beneficial ownership except to the extent of their pecuniary interest therein.
Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $32.58 · Expires 2035-01-16	Direct	2,238	Reported balance Holding disclosure · report date 2026-01-26 · row 3 Instrument identity requires review; Table II rows are not merged. 1 source row Row 3 · Balance 2,238 F3: The stock options vest and become exercisable in three equal annual installments beginning on the first anniversary of the grant date and on each anniversary date thereafter, subject to the Reporting Person's continued service as a director of the Issuer through such date.

Filing footnotes · ownership attribution and instrument terms

F1: Represents a grant of restricted stock units ("RSUs") under the Issuer's 2025 Incentive Compensation Plan. Each RSU represents a contingent right to receive one share of the Issuer's Common Stock. The RSUs vest in three equal annual installments beginning on the first anniversary of the grant date and on each anniversary date thereafter, subject to the Reporting Person's continued service as a director of the Issuer through such date.

F2: Includes the following RSUs, which will vest as follows: (i) 4,890 RSUs, which will vest in two equal annual installments beginning on February 6, 2026; and (ii) 461 RSUs, which will vest in three equal annual installments beginning on January 26, 2027.

F3: The stock options vest and become exercisable in three equal annual installments beginning on the first anniversary of the grant date and on each anniversary date thereafter, subject to the Reporting Person's continued service as a director of the Issuer through such date.

F4: Palm Management (US) LLC, as the investment manager of Palm Global Small Cap Master Fund LP ("Palm Global"), may be deemed to be a beneficial owner of the shares of Common Stock disclosed as directly owned by Palm Global. Due to his positions as a portfolio manager and special limited partner of Palm Global and as an employee of Palm Management (US) LLC, the Reporting Person may be deemed to be a beneficial owner of the shares of Common Stock disclosed as directly owned by Palm Global. Palm Management (US) LLC and the Reporting Person expressly disclaim such beneficial ownership except to the extent of their pecuniary interest therein.

FG Communities Holdings Inc.

Report date December 15, 2017 · Filed December 19, 2017

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common Stock, $0.001 par valueSEC Table I · non-derivative	Direct	17,566	Reported balance After 2017-12-15 transaction · row 1 1 source row Row 1 · 2017-12-15 · Grant · Acquired 6,666 · Balance 17,566 F1: Represents restricted stock units ("RSUs") granted under the Amended and Restated 2014 Equity Incentive Plan pursuant to the share-matching program. RSUs vest in five annual equal installments, subject to continued service with the Company, beginning on the first anniversary of the grant date. Each RSU represents a contingent right to receive one share of common stock of the Company. No RSUs have vested for the reporting person as of the date of this filing.
Common Stock, $0.001 par valueSEC Table I · non-derivative	IndirectSee Footnote	3,000	Reported balance Holding disclosure · report date 2017-12-15 · row 2 Holding and transaction disclosures are not merged. 1 source row Row 2 · Balance 3,000 F2: Held by IRA account of Mr. Horowitz's mother. Mr. Horowitz disclaims beneficial ownership of all of the securities that may be deemed to be beneficially owned by his mother, except to the extent of any indirect pecuniary interest therein.

Filing footnotes · ownership attribution and instrument terms

F1: Represents restricted stock units ("RSUs") granted under the Amended and Restated 2014 Equity Incentive Plan pursuant to the share-matching program. RSUs vest in five annual equal installments, subject to continued service with the Company, beginning on the first anniversary of the grant date. Each RSU represents a contingent right to receive one share of common stock of the Company. No RSUs have vested for the reporting person as of the date of this filing.

F2: Held by IRA account of Mr. Horowitz's mother. Mr. Horowitz disclaims beneficial ownership of all of the securities that may be deemed to be beneficially owned by his mother, except to the extent of any indirect pecuniary interest therein.

KINGSWAY Corp

Report date September 28, 2026 · Filed September 30, 2026

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Indirectby Palm Global Small Cap Master Fund LP	384,678	Last balance in matching sequence After 2026-09-30 transaction · row 2 Source-order balances reconcile. Account continuity and personal attribution are not independently verified. 2 source rows Row 1 · 2026-09-28 · Purchase · Acquired 2,717 · Balance 383,820 F3: The price reported represents a weighted average price. These shares were purchased in multiple transactions at prices ranging from $9.255 to $9.28 per share. The Reporting Person undertakes to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price. F2: Palm Management (US) LLC, as the investment manager of Palm Global Small Cap Master Fund LP ("Palm Global"), may be deemed to be a beneficial owner of the securities disclosed as directly owned by Palm Global. Due to his positions as a portfolio manager and special limited partner of Palm Global and as an employee of Palm Management (US) LLC, Mr. Horowitz may be deemed to be a beneficial owner of the securities disclosed as directly owned by Palm Global. Palm Management (US) LLC and Mr. Horowitz expressly disclaim such beneficial ownership except to the extent of their pecuniary interest therein. Row 2 · 2026-09-30 · Purchase · Acquired 858 · Balance 384,678 F2: Palm Management (US) LLC, as the investment manager of Palm Global Small Cap Master Fund LP ("Palm Global"), may be deemed to be a beneficial owner of the securities disclosed as directly owned by Palm Global. Due to his positions as a portfolio manager and special limited partner of Palm Global and as an employee of Palm Management (US) LLC, Mr. Horowitz may be deemed to be a beneficial owner of the securities disclosed as directly owned by Palm Global. Palm Management (US) LLC and Mr. Horowitz expressly disclaim such beneficial ownership except to the extent of their pecuniary interest therein.
Common StockSEC Table I · non-derivative	Direct	32,500	Reported balance Holding disclosure · report date 2026-09-28 · row 3 Holding and transaction disclosures are not merged. 1 source row Row 3 · Balance 32,500
Class D Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $9.50 · Expires 2032-05-08	IndirectPalm Global Small Cap Master Fund LP	14,000	Reported balance Holding disclosure · report date 2026-09-28 · row 4 Instrument identity requires review; Table II rows are not merged. 1 source row Row 4 · Balance 14,000 F1: The shares of Class D Preferred Stock, par value $0.01 per share (the "Class D Preferred Stock"), of Kingsway Corporation (the "Company") have a stated value of $25 per share and are convertible at any time, at the holder's option, into shares of Common Stock, par value $0.01 per share, of the Company (the "Common Stock") at an initial conversion price of $9.50 per share (or 2.6316 shares of Common Stock for each share of Class D Preferred Stock), subject to customary adjustments. The Company has the option to redeem 25% of the outstanding shares of Class D Preferred Stock for cash upon the occurrence of certain events. All then-outstanding shares of Class D Preferred Stock shall be redeemed by the Company for cash on May 8, 2032. F2: Palm Management (US) LLC, as the investment manager of Palm Global Small Cap Master Fund LP ("Palm Global"), may be deemed to be a beneficial owner of the securities disclosed as directly owned by Palm Global. Due to his positions as a portfolio manager and special limited partner of Palm Global and as an employee of Palm Management (US) LLC, Mr. Horowitz may be deemed to be a beneficial owner of the securities disclosed as directly owned by Palm Global. Palm Management (US) LLC and Mr. Horowitz expressly disclaim such beneficial ownership except to the extent of their pecuniary interest therein.

Filing footnotes · ownership attribution and instrument terms

F1: The shares of Class D Preferred Stock, par value $0.01 per share (the "Class D Preferred Stock"), of Kingsway Corporation (the "Company") have a stated value of $25 per share and are convertible at any time, at the holder's option, into shares of Common Stock, par value $0.01 per share, of the Company (the "Common Stock") at an initial conversion price of $9.50 per share (or 2.6316 shares of Common Stock for each share of Class D Preferred Stock), subject to customary adjustments. The Company has the option to redeem 25% of the outstanding shares of Class D Preferred Stock for cash upon the occurrence of certain events. All then-outstanding shares of Class D Preferred Stock shall be redeemed by the Company for cash on May 8, 2032.

F2: Palm Management (US) LLC, as the investment manager of Palm Global Small Cap Master Fund LP ("Palm Global"), may be deemed to be a beneficial owner of the securities disclosed as directly owned by Palm Global. Due to his positions as a portfolio manager and special limited partner of Palm Global and as an employee of Palm Management (US) LLC, Mr. Horowitz may be deemed to be a beneficial owner of the securities disclosed as directly owned by Palm Global. Palm Management (US) LLC and Mr. Horowitz expressly disclaim such beneficial ownership except to the extent of their pecuniary interest therein.

F3: The price reported represents a weighted average price. These shares were purchased in multiple transactions at prices ranging from $9.255 to $9.28 per share. The Reporting Person undertakes to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price.

Limbach Holdings, Inc.

Report date September 11, 2026 · Filed September 15, 2026

Jointly reported with Palm Global Small Cap Master Fund LP

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	43,785	Reported balance After 2026-09-11 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2026-09-11 · Purchase · Acquired 1,000 · Balance 43,785
Common StockSEC Table I · non-derivative	Direct	43,997	Reported balance After 2026-09-15 transaction · row 3 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 3 · 2026-09-15 · Purchase · Acquired 212 · Balance 43,997
Common StockSEC Table I · non-derivative	IndirectPalm Global Small Cap Master Fund LP	171,208	Last balance in matching sequence After 2026-09-15 transaction · row 5 Source-order balances reconcile. Account continuity and personal attribution are not independently verified. 3 source rows Row 2 · 2026-09-11 · Purchase · Acquired 2,600 · Balance 167,200 F2: The price reported represents a weighted average price. These shares were purchased in multiple transactions at prices ranging from $48.88 to $49.745 per share. The Reporting Persons undertake to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price. F1: Palm Management (US) LLC, as the investment manager of Palm Global Small Cap Master Fund LP ("Palm Global"), may be deemed to be a beneficial owner of the shares of common stock disclosed as directly owned by Palm Global. Due to his positions as a portfolio manager and special limited partner of Palm Global and as an employee of Palm Management (US) LLC, Mr. Horowitz may be deemed to be a beneficial owner of the shares of common stock disclosed as directly owned by Palm Global. Palm Management (US) LLC and Mr. Horowitz expressly disclaim such beneficial ownership except to the extent of their pecuniary interest therein. Row 4 · 2026-09-15 · Purchase · Acquired 3,346 · Balance 170,546 F3: The price reported represents a weighted average price. These shares were purchased in multiple transactions at prices ranging from $50.21 to $51.17 per share. The Reporting Persons undertake to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price. F1: Palm Management (US) LLC, as the investment manager of Palm Global Small Cap Master Fund LP ("Palm Global"), may be deemed to be a beneficial owner of the shares of common stock disclosed as directly owned by Palm Global. Due to his positions as a portfolio manager and special limited partner of Palm Global and as an employee of Palm Management (US) LLC, Mr. Horowitz may be deemed to be a beneficial owner of the shares of common stock disclosed as directly owned by Palm Global. Palm Management (US) LLC and Mr. Horowitz expressly disclaim such beneficial ownership except to the extent of their pecuniary interest therein. Row 5 · 2026-09-15 · Purchase · Acquired 662 · Balance 171,208 F1: Palm Management (US) LLC, as the investment manager of Palm Global Small Cap Master Fund LP ("Palm Global"), may be deemed to be a beneficial owner of the shares of common stock disclosed as directly owned by Palm Global. Due to his positions as a portfolio manager and special limited partner of Palm Global and as an employee of Palm Management (US) LLC, Mr. Horowitz may be deemed to be a beneficial owner of the shares of common stock disclosed as directly owned by Palm Global. Palm Management (US) LLC and Mr. Horowitz expressly disclaim such beneficial ownership except to the extent of their pecuniary interest therein.

Filing footnotes · ownership attribution and instrument terms

F1: Palm Management (US) LLC, as the investment manager of Palm Global Small Cap Master Fund LP ("Palm Global"), may be deemed to be a beneficial owner of the shares of common stock disclosed as directly owned by Palm Global. Due to his positions as a portfolio manager and special limited partner of Palm Global and as an employee of Palm Management (US) LLC, Mr. Horowitz may be deemed to be a beneficial owner of the shares of common stock disclosed as directly owned by Palm Global. Palm Management (US) LLC and Mr. Horowitz expressly disclaim such beneficial ownership except to the extent of their pecuniary interest therein.

F2: The price reported represents a weighted average price. These shares were purchased in multiple transactions at prices ranging from $48.88 to $49.745 per share. The Reporting Persons undertake to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price.

F3: The price reported represents a weighted average price. These shares were purchased in multiple transactions at prices ranging from $50.21 to $51.17 per share. The Reporting Persons undertake to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price.

NeuroMetrix, Inc.

Report date May 01, 2025 · Filed May 05, 2025

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	0	Reported balance After 2025-05-01 transaction · row 1 1 source row Row 1 · 2025-05-01 · Disposition to issuer · Disposed 29,807 · Balance 0 F1: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger, dated December 17, 2024 (the "Merger Agreement"), by and among the Issuer, electroCore, Inc., a Delaware corporation ("Parent"), and Nexus Merger Sub Inc., a Delaware corporation and wholly owned subsidiary of Parent ("Merger Sub"). F2: Pursuant to the Merger Agreement, as of the effective time of the Merger (the "Effective Time"), each share of common stock, par value $0.0001 per share, of the Issuer that was issued and outstanding immediately prior to the Effective Time was converted into the right to receive (i) an amount in cash (the "Per Share Cash Consideration') equal to a pro rata share of the Company's balance of net cash at the Effective Time, after deduction of certain pro rata payments made accordance with the Issuer's Amended and Restated Management Retention and Incentive Plan, without interest and (ii) one contingent value right (a "CVR") representing the right to receive contingent payments subject to the terms and conditions set forth in a contingent value rights agreement entered into between Parent and Equiniti Trust Company, LLC.
Common StockSEC Table I · non-derivative	IndirectSee footnote	0	Reported balance After 2025-05-01 transaction · row 2 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 2 · 2025-05-01 · Disposition to issuer · Disposed 60,500 · Balance 0 F1: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger, dated December 17, 2024 (the "Merger Agreement"), by and among the Issuer, electroCore, Inc., a Delaware corporation ("Parent"), and Nexus Merger Sub Inc., a Delaware corporation and wholly owned subsidiary of Parent ("Merger Sub"). F2: Pursuant to the Merger Agreement, as of the effective time of the Merger (the "Effective Time"), each share of common stock, par value $0.0001 per share, of the Issuer that was issued and outstanding immediately prior to the Effective Time was converted into the right to receive (i) an amount in cash (the "Per Share Cash Consideration') equal to a pro rata share of the Company's balance of net cash at the Effective Time, after deduction of certain pro rata payments made accordance with the Issuer's Amended and Restated Management Retention and Incentive Plan, without interest and (ii) one contingent value right (a "CVR") representing the right to receive contingent payments subject to the terms and conditions set forth in a contingent value rights agreement entered into between Parent and Equiniti Trust Company, LLC. F3: Palm Management (US) LLC, as the investment manager of Palm Global Small Cap Master Fund LP ("Palm Global"), may be deemed to be a beneficial owner of the shares of Common Stock disclosed as directly owned by Palm Global. Due to his positions as a portfolio manager and special limited partner of Palm Global and as an employee of Palm Management (US) LLC, the Reporting Person may be deemed to be a beneficial owner of the shares of Common Stock disclosed as directly owned by Palm Global. Palm Management (US) LLC and the Reporting Person expressly disclaim such beneficial ownership except to the extent of their pecuniary interest therein.

Filing footnotes · ownership attribution and instrument terms

F1: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger, dated December 17, 2024 (the "Merger Agreement"), by and among the Issuer, electroCore, Inc., a Delaware corporation ("Parent"), and Nexus Merger Sub Inc., a Delaware corporation and wholly owned subsidiary of Parent ("Merger Sub").

F2: Pursuant to the Merger Agreement, as of the effective time of the Merger (the "Effective Time"), each share of common stock, par value $0.0001 per share, of the Issuer that was issued and outstanding immediately prior to the Effective Time was converted into the right to receive (i) an amount in cash (the "Per Share Cash Consideration') equal to a pro rata share of the Company's balance of net cash at the Effective Time, after deduction of certain pro rata payments made accordance with the Issuer's Amended and Restated Management Retention and Incentive Plan, without interest and (ii) one contingent value right (a "CVR") representing the right to receive contingent payments subject to the terms and conditions set forth in a contingent value rights agreement entered into between Parent and Equiniti Trust Company, LLC.

F3: Palm Management (US) LLC, as the investment manager of Palm Global Small Cap Master Fund LP ("Palm Global"), may be deemed to be a beneficial owner of the shares of Common Stock disclosed as directly owned by Palm Global. Due to his positions as a portfolio manager and special limited partner of Palm Global and as an employee of Palm Management (US) LLC, the Reporting Person may be deemed to be a beneficial owner of the shares of Common Stock disclosed as directly owned by Palm Global. Palm Management (US) LLC and the Reporting Person expressly disclaim such beneficial ownership except to the extent of their pecuniary interest therein.

Past disclosures · reporting ended (2)

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

BIRNER DENTAL MANAGEMENT SERVICES INC

Report date January 14, 2019 · Filed January 14, 2019

Jointly reported with Palm Management (US) LLC, Palm Active Dental LLC, Palm Global Small Cap Master Fund LP, Palm Active Dental II, LP, Palm Active Partners Management, LLC, Palmer Bradley C, Tirpak Bradley M

Section 16 reporting ended · disclosed 2019-01-14. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectPalm Global Small Cap Master Fund LP	630,705	Reported balance After 2019-01-14 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2019-01-14 · Conversion · Acquired 630,705 · Balance 630,705 F1: On January 14, 2019, Birner Dental Management Services, Inc. ("Birner") completed a merger transaction pursuant to which Birner became a wholly owned subsidiary of Mid-Atlantic Dental Services Holdings, LLC (the "Merger"). Each share of Birner common stock was converted into the right to receive $10.62 in cash and a contingent value right that entitles the holder thereof to receive up to $0.13 per share that may become payable after 18 months, in each case, without interest and less any applicable withholding taxes (the "Merger Consideration"). F2: Pursuant to a Notice of Conversion dated December 14, 2018, immediately prior to the effective time of the Merger, the Reporting Persons converted their Convertible Senior Subordinated Loan Notes (the "Notes") and Series A Convertible Preferred Stock ("Series A Preferred") into Series B Convertible Preferred ("Series B Preferred") and, immediately thereafter, converted the Series B Preferred into shares of Common Stock. F5: Each Note was convertible at any time at the option of the holder into Series B Preferred, which Series B Preferred was then convertible into Common Stock at any time at the option of the holder. The maturity date for the Notes was September 30, 2023. F6: Each share of Series A Preferred was convertible into such number of shares of Series B Preferred as was determined by dividing the Series A Preference Price ($1,000 per share of Series A Preferred), plus any and all accrued and unpaid dividends, by $5. Each share of Series B Preferred was convertible into such number of shares of Common Stock as was determined by dividing the Series B Preference Price ($5 per share of Series B Preferred), plus any and all accrued and unpaid dividends, by the Conversion Price ($5) then in effect.
Common StockSEC Table I · non-derivative	IndirectPalm Global Small Cap Master Fund LP	631,969	Reported balance After 2019-01-14 transaction · row 4 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 4 · 2019-01-14 · Conversion · Acquired 1,264 · Balance 631,969 F1: On January 14, 2019, Birner Dental Management Services, Inc. ("Birner") completed a merger transaction pursuant to which Birner became a wholly owned subsidiary of Mid-Atlantic Dental Services Holdings, LLC (the "Merger"). Each share of Birner common stock was converted into the right to receive $10.62 in cash and a contingent value right that entitles the holder thereof to receive up to $0.13 per share that may become payable after 18 months, in each case, without interest and less any applicable withholding taxes (the "Merger Consideration"). F2: Pursuant to a Notice of Conversion dated December 14, 2018, immediately prior to the effective time of the Merger, the Reporting Persons converted their Convertible Senior Subordinated Loan Notes (the "Notes") and Series A Convertible Preferred Stock ("Series A Preferred") into Series B Convertible Preferred ("Series B Preferred") and, immediately thereafter, converted the Series B Preferred into shares of Common Stock. F6: Each share of Series A Preferred was convertible into such number of shares of Series B Preferred as was determined by dividing the Series A Preference Price ($1,000 per share of Series A Preferred), plus any and all accrued and unpaid dividends, by $5. Each share of Series B Preferred was convertible into such number of shares of Common Stock as was determined by dividing the Series B Preference Price ($5 per share of Series B Preferred), plus any and all accrued and unpaid dividends, by the Conversion Price ($5) then in effect.
Common StockSEC Table I · non-derivative	IndirectPalm Global Small Cap Master Fund LP	0	Reported balance After 2019-01-14 transaction · row 7 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 7 · 2019-01-14 · Disposition to issuer · Disposed 631,969 · Balance 0 F1: On January 14, 2019, Birner Dental Management Services, Inc. ("Birner") completed a merger transaction pursuant to which Birner became a wholly owned subsidiary of Mid-Atlantic Dental Services Holdings, LLC (the "Merger"). Each share of Birner common stock was converted into the right to receive $10.62 in cash and a contingent value right that entitles the holder thereof to receive up to $0.13 per share that may become payable after 18 months, in each case, without interest and less any applicable withholding taxes (the "Merger Consideration"). F3: Represents shares of Common Stock disposed of in the Merger for the Merger Consideration.
Common StockSEC Table I · non-derivative	IndirectPalm Active Dental, LLC	420,470	Reported balance After 2019-01-14 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 2 · 2019-01-14 · Conversion · Acquired 420,470 · Balance 420,470 F1: On January 14, 2019, Birner Dental Management Services, Inc. ("Birner") completed a merger transaction pursuant to which Birner became a wholly owned subsidiary of Mid-Atlantic Dental Services Holdings, LLC (the "Merger"). Each share of Birner common stock was converted into the right to receive $10.62 in cash and a contingent value right that entitles the holder thereof to receive up to $0.13 per share that may become payable after 18 months, in each case, without interest and less any applicable withholding taxes (the "Merger Consideration"). F2: Pursuant to a Notice of Conversion dated December 14, 2018, immediately prior to the effective time of the Merger, the Reporting Persons converted their Convertible Senior Subordinated Loan Notes (the "Notes") and Series A Convertible Preferred Stock ("Series A Preferred") into Series B Convertible Preferred ("Series B Preferred") and, immediately thereafter, converted the Series B Preferred into shares of Common Stock. F5: Each Note was convertible at any time at the option of the holder into Series B Preferred, which Series B Preferred was then convertible into Common Stock at any time at the option of the holder. The maturity date for the Notes was September 30, 2023. F6: Each share of Series A Preferred was convertible into such number of shares of Series B Preferred as was determined by dividing the Series A Preference Price ($1,000 per share of Series A Preferred), plus any and all accrued and unpaid dividends, by $5. Each share of Series B Preferred was convertible into such number of shares of Common Stock as was determined by dividing the Series B Preference Price ($5 per share of Series B Preferred), plus any and all accrued and unpaid dividends, by the Conversion Price ($5) then in effect.
Common StockSEC Table I · non-derivative	IndirectPalm Active Dental, LLC	421,313	Reported balance After 2019-01-14 transaction · row 5 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 5 · 2019-01-14 · Conversion · Acquired 843 · Balance 421,313 F1: On January 14, 2019, Birner Dental Management Services, Inc. ("Birner") completed a merger transaction pursuant to which Birner became a wholly owned subsidiary of Mid-Atlantic Dental Services Holdings, LLC (the "Merger"). Each share of Birner common stock was converted into the right to receive $10.62 in cash and a contingent value right that entitles the holder thereof to receive up to $0.13 per share that may become payable after 18 months, in each case, without interest and less any applicable withholding taxes (the "Merger Consideration"). F2: Pursuant to a Notice of Conversion dated December 14, 2018, immediately prior to the effective time of the Merger, the Reporting Persons converted their Convertible Senior Subordinated Loan Notes (the "Notes") and Series A Convertible Preferred Stock ("Series A Preferred") into Series B Convertible Preferred ("Series B Preferred") and, immediately thereafter, converted the Series B Preferred into shares of Common Stock. F6: Each share of Series A Preferred was convertible into such number of shares of Series B Preferred as was determined by dividing the Series A Preference Price ($1,000 per share of Series A Preferred), plus any and all accrued and unpaid dividends, by $5. Each share of Series B Preferred was convertible into such number of shares of Common Stock as was determined by dividing the Series B Preference Price ($5 per share of Series B Preferred), plus any and all accrued and unpaid dividends, by the Conversion Price ($5) then in effect.
Common StockSEC Table I · non-derivative	IndirectPalm Active Dental, LLC	0	Reported balance After 2019-01-14 transaction · row 8 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 8 · 2019-01-14 · Disposition to issuer · Disposed 421,313 · Balance 0 F1: On January 14, 2019, Birner Dental Management Services, Inc. ("Birner") completed a merger transaction pursuant to which Birner became a wholly owned subsidiary of Mid-Atlantic Dental Services Holdings, LLC (the "Merger"). Each share of Birner common stock was converted into the right to receive $10.62 in cash and a contingent value right that entitles the holder thereof to receive up to $0.13 per share that may become payable after 18 months, in each case, without interest and less any applicable withholding taxes (the "Merger Consideration"). F3: Represents shares of Common Stock disposed of in the Merger for the Merger Consideration.
Common StockSEC Table I · non-derivative	IndirectPalm Active Dental II, LLC	95,344	Reported balance After 2019-01-14 transaction · row 3 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 3 · 2019-01-14 · Conversion · Acquired 95,344 · Balance 95,344 F1: On January 14, 2019, Birner Dental Management Services, Inc. ("Birner") completed a merger transaction pursuant to which Birner became a wholly owned subsidiary of Mid-Atlantic Dental Services Holdings, LLC (the "Merger"). Each share of Birner common stock was converted into the right to receive $10.62 in cash and a contingent value right that entitles the holder thereof to receive up to $0.13 per share that may become payable after 18 months, in each case, without interest and less any applicable withholding taxes (the "Merger Consideration"). F2: Pursuant to a Notice of Conversion dated December 14, 2018, immediately prior to the effective time of the Merger, the Reporting Persons converted their Convertible Senior Subordinated Loan Notes (the "Notes") and Series A Convertible Preferred Stock ("Series A Preferred") into Series B Convertible Preferred ("Series B Preferred") and, immediately thereafter, converted the Series B Preferred into shares of Common Stock. F5: Each Note was convertible at any time at the option of the holder into Series B Preferred, which Series B Preferred was then convertible into Common Stock at any time at the option of the holder. The maturity date for the Notes was September 30, 2023. F6: Each share of Series A Preferred was convertible into such number of shares of Series B Preferred as was determined by dividing the Series A Preference Price ($1,000 per share of Series A Preferred), plus any and all accrued and unpaid dividends, by $5. Each share of Series B Preferred was convertible into such number of shares of Common Stock as was determined by dividing the Series B Preference Price ($5 per share of Series B Preferred), plus any and all accrued and unpaid dividends, by the Conversion Price ($5) then in effect.
Common StockSEC Table I · non-derivative	IndirectPalm Active Dental II, LLC	95,548	Reported balance After 2019-01-14 transaction · row 6 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 6 · 2019-01-14 · Conversion · Acquired 204 · Balance 95,548 F1: On January 14, 2019, Birner Dental Management Services, Inc. ("Birner") completed a merger transaction pursuant to which Birner became a wholly owned subsidiary of Mid-Atlantic Dental Services Holdings, LLC (the "Merger"). Each share of Birner common stock was converted into the right to receive $10.62 in cash and a contingent value right that entitles the holder thereof to receive up to $0.13 per share that may become payable after 18 months, in each case, without interest and less any applicable withholding taxes (the "Merger Consideration"). F2: Pursuant to a Notice of Conversion dated December 14, 2018, immediately prior to the effective time of the Merger, the Reporting Persons converted their Convertible Senior Subordinated Loan Notes (the "Notes") and Series A Convertible Preferred Stock ("Series A Preferred") into Series B Convertible Preferred ("Series B Preferred") and, immediately thereafter, converted the Series B Preferred into shares of Common Stock. F6: Each share of Series A Preferred was convertible into such number of shares of Series B Preferred as was determined by dividing the Series A Preference Price ($1,000 per share of Series A Preferred), plus any and all accrued and unpaid dividends, by $5. Each share of Series B Preferred was convertible into such number of shares of Common Stock as was determined by dividing the Series B Preference Price ($5 per share of Series B Preferred), plus any and all accrued and unpaid dividends, by the Conversion Price ($5) then in effect.
Common StockSEC Table I · non-derivative	IndirectPalm Active Dental II, LLC	0	Reported balance After 2019-01-14 transaction · row 9 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 9 · 2019-01-14 · Disposition to issuer · Disposed 95,548 · Balance 0 F1: On January 14, 2019, Birner Dental Management Services, Inc. ("Birner") completed a merger transaction pursuant to which Birner became a wholly owned subsidiary of Mid-Atlantic Dental Services Holdings, LLC (the "Merger"). Each share of Birner common stock was converted into the right to receive $10.62 in cash and a contingent value right that entitles the holder thereof to receive up to $0.13 per share that may become payable after 18 months, in each case, without interest and less any applicable withholding taxes (the "Merger Consideration"). F3: Represents shares of Common Stock disposed of in the Merger for the Merger Consideration.
Common StockSEC Table I · non-derivative	IndirectBradley M. Tirpak	0	Reported balance After 2019-01-14 transaction · row 10 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 10 · 2019-01-14 · Disposition to issuer · Disposed 2,000 · Balance 0 F1: On January 14, 2019, Birner Dental Management Services, Inc. ("Birner") completed a merger transaction pursuant to which Birner became a wholly owned subsidiary of Mid-Atlantic Dental Services Holdings, LLC (the "Merger"). Each share of Birner common stock was converted into the right to receive $10.62 in cash and a contingent value right that entitles the holder thereof to receive up to $0.13 per share that may become payable after 18 months, in each case, without interest and less any applicable withholding taxes (the "Merger Consideration"). F4: Represents shares of restricted Common Stock cancelled in the Merger in exchange for the Merger Consideration.
Common StockSEC Table I · non-derivative	IndirectJoshua Horowitz	0	Reported balance After 2019-01-14 transaction · row 11 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 11 · 2019-01-14 · Disposition to issuer · Disposed 2,000 · Balance 0 F1: On January 14, 2019, Birner Dental Management Services, Inc. ("Birner") completed a merger transaction pursuant to which Birner became a wholly owned subsidiary of Mid-Atlantic Dental Services Holdings, LLC (the "Merger"). Each share of Birner common stock was converted into the right to receive $10.62 in cash and a contingent value right that entitles the holder thereof to receive up to $0.13 per share that may become payable after 18 months, in each case, without interest and less any applicable withholding taxes (the "Merger Consideration"). F4: Represents shares of restricted Common Stock cancelled in the Merger in exchange for the Merger Consideration.
Convertible Senior Subordinated Secured Loan NotesSEC Table II · derivative / convertible security · Conversion / exercise price $5.00	IndirectPalm Global Small Cap Master Fund LP	0	Reported balance After 2019-01-14 transaction · row 12 Instrument identity requires review; Table II rows are not merged. 1 source row Row 12 · 2019-01-14 · Conversion · Disposed Not disclosed · Balance 0 F7: The aggregate amount of PIK interest and dividends for the Notes and Series A Preferred was $276,145 through January 14, 2019. F8: Represents the outstanding principal amount of the Notes converted plus PIK interest. F1: On January 14, 2019, Birner Dental Management Services, Inc. ("Birner") completed a merger transaction pursuant to which Birner became a wholly owned subsidiary of Mid-Atlantic Dental Services Holdings, LLC (the "Merger"). Each share of Birner common stock was converted into the right to receive $10.62 in cash and a contingent value right that entitles the holder thereof to receive up to $0.13 per share that may become payable after 18 months, in each case, without interest and less any applicable withholding taxes (the "Merger Consideration"). F2: Pursuant to a Notice of Conversion dated December 14, 2018, immediately prior to the effective time of the Merger, the Reporting Persons converted their Convertible Senior Subordinated Loan Notes (the "Notes") and Series A Convertible Preferred Stock ("Series A Preferred") into Series B Convertible Preferred ("Series B Preferred") and, immediately thereafter, converted the Series B Preferred into shares of Common Stock. F5: Each Note was convertible at any time at the option of the holder into Series B Preferred, which Series B Preferred was then convertible into Common Stock at any time at the option of the holder. The maturity date for the Notes was September 30, 2023. F6: Each share of Series A Preferred was convertible into such number of shares of Series B Preferred as was determined by dividing the Series A Preference Price ($1,000 per share of Series A Preferred), plus any and all accrued and unpaid dividends, by $5. Each share of Series B Preferred was convertible into such number of shares of Common Stock as was determined by dividing the Series B Preference Price ($5 per share of Series B Preferred), plus any and all accrued and unpaid dividends, by the Conversion Price ($5) then in effect. F10: Represents underlying shares of Common Stock.
Convertible Senior Subordinated Secured Loan NotesSEC Table II · derivative / convertible security · Conversion / exercise price $5.00	IndirectPalm Active Dental, LLC	0	Reported balance After 2019-01-14 transaction · row 13 Instrument identity requires review; Table II rows are not merged. 1 source row Row 13 · 2019-01-14 · Conversion · Disposed Not disclosed · Balance 0 F7: The aggregate amount of PIK interest and dividends for the Notes and Series A Preferred was $276,145 through January 14, 2019. F8: Represents the outstanding principal amount of the Notes converted plus PIK interest. F1: On January 14, 2019, Birner Dental Management Services, Inc. ("Birner") completed a merger transaction pursuant to which Birner became a wholly owned subsidiary of Mid-Atlantic Dental Services Holdings, LLC (the "Merger"). Each share of Birner common stock was converted into the right to receive $10.62 in cash and a contingent value right that entitles the holder thereof to receive up to $0.13 per share that may become payable after 18 months, in each case, without interest and less any applicable withholding taxes (the "Merger Consideration"). F2: Pursuant to a Notice of Conversion dated December 14, 2018, immediately prior to the effective time of the Merger, the Reporting Persons converted their Convertible Senior Subordinated Loan Notes (the "Notes") and Series A Convertible Preferred Stock ("Series A Preferred") into Series B Convertible Preferred ("Series B Preferred") and, immediately thereafter, converted the Series B Preferred into shares of Common Stock. F5: Each Note was convertible at any time at the option of the holder into Series B Preferred, which Series B Preferred was then convertible into Common Stock at any time at the option of the holder. The maturity date for the Notes was September 30, 2023. F6: Each share of Series A Preferred was convertible into such number of shares of Series B Preferred as was determined by dividing the Series A Preference Price ($1,000 per share of Series A Preferred), plus any and all accrued and unpaid dividends, by $5. Each share of Series B Preferred was convertible into such number of shares of Common Stock as was determined by dividing the Series B Preference Price ($5 per share of Series B Preferred), plus any and all accrued and unpaid dividends, by the Conversion Price ($5) then in effect. F10: Represents underlying shares of Common Stock.
Convertible Senior Subordinated Secured Loan NotesSEC Table II · derivative / convertible security · Conversion / exercise price $5.00	IndirectPalm Active Dental II, LP	0	Reported balance After 2019-01-14 transaction · row 14 Instrument identity requires review; Table II rows are not merged. 1 source row Row 14 · 2019-01-14 · Conversion · Disposed Not disclosed · Balance 0 F7: The aggregate amount of PIK interest and dividends for the Notes and Series A Preferred was $276,145 through January 14, 2019. F8: Represents the outstanding principal amount of the Notes converted plus PIK interest. F1: On January 14, 2019, Birner Dental Management Services, Inc. ("Birner") completed a merger transaction pursuant to which Birner became a wholly owned subsidiary of Mid-Atlantic Dental Services Holdings, LLC (the "Merger"). Each share of Birner common stock was converted into the right to receive $10.62 in cash and a contingent value right that entitles the holder thereof to receive up to $0.13 per share that may become payable after 18 months, in each case, without interest and less any applicable withholding taxes (the "Merger Consideration"). F2: Pursuant to a Notice of Conversion dated December 14, 2018, immediately prior to the effective time of the Merger, the Reporting Persons converted their Convertible Senior Subordinated Loan Notes (the "Notes") and Series A Convertible Preferred Stock ("Series A Preferred") into Series B Convertible Preferred ("Series B Preferred") and, immediately thereafter, converted the Series B Preferred into shares of Common Stock. F5: Each Note was convertible at any time at the option of the holder into Series B Preferred, which Series B Preferred was then convertible into Common Stock at any time at the option of the holder. The maturity date for the Notes was September 30, 2023. F6: Each share of Series A Preferred was convertible into such number of shares of Series B Preferred as was determined by dividing the Series A Preference Price ($1,000 per share of Series A Preferred), plus any and all accrued and unpaid dividends, by $5. Each share of Series B Preferred was convertible into such number of shares of Common Stock as was determined by dividing the Series B Preference Price ($5 per share of Series B Preferred), plus any and all accrued and unpaid dividends, by the Conversion Price ($5) then in effect. F10: Represents underlying shares of Common Stock.
Series A Convertible Preferred StockSEC Table II · derivative / convertible security	IndirectPalm Global Small Cap Master Fund LP	0	Reported balance After 2019-01-14 transaction · row 15 Instrument identity requires review; Table II rows are not merged. 1 source row Row 15 · 2019-01-14 · Conversion · Disposed 6 · Balance 0 F6: Each share of Series A Preferred was convertible into such number of shares of Series B Preferred as was determined by dividing the Series A Preference Price ($1,000 per share of Series A Preferred), plus any and all accrued and unpaid dividends, by $5. Each share of Series B Preferred was convertible into such number of shares of Common Stock as was determined by dividing the Series B Preference Price ($5 per share of Series B Preferred), plus any and all accrued and unpaid dividends, by the Conversion Price ($5) then in effect. F1: On January 14, 2019, Birner Dental Management Services, Inc. ("Birner") completed a merger transaction pursuant to which Birner became a wholly owned subsidiary of Mid-Atlantic Dental Services Holdings, LLC (the "Merger"). Each share of Birner common stock was converted into the right to receive $10.62 in cash and a contingent value right that entitles the holder thereof to receive up to $0.13 per share that may become payable after 18 months, in each case, without interest and less any applicable withholding taxes (the "Merger Consideration"). F2: Pursuant to a Notice of Conversion dated December 14, 2018, immediately prior to the effective time of the Merger, the Reporting Persons converted their Convertible Senior Subordinated Loan Notes (the "Notes") and Series A Convertible Preferred Stock ("Series A Preferred") into Series B Convertible Preferred ("Series B Preferred") and, immediately thereafter, converted the Series B Preferred into shares of Common Stock. F7: The aggregate amount of PIK interest and dividends for the Notes and Series A Preferred was $276,145 through January 14, 2019. F9: Includes dividends required to be paid in kind as additional shares. F10: Represents underlying shares of Common Stock.
Series A Convertible Preferred StockSEC Table II · derivative / convertible security	IndirectPalm Active Dental, LLC	0	Reported balance After 2019-01-14 transaction · row 16 Instrument identity requires review; Table II rows are not merged. 1 source row Row 16 · 2019-01-14 · Conversion · Disposed 4 · Balance 0 F6: Each share of Series A Preferred was convertible into such number of shares of Series B Preferred as was determined by dividing the Series A Preference Price ($1,000 per share of Series A Preferred), plus any and all accrued and unpaid dividends, by $5. Each share of Series B Preferred was convertible into such number of shares of Common Stock as was determined by dividing the Series B Preference Price ($5 per share of Series B Preferred), plus any and all accrued and unpaid dividends, by the Conversion Price ($5) then in effect. F1: On January 14, 2019, Birner Dental Management Services, Inc. ("Birner") completed a merger transaction pursuant to which Birner became a wholly owned subsidiary of Mid-Atlantic Dental Services Holdings, LLC (the "Merger"). Each share of Birner common stock was converted into the right to receive $10.62 in cash and a contingent value right that entitles the holder thereof to receive up to $0.13 per share that may become payable after 18 months, in each case, without interest and less any applicable withholding taxes (the "Merger Consideration"). F2: Pursuant to a Notice of Conversion dated December 14, 2018, immediately prior to the effective time of the Merger, the Reporting Persons converted their Convertible Senior Subordinated Loan Notes (the "Notes") and Series A Convertible Preferred Stock ("Series A Preferred") into Series B Convertible Preferred ("Series B Preferred") and, immediately thereafter, converted the Series B Preferred into shares of Common Stock. F7: The aggregate amount of PIK interest and dividends for the Notes and Series A Preferred was $276,145 through January 14, 2019. F9: Includes dividends required to be paid in kind as additional shares. F10: Represents underlying shares of Common Stock.
Series A Convertible Preferred StockSEC Table II · derivative / convertible security	IndirectPalm Active Dental II, LP	0	Reported balance After 2019-01-14 transaction · row 17 Instrument identity requires review; Table II rows are not merged. 1 source row Row 17 · 2019-01-14 · Conversion · Disposed 1 · Balance 0 F6: Each share of Series A Preferred was convertible into such number of shares of Series B Preferred as was determined by dividing the Series A Preference Price ($1,000 per share of Series A Preferred), plus any and all accrued and unpaid dividends, by $5. Each share of Series B Preferred was convertible into such number of shares of Common Stock as was determined by dividing the Series B Preference Price ($5 per share of Series B Preferred), plus any and all accrued and unpaid dividends, by the Conversion Price ($5) then in effect. F1: On January 14, 2019, Birner Dental Management Services, Inc. ("Birner") completed a merger transaction pursuant to which Birner became a wholly owned subsidiary of Mid-Atlantic Dental Services Holdings, LLC (the "Merger"). Each share of Birner common stock was converted into the right to receive $10.62 in cash and a contingent value right that entitles the holder thereof to receive up to $0.13 per share that may become payable after 18 months, in each case, without interest and less any applicable withholding taxes (the "Merger Consideration"). F2: Pursuant to a Notice of Conversion dated December 14, 2018, immediately prior to the effective time of the Merger, the Reporting Persons converted their Convertible Senior Subordinated Loan Notes (the "Notes") and Series A Convertible Preferred Stock ("Series A Preferred") into Series B Convertible Preferred ("Series B Preferred") and, immediately thereafter, converted the Series B Preferred into shares of Common Stock. F7: The aggregate amount of PIK interest and dividends for the Notes and Series A Preferred was $276,145 through January 14, 2019. F9: Includes dividends required to be paid in kind as additional shares. F10: Represents underlying shares of Common Stock.

Filing footnotes · ownership attribution and instrument terms

F1: On January 14, 2019, Birner Dental Management Services, Inc. ("Birner") completed a merger transaction pursuant to which Birner became a wholly owned subsidiary of Mid-Atlantic Dental Services Holdings, LLC (the "Merger"). Each share of Birner common stock was converted into the right to receive $10.62 in cash and a contingent value right that entitles the holder thereof to receive up to $0.13 per share that may become payable after 18 months, in each case, without interest and less any applicable withholding taxes (the "Merger Consideration").

F2: Pursuant to a Notice of Conversion dated December 14, 2018, immediately prior to the effective time of the Merger, the Reporting Persons converted their Convertible Senior Subordinated Loan Notes (the "Notes") and Series A Convertible Preferred Stock ("Series A Preferred") into Series B Convertible Preferred ("Series B Preferred") and, immediately thereafter, converted the Series B Preferred into shares of Common Stock.

F3: Represents shares of Common Stock disposed of in the Merger for the Merger Consideration.

F4: Represents shares of restricted Common Stock cancelled in the Merger in exchange for the Merger Consideration.

F5: Each Note was convertible at any time at the option of the holder into Series B Preferred, which Series B Preferred was then convertible into Common Stock at any time at the option of the holder. The maturity date for the Notes was September 30, 2023.

F6: Each share of Series A Preferred was convertible into such number of shares of Series B Preferred as was determined by dividing the Series A Preference Price ($1,000 per share of Series A Preferred), plus any and all accrued and unpaid dividends, by $5. Each share of Series B Preferred was convertible into such number of shares of Common Stock as was determined by dividing the Series B Preference Price ($5 per share of Series B Preferred), plus any and all accrued and unpaid dividends, by the Conversion Price ($5) then in effect.

F7: The aggregate amount of PIK interest and dividends for the Notes and Series A Preferred was $276,145 through January 14, 2019.

F8: Represents the outstanding principal amount of the Notes converted plus PIK interest.

F9: Includes dividends required to be paid in kind as additional shares.

F10: Represents underlying shares of Common Stock.

FiEE, Inc.

Report date November 23, 2022 · Filed November 28, 2022

Section 16 reporting ended · disclosed 2022-11-28. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	262,753	Ending reported balance After 2022-11-23 transaction · row 2 2 source rows · reconciled sequence Row 1 · 2022-11-23 · Exercise / conversion · Acquired 29,661 · Balance 36,947 F1: Restricted Stock Units convert into common stock on a one-for-one basis. Row 2 · 2022-11-23 · Grant · Acquired 225,806 · Balance 262,753 F1: Restricted Stock Units convert into common stock on a one-for-one basis.
Restricted Stock UnitSEC Table II · derivative / convertible security	Direct	0	Reported balance After 2022-11-23 transaction · row 4 Instrument identity requires review; Table II rows are not merged. 1 source row Row 4 · 2022-11-23 · Exercise / conversion · Disposed 29,661 · Balance 0 F1: Restricted Stock Units convert into common stock on a one-for-one basis. F2: On November 23, 2022, the vesting of the Restricted Stock Units was accelerated and immediately vested.
Common StockSEC Table I · non-derivative	IndirectBy Palm Global Small Cap Master Fund LP	1,286,489	Reported balance Holding disclosure · report date 2022-11-23 · row 3 Holding and transaction disclosures are not merged. 1 source row Row 3 · Balance 1,286,489
Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.03 · Expires 2023-11-23	Direct	15,000	Reported balance Holding disclosure · report date 2022-11-23 · row 5 Instrument identity requires review; Table II rows are not merged. 1 source row Row 5 · Balance 15,000 F3: Fully exercisable as of the grant date, July 9, 2020.
Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.04 · Expires 2023-11-23	Direct	7,500	Reported balance Holding disclosure · report date 2022-11-23 · row 6 Instrument identity requires review; Table II rows are not merged. 1 source row Row 6 · Balance 7,500 F4: Fully exercisable as of the grant date, July 13, 2020.

Filing footnotes · ownership attribution and instrument terms

F1: Restricted Stock Units convert into common stock on a one-for-one basis.

F2: On November 23, 2022, the vesting of the Restricted Stock Units was accelerated and immediately vested.

F3: Fully exercisable as of the grant date, July 9, 2020.

F4: Fully exercisable as of the grant date, July 13, 2020.

Transaction history

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction date	Company	Activity / security	Shares / units	Reported price	Reported value	Details
November 23, 2022 Filed Nov 28, 2022 21:15 UTC	FiEE, Inc. MINM · Entity 7395	Exercise / conversionCommon Stock	29,661	Not disclosed	Not disclosed	Disclosure SEC source: 0001104659-22-122410 · tm2231479-1_4seq1.xml · nonDerivative · entry 1 Horowitz Joshua · CIK 0001612424 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,947 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 · price: Restricted Stock Units convert into common stock on a one-for-one basis. Read SEC document
November 22, 2022 Filed Nov 22, 2022 17:30 UTC	Limbach Holdings, Inc. LMB · Entity 5430	PurchaseCommon Stock	2,127	$10.48	$22,287.34	Disclosure SEC source: 0001104659-22-121330 · tm2231218-1_4seq1.xml · nonDerivative · entry 3 Horowitz Joshua · CIK 0001612424 · Director Palm Management (US) LLC · CIK 0001726497 · Director Palm Global Small Cap Master Fund LP · CIK 0001726444 · Director Palmer Bradley C · CIK 0001726523 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Palm Global Small Cap Master Fund LP Disclosed balance after: 256,672 F7 · price: The price reported represents a weighted average price. These shares were purchased in multiple transactions at prices ranging from $10.41 to $10.50 per share. The Reporting Persons undertake to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price. F1 · balance_after: The reported shares are owned directly by Palm Global Small Cap Master Fund LP (the "Fund"). Palm Management (US) LLC ("Palm Management"), as the investment manager of the Fund, may be deemed to be a beneficial owner of the shares of common stock disclosed as directly owned by the Fund. Due to his positions with the Fund and Palm Management, Mr. Joshua S. Horowitz may be deemed to be a beneficial owner of the shares of common stock disclosed as directly owned by the Fund. Due to his position with Palm Management, Mr. Bradley C. Palmer may be deemed to be a beneficial owner of the shares of common stock disclosed as directly owned by the Fund. Messrs. Palmer and Horowitz disclaim beneficial ownership of these shares except to the extent of their respective pecuniary interest therein. Read SEC document
November 21, 2022 Filed Nov 22, 2022 17:30 UTC	Limbach Holdings, Inc. LMB · Entity 5430	PurchaseCommon Stock	710	$9.52	$6,758.63	Disclosure SEC source: 0001104659-22-121330 · tm2231218-1_4seq1.xml · nonDerivative · entry 2 Horowitz Joshua · CIK 0001612424 · Director Palm Management (US) LLC · CIK 0001726497 · Director Palm Global Small Cap Master Fund LP · CIK 0001726444 · Director Palmer Bradley C · CIK 0001726523 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Palm Global Small Cap Master Fund LP Disclosed balance after: 254,545 F6 · price: The price reported represents a weighted average price. These shares were purchased in multiple transactions at prices ranging from $9.25 to $9.55 per share. The Reporting Persons undertake to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price. F1 · balance_after: The reported shares are owned directly by Palm Global Small Cap Master Fund LP (the "Fund"). Palm Management (US) LLC ("Palm Management"), as the investment manager of the Fund, may be deemed to be a beneficial owner of the shares of common stock disclosed as directly owned by the Fund. Due to his positions with the Fund and Palm Management, Mr. Joshua S. Horowitz may be deemed to be a beneficial owner of the shares of common stock disclosed as directly owned by the Fund. Due to his position with Palm Management, Mr. Bradley C. Palmer may be deemed to be a beneficial owner of the shares of common stock disclosed as directly owned by the Fund. Messrs. Palmer and Horowitz disclaim beneficial ownership of these shares except to the extent of their respective pecuniary interest therein. Read SEC document
November 18, 2022 Filed Nov 22, 2022 17:30 UTC	Limbach Holdings, Inc. LMB · Entity 5430	PurchaseCommon Stock	4,000	$9.24	$36,949.60	Disclosure SEC source: 0001104659-22-121330 · tm2231218-1_4seq1.xml · nonDerivative · entry 1 Horowitz Joshua · CIK 0001612424 · Director Palm Management (US) LLC · CIK 0001726497 · Director Palm Global Small Cap Master Fund LP · CIK 0001726444 · Director Palmer Bradley C · CIK 0001726523 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Palm Global Small Cap Master Fund LP Disclosed balance after: 253,835 F5 · price: The price reported represents a weighted average price. These shares were purchased in multiple transactions at prices ranging from $9.17 to $9.25 per share. The Reporting Persons undertake to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price. F1 · balance_after: The reported shares are owned directly by Palm Global Small Cap Master Fund LP (the "Fund"). Palm Management (US) LLC ("Palm Management"), as the investment manager of the Fund, may be deemed to be a beneficial owner of the shares of common stock disclosed as directly owned by the Fund. Due to his positions with the Fund and Palm Management, Mr. Joshua S. Horowitz may be deemed to be a beneficial owner of the shares of common stock disclosed as directly owned by the Fund. Due to his position with Palm Management, Mr. Bradley C. Palmer may be deemed to be a beneficial owner of the shares of common stock disclosed as directly owned by the Fund. Messrs. Palmer and Horowitz disclaim beneficial ownership of these shares except to the extent of their respective pecuniary interest therein. Read SEC document
June 01, 2022 Filed Jun 1, 2022 18:01 UTC	Limbach Holdings, Inc. LMB · Entity 5430	PurchaseCommon Stock	6,315	$5.93	$37,421.43	Disclosure SEC source: 0001104659-22-067227 · tm2217524-1_4seq1.xml · nonDerivative · entry 1 Horowitz Joshua · CIK 0001612424 · Director Palm Management (US) LLC · CIK 0001726497 · Director Palm Global Small Cap Master Fund LP · CIK 0001726444 · Director Palmer Bradley C · CIK 0001726523 · Director by Deputization Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Palm Global Small Cap Master Fund LP Disclosed balance after: 249,835 F5 · price: The price reported represents a weighted average price. These shares were purchased in multiple transactions at prices ranging from $5.85 to $5.95 per share. The Reporting Persons undertake to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price. F1 · balance_after: The reported shares are owned directly by Palm Global Small Cap Master Fund LP (the "Fund"). Palm Management (US) LLC ("Palm Management"), as the investment manager of the Fund, may be deemed to be a beneficial owner of the shares of common stock disclosed as directly owned by the Fund. Due to his positions with the Fund and Palm Management, Mr. Joshua S. Horowitz may be deemed to be a beneficial owner of the shares of common stock disclosed as directly owned by the Fund. Due to his position with Palm Management, Mr. Bradley C. Palmer may be deemed to be a beneficial owner of the shares of common stock disclosed as directly owned by the Fund. Messrs. Palmer and Horowitz disclaim beneficial ownership of these shares except to the extent of their respective pecuniary interest therein. Read SEC document
May 24, 2022 Filed May 25, 2022 20:36 UTC	Limbach Holdings, Inc. LMB · Entity 5430	PurchaseCommon Stock	1,000	$5.64	$5,640.00	Disclosure SEC source: 0001628280-22-015365 · wf-form4_165351094970277.xml · nonDerivative · entry 2 Horowitz Joshua · CIK 0001612424 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,932 Read SEC document
May 23, 2022 Filed May 25, 2022 20:36 UTC	Limbach Holdings, Inc. LMB · Entity 5430	PurchaseCommon Stock	2,000	$5.85	$11,700.00	Disclosure SEC source: 0001628280-22-015365 · wf-form4_165351094970277.xml · nonDerivative · entry 1 Horowitz Joshua · CIK 0001612424 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,932 Read SEC document
March 23, 2022 Filed Mar 24, 2022 16:15 UTC	Limbach Holdings, Inc. LMB · Entity 5430	PurchaseCommon Stock	8,889	$6.83	$60,694.98	Disclosure SEC source: 0001104659-22-037505 · tm2210307-1_4seq1.xml · nonDerivative · entry 2 Horowitz Joshua · CIK 0001612424 · Director Palm Management (US) LLC · CIK 0001726497 · Director Palm Global Small Cap Master Fund LP · CIK 0001726444 · Director Palmer Bradley C · CIK 0001726523 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Palm Global Small Cap Master Fund LP Disclosed balance after: 243,520 F5 · price: The price reported represents a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.70 to $6.94 per share. The Reporting Persons undertake to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price. F1 · balance_after: The reported shares are owned directly by Palm Global Small Cap Master Fund LP (the "Fund"). Palm Management (US) LLC ("Palm Management"), as the investment manager of the Fund, may be deemed to be a beneficial owner of the shares of common stock disclosed as directly owned by the Fund. Due to his positions with the Fund and Palm Management, Mr. Joshua S. Horowitz may be deemed to be a beneficial owner of the shares of common stock disclosed as directly owned by the Fund. Due to his position with Palm Management, Mr. Bradley C. Palmer may be deemed to be a beneficial owner of the shares of common stock disclosed as directly owned by the Fund. Messrs. Palmer and Horowitz disclaim beneficial ownership of these shares except to the extent of their respective pecuniary interest therein. Read SEC document
March 22, 2022 Filed Mar 24, 2022 16:15 UTC	Limbach Holdings, Inc. LMB · Entity 5430	PurchaseCommon Stock	1,114	$6.95	$7,742.30	Disclosure SEC source: 0001104659-22-037505 · tm2210307-1_4seq1.xml · nonDerivative · entry 1 Horowitz Joshua · CIK 0001612424 · Director Palm Management (US) LLC · CIK 0001726497 · Director Palm Global Small Cap Master Fund LP · CIK 0001726444 · Director Palmer Bradley C · CIK 0001726523 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Palm Global Small Cap Master Fund LP Disclosed balance after: 234,631 F1 · balance_after: The reported shares are owned directly by Palm Global Small Cap Master Fund LP (the "Fund"). Palm Management (US) LLC ("Palm Management"), as the investment manager of the Fund, may be deemed to be a beneficial owner of the shares of common stock disclosed as directly owned by the Fund. Due to his positions with the Fund and Palm Management, Mr. Joshua S. Horowitz may be deemed to be a beneficial owner of the shares of common stock disclosed as directly owned by the Fund. Due to his position with Palm Management, Mr. Bradley C. Palmer may be deemed to be a beneficial owner of the shares of common stock disclosed as directly owned by the Fund. Messrs. Palmer and Horowitz disclaim beneficial ownership of these shares except to the extent of their respective pecuniary interest therein. Read SEC document
January 01, 2022 Filed Jan 5, 2022 02:23 UTC	Limbach Holdings, Inc. LMB · Entity 5430	GrantRestricted Stock Units · Derivative	8,876	$0.00	$0.00	Disclosure SEC source: 0001628280-22-000284 · wf-form4_164134938422329.xml · derivative · entry 6 Horowitz Joshua · CIK 0001612424 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,077 Underlying: Common Stock · 8,876 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Limbach Holdings, Inc. (the "Company") common stock, exempt under Rule 16b-3. F4 · derivative.exercise_date: This award of RSUs was granted on 01/01/2022. The RSUs are scheduled to cliff vest on January 1, 2023. F4 · derivative.expiration_date: This award of RSUs was granted on 01/01/2022. The RSUs are scheduled to cliff vest on January 1, 2023. Read SEC document
January 01, 2022 Filed Jan 5, 2022 02:23 UTC	Limbach Holdings, Inc. LMB · Entity 5430	Exercise / conversionRestricted Stock Units · Derivative	1,066	$0.00	$0.00	Disclosure SEC source: 0001628280-22-000284 · wf-form4_164134938422329.xml · derivative · entry 5 Horowitz Joshua · CIK 0001612424 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,201 Underlying: Common Stock · 1,066 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: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Limbach Holdings, Inc. (the "Company") common stock, exempt under Rule 16b-3. F3 · derivative.exercise_date: This award of RSUs was granted on 01/01/2021. The award is subject to service-based vesting conditions and vests in equal annual installments on each of January 1, 2022, January 1, 2023 and January 1, 2024, subject to continued service through the applicable vesting date. F3 · derivative.expiration_date: This award of RSUs was granted on 01/01/2021. The award is subject to service-based vesting conditions and vests in equal annual installments on each of January 1, 2022, January 1, 2023 and January 1, 2024, subject to continued service through the applicable vesting date. Read SEC document
January 01, 2022 Filed Jan 5, 2022 02:23 UTC	Limbach Holdings, Inc. LMB · Entity 5430	Exercise / conversionRestricted Stock Units · Derivative	1,067	$0.00	$0.00	Disclosure SEC source: 0001628280-22-000284 · wf-form4_164134938422329.xml · derivative · entry 4 Horowitz Joshua · CIK 0001612424 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,267 Underlying: Common Stock · 1,067 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: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Limbach Holdings, Inc. (the "Company") common stock, exempt under Rule 16b-3. F2 · derivative.exercise_date: This award of RSU's was granted on 04/03/2020. The award is subject to service-based vesting conditions and vests 27.241732% on January 1, 2021 and 36.379134% on each of January 1, 2022 and January 1, 2023, subject to continued service through the applicable vesting date. F2 · derivative.expiration_date: This award of RSU's was granted on 04/03/2020. The award is subject to service-based vesting conditions and vests 27.241732% on January 1, 2021 and 36.379134% on each of January 1, 2022 and January 1, 2023, subject to continued service through the applicable vesting date. Read SEC document
January 01, 2022 Filed Jan 5, 2022 02:23 UTC	Limbach Holdings, Inc. LMB · Entity 5430	Exercise / conversionCommon Stock	1,066	$0.00	$0.00	Disclosure SEC source: 0001628280-22-000284 · wf-form4_164134938422329.xml · nonDerivative · entry 2 Horowitz Joshua · CIK 0001612424 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,932 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. Read SEC document
January 01, 2022 Filed Jan 5, 2022 02:23 UTC	Limbach Holdings, Inc. LMB · Entity 5430	Exercise / conversionCommon Stock	1,067	$0.00	$0.00	Disclosure SEC source: 0001628280-22-000284 · wf-form4_164134938422329.xml · nonDerivative · entry 1 Horowitz Joshua · CIK 0001612424 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,866 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. Read SEC document
December 16, 2021 Filed Dec 16, 2021 17:34 UTC	Limbach Holdings, Inc. LMB · Entity 5430	PurchaseCommon Stock	2,934	$7.32	$21,473.65	Disclosure SEC source: 0001104659-21-150599 · tm2135721d1_4.xml · nonDerivative · entry 3 Horowitz Joshua · CIK 0001612424 · Director Palm Management (US) LLC · CIK 0001726497 · Director Palm Global Small Cap Master Fund LP · CIK 0001726444 · Director Palmer Bradley C · CIK 0001726523 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Palm Global Small Cap Master Fund LP Disclosed balance after: 233,517 F5 · price: The price reported represents a weighted average price. These shares were purchased in multiple transactions at prices ranging from $7.25 to $7.35 per share. The Reporting Persons undertake to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price. F1 · balance_after: The reported shares are owned directly by Palm Global Small Cap Master Fund LP (the "Fund"). Palm Management (US) LLC ("Palm Management"), as the investment manager of the Fund, may be deemed to be a beneficial owner of the shares of common stock disclosed as directly owned by the Fund. Due to his positions with the Fund and Palm Management, Mr. Joshua S. Horowitz may be deemed to be a beneficial owner of the shares of common stock disclosed as directly owned by the Fund. Due to his position with Palm Management, Mr. Bradley C. Palmer may be deemed to be a beneficial owner of the shares of common stock disclosed as directly owned by the Fund. Messrs. Palmer and Horowitz disclaim beneficial ownership of these shares except to the extent of their respective pecuniary interest therein. Read SEC document
December 15, 2021 Filed Dec 16, 2021 17:34 UTC	Limbach Holdings, Inc. LMB · Entity 5430	PurchaseCommon Stock	3,500	$7.25	$25,366.60	Disclosure SEC source: 0001104659-21-150599 · tm2135721d1_4.xml · nonDerivative · entry 2 Horowitz Joshua · CIK 0001612424 · Director Palm Management (US) LLC · CIK 0001726497 · Director Palm Global Small Cap Master Fund LP · CIK 0001726444 · Director Palmer Bradley C · CIK 0001726523 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Palm Global Small Cap Master Fund LP Disclosed balance after: 230,583 F4 · price: The price reported represents a weighted average price. These shares were purchased in multiple transactions at prices ranging from $7.21 to $7.29 per share. The Reporting Persons undertake to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price. F1 · balance_after: The reported shares are owned directly by Palm Global Small Cap Master Fund LP (the "Fund"). Palm Management (US) LLC ("Palm Management"), as the investment manager of the Fund, may be deemed to be a beneficial owner of the shares of common stock disclosed as directly owned by the Fund. Due to his positions with the Fund and Palm Management, Mr. Joshua S. Horowitz may be deemed to be a beneficial owner of the shares of common stock disclosed as directly owned by the Fund. Due to his position with Palm Management, Mr. Bradley C. Palmer may be deemed to be a beneficial owner of the shares of common stock disclosed as directly owned by the Fund. Messrs. Palmer and Horowitz disclaim beneficial ownership of these shares except to the extent of their respective pecuniary interest therein. Read SEC document
December 14, 2021 Filed Dec 16, 2021 17:34 UTC	Limbach Holdings, Inc. LMB · Entity 5430	PurchaseCommon Stock	4,672	$7.25	$33,872.00	Disclosure SEC source: 0001104659-21-150599 · tm2135721d1_4.xml · nonDerivative · entry 1 Horowitz Joshua · CIK 0001612424 · Director Palm Management (US) LLC · CIK 0001726497 · Director Palm Global Small Cap Master Fund LP · CIK 0001726444 · Director Palmer Bradley C · CIK 0001726523 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Palm Global Small Cap Master Fund LP Disclosed balance after: 227,083 F1 · balance_after: The reported shares are owned directly by Palm Global Small Cap Master Fund LP (the "Fund"). Palm Management (US) LLC ("Palm Management"), as the investment manager of the Fund, may be deemed to be a beneficial owner of the shares of common stock disclosed as directly owned by the Fund. Due to his positions with the Fund and Palm Management, Mr. Joshua S. Horowitz may be deemed to be a beneficial owner of the shares of common stock disclosed as directly owned by the Fund. Due to his position with Palm Management, Mr. Bradley C. Palmer may be deemed to be a beneficial owner of the shares of common stock disclosed as directly owned by the Fund. Messrs. Palmer and Horowitz disclaim beneficial ownership of these shares except to the extent of their respective pecuniary interest therein. Read SEC document
December 14, 2021 Filed Dec 16, 2021 23:45 UTC	FiEE, Inc. MINM · Entity 7395	GrantRestricted Stock Unit · Derivative	29,661	$0.00	$0.00	Disclosure SEC source: 0001493152-21-031760 · ownership.xml · derivative · entry 1 Horowitz Joshua · CIK 0001612424 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 52,161 Underlying: Common Stock · 29,661 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Minim common stock F2 · derivative.expiration_date: NA Read SEC document
December 09, 2021 Filed Dec 9, 2021 17:53 UTC	Limbach Holdings, Inc. LMB · Entity 5430	PurchaseCommon Stock	7,811	$7.59	$59,253.46	Disclosure SEC source: 0001104659-21-148244 · tm2135085-1_4seq1.xml · nonDerivative · entry 3 Horowitz Joshua · CIK 0001612424 · Director Palm Management (US) LLC · CIK 0001726497 · Director Palm Global Small Cap Master Fund LP · CIK 0001726444 · Director Palmer Bradley C · CIK 0001726523 · Director by Deputization Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Palm Global Small Cap Master Fund LP Disclosed balance after: 222,411 F4 · price: The price reported represents a weighted average price. These shares were purchased in multiple transactions at prices ranging from $7.50 to $7.60 per share. The Reporting Persons undertake to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price. F1 · balance_after: The reported shares are owned directly by Palm Global Small Cap Master Fund LP (the "Fund"). Palm Management (US) LLC ("Palm Management"), as the investment manager of the Fund, may be deemed to be a beneficial owner of the shares of common stock disclosed as directly owned by the Fund. Due to his positions with the Fund and Palm Management, Mr. Joshua S. Horowitz may be deemed to be a beneficial owner of the shares of common stock disclosed as directly owned by the Fund. Due to his position with Palm Management, Mr. Bradley C. Palmer may be deemed to be a beneficial owner of the shares of common stock disclosed as directly owned by the Fund. Messrs. Palmer and Horowitz disclaim beneficial ownership of these shares except to the extent of their respective pecuniary interest therein. Read SEC document
December 08, 2021 Filed Dec 9, 2021 17:53 UTC	Limbach Holdings, Inc. LMB · Entity 5430	PurchaseCommon Stock	25,000	$7.89	$197,187.50	Disclosure SEC source: 0001104659-21-148244 · tm2135085-1_4seq1.xml · nonDerivative · entry 2 Horowitz Joshua · CIK 0001612424 · Director Palm Management (US) LLC · CIK 0001726497 · Director Palm Global Small Cap Master Fund LP · CIK 0001726444 · Director Palmer Bradley C · CIK 0001726523 · Director by Deputization Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Palm Global Small Cap Master Fund LP Disclosed balance after: 214,600 F3 · price: The price reported represents a weighted average price. These shares were purchased in multiple transactions at prices ranging from $7.60 to $7.95 per share. The Reporting Persons undertake to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price. F1 · balance_after: The reported shares are owned directly by Palm Global Small Cap Master Fund LP (the "Fund"). Palm Management (US) LLC ("Palm Management"), as the investment manager of the Fund, may be deemed to be a beneficial owner of the shares of common stock disclosed as directly owned by the Fund. Due to his positions with the Fund and Palm Management, Mr. Joshua S. Horowitz may be deemed to be a beneficial owner of the shares of common stock disclosed as directly owned by the Fund. Due to his position with Palm Management, Mr. Bradley C. Palmer may be deemed to be a beneficial owner of the shares of common stock disclosed as directly owned by the Fund. Messrs. Palmer and Horowitz disclaim beneficial ownership of these shares except to the extent of their respective pecuniary interest therein. Read SEC document
December 07, 2021 Filed Dec 9, 2021 17:53 UTC	Limbach Holdings, Inc. LMB · Entity 5430	PurchaseCommon Stock	4,711	$7.59	$35,774.39	Disclosure SEC source: 0001104659-21-148244 · tm2135085-1_4seq1.xml · nonDerivative · entry 1 Horowitz Joshua · CIK 0001612424 · Director Palm Management (US) LLC · CIK 0001726497 · Director Palm Global Small Cap Master Fund LP · CIK 0001726444 · Director Palmer Bradley C · CIK 0001726523 · Director by Deputization Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Palm Global Small Cap Master Fund LP Disclosed balance after: 189,600 F2 · price: The price reported represents a weighted average price. These shares were purchased in multiple transactions at prices ranging from $7.58 to $7.60 per share. The Reporting Persons undertake to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price. F1 · balance_after: The reported shares are owned directly by Palm Global Small Cap Master Fund LP (the "Fund"). Palm Management (US) LLC ("Palm Management"), as the investment manager of the Fund, may be deemed to be a beneficial owner of the shares of common stock disclosed as directly owned by the Fund. Due to his positions with the Fund and Palm Management, Mr. Joshua S. Horowitz may be deemed to be a beneficial owner of the shares of common stock disclosed as directly owned by the Fund. Due to his position with Palm Management, Mr. Bradley C. Palmer may be deemed to be a beneficial owner of the shares of common stock disclosed as directly owned by the Fund. Messrs. Palmer and Horowitz disclaim beneficial ownership of these shares except to the extent of their respective pecuniary interest therein. Read SEC document
December 01, 2021 Filed Dec 1, 2021 17:21 UTC	FiEE, Inc. MINM · Entity 7395	PurchaseCommon Stock	1,531	$1.30	$1,990.91	Disclosure SEC source: 0001104659-21-145546 · tm2134391-1_4seq1.xml · nonDerivative · entry 3 Horowitz Joshua · CIK 0001612424 · Director Palm Management (US) LLC · CIK 0001726497 · Director Palm Global Small Cap Master Fund LP · CIK 0001726444 · Director Palmer Bradley C · CIK 0001726523 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Palm Global Small Cap Master Fund LP Disclosed balance after: 1,286,489 F5 · price: The price reported represents a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.28 to $1.32 per share. The Reporting Persons undertake to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price. F1 · balance_after: The reported shares are owned directly by Palm Global Small Cap Master Fund LP (the "Fund"). Palm Management (US) LLC ("Palm Management"), as the investment manager of the Fund, may be deemed to be a beneficial owner of the shares of Common Stock disclosed as directly owned by the Fund. Due to his positions with the Fund and Palm Management, Mr. Joshua S. Horowitz may be deemed to be a beneficial owner of the shares of Common Stock disclosed as directly owned by the Fund. Due to his position with Palm Management, Mr. Bradley C. Palmer may be deemed to be a beneficial owner of the shares of Common Stock disclosed as directly owned by the Fund. Messrs. Palmer and Horowitz disclaim beneficial ownership of these shares except to the extent of their respective pecuniary interest therein. Read SEC document
November 30, 2021 Filed Dec 1, 2021 17:21 UTC	FiEE, Inc. MINM · Entity 7395	PurchaseCommon Stock	17,818	$1.27	$22,625.30	Disclosure SEC source: 0001104659-21-145546 · tm2134391-1_4seq1.xml · nonDerivative · entry 2 Horowitz Joshua · CIK 0001612424 · Director Palm Management (US) LLC · CIK 0001726497 · Director Palm Global Small Cap Master Fund LP · CIK 0001726444 · Director Palmer Bradley C · CIK 0001726523 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Palm Global Small Cap Master Fund LP Disclosed balance after: 1,284,958 F4 · price: The price reported represents a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.26 to $1.28 per share. The Reporting Persons undertake to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price. F1 · balance_after: The reported shares are owned directly by Palm Global Small Cap Master Fund LP (the "Fund"). Palm Management (US) LLC ("Palm Management"), as the investment manager of the Fund, may be deemed to be a beneficial owner of the shares of Common Stock disclosed as directly owned by the Fund. Due to his positions with the Fund and Palm Management, Mr. Joshua S. Horowitz may be deemed to be a beneficial owner of the shares of Common Stock disclosed as directly owned by the Fund. Due to his position with Palm Management, Mr. Bradley C. Palmer may be deemed to be a beneficial owner of the shares of Common Stock disclosed as directly owned by the Fund. Messrs. Palmer and Horowitz disclaim beneficial ownership of these shares except to the extent of their respective pecuniary interest therein. Read SEC document
November 29, 2021 Filed Dec 1, 2021 17:21 UTC	FiEE, Inc. MINM · Entity 7395	PurchaseCommon Stock	500	$1.38	$690.00	Disclosure SEC source: 0001104659-21-145546 · tm2134391-1_4seq1.xml · nonDerivative · entry 1 Horowitz Joshua · CIK 0001612424 · Director Palm Management (US) LLC · CIK 0001726497 · Director Palm Global Small Cap Master Fund LP · CIK 0001726444 · Director Palmer Bradley C · CIK 0001726523 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Palm Global Small Cap Master Fund LP Disclosed balance after: 1,267,140 F1 · balance_after: The reported shares are owned directly by Palm Global Small Cap Master Fund LP (the "Fund"). Palm Management (US) LLC ("Palm Management"), as the investment manager of the Fund, may be deemed to be a beneficial owner of the shares of Common Stock disclosed as directly owned by the Fund. Due to his positions with the Fund and Palm Management, Mr. Joshua S. Horowitz may be deemed to be a beneficial owner of the shares of Common Stock disclosed as directly owned by the Fund. Due to his position with Palm Management, Mr. Bradley C. Palmer may be deemed to be a beneficial owner of the shares of Common Stock disclosed as directly owned by the Fund. Messrs. Palmer and Horowitz disclaim beneficial ownership of these shares except to the extent of their respective pecuniary interest therein. Read SEC document
August 23, 2021 Filed Aug 23, 2021 17:17 UTC	FiEE, Inc. MINM · Entity 7395	PurchaseCommon Stock	20,000	$2.18	$43,642.00	Disclosure SEC source: 0001104659-21-108631 · tm2125736-1_4seq1.xml · nonDerivative · entry 1 Horowitz Joshua · CIK 0001612424 · Director Palm Management (US) LLC · CIK 0001726497 · Director Palm Global Small Cap Master Fund LP · CIK 0001726444 · Director Palmer Bradley C · CIK 0001726523 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Palm Global Small Cap Master Fund LP Disclosed balance after: 1,266,640 F4 · price: The price reported represents a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.16 to $2.20 per share. The Reporting Persons undertake to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price. F1 · balance_after: The reported shares are owned directly by Palm Global Small Cap Master Fund LP (the "Fund"). Palm Management (US) LLC ("Palm Management"), as the investment manager of the Fund, may be deemed to be a beneficial owner of the shares of Common Stock disclosed as directly owned by the Fund. Due to his positions with the Fund and Palm Management, Mr. Joshua S. Horowitz may be deemed to be a beneficial owner of the shares of Common Stock disclosed as directly owned by the Fund. Due to his position with Palm Management, Mr. Bradley C. Palmer may be deemed to be a beneficial owner of the shares of Common Stock disclosed as directly owned by the Fund. Messrs. Palmer and Horowitz disclaim beneficial ownership of these shares except to the extent of their respective pecuniary interest therein. Read SEC document
July 29, 2021 Filed Jul 30, 2021 10:01 UTC	FiEE, Inc. MINM · Entity 7395	PurchaseCommon Stock	40,000	$2.50	$100,000.00	Disclosure SEC source: 0001104659-21-098003 · tm2123661-1_4seq1.xml · nonDerivative · entry 1 Horowitz Joshua · CIK 0001612424 · Director Palm Management (US) LLC · CIK 0001726497 · Director Palm Global Small Cap Master Fund LP · CIK 0001726444 · Director Palmer Bradley C · CIK 0001726523 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Palm Global Small Cap Master Fund LP Disclosed balance after: 1,246,640 F1 · balance_after: The reported shares are owned directly by Palm Global Small Cap Master Fund LP (the "Fund"). Palm Management (US) LLC ("Palm Management"), as the investment manager of the Fund, may be deemed to be a beneficial owner of the shares of Common Stock disclosed as directly owned by the Fund. Due to his positions with the Fund and Palm Management, Mr. Joshua S. Horowitz may be deemed to be a beneficial owner of the shares of Common Stock disclosed as directly owned by the Fund. Due to his position with Palm Management, Mr. Bradley C. Palmer may be deemed to be a beneficial owner of the shares of Common Stock disclosed as directly owned by the Fund. Messrs. Palmer and Horowitz disclaim beneficial ownership of these shares except to the extent of their respective pecuniary interest therein. Read SEC document
June 22, 2021 Filed Jun 22, 2021 14:45 UTC	Limbach Holdings, Inc. LMB · Entity 5430	PurchaseCommon Stock	5,000	$9.04	$45,223.00	Disclosure SEC source: 0001104659-21-084022 · tm2120401-1_4seq1.xml · nonDerivative · entry 2 Horowitz Joshua · CIK 0001612424 · Director Palm Management (US) LLC · CIK 0001726497 · Director Palm Global Small Cap Master Fund LP · CIK 0001726444 · Director Palmer Bradley C · CIK 0001726523 · Director by Deputization Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Palm Global Small Cap Master Fund LP Disclosed balance after: 184,889 F3 · price: The price reported represents a weighted average price. These shares were purchased in multiple transactions at prices ranging from $9.03 and $9.05 per share. The Reporting Persons undertake to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price. F1 · balance_after: The reported shares are owned directly by Palm Global Small Cap Master Fund LP (the "Fund"). Palm Management (US) LLC ("Palm Management"), as the investment manager of the Fund, may be deemed to be a beneficial owner of the shares of common stock disclosed as directly owned by the Fund. Due to his positions with the Fund and Palm Management, Mr. Joshua S. Horowitz may be deemed to be a beneficial owner of the shares of common stock disclosed as directly owned by the Fund. Due to his position with Palm Management, Mr. Bradley C. Palmer may be deemed to be a beneficial owner of the shares of common stock disclosed as directly owned by the Fund. Messrs. Palmer and Horowitz disclaim beneficial ownership of these shares except to the extent of their respective pecuniary interest therein. Read SEC document
June 21, 2021 Filed Jun 22, 2021 14:45 UTC	Limbach Holdings, Inc. LMB · Entity 5430	PurchaseCommon Stock	1,507	$9.20	$13,868.47	Disclosure SEC source: 0001104659-21-084022 · tm2120401-1_4seq1.xml · nonDerivative · entry 1 Horowitz Joshua · CIK 0001612424 · Director Palm Management (US) LLC · CIK 0001726497 · Director Palm Global Small Cap Master Fund LP · CIK 0001726444 · Director Palmer Bradley C · CIK 0001726523 · Director by Deputization Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Palm Global Small Cap Master Fund LP Disclosed balance after: 179,889 F2 · price: The price reported represents a weighted average price. These shares were purchased in multiple transactions at prices ranging from $9.15 and $9.24 per share. The Reporting Persons undertake to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price. F1 · balance_after: The reported shares are owned directly by Palm Global Small Cap Master Fund LP (the "Fund"). Palm Management (US) LLC ("Palm Management"), as the investment manager of the Fund, may be deemed to be a beneficial owner of the shares of common stock disclosed as directly owned by the Fund. Due to his positions with the Fund and Palm Management, Mr. Joshua S. Horowitz may be deemed to be a beneficial owner of the shares of common stock disclosed as directly owned by the Fund. Due to his position with Palm Management, Mr. Bradley C. Palmer may be deemed to be a beneficial owner of the shares of common stock disclosed as directly owned by the Fund. Messrs. Palmer and Horowitz disclaim beneficial ownership of these shares except to the extent of their respective pecuniary interest therein. Read SEC document
June 08, 2021 Filed Jun 8, 2021 19:50 UTC	Limbach Holdings, Inc. LMB · Entity 5430	PurchaseCommon Stock	1,470	$9.40	$13,818.74	Disclosure SEC source: 0001104659-21-078390 · tm2119184-1_4seq1.xml · nonDerivative · entry 2 Horowitz Joshua · CIK 0001612424 · Director Palm Management (US) LLC · CIK 0001726497 · Director Palm Global Small Cap Master Fund LP · CIK 0001726444 · Director Palmer Bradley C · CIK 0001726523 · Director by Deputization Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Palm Global Small Cap Master Fund LP Disclosed balance after: 178,382 F3 · price: The price reported represents a weighted average price. These shares were purchased in multiple transactions at prices ranging from $9.29 and $9.52 per share. The Reporting Persons undertake to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price. F1 · balance_after: The reported shares are owned directly by Palm Global Small Cap Master Fund LP (the "Fund"). Palm Management (US) LLC ("Palm Management"), as the investment manager of the Fund, may be deemed to be a beneficial owner of the shares of common stock disclosed as directly owned by the Fund. Due to his positions with the Fund and Palm Management, Mr. Joshua S. Horowitz may be deemed to be a beneficial owner of the shares of common stock disclosed as directly owned by the Fund. Due to his position with Palm Management, Mr. Bradley C. Palmer may be deemed to be a beneficial owner of the shares of common stock disclosed as directly owned by the Fund. Messrs. Palmer and Horowitz disclaim beneficial ownership of these shares except to the extent of their respective pecuniary interest therein. Read SEC document
June 04, 2021 Filed Jun 8, 2021 19:50 UTC	Limbach Holdings, Inc. LMB · Entity 5430	PurchaseCommon Stock	5,850	$9.29	$54,360.54	Disclosure SEC source: 0001104659-21-078390 · tm2119184-1_4seq1.xml · nonDerivative · entry 1 Horowitz Joshua · CIK 0001612424 · Director Palm Management (US) LLC · CIK 0001726497 · Director Palm Global Small Cap Master Fund LP · CIK 0001726444 · Director Palmer Bradley C · CIK 0001726523 · Director by Deputization Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Palm Global Small Cap Master Fund LP Disclosed balance after: 176,912 F2 · price: The price reported represents a weighted average price. These shares were purchased in multiple transactions at prices ranging from $9.21 and $9.32 per share. The Reporting Persons undertake to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price. F1 · balance_after: The reported shares are owned directly by Palm Global Small Cap Master Fund LP (the "Fund"). Palm Management (US) LLC ("Palm Management"), as the investment manager of the Fund, may be deemed to be a beneficial owner of the shares of common stock disclosed as directly owned by the Fund. Due to his positions with the Fund and Palm Management, Mr. Joshua S. Horowitz may be deemed to be a beneficial owner of the shares of common stock disclosed as directly owned by the Fund. Due to his position with Palm Management, Mr. Bradley C. Palmer may be deemed to be a beneficial owner of the shares of common stock disclosed as directly owned by the Fund. Messrs. Palmer and Horowitz disclaim beneficial ownership of these shares except to the extent of their respective pecuniary interest therein. Read SEC document
January 01, 2021 Filed Jan 5, 2021 21:46 UTC	Limbach Holdings, Inc. LMB · Entity 5430	GrantRestricted Stock Units · Derivative	3,200	$0.00	$0.00	Disclosure SEC source: 0001628280-21-000074 · wf-form4_160988318811296.xml · derivative · entry 4 Horowitz Joshua · CIK 0001612424 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,334 Underlying: Common Stock · 3,200 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Limbach Holdings, Inc. common stock, exempt under Rule 16b-3. F3 · derivative.exercise_date: This award of RSUs was granted on 01/01/2021. The award is subject to service-based vesting conditions and vests in equal annual installments on each of January 1, 2022, January 1, 2023 and January 1, 2024, subject to continued service through the applicable vesting date. F3 · derivative.expiration_date: This award of RSUs was granted on 01/01/2021. The award is subject to service-based vesting conditions and vests in equal annual installments on each of January 1, 2022, January 1, 2023 and January 1, 2024, subject to continued service through the applicable vesting date. Read SEC document
January 01, 2021 Filed Jan 5, 2021 21:46 UTC	Limbach Holdings, Inc. LMB · Entity 5430	Exercise / conversionRestricted Stock Units · Derivative	799	$0.00	$0.00	Disclosure SEC source: 0001628280-21-000074 · wf-form4_160988318811296.xml · derivative · entry 3 Horowitz Joshua · CIK 0001612424 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,134 Underlying: Common Stock · 799 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: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Limbach Holdings, Inc. common stock, exempt under Rule 16b-3. F2 · derivative.exercise_date: This award of RSU's was granted on 04/03/2020. The award is subject to service-based vesting conditions and vests 27.241732% on January 1, 2021 and 36.379134% on each of January 1, 2022 nd January 1, 2023, subject to continued service through the applicable vesting date. F2 · derivative.expiration_date: This award of RSU's was granted on 04/03/2020. The award is subject to service-based vesting conditions and vests 27.241732% on January 1, 2021 and 36.379134% on each of January 1, 2022 nd January 1, 2023, subject to continued service through the applicable vesting date. Read SEC document
January 01, 2021 Filed Jan 5, 2021 21:46 UTC	Limbach Holdings, Inc. LMB · Entity 5430	Exercise / conversionCommon Stock	799	$0.00	$0.00	Disclosure SEC source: 0001628280-21-000074 · wf-form4_160988318811296.xml · nonDerivative · entry 1 Horowitz Joshua · CIK 0001612424 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,799 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. Read SEC document
September 25, 2020 Filed Sep 28, 2020 14:12 UTC	Limbach Holdings, Inc. LMB · Entity 5430	PurchaseCommon Stock	28,937	$8.14	$235,431.43	Disclosure SEC source: 0001104659-20-109249 · tm2031924d1_4.xml · nonDerivative · entry 2 Horowitz Joshua · CIK 0001612424 · Director Palm Management (US) LLC · CIK 0001726497 · Director Palm Global Small Cap Master Fund LP · CIK 0001726444 · Director Palmer Bradley C · CIK 0001726523 · Director by Deputization Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Palm Global Small Cap Master Fund LP Disclosed balance after: 171,062 F3 · price: The price reported represents a weighted average price. These shares were purchased in multiple transactions at prices ranging from $7.95 and $8.20 per share. The Reporting Persons undertake to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price. F1 · balance_after: The reported shares are owned directly by Palm Global Small Cap Master Fund LP (the "Fund"). Palm Management (US) LLC ("Palm Management"), as the investment manager of the Fund, may be deemed to be a beneficial owner of the shares of common stock disclosed as directly owned by the Fund. Due to his positions with the Fund and Palm Management, Mr. Joshua S. Horowitz may be deemed to be a beneficial owner of the shares of common stock disclosed as directly owned by the Fund. Due to his position with Palm Management, Mr. Bradley C. Palmer may be deemed to be a beneficial owner of the shares of common stock disclosed as directly owned by the Fund. Messrs. Palmer and Horowitz disclaim beneficial ownership of these shares except to the extent of their respective pecuniary interest therein. Read SEC document
September 24, 2020 Filed Sep 28, 2020 14:12 UTC	Limbach Holdings, Inc. LMB · Entity 5430	PurchaseCommon Stock	4,825	$7.74	$37,359.49	Disclosure SEC source: 0001104659-20-109249 · tm2031924d1_4.xml · nonDerivative · entry 1 Horowitz Joshua · CIK 0001612424 · Director Palm Management (US) LLC · CIK 0001726497 · Director Palm Global Small Cap Master Fund LP · CIK 0001726444 · Director Palmer Bradley C · CIK 0001726523 · Director by Deputization Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Palm Global Small Cap Master Fund LP Disclosed balance after: 142,125 F2 · price: The price reported represents a weighted average price. These shares were purchased in multiple transactions at prices ranging from $7.7025 and $7.85 per share. The Reporting Persons undertake to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price. F1 · balance_after: The reported shares are owned directly by Palm Global Small Cap Master Fund LP (the "Fund"). Palm Management (US) LLC ("Palm Management"), as the investment manager of the Fund, may be deemed to be a beneficial owner of the shares of common stock disclosed as directly owned by the Fund. Due to his positions with the Fund and Palm Management, Mr. Joshua S. Horowitz may be deemed to be a beneficial owner of the shares of common stock disclosed as directly owned by the Fund. Due to his position with Palm Management, Mr. Bradley C. Palmer may be deemed to be a beneficial owner of the shares of common stock disclosed as directly owned by the Fund. Messrs. Palmer and Horowitz disclaim beneficial ownership of these shares except to the extent of their respective pecuniary interest therein. Read SEC document
August 25, 2020 Filed Aug 26, 2020 12:20 UTC	FiEE, Inc. ZMTP · Entity 7395	PurchaseCommon Stock	14,163	$1.90	$26,909.70	Disclosure SEC source: 0001104659-20-098615 · tm2029456d1_form4.xml · nonDerivative · entry 2 Horowitz Joshua · CIK 0001612424 · Director Palm Management (US) LLC · CIK 0001726497 · Director Palm Global Small Cap Master Fund LP · CIK 0001726444 · Director Palmer Bradley C · CIK 0001726523 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Palm Global Small Cap Master Fund LP Disclosed balance after: 1,206,640 F1 · balance_after: The reported shares are owned directly by Palm Global Small Cap Master Fund LP (the "Fund"). Palm Management (US) LLC ("Palm Management"), as the investment manager of the Fund, may be deemed to be a beneficial owner of the shares of Common Stock disclosed as directly owned by the Fund. Due to his positions with the Fund and Palm Management, Mr. Joshua S. Horowitz may be deemed to be a beneficial owner of the shares of Common Stock disclosed as directly owned by the Fund. Due to his position with Palm Management, Mr. Bradley C. Palmer may be deemed to be a beneficial owner of the shares of Common Stock disclosed as directly owned by the Fund. Messrs. Palmer and Horowitz disclaim beneficial ownership of these shares except to the extent of their respective pecuniary interest therein. Read SEC document
August 24, 2020 Filed Aug 26, 2020 12:20 UTC	FiEE, Inc. ZMTP · Entity 7395	PurchaseCommon Stock	837	$1.95	$1,632.15	Disclosure SEC source: 0001104659-20-098615 · tm2029456d1_form4.xml · nonDerivative · entry 1 Horowitz Joshua · CIK 0001612424 · Director Palm Management (US) LLC · CIK 0001726497 · Director Palm Global Small Cap Master Fund LP · CIK 0001726444 · Director Palmer Bradley C · CIK 0001726523 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Palm Global Small Cap Master Fund LP Disclosed balance after: 1,192,477 F1 · balance_after: The reported shares are owned directly by Palm Global Small Cap Master Fund LP (the "Fund"). Palm Management (US) LLC ("Palm Management"), as the investment manager of the Fund, may be deemed to be a beneficial owner of the shares of Common Stock disclosed as directly owned by the Fund. Due to his positions with the Fund and Palm Management, Mr. Joshua S. Horowitz may be deemed to be a beneficial owner of the shares of Common Stock disclosed as directly owned by the Fund. Due to his position with Palm Management, Mr. Bradley C. Palmer may be deemed to be a beneficial owner of the shares of Common Stock disclosed as directly owned by the Fund. Messrs. Palmer and Horowitz disclaim beneficial ownership of these shares except to the extent of their respective pecuniary interest therein. Read SEC document
July 13, 2020 Filed Jul 15, 2020 16:49 UTC	FiEE, Inc. ZMTP · Entity 7395	GrantStock Option (right to buy) · Derivative	7,500	$0.00 Strike: $2.04	$0.00	Disclosure SEC source: 0001654954-20-007716 · section16.xml · derivative · entry 1 Horowitz Joshua · CIK 0001612424 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,500 Underlying: Common Stock · 7,500 shares Expires 2023-07-13 F1 · derivative.exercise_date: Option is immediately 100% vested. F2 · derivative.underlying_shares: Option is granted as part of Board of Director compensation. Read SEC document
July 09, 2020 Filed Jul 13, 2020 16:51 UTC	FiEE, Inc. ZMTP · Entity 7395	GrantStock option (right to buy) · Derivative	15,000	$0.00 Strike: $2.03	$0.00	Disclosure SEC source: 0001654954-20-007615 · section16.xml · derivative · entry 1 Horowitz Joshua · CIK 0001612424 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,000 Underlying: Common Stock · 15,000 shares Expires 2023-07-09 F1 · derivative.exercise_date: Option is immediately 100% vested. F2 · derivative.underlying_shares: Option is granted as part of Board of Director compensation. Read SEC document
April 03, 2020 Filed Apr 6, 2020 12:50 UTC	Limbach Holdings, Inc. LMB · Entity 5430	GrantRestricted Stock Units · Derivative	2,933	$0.00	$0.00	Disclosure SEC source: 0001628280-20-004622 · wf-form4_158617738625331.xml · derivative · entry 1 Horowitz Joshua · CIK 0001612424 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,933 Underlying: Common Stock · 2,933 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Limbach Holdings, Inc. common stock, exempt under Rule 16b-3. F2 · derivative.exercise_date: This award of RSUs was granted on 04/03/2020. The award is subject to service-based vesting conditions and vests 27.241732% on January 1, 2021 and 36.379134% on each of January 1, 2022 and January 1, 2023, subject to continued service through the applicable vesting date. F2 · derivative.expiration_date: This award of RSUs was granted on 04/03/2020. The award is subject to service-based vesting conditions and vests 27.241732% on January 1, 2021 and 36.379134% on each of January 1, 2022 and January 1, 2023, subject to continued service through the applicable vesting date. Read SEC document
January 14, 2019 Filed Jan 14, 2019 17:03 UTC	BIRNER DENTAL MANAGEMENT SERVICES INC BDMS · Entity 161087	ConversionSeries A Convertible Preferred Stock · Derivative	1	$0.00	$0.00	Disclosure SEC source: 0001144204-19-001607 · tv510924_form4.xml · derivative · entry 17 Palm Management (US) LLC · CIK 0001726497 · Director · 10% owner Palm Active Dental LLC · CIK 0001726515 · Director · 10% owner Palm Global Small Cap Master Fund LP · CIK 0001726444 · Director · 10% owner Palm Active Dental II, LP · CIK 0001750234 · Director · 10% owner Palm Active Partners Management, LLC · CIK 0001750348 · Director · 10% owner Palmer Bradley C · CIK 0001726523 · 10% owner Tirpak Bradley M · CIK 0001484439 · Director · 10% owner Horowitz Joshua · CIK 0001612424 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Palm Active Dental II, LP Disclosed balance after: 0 Underlying: Common Stock · 204 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. F6 · derivative.exercise_price: Each share of Series A Preferred was convertible into such number of shares of Series B Preferred as was determined by dividing the Series A Preference Price ($1,000 per share of Series A Preferred), plus any and all accrued and unpaid dividends, by $5. Each share of Series B Preferred was convertible into such number of shares of Common Stock as was determined by dividing the Series B Preference Price ($5 per share of Series B Preferred), plus any and all accrued and unpaid dividends, by the Conversion Price ($5) then in effect. F1 · derivative.exercise_date: On January 14, 2019, Birner Dental Management Services, Inc. ("Birner") completed a merger transaction pursuant to which Birner became a wholly owned subsidiary of Mid-Atlantic Dental Services Holdings, LLC (the "Merger"). Each share of Birner common stock was converted into the right to receive $10.62 in cash and a contingent value right that entitles the holder thereof to receive up to $0.13 per share that may become payable after 18 months, in each case, without interest and less any applicable withholding taxes (the "Merger Consideration"). F2 · derivative.exercise_date: Pursuant to a Notice of Conversion dated December 14, 2018, immediately prior to the effective time of the Merger, the Reporting Persons converted their Convertible Senior Subordinated Loan Notes (the "Notes") and Series A Convertible Preferred Stock ("Series A Preferred") into Series B Convertible Preferred ("Series B Preferred") and, immediately thereafter, converted the Series B Preferred into shares of Common Stock. F6 · derivative.exercise_date: Each share of Series A Preferred was convertible into such number of shares of Series B Preferred as was determined by dividing the Series A Preference Price ($1,000 per share of Series A Preferred), plus any and all accrued and unpaid dividends, by $5. Each share of Series B Preferred was convertible into such number of shares of Common Stock as was determined by dividing the Series B Preference Price ($5 per share of Series B Preferred), plus any and all accrued and unpaid dividends, by the Conversion Price ($5) then in effect. F1 · derivative.expiration_date: On January 14, 2019, Birner Dental Management Services, Inc. ("Birner") completed a merger transaction pursuant to which Birner became a wholly owned subsidiary of Mid-Atlantic Dental Services Holdings, LLC (the "Merger"). Each share of Birner common stock was converted into the right to receive $10.62 in cash and a contingent value right that entitles the holder thereof to receive up to $0.13 per share that may become payable after 18 months, in each case, without interest and less any applicable withholding taxes (the "Merger Consideration"). F2 · derivative.expiration_date: Pursuant to a Notice of Conversion dated December 14, 2018, immediately prior to the effective time of the Merger, the Reporting Persons converted their Convertible Senior Subordinated Loan Notes (the "Notes") and Series A Convertible Preferred Stock ("Series A Preferred") into Series B Convertible Preferred ("Series B Preferred") and, immediately thereafter, converted the Series B Preferred into shares of Common Stock. F6 · derivative.expiration_date: Each share of Series A Preferred was convertible into such number of shares of Series B Preferred as was determined by dividing the Series A Preference Price ($1,000 per share of Series A Preferred), plus any and all accrued and unpaid dividends, by $5. Each share of Series B Preferred was convertible into such number of shares of Common Stock as was determined by dividing the Series B Preference Price ($5 per share of Series B Preferred), plus any and all accrued and unpaid dividends, by the Conversion Price ($5) then in effect. F6 · derivative.underlying_shares: Each share of Series A Preferred was convertible into such number of shares of Series B Preferred as was determined by dividing the Series A Preference Price ($1,000 per share of Series A Preferred), plus any and all accrued and unpaid dividends, by $5. Each share of Series B Preferred was convertible into such number of shares of Common Stock as was determined by dividing the Series B Preference Price ($5 per share of Series B Preferred), plus any and all accrued and unpaid dividends, by the Conversion Price ($5) then in effect. F7 · derivative.underlying_shares: The aggregate amount of PIK interest and dividends for the Notes and Series A Preferred was $276,145 through January 14, 2019. F9 · derivative.underlying_shares: Includes dividends required to be paid in kind as additional shares. F10 · derivative.underlying_shares: Represents underlying shares of Common Stock. Read SEC document
January 14, 2019 Filed Jan 14, 2019 17:03 UTC	BIRNER DENTAL MANAGEMENT SERVICES INC BDMS · Entity 161087	ConversionSeries A Convertible Preferred Stock · Derivative	4	$0.00	$0.00	Disclosure SEC source: 0001144204-19-001607 · tv510924_form4.xml · derivative · entry 16 Palm Management (US) LLC · CIK 0001726497 · Director · 10% owner Palm Active Dental LLC · CIK 0001726515 · Director · 10% owner Palm Global Small Cap Master Fund LP · CIK 0001726444 · Director · 10% owner Palm Active Dental II, LP · CIK 0001750234 · Director · 10% owner Palm Active Partners Management, LLC · CIK 0001750348 · Director · 10% owner Palmer Bradley C · CIK 0001726523 · 10% owner Tirpak Bradley M · CIK 0001484439 · Director · 10% owner Horowitz Joshua · CIK 0001612424 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Palm Active Dental, LLC Disclosed balance after: 0 Underlying: Common Stock · 843 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. F6 · derivative.exercise_price: Each share of Series A Preferred was convertible into such number of shares of Series B Preferred as was determined by dividing the Series A Preference Price ($1,000 per share of Series A Preferred), plus any and all accrued and unpaid dividends, by $5. Each share of Series B Preferred was convertible into such number of shares of Common Stock as was determined by dividing the Series B Preference Price ($5 per share of Series B Preferred), plus any and all accrued and unpaid dividends, by the Conversion Price ($5) then in effect. F1 · derivative.exercise_date: On January 14, 2019, Birner Dental Management Services, Inc. ("Birner") completed a merger transaction pursuant to which Birner became a wholly owned subsidiary of Mid-Atlantic Dental Services Holdings, LLC (the "Merger"). Each share of Birner common stock was converted into the right to receive $10.62 in cash and a contingent value right that entitles the holder thereof to receive up to $0.13 per share that may become payable after 18 months, in each case, without interest and less any applicable withholding taxes (the "Merger Consideration"). F2 · derivative.exercise_date: Pursuant to a Notice of Conversion dated December 14, 2018, immediately prior to the effective time of the Merger, the Reporting Persons converted their Convertible Senior Subordinated Loan Notes (the "Notes") and Series A Convertible Preferred Stock ("Series A Preferred") into Series B Convertible Preferred ("Series B Preferred") and, immediately thereafter, converted the Series B Preferred into shares of Common Stock. F6 · derivative.exercise_date: Each share of Series A Preferred was convertible into such number of shares of Series B Preferred as was determined by dividing the Series A Preference Price ($1,000 per share of Series A Preferred), plus any and all accrued and unpaid dividends, by $5. Each share of Series B Preferred was convertible into such number of shares of Common Stock as was determined by dividing the Series B Preference Price ($5 per share of Series B Preferred), plus any and all accrued and unpaid dividends, by the Conversion Price ($5) then in effect. F1 · derivative.expiration_date: On January 14, 2019, Birner Dental Management Services, Inc. ("Birner") completed a merger transaction pursuant to which Birner became a wholly owned subsidiary of Mid-Atlantic Dental Services Holdings, LLC (the "Merger"). Each share of Birner common stock was converted into the right to receive $10.62 in cash and a contingent value right that entitles the holder thereof to receive up to $0.13 per share that may become payable after 18 months, in each case, without interest and less any applicable withholding taxes (the "Merger Consideration"). F2 · derivative.expiration_date: Pursuant to a Notice of Conversion dated December 14, 2018, immediately prior to the effective time of the Merger, the Reporting Persons converted their Convertible Senior Subordinated Loan Notes (the "Notes") and Series A Convertible Preferred Stock ("Series A Preferred") into Series B Convertible Preferred ("Series B Preferred") and, immediately thereafter, converted the Series B Preferred into shares of Common Stock. F6 · derivative.expiration_date: Each share of Series A Preferred was convertible into such number of shares of Series B Preferred as was determined by dividing the Series A Preference Price ($1,000 per share of Series A Preferred), plus any and all accrued and unpaid dividends, by $5. Each share of Series B Preferred was convertible into such number of shares of Common Stock as was determined by dividing the Series B Preference Price ($5 per share of Series B Preferred), plus any and all accrued and unpaid dividends, by the Conversion Price ($5) then in effect. F6 · derivative.underlying_shares: Each share of Series A Preferred was convertible into such number of shares of Series B Preferred as was determined by dividing the Series A Preference Price ($1,000 per share of Series A Preferred), plus any and all accrued and unpaid dividends, by $5. Each share of Series B Preferred was convertible into such number of shares of Common Stock as was determined by dividing the Series B Preference Price ($5 per share of Series B Preferred), plus any and all accrued and unpaid dividends, by the Conversion Price ($5) then in effect. F7 · derivative.underlying_shares: The aggregate amount of PIK interest and dividends for the Notes and Series A Preferred was $276,145 through January 14, 2019. F9 · derivative.underlying_shares: Includes dividends required to be paid in kind as additional shares. F10 · derivative.underlying_shares: Represents underlying shares of Common Stock. Read SEC document
January 14, 2019 Filed Jan 14, 2019 17:03 UTC	BIRNER DENTAL MANAGEMENT SERVICES INC BDMS · Entity 161087	ConversionSeries A Convertible Preferred Stock · Derivative	6	$0.00	$0.00	Disclosure SEC source: 0001144204-19-001607 · tv510924_form4.xml · derivative · entry 15 Palm Management (US) LLC · CIK 0001726497 · Director · 10% owner Palm Active Dental LLC · CIK 0001726515 · Director · 10% owner Palm Global Small Cap Master Fund LP · CIK 0001726444 · Director · 10% owner Palm Active Dental II, LP · CIK 0001750234 · Director · 10% owner Palm Active Partners Management, LLC · CIK 0001750348 · Director · 10% owner Palmer Bradley C · CIK 0001726523 · 10% owner Tirpak Bradley M · CIK 0001484439 · Director · 10% owner Horowitz Joshua · CIK 0001612424 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Palm Global Small Cap Master Fund LP Disclosed balance after: 0 Underlying: Common Stock · 1,264 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. F6 · derivative.exercise_price: Each share of Series A Preferred was convertible into such number of shares of Series B Preferred as was determined by dividing the Series A Preference Price ($1,000 per share of Series A Preferred), plus any and all accrued and unpaid dividends, by $5. Each share of Series B Preferred was convertible into such number of shares of Common Stock as was determined by dividing the Series B Preference Price ($5 per share of Series B Preferred), plus any and all accrued and unpaid dividends, by the Conversion Price ($5) then in effect. F1 · derivative.exercise_date: On January 14, 2019, Birner Dental Management Services, Inc. ("Birner") completed a merger transaction pursuant to which Birner became a wholly owned subsidiary of Mid-Atlantic Dental Services Holdings, LLC (the "Merger"). Each share of Birner common stock was converted into the right to receive $10.62 in cash and a contingent value right that entitles the holder thereof to receive up to $0.13 per share that may become payable after 18 months, in each case, without interest and less any applicable withholding taxes (the "Merger Consideration"). F2 · derivative.exercise_date: Pursuant to a Notice of Conversion dated December 14, 2018, immediately prior to the effective time of the Merger, the Reporting Persons converted their Convertible Senior Subordinated Loan Notes (the "Notes") and Series A Convertible Preferred Stock ("Series A Preferred") into Series B Convertible Preferred ("Series B Preferred") and, immediately thereafter, converted the Series B Preferred into shares of Common Stock. F6 · derivative.exercise_date: Each share of Series A Preferred was convertible into such number of shares of Series B Preferred as was determined by dividing the Series A Preference Price ($1,000 per share of Series A Preferred), plus any and all accrued and unpaid dividends, by $5. Each share of Series B Preferred was convertible into such number of shares of Common Stock as was determined by dividing the Series B Preference Price ($5 per share of Series B Preferred), plus any and all accrued and unpaid dividends, by the Conversion Price ($5) then in effect. F1 · derivative.expiration_date: On January 14, 2019, Birner Dental Management Services, Inc. ("Birner") completed a merger transaction pursuant to which Birner became a wholly owned subsidiary of Mid-Atlantic Dental Services Holdings, LLC (the "Merger"). Each share of Birner common stock was converted into the right to receive $10.62 in cash and a contingent value right that entitles the holder thereof to receive up to $0.13 per share that may become payable after 18 months, in each case, without interest and less any applicable withholding taxes (the "Merger Consideration"). F2 · derivative.expiration_date: Pursuant to a Notice of Conversion dated December 14, 2018, immediately prior to the effective time of the Merger, the Reporting Persons converted their Convertible Senior Subordinated Loan Notes (the "Notes") and Series A Convertible Preferred Stock ("Series A Preferred") into Series B Convertible Preferred ("Series B Preferred") and, immediately thereafter, converted the Series B Preferred into shares of Common Stock. F6 · derivative.expiration_date: Each share of Series A Preferred was convertible into such number of shares of Series B Preferred as was determined by dividing the Series A Preference Price ($1,000 per share of Series A Preferred), plus any and all accrued and unpaid dividends, by $5. Each share of Series B Preferred was convertible into such number of shares of Common Stock as was determined by dividing the Series B Preference Price ($5 per share of Series B Preferred), plus any and all accrued and unpaid dividends, by the Conversion Price ($5) then in effect. F6 · derivative.underlying_shares: Each share of Series A Preferred was convertible into such number of shares of Series B Preferred as was determined by dividing the Series A Preference Price ($1,000 per share of Series A Preferred), plus any and all accrued and unpaid dividends, by $5. Each share of Series B Preferred was convertible into such number of shares of Common Stock as was determined by dividing the Series B Preference Price ($5 per share of Series B Preferred), plus any and all accrued and unpaid dividends, by the Conversion Price ($5) then in effect. F7 · derivative.underlying_shares: The aggregate amount of PIK interest and dividends for the Notes and Series A Preferred was $276,145 through January 14, 2019. F9 · derivative.underlying_shares: Includes dividends required to be paid in kind as additional shares. F10 · derivative.underlying_shares: Represents underlying shares of Common Stock. Read SEC document
January 14, 2019 Filed Jan 14, 2019 17:03 UTC	BIRNER DENTAL MANAGEMENT SERVICES INC BDMS · Entity 161087	ConversionConvertible Senior Subordinated Secured Loan Notes · Derivative	Not disclosed	$0.00 Strike: $5.00	$476,718.00	Disclosure SEC source: 0001144204-19-001607 · tv510924_form4.xml · derivative · entry 14 Palm Management (US) LLC · CIK 0001726497 · Director · 10% owner Palm Active Dental LLC · CIK 0001726515 · Director · 10% owner Palm Global Small Cap Master Fund LP · CIK 0001726444 · Director · 10% owner Palm Active Dental II, LP · CIK 0001750234 · Director · 10% owner Palm Active Partners Management, LLC · CIK 0001750348 · Director · 10% owner Palmer Bradley C · CIK 0001726523 · 10% owner Tirpak Bradley M · CIK 0001484439 · Director · 10% owner Horowitz Joshua · CIK 0001612424 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Palm Active Dental II, LP Disclosed balance after: 0 Underlying: Common Stock · 95,344 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. F7 · reported_value: The aggregate amount of PIK interest and dividends for the Notes and Series A Preferred was $276,145 through January 14, 2019. F8 · reported_value: Represents the outstanding principal amount of the Notes converted plus PIK interest. F1 · derivative.exercise_date: On January 14, 2019, Birner Dental Management Services, Inc. ("Birner") completed a merger transaction pursuant to which Birner became a wholly owned subsidiary of Mid-Atlantic Dental Services Holdings, LLC (the "Merger"). Each share of Birner common stock was converted into the right to receive $10.62 in cash and a contingent value right that entitles the holder thereof to receive up to $0.13 per share that may become payable after 18 months, in each case, without interest and less any applicable withholding taxes (the "Merger Consideration"). F2 · derivative.exercise_date: Pursuant to a Notice of Conversion dated December 14, 2018, immediately prior to the effective time of the Merger, the Reporting Persons converted their Convertible Senior Subordinated Loan Notes (the "Notes") and Series A Convertible Preferred Stock ("Series A Preferred") into Series B Convertible Preferred ("Series B Preferred") and, immediately thereafter, converted the Series B Preferred into shares of Common Stock. F5 · derivative.exercise_date: Each Note was convertible at any time at the option of the holder into Series B Preferred, which Series B Preferred was then convertible into Common Stock at any time at the option of the holder. The maturity date for the Notes was September 30, 2023. F1 · derivative.expiration_date: On January 14, 2019, Birner Dental Management Services, Inc. ("Birner") completed a merger transaction pursuant to which Birner became a wholly owned subsidiary of Mid-Atlantic Dental Services Holdings, LLC (the "Merger"). Each share of Birner common stock was converted into the right to receive $10.62 in cash and a contingent value right that entitles the holder thereof to receive up to $0.13 per share that may become payable after 18 months, in each case, without interest and less any applicable withholding taxes (the "Merger Consideration"). F2 · derivative.expiration_date: Pursuant to a Notice of Conversion dated December 14, 2018, immediately prior to the effective time of the Merger, the Reporting Persons converted their Convertible Senior Subordinated Loan Notes (the "Notes") and Series A Convertible Preferred Stock ("Series A Preferred") into Series B Convertible Preferred ("Series B Preferred") and, immediately thereafter, converted the Series B Preferred into shares of Common Stock. F5 · derivative.expiration_date: Each Note was convertible at any time at the option of the holder into Series B Preferred, which Series B Preferred was then convertible into Common Stock at any time at the option of the holder. The maturity date for the Notes was September 30, 2023. F5 · derivative.underlying_shares: Each Note was convertible at any time at the option of the holder into Series B Preferred, which Series B Preferred was then convertible into Common Stock at any time at the option of the holder. The maturity date for the Notes was September 30, 2023. F6 · derivative.underlying_shares: Each share of Series A Preferred was convertible into such number of shares of Series B Preferred as was determined by dividing the Series A Preference Price ($1,000 per share of Series A Preferred), plus any and all accrued and unpaid dividends, by $5. Each share of Series B Preferred was convertible into such number of shares of Common Stock as was determined by dividing the Series B Preference Price ($5 per share of Series B Preferred), plus any and all accrued and unpaid dividends, by the Conversion Price ($5) then in effect. F7 · derivative.underlying_shares: The aggregate amount of PIK interest and dividends for the Notes and Series A Preferred was $276,145 through January 14, 2019. F8 · derivative.underlying_shares: Represents the outstanding principal amount of the Notes converted plus PIK interest. F10 · derivative.underlying_shares: Represents underlying shares of Common Stock. Read SEC document
January 14, 2019 Filed Jan 14, 2019 17:03 UTC	BIRNER DENTAL MANAGEMENT SERVICES INC BDMS · Entity 161087	ConversionConvertible Senior Subordinated Secured Loan Notes · Derivative	Not disclosed	$0.00 Strike: $5.00	$2,102,350.00	Disclosure SEC source: 0001144204-19-001607 · tv510924_form4.xml · derivative · entry 13 Palm Management (US) LLC · CIK 0001726497 · Director · 10% owner Palm Active Dental LLC · CIK 0001726515 · Director · 10% owner Palm Global Small Cap Master Fund LP · CIK 0001726444 · Director · 10% owner Palm Active Dental II, LP · CIK 0001750234 · Director · 10% owner Palm Active Partners Management, LLC · CIK 0001750348 · Director · 10% owner Palmer Bradley C · CIK 0001726523 · 10% owner Tirpak Bradley M · CIK 0001484439 · Director · 10% owner Horowitz Joshua · CIK 0001612424 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Palm Active Dental, LLC Disclosed balance after: 0 Underlying: Common Stock · 420,470 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. F7 · reported_value: The aggregate amount of PIK interest and dividends for the Notes and Series A Preferred was $276,145 through January 14, 2019. F8 · reported_value: Represents the outstanding principal amount of the Notes converted plus PIK interest. F1 · derivative.exercise_date: On January 14, 2019, Birner Dental Management Services, Inc. ("Birner") completed a merger transaction pursuant to which Birner became a wholly owned subsidiary of Mid-Atlantic Dental Services Holdings, LLC (the "Merger"). Each share of Birner common stock was converted into the right to receive $10.62 in cash and a contingent value right that entitles the holder thereof to receive up to $0.13 per share that may become payable after 18 months, in each case, without interest and less any applicable withholding taxes (the "Merger Consideration"). F2 · derivative.exercise_date: Pursuant to a Notice of Conversion dated December 14, 2018, immediately prior to the effective time of the Merger, the Reporting Persons converted their Convertible Senior Subordinated Loan Notes (the "Notes") and Series A Convertible Preferred Stock ("Series A Preferred") into Series B Convertible Preferred ("Series B Preferred") and, immediately thereafter, converted the Series B Preferred into shares of Common Stock. F5 · derivative.exercise_date: Each Note was convertible at any time at the option of the holder into Series B Preferred, which Series B Preferred was then convertible into Common Stock at any time at the option of the holder. The maturity date for the Notes was September 30, 2023. F1 · derivative.expiration_date: On January 14, 2019, Birner Dental Management Services, Inc. ("Birner") completed a merger transaction pursuant to which Birner became a wholly owned subsidiary of Mid-Atlantic Dental Services Holdings, LLC (the "Merger"). Each share of Birner common stock was converted into the right to receive $10.62 in cash and a contingent value right that entitles the holder thereof to receive up to $0.13 per share that may become payable after 18 months, in each case, without interest and less any applicable withholding taxes (the "Merger Consideration"). F2 · derivative.expiration_date: Pursuant to a Notice of Conversion dated December 14, 2018, immediately prior to the effective time of the Merger, the Reporting Persons converted their Convertible Senior Subordinated Loan Notes (the "Notes") and Series A Convertible Preferred Stock ("Series A Preferred") into Series B Convertible Preferred ("Series B Preferred") and, immediately thereafter, converted the Series B Preferred into shares of Common Stock. F5 · derivative.expiration_date: Each Note was convertible at any time at the option of the holder into Series B Preferred, which Series B Preferred was then convertible into Common Stock at any time at the option of the holder. The maturity date for the Notes was September 30, 2023. F5 · derivative.underlying_shares: Each Note was convertible at any time at the option of the holder into Series B Preferred, which Series B Preferred was then convertible into Common Stock at any time at the option of the holder. The maturity date for the Notes was September 30, 2023. F6 · derivative.underlying_shares: Each share of Series A Preferred was convertible into such number of shares of Series B Preferred as was determined by dividing the Series A Preference Price ($1,000 per share of Series A Preferred), plus any and all accrued and unpaid dividends, by $5. Each share of Series B Preferred was convertible into such number of shares of Common Stock as was determined by dividing the Series B Preference Price ($5 per share of Series B Preferred), plus any and all accrued and unpaid dividends, by the Conversion Price ($5) then in effect. F7 · derivative.underlying_shares: The aggregate amount of PIK interest and dividends for the Notes and Series A Preferred was $276,145 through January 14, 2019. F8 · derivative.underlying_shares: Represents the outstanding principal amount of the Notes converted plus PIK interest. F10 · derivative.underlying_shares: Represents underlying shares of Common Stock. Read SEC document
January 14, 2019 Filed Jan 14, 2019 17:03 UTC	BIRNER DENTAL MANAGEMENT SERVICES INC BDMS · Entity 161087	ConversionConvertible Senior Subordinated Secured Loan Notes · Derivative	Not disclosed	$0.00 Strike: $5.00	$3,153,524.00	Disclosure SEC source: 0001144204-19-001607 · tv510924_form4.xml · derivative · entry 12 Palm Management (US) LLC · CIK 0001726497 · Director · 10% owner Palm Active Dental LLC · CIK 0001726515 · Director · 10% owner Palm Global Small Cap Master Fund LP · CIK 0001726444 · Director · 10% owner Palm Active Dental II, LP · CIK 0001750234 · Director · 10% owner Palm Active Partners Management, LLC · CIK 0001750348 · Director · 10% owner Palmer Bradley C · CIK 0001726523 · 10% owner Tirpak Bradley M · CIK 0001484439 · Director · 10% owner Horowitz Joshua · CIK 0001612424 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Palm Global Small Cap Master Fund LP Disclosed balance after: 0 Underlying: Common Stock · 630,705 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. F7 · reported_value: The aggregate amount of PIK interest and dividends for the Notes and Series A Preferred was $276,145 through January 14, 2019. F8 · reported_value: Represents the outstanding principal amount of the Notes converted plus PIK interest. F1 · derivative.exercise_date: On January 14, 2019, Birner Dental Management Services, Inc. ("Birner") completed a merger transaction pursuant to which Birner became a wholly owned subsidiary of Mid-Atlantic Dental Services Holdings, LLC (the "Merger"). Each share of Birner common stock was converted into the right to receive $10.62 in cash and a contingent value right that entitles the holder thereof to receive up to $0.13 per share that may become payable after 18 months, in each case, without interest and less any applicable withholding taxes (the "Merger Consideration"). F2 · derivative.exercise_date: Pursuant to a Notice of Conversion dated December 14, 2018, immediately prior to the effective time of the Merger, the Reporting Persons converted their Convertible Senior Subordinated Loan Notes (the "Notes") and Series A Convertible Preferred Stock ("Series A Preferred") into Series B Convertible Preferred ("Series B Preferred") and, immediately thereafter, converted the Series B Preferred into shares of Common Stock. F5 · derivative.exercise_date: Each Note was convertible at any time at the option of the holder into Series B Preferred, which Series B Preferred was then convertible into Common Stock at any time at the option of the holder. The maturity date for the Notes was September 30, 2023. F1 · derivative.expiration_date: On January 14, 2019, Birner Dental Management Services, Inc. ("Birner") completed a merger transaction pursuant to which Birner became a wholly owned subsidiary of Mid-Atlantic Dental Services Holdings, LLC (the "Merger"). Each share of Birner common stock was converted into the right to receive $10.62 in cash and a contingent value right that entitles the holder thereof to receive up to $0.13 per share that may become payable after 18 months, in each case, without interest and less any applicable withholding taxes (the "Merger Consideration"). F2 · derivative.expiration_date: Pursuant to a Notice of Conversion dated December 14, 2018, immediately prior to the effective time of the Merger, the Reporting Persons converted their Convertible Senior Subordinated Loan Notes (the "Notes") and Series A Convertible Preferred Stock ("Series A Preferred") into Series B Convertible Preferred ("Series B Preferred") and, immediately thereafter, converted the Series B Preferred into shares of Common Stock. F5 · derivative.expiration_date: Each Note was convertible at any time at the option of the holder into Series B Preferred, which Series B Preferred was then convertible into Common Stock at any time at the option of the holder. The maturity date for the Notes was September 30, 2023. F5 · derivative.underlying_shares: Each Note was convertible at any time at the option of the holder into Series B Preferred, which Series B Preferred was then convertible into Common Stock at any time at the option of the holder. The maturity date for the Notes was September 30, 2023. F6 · derivative.underlying_shares: Each share of Series A Preferred was convertible into such number of shares of Series B Preferred as was determined by dividing the Series A Preference Price ($1,000 per share of Series A Preferred), plus any and all accrued and unpaid dividends, by $5. Each share of Series B Preferred was convertible into such number of shares of Common Stock as was determined by dividing the Series B Preference Price ($5 per share of Series B Preferred), plus any and all accrued and unpaid dividends, by the Conversion Price ($5) then in effect. F7 · derivative.underlying_shares: The aggregate amount of PIK interest and dividends for the Notes and Series A Preferred was $276,145 through January 14, 2019. F8 · derivative.underlying_shares: Represents the outstanding principal amount of the Notes converted plus PIK interest. F10 · derivative.underlying_shares: Represents underlying shares of Common Stock. Read SEC document
January 14, 2019 Filed Jan 14, 2019 17:03 UTC	BIRNER DENTAL MANAGEMENT SERVICES INC BDMS · Entity 161087	Disposition to issuerCommon Stock	2,000	Not disclosed	Not disclosed	Disclosure SEC source: 0001144204-19-001607 · tv510924_form4.xml · nonDerivative · entry 11 Palm Management (US) LLC · CIK 0001726497 · Director · 10% owner Palm Active Dental LLC · CIK 0001726515 · Director · 10% owner Palm Global Small Cap Master Fund LP · CIK 0001726444 · Director · 10% owner Palm Active Dental II, LP · CIK 0001750234 · Director · 10% owner Palm Active Partners Management, LLC · CIK 0001750348 · Director · 10% owner Palmer Bradley C · CIK 0001726523 · 10% owner Tirpak Bradley M · CIK 0001484439 · Director · 10% owner Horowitz Joshua · CIK 0001612424 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Joshua Horowitz Disclosed balance after: 0 F1 · kind: On January 14, 2019, Birner Dental Management Services, Inc. ("Birner") completed a merger transaction pursuant to which Birner became a wholly owned subsidiary of Mid-Atlantic Dental Services Holdings, LLC (the "Merger"). Each share of Birner common stock was converted into the right to receive $10.62 in cash and a contingent value right that entitles the holder thereof to receive up to $0.13 per share that may become payable after 18 months, in each case, without interest and less any applicable withholding taxes (the "Merger Consideration"). F4 · kind: Represents shares of restricted Common Stock cancelled in the Merger in exchange for the Merger Consideration. F4 · shares: Represents shares of restricted Common Stock cancelled in the Merger in exchange for the Merger Consideration. F1 · price: On January 14, 2019, Birner Dental Management Services, Inc. ("Birner") completed a merger transaction pursuant to which Birner became a wholly owned subsidiary of Mid-Atlantic Dental Services Holdings, LLC (the "Merger"). Each share of Birner common stock was converted into the right to receive $10.62 in cash and a contingent value right that entitles the holder thereof to receive up to $0.13 per share that may become payable after 18 months, in each case, without interest and less any applicable withholding taxes (the "Merger Consideration"). Read SEC document
January 14, 2019 Filed Jan 14, 2019 17:03 UTC	BIRNER DENTAL MANAGEMENT SERVICES INC BDMS · Entity 161087	Disposition to issuerCommon Stock	2,000	Not disclosed	Not disclosed	Disclosure SEC source: 0001144204-19-001607 · tv510924_form4.xml · nonDerivative · entry 10 Palm Management (US) LLC · CIK 0001726497 · Director · 10% owner Palm Active Dental LLC · CIK 0001726515 · Director · 10% owner Palm Global Small Cap Master Fund LP · CIK 0001726444 · Director · 10% owner Palm Active Dental II, LP · CIK 0001750234 · Director · 10% owner Palm Active Partners Management, LLC · CIK 0001750348 · Director · 10% owner Palmer Bradley C · CIK 0001726523 · 10% owner Tirpak Bradley M · CIK 0001484439 · Director · 10% owner Horowitz Joshua · CIK 0001612424 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Bradley M. Tirpak Disclosed balance after: 0 F1 · kind: On January 14, 2019, Birner Dental Management Services, Inc. ("Birner") completed a merger transaction pursuant to which Birner became a wholly owned subsidiary of Mid-Atlantic Dental Services Holdings, LLC (the "Merger"). Each share of Birner common stock was converted into the right to receive $10.62 in cash and a contingent value right that entitles the holder thereof to receive up to $0.13 per share that may become payable after 18 months, in each case, without interest and less any applicable withholding taxes (the "Merger Consideration"). F4 · kind: Represents shares of restricted Common Stock cancelled in the Merger in exchange for the Merger Consideration. F4 · shares: Represents shares of restricted Common Stock cancelled in the Merger in exchange for the Merger Consideration. F1 · price: On January 14, 2019, Birner Dental Management Services, Inc. ("Birner") completed a merger transaction pursuant to which Birner became a wholly owned subsidiary of Mid-Atlantic Dental Services Holdings, LLC (the "Merger"). Each share of Birner common stock was converted into the right to receive $10.62 in cash and a contingent value right that entitles the holder thereof to receive up to $0.13 per share that may become payable after 18 months, in each case, without interest and less any applicable withholding taxes (the "Merger Consideration"). Read SEC document
January 14, 2019 Filed Jan 14, 2019 17:03 UTC	BIRNER DENTAL MANAGEMENT SERVICES INC BDMS · Entity 161087	Disposition to issuerCommon Stock	95,548	Not disclosed	Not disclosed	Disclosure SEC source: 0001144204-19-001607 · tv510924_form4.xml · nonDerivative · entry 9 Palm Management (US) LLC · CIK 0001726497 · Director · 10% owner Palm Active Dental LLC · CIK 0001726515 · Director · 10% owner Palm Global Small Cap Master Fund LP · CIK 0001726444 · Director · 10% owner Palm Active Dental II, LP · CIK 0001750234 · Director · 10% owner Palm Active Partners Management, LLC · CIK 0001750348 · Director · 10% owner Palmer Bradley C · CIK 0001726523 · 10% owner Tirpak Bradley M · CIK 0001484439 · Director · 10% owner Horowitz Joshua · CIK 0001612424 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Palm Active Dental II, LLC Disclosed balance after: 0 F1 · kind: On January 14, 2019, Birner Dental Management Services, Inc. ("Birner") completed a merger transaction pursuant to which Birner became a wholly owned subsidiary of Mid-Atlantic Dental Services Holdings, LLC (the "Merger"). Each share of Birner common stock was converted into the right to receive $10.62 in cash and a contingent value right that entitles the holder thereof to receive up to $0.13 per share that may become payable after 18 months, in each case, without interest and less any applicable withholding taxes (the "Merger Consideration"). F3 · kind: Represents shares of Common Stock disposed of in the Merger for the Merger Consideration. F1 · price: On January 14, 2019, Birner Dental Management Services, Inc. ("Birner") completed a merger transaction pursuant to which Birner became a wholly owned subsidiary of Mid-Atlantic Dental Services Holdings, LLC (the "Merger"). Each share of Birner common stock was converted into the right to receive $10.62 in cash and a contingent value right that entitles the holder thereof to receive up to $0.13 per share that may become payable after 18 months, in each case, without interest and less any applicable withholding taxes (the "Merger Consideration"). Read SEC document
January 14, 2019 Filed Jan 14, 2019 17:03 UTC	BIRNER DENTAL MANAGEMENT SERVICES INC BDMS · Entity 161087	Disposition to issuerCommon Stock	421,313	Not disclosed	Not disclosed	Disclosure SEC source: 0001144204-19-001607 · tv510924_form4.xml · nonDerivative · entry 8 Palm Management (US) LLC · CIK 0001726497 · Director · 10% owner Palm Active Dental LLC · CIK 0001726515 · Director · 10% owner Palm Global Small Cap Master Fund LP · CIK 0001726444 · Director · 10% owner Palm Active Dental II, LP · CIK 0001750234 · Director · 10% owner Palm Active Partners Management, LLC · CIK 0001750348 · Director · 10% owner Palmer Bradley C · CIK 0001726523 · 10% owner Tirpak Bradley M · CIK 0001484439 · Director · 10% owner Horowitz Joshua · CIK 0001612424 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Palm Active Dental, LLC Disclosed balance after: 0 F1 · kind: On January 14, 2019, Birner Dental Management Services, Inc. ("Birner") completed a merger transaction pursuant to which Birner became a wholly owned subsidiary of Mid-Atlantic Dental Services Holdings, LLC (the "Merger"). Each share of Birner common stock was converted into the right to receive $10.62 in cash and a contingent value right that entitles the holder thereof to receive up to $0.13 per share that may become payable after 18 months, in each case, without interest and less any applicable withholding taxes (the "Merger Consideration"). F3 · kind: Represents shares of Common Stock disposed of in the Merger for the Merger Consideration. F1 · price: On January 14, 2019, Birner Dental Management Services, Inc. ("Birner") completed a merger transaction pursuant to which Birner became a wholly owned subsidiary of Mid-Atlantic Dental Services Holdings, LLC (the "Merger"). Each share of Birner common stock was converted into the right to receive $10.62 in cash and a contingent value right that entitles the holder thereof to receive up to $0.13 per share that may become payable after 18 months, in each case, without interest and less any applicable withholding taxes (the "Merger Consideration"). Read SEC document

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