Bartholdson John A.

SEC source: 0001578563-23-000036 · primary_doc.xml · nonDerivative · entry 1

Bartholdson John A. · CIK 0001382909 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,576

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

SEC source: 0001019056-23-000261 · ownership.xml · nonDerivative · entry 1

Juniper Investment Company, LLC · CIK 0001794034 · 10% owner

Juniper Targeted Opportunities, LP · CIK 0001680619 · Former 10% Owner

Bartholdson John A. · CIK 0001382909 · Director · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · Juniper Targeted Opportunities L.P.

Disclosed balance after: 2,426,870

F1 · kind: On June 2, 2023, Juniper Targeted Opportunities L.P. ("Juniper Targeted Opportunities") distributed 835,844 shares of Common Stock to certain of its limited partners based on their respective pro rata interest in such shares for no consideration.

F1 · price: On June 2, 2023, Juniper Targeted Opportunities L.P. ("Juniper Targeted Opportunities") distributed 835,844 shares of Common Stock to certain of its limited partners based on their respective pro rata interest in such shares for no consideration.

F2 · ownership.nature: As the investment manager of Juniper Targeted Opportunities, Juniper Investment Company, LLC ("Juniper Investment Company") may be deemed to beneficially own the securities held by the Juniper Targeted Opportunities. Juniper Investment Company disclaims beneficial ownership of all the interests reported herein except to the extent of its pecuniary interest therein. Mr. Bartholdson and another individual serve as the managing members of Juniper Investment Company and the general partners of Juniper Targeted Opportunities and as a result, Mr. Bartholdson shares voting and dispositive power over such shares with Juniper Investment Company and the other individual. Mr. Bartholdson disclaims beneficial ownership of the holdings of Juniper Targeted Opportunities reflected herein except to the extent of his pecuniary interest therein.

SEC source: 0001578563-23-000033 · primary_doc.xml · nonDerivative · entry 2

Bartholdson John A. · CIK 0001382909 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 5,909,136

F4 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions ranging from $1.99 to $2.11, inclusive. Reporting Person undertakes 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 within the ranges set forth in this footnote.

F2 · ownership.nature: Consists of (i) 4,624,431 shares of Class A Common Stock held by Juniper Targeted Opportunity Fund, L.P. ("Juniper Fund"), (ii) 1,208,855 shares of Class A Common Stock held by Juniper Targeted Opportunities, L.P. ("Juniper Targeted Opportunities") and (iii) 75,850 shares of Class A Common Stock held by Juniper Multi-Strategy Fund, L.P. ("Juniper Multi-Strategy" and, together with Juniper Fund, Juniper Targeted Opportunities and Juniper Multi-Strategy, the "Juniper Entities").

F3 · ownership.nature: Juniper HF Investors II, LLC ("Juniper HF II"), Juniper Targeted Opportunity Investors, LLC ("Juniper TO") and Juniper HF Investors, LLC ("Juniper HF") are each the general partner of Juniper Fund, Juniper Targeted Opportunities and Juniper Multi-Strategy, respectively. Juniper Investment Company, LLC ("Juniper Investment Company") provides investment advisory and management services and acts as the investment manager of Juniper Fund, Juniper Targeted Opportunities and Juniper Multi-Strategy. The Reporting Person is a managing member of Juniper Investment Company, Juniper HF II, Juniper TO and Juniper HF and shares voting and dispositive power with respect to the shares held by the Juniper Entities. The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of his pecuniary interest therein.

SEC source: 0001578563-23-000033 · primary_doc.xml · nonDerivative · entry 1

Bartholdson John A. · CIK 0001382909 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 5,730,138

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions ranging from $1.485 to $2.26, inclusive. Reporting Person undertakes 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 within the ranges set forth in this footnote.

F2 · ownership.nature: Consists of (i) 4,624,431 shares of Class A Common Stock held by Juniper Targeted Opportunity Fund, L.P. ("Juniper Fund"), (ii) 1,208,855 shares of Class A Common Stock held by Juniper Targeted Opportunities, L.P. ("Juniper Targeted Opportunities") and (iii) 75,850 shares of Class A Common Stock held by Juniper Multi-Strategy Fund, L.P. ("Juniper Multi-Strategy" and, together with Juniper Fund, Juniper Targeted Opportunities and Juniper Multi-Strategy, the "Juniper Entities").

F3 · ownership.nature: Juniper HF Investors II, LLC ("Juniper HF II"), Juniper Targeted Opportunity Investors, LLC ("Juniper TO") and Juniper HF Investors, LLC ("Juniper HF") are each the general partner of Juniper Fund, Juniper Targeted Opportunities and Juniper Multi-Strategy, respectively. Juniper Investment Company, LLC ("Juniper Investment Company") provides investment advisory and management services and acts as the investment manager of Juniper Fund, Juniper Targeted Opportunities and Juniper Multi-Strategy. The Reporting Person is a managing member of Juniper Investment Company, Juniper HF II, Juniper TO and Juniper HF and shares voting and dispositive power with respect to the shares held by the Juniper Entities. The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of his pecuniary interest therein.

SEC source: 0001286613-23-000027 · form4.xml · nonDerivative · entry 1

Bartholdson John A. · CIK 0001382909 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 49,002

F1 · price: Award of 10,471 shares of Restricted Stock valued at $60,000 on the date of award based on a price of $5.73 per share, the closing price per share on the date of the award. These restricted shares vest on the first anniversary of the grant date.

SEC source: 0001628280-23-000805 · wf-form4_167335907130095.xml · derivative · entry 1

Bartholdson John A. · CIK 0001382909 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,727

Underlying: Class A Common Stock · 22,727 shares

Expires not disclosed

F1 · security: Each restricted stock unit represents a contingent right to receive one share of Class A common stock.

F2 · derivative.exercise_price: The restricted stock units shall vest and become exercisable in three equal installments, with the first installment vesting and becoming exercisable on the earlier of (i) the day immediately preceding the date of the Issuer's first annual meeting of stockholders following the date of grant and (ii) the first anniversary of the date of grant (such earlier date, the "Installment Vesting Date") and the second and third installments vesting and becoming exercisable on the first and second anniversaries of the Installment Vesting Date, respectively, in each case subject to the Reporting Person continuing in service on the Issuer's Board of Directors through the applicable vesting date.

F2 · derivative.exercise_date: The restricted stock units shall vest and become exercisable in three equal installments, with the first installment vesting and becoming exercisable on the earlier of (i) the day immediately preceding the date of the Issuer's first annual meeting of stockholders following the date of grant and (ii) the first anniversary of the date of grant (such earlier date, the "Installment Vesting Date") and the second and third installments vesting and becoming exercisable on the first and second anniversaries of the Installment Vesting Date, respectively, in each case subject to the Reporting Person continuing in service on the Issuer's Board of Directors through the applicable vesting date.

F2 · derivative.expiration_date: The restricted stock units shall vest and become exercisable in three equal installments, with the first installment vesting and becoming exercisable on the earlier of (i) the day immediately preceding the date of the Issuer's first annual meeting of stockholders following the date of grant and (ii) the first anniversary of the date of grant (such earlier date, the "Installment Vesting Date") and the second and third installments vesting and becoming exercisable on the first and second anniversaries of the Installment Vesting Date, respectively, in each case subject to the Reporting Person continuing in service on the Issuer's Board of Directors through the applicable vesting date.

SEC source: 0001019056-22-000679 · ownership.xml · derivative · entry 7

Juniper Investment Company, LLC · CIK 0001794034 · 10% owner

Juniper Targeted Opportunities, LP · CIK 0001680619 · 10% owner

Juniper Targeted Opportunity Fund, L.P. · CIK 0001524397 · 10% owner

Bartholdson John A. · CIK 0001382909 · Director · 10% owner

MICHAS ALEXIS P · CIK 0001044005 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · Juniper Targeted Opportunities, L.P.

Disclosed balance after: 0

Underlying: Common Stock · 3,262,714 shares

Expires not disclosed

F2 · derivative.exercise_price: Each share of Series A Convertible Preferred Stock was converted into 423.729 shares of Common Stock for an effective price of $2.36 per share of Common Stock.

F1 · kind: Mandatory conversion by the Issuer of its Series A Convertible Preferred Stock into shares of its Common Stock exempt under SEC Rule 16b-6(b).

F7 · derivative.exercise_date: 11/14/2019 - The date on which the Series A Preferred Stock was issued.

F8 · derivative.expiration_date: None.

F3 · ownership.nature: Juniper Investment Company, LLC ("Juniper Investment") is the investment manager of Juniper Targeted Opportunity Fund, L.P. ("Juniper Opportunity Fund") and Juniper Targeted Opportunities, L.P. ("Juniper Opportunities LP") and Juniper Multi-Strategy Fund, L.P. ("Juniper Multi-Strategy") and may be deemed to beneficially own the securities held by them. Alexis P. Michas and John A. Bartholdson ("Managing Members") are the managing members of Juniper Investment, Juniper HF Investors II, LLC (the general partner of the Juniper Opportunity Fund) and Juniper TO Investors, LLC (the general partner of Juniper Opportunities LP) and Juniper HF Investors, LLC (the general partner of Juniper Multi-Strategy), through which the Managing Members may be deemed to have an indirect beneficial ownership with respect to the shares held by Juniper Opportunity Fund, Juniper Opportunities LP and Juniper Multi-Strategy.

F4 · ownership.nature: (Footnote 3 continued). Each Reporting Person disclaims beneficial ownership of all interests reported herein except to the extent of such Reporting Person's pecuniary interests.

SEC source: 0001019056-22-000679 · ownership.xml · derivative · entry 6

Juniper Investment Company, LLC · CIK 0001794034 · 10% owner

Juniper Targeted Opportunities, LP · CIK 0001680619 · 10% owner

Juniper Targeted Opportunity Fund, L.P. · CIK 0001524397 · 10% owner

Bartholdson John A. · CIK 0001382909 · Director · 10% owner

MICHAS ALEXIS P · CIK 0001044005 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · Juniper Targeted Opportunity Fund, L.P

Disclosed balance after: 0

Underlying: Common Stock · 1,483,052 shares

Expires not disclosed

F2 · derivative.exercise_price: Each share of Series A Convertible Preferred Stock was converted into 423.729 shares of Common Stock for an effective price of $2.36 per share of Common Stock.

F1 · kind: Mandatory conversion by the Issuer of its Series A Convertible Preferred Stock into shares of its Common Stock exempt under SEC Rule 16b-6(b).

F7 · derivative.exercise_date: 11/14/2019 - The date on which the Series A Preferred Stock was issued.

F8 · derivative.expiration_date: None.

F3 · ownership.nature: Juniper Investment Company, LLC ("Juniper Investment") is the investment manager of Juniper Targeted Opportunity Fund, L.P. ("Juniper Opportunity Fund") and Juniper Targeted Opportunities, L.P. ("Juniper Opportunities LP") and Juniper Multi-Strategy Fund, L.P. ("Juniper Multi-Strategy") and may be deemed to beneficially own the securities held by them. Alexis P. Michas and John A. Bartholdson ("Managing Members") are the managing members of Juniper Investment, Juniper HF Investors II, LLC (the general partner of the Juniper Opportunity Fund) and Juniper TO Investors, LLC (the general partner of Juniper Opportunities LP) and Juniper HF Investors, LLC (the general partner of Juniper Multi-Strategy), through which the Managing Members may be deemed to have an indirect beneficial ownership with respect to the shares held by Juniper Opportunity Fund, Juniper Opportunities LP and Juniper Multi-Strategy.

F4 · ownership.nature: (Footnote 3 continued). Each Reporting Person disclaims beneficial ownership of all interests reported herein except to the extent of such Reporting Person's pecuniary interests.

SEC source: 0001019056-22-000679 · ownership.xml · nonDerivative · entry 2

Juniper Investment Company, LLC · CIK 0001794034 · 10% owner

Juniper Targeted Opportunities, LP · CIK 0001680619 · 10% owner

Juniper Targeted Opportunity Fund, L.P. · CIK 0001524397 · 10% owner

Bartholdson John A. · CIK 0001382909 · Director · 10% owner

MICHAS ALEXIS P · CIK 0001044005 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · Juniper Targeted Opportunities, L.P.

Disclosed balance after: 3,262,714

F1 · kind: Mandatory conversion by the Issuer of its Series A Convertible Preferred Stock into shares of its Common Stock exempt under SEC Rule 16b-6(b).

F2 · price: Each share of Series A Convertible Preferred Stock was converted into 423.729 shares of Common Stock for an effective price of $2.36 per share of Common Stock.

F3 · ownership.nature: Juniper Investment Company, LLC ("Juniper Investment") is the investment manager of Juniper Targeted Opportunity Fund, L.P. ("Juniper Opportunity Fund") and Juniper Targeted Opportunities, L.P. ("Juniper Opportunities LP") and Juniper Multi-Strategy Fund, L.P. ("Juniper Multi-Strategy") and may be deemed to beneficially own the securities held by them. Alexis P. Michas and John A. Bartholdson ("Managing Members") are the managing members of Juniper Investment, Juniper HF Investors II, LLC (the general partner of the Juniper Opportunity Fund) and Juniper TO Investors, LLC (the general partner of Juniper Opportunities LP) and Juniper HF Investors, LLC (the general partner of Juniper Multi-Strategy), through which the Managing Members may be deemed to have an indirect beneficial ownership with respect to the shares held by Juniper Opportunity Fund, Juniper Opportunities LP and Juniper Multi-Strategy.

F4 · ownership.nature: (Footnote 3 continued). Each Reporting Person disclaims beneficial ownership of all interests reported herein except to the extent of such Reporting Person's pecuniary interests.

SEC source: 0001019056-22-000679 · ownership.xml · nonDerivative · entry 1

Juniper Investment Company, LLC · CIK 0001794034 · 10% owner

Juniper Targeted Opportunities, LP · CIK 0001680619 · 10% owner

Juniper Targeted Opportunity Fund, L.P. · CIK 0001524397 · 10% owner

Bartholdson John A. · CIK 0001382909 · Director · 10% owner

MICHAS ALEXIS P · CIK 0001044005 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · Juniper Targeted Opportunity Fund, L.P.

Disclosed balance after: 2,363,311

F1 · kind: Mandatory conversion by the Issuer of its Series A Convertible Preferred Stock into shares of its Common Stock exempt under SEC Rule 16b-6(b).

F2 · price: Each share of Series A Convertible Preferred Stock was converted into 423.729 shares of Common Stock for an effective price of $2.36 per share of Common Stock.

F3 · ownership.nature: Juniper Investment Company, LLC ("Juniper Investment") is the investment manager of Juniper Targeted Opportunity Fund, L.P. ("Juniper Opportunity Fund") and Juniper Targeted Opportunities, L.P. ("Juniper Opportunities LP") and Juniper Multi-Strategy Fund, L.P. ("Juniper Multi-Strategy") and may be deemed to beneficially own the securities held by them. Alexis P. Michas and John A. Bartholdson ("Managing Members") are the managing members of Juniper Investment, Juniper HF Investors II, LLC (the general partner of the Juniper Opportunity Fund) and Juniper TO Investors, LLC (the general partner of Juniper Opportunities LP) and Juniper HF Investors, LLC (the general partner of Juniper Multi-Strategy), through which the Managing Members may be deemed to have an indirect beneficial ownership with respect to the shares held by Juniper Opportunity Fund, Juniper Opportunities LP and Juniper Multi-Strategy.

F4 · ownership.nature: (Footnote 3 continued). Each Reporting Person disclaims beneficial ownership of all interests reported herein except to the extent of such Reporting Person's pecuniary interests.

SEC source: 0001019056-22-000429 · bartholdson.xml · nonDerivative · entry 1

Bartholdson John A. · CIK 0001382909 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,531

F1 · price: Grant of Restricted Stock valued at $60,000 on the date of grant, based on a price of $6.66, the closing price per share on the date of the grant. These restricted shares vest on the first anniversary of the grant date.

F1 · ownership.direct: Grant of Restricted Stock valued at $60,000 on the date of grant, based on a price of $6.66, the closing price per share on the date of the grant. These restricted shares vest on the first anniversary of the grant date.

SEC source: 0001019056-21-000287 · bartholdson.xml · nonDerivative · entry 1

Bartholdson John A. · CIK 0001382909 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,522

F1 · price: Grant of Restricted Stock valued at $60,000 on the date of grant, based on a price of $6.89, the closing price per share on the date of the grant. These restricted shares vest on the first anniversary of the grant date.

F1 · ownership.direct: Grant of Restricted Stock valued at $60,000 on the date of grant, based on a price of $6.89, the closing price per share on the date of the grant. These restricted shares vest on the first anniversary of the grant date.

SEC source: 0001019056-20-000383 · bartholdson.xml · nonDerivative · entry 1

Bartholdson John A. · CIK 0001382909 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,814

F1 · shares: Grant of Restricted Stock valued at $55,000 on the date of grant, based on a price of $4.31, the closing price per share on the date of the grant. These restricted shares vest on the first anniversary of the grant date.

F1 · price: Grant of Restricted Stock valued at $55,000 on the date of grant, based on a price of $4.31, the closing price per share on the date of the grant. These restricted shares vest on the first anniversary of the grant date.

SEC source: 0001019056-19-000668 · ownership.xml · nonDerivative · entry 4

Juniper Investment Company, LLC · CIK 0001794034 · 10% owner

Juniper Targeted Opportunities, LP · CIK 0001680619 · 10% owner

MICHAS ALEXIS P · CIK 0001044005 · 10% owner

Bartholdson John A. · CIK 0001382909 · Director · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · John A. Bartholdson

Disclosed balance after: 8,052

F7 · ownership.nature: Represents securities held of record by John A. Bartholdson.

SEC source: 0001019056-19-000668 · ownership.xml · nonDerivative · entry 3

Juniper Investment Company, LLC · CIK 0001794034 · 10% owner

Juniper Targeted Opportunities, LP · CIK 0001680619 · 10% owner

MICHAS ALEXIS P · CIK 0001044005 · 10% owner

Bartholdson John A. · CIK 0001382909 · Director · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · Juniper Targeted Opportunity Fund, L.P.

Disclosed balance after: 677,450

F1 · ownership.nature: Represents securities held of record by Juniper Targeted Opportunity Fund, L.P. ("Juniper Fund").

SEC source: 0001019056-19-000668 · ownership.xml · nonDerivative · entry 2

Juniper Investment Company, LLC · CIK 0001794034 · 10% owner

Juniper Targeted Opportunities, LP · CIK 0001680619 · 10% owner

MICHAS ALEXIS P · CIK 0001044005 · 10% owner

Bartholdson John A. · CIK 0001382909 · Director · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · Juniper Targeted Opportunity Fund, L.P.

Disclosed balance after: 676,084

F1 · ownership.nature: Represents securities held of record by Juniper Targeted Opportunity Fund, L.P. ("Juniper Fund").

SEC source: 0001019056-19-000668 · ownership.xml · nonDerivative · entry 1

Juniper Investment Company, LLC · CIK 0001794034 · 10% owner

Juniper Targeted Opportunities, LP · CIK 0001680619 · 10% owner

MICHAS ALEXIS P · CIK 0001044005 · 10% owner

Bartholdson John A. · CIK 0001382909 · Director · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · Juniper Targeted Opportunity Fund, L.P.

Disclosed balance after: 602,484

F1 · ownership.nature: Represents securities held of record by Juniper Targeted Opportunity Fund, L.P. ("Juniper Fund").

SEC source: 0001019056-19-000664 · ownership.xml · nonDerivative · entry 3

Juniper Investment Company, LLC · CIK 0001794034 · 10% owner

Juniper Targeted Opportunities, LP · CIK 0001680619 · 10% owner

MICHAS ALEXIS P · CIK 0001044005 · 10% owner

Bartholdson John A. · CIK 0001382909 · Director · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · Juniper Targeted Opportunity Fund, L.P.

Disclosed balance after: 596,334

F1 · ownership.nature: Represents securities held of record by Juniper Targeted Opportunity Fund, L.P. ("Juniper Fund").

SEC source: 0001019056-19-000664 · ownership.xml · nonDerivative · entry 2

Juniper Investment Company, LLC · CIK 0001794034 · 10% owner

Juniper Targeted Opportunities, LP · CIK 0001680619 · 10% owner

MICHAS ALEXIS P · CIK 0001044005 · 10% owner

Bartholdson John A. · CIK 0001382909 · Director · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · Juniper Targeted Opportunity Fund, L.P.

Disclosed balance after: 476,528

F1 · ownership.nature: Represents securities held of record by Juniper Targeted Opportunity Fund, L.P. ("Juniper Fund").

SEC source: 0001019056-19-000664 · ownership.xml · nonDerivative · entry 1

Juniper Investment Company, LLC · CIK 0001794034 · 10% owner

Juniper Targeted Opportunities, LP · CIK 0001680619 · 10% owner

MICHAS ALEXIS P · CIK 0001044005 · 10% owner

Bartholdson John A. · CIK 0001382909 · Director · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · Juniper Targeted Opportunity Fund, L.P.

Disclosed balance after: 462,302

F1 · ownership.nature: Represents securities held of record by Juniper Targeted Opportunity Fund, L.P. ("Juniper Fund").