person · Reporting owner

MATLIN DAVID J

Disclosed activity across 7 companies

Tapewire entity: 23297
SEC CIK: 0001251956

Reported relationships

Latest disclosed role at each company.

Company	Last reported as	Report date	Published
CalAtlantic Group, Inc.CAA · Entity 169490	10% owner	June 14, 2017	June 15, 2017
Clene Inc.CLNN · Entity 7166	Director	September 16, 2026	September 18, 2026
FLAGSTAR BANCORP INC(NYSE:FBC) · Entity 121881	Director	January 20, 2021	January 21, 2021
MedAvail Holdings, Inc.MYOS · Entity 94590	10% owner	March 06, 2020	March 10, 2020
TriSalus Life Sciences, Inc.TLSI · Entity 5872	Director	May 14, 2026	May 15, 2026
U.S. WELL SERVICES HOLDINGS, LLCUSWS · Entity 122531	Director	March 02, 2022	March 04, 2022

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.

CalAtlantic Group, Inc.

Report date June 14, 2017 · Filed June 15, 2017

Jointly reported with MP CA Homes LLC, MatlinPatterson Global Opportunities Partners III LP, MatlinPatterson Global Opportunities Partners (Cayman) III LP, MatlinPatterson Global Partners III LLC, MATLINPATTERSON GLOBAL ADVISERS LLC, MatlinPatterson PE Holdings LLC, MATLINPATTERSON LLC

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	28,332,549	Reported balance After 2017-06-14 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2017-06-14 · Sale · Disposed 14,510,008 · Balance 28,332,549 F1: MP CA Homes LLC was the direct owner of 42,842,557 shares of Common Stock. On June 14, 2017, MP CA Homes LLC sold 11,500,000 shares of Common Stock in an underwritten public offering and 3,010,008 shares of Common Stock to the Issuer in a direct share repurchase. MatlinPatterson Global Opportunities Partners III L.P. and MatlinPatterson Global Opportunities Partners (Cayman) III L.P. (together, "the Funds"), hold 100 percent of the membership interests in MP CA Homes LLC. MatlinPatterson Global Partners III LLC (the "General Partner") is the general partner of the Funds. MatlinPatterson Global Advisers LLC (the "Adviser") is the investment adviser to the Funds. MatlinPatterson PE Holdings LLC holds 100 percent of the voting interest and equity of the Adviser and the General Partner. (Continued in footnote 2) F2: MatlinPatterson LLC holds 100 percent of the equity of MatlinPatterson PE Holdings LLC. Other than MP CA Homes LLC, each of the foregoing reporting persons disclaims beneficial ownership of the shares held by MP CA Homes LLC, except to the extent that such reporting person holds an indirect pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose. F3: David J. Matlin is an employee of the Adviser and a holder of 100 percent of the membership interests in MatlinPatterson LLC. He also has an indirect pecuniary interest in the Funds. His exact pecuniary interest therein is not readily determinable because it is subject to several variables, including without limitation, the internal rates of return of the Funds overall with respect to their indirect investment in the Issuer. David J. Matlin disclaims beneficial ownership of any of the reported securities except to the extent of his pecuniary interest therein.

Filing footnotes · ownership attribution and instrument terms

F1: MP CA Homes LLC was the direct owner of 42,842,557 shares of Common Stock. On June 14, 2017, MP CA Homes LLC sold 11,500,000 shares of Common Stock in an underwritten public offering and 3,010,008 shares of Common Stock to the Issuer in a direct share repurchase. MatlinPatterson Global Opportunities Partners III L.P. and MatlinPatterson Global Opportunities Partners (Cayman) III L.P. (together, "the Funds"), hold 100 percent of the membership interests in MP CA Homes LLC. MatlinPatterson Global Partners III LLC (the "General Partner") is the general partner of the Funds. MatlinPatterson Global Advisers LLC (the "Adviser") is the investment adviser to the Funds. MatlinPatterson PE Holdings LLC holds 100 percent of the voting interest and equity of the Adviser and the General Partner. (Continued in footnote 2)

F2: MatlinPatterson LLC holds 100 percent of the equity of MatlinPatterson PE Holdings LLC. Other than MP CA Homes LLC, each of the foregoing reporting persons disclaims beneficial ownership of the shares held by MP CA Homes LLC, except to the extent that such reporting person holds an indirect pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.

F3: David J. Matlin is an employee of the Adviser and a holder of 100 percent of the membership interests in MatlinPatterson LLC. He also has an indirect pecuniary interest in the Funds. His exact pecuniary interest therein is not readily determinable because it is subject to several variables, including without limitation, the internal rates of return of the Funds overall with respect to their indirect investment in the Issuer. David J. Matlin disclaims beneficial ownership of any of the reported securities except to the extent of his pecuniary interest therein.

Clene Inc.

Report date September 16, 2026 · Filed September 18, 2026

Security / award	Ownership account	Disclosed shares / units	Disclosure context
common stockSEC Table I · non-derivative	Direct	912,275	Reported balance After 2026-09-16 transaction · row 1 Account or security details depend on footnotes; rows are not merged. 1 source row Row 1 · 2026-09-16 · Grant · Acquired 434,451 · Balance 912,275 F1: Mr. Matlin purchased 434,451 shares of common stock of Clene Inc. for a purchase price of $3.28 per share in a registered direct offering directly from the Issuer. The issuance of such securities was approved by the Issuer's board of directors in accordance with Rule 16 (b)-3 of the Securities Exchange Act of 1934, as amended.
common stockSEC Table I · non-derivative	IndirectBy trust	7,500	Reported balance Holding disclosure · report date 2026-09-16 · row 2 Holding and transaction disclosures are not merged. 1 source row Row 2 · Balance 7,500 F2: The securities are owned by the Matlin Family Trust 2020. Mr. Matlin is the trustee of the Matlin Family Trust 2020. The shares owned by the Matlin Family Trust 2020 may be beneficially owned by Mr. Matlin.

Filing footnotes · ownership attribution and instrument terms

F1: Mr. Matlin purchased 434,451 shares of common stock of Clene Inc. for a purchase price of $3.28 per share in a registered direct offering directly from the Issuer. The issuance of such securities was approved by the Issuer's board of directors in accordance with Rule 16 (b)-3 of the Securities Exchange Act of 1934, as amended.

F2: The securities are owned by the Matlin Family Trust 2020. Mr. Matlin is the trustee of the Matlin Family Trust 2020. The shares owned by the Matlin Family Trust 2020 may be beneficially owned by Mr. Matlin.

FLAGSTAR BANCORP INC

Report date January 20, 2021 · Filed January 21, 2021

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Flagstar Bancorp, Inc. Common StockSEC Table I · non-derivative	Direct	2,867	Reported balance After 2021-01-20 transaction · row 1 1 source row Row 1 · 2021-01-20 · Grant · Acquired 2,426 · Balance 2,867

MedAvail Holdings, Inc.

Report date March 06, 2020 · Filed March 10, 2020

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	1,267,477	Reported balance After 2020-03-06 transaction · row 1 1 source row Row 1 · 2020-03-06 · Purchase · Acquired 206,611 · Balance 1,267,477

TriSalus Life Sciences, Inc.

Report date May 14, 2026 · Filed May 15, 2026

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	1,323,210	Ending reported balance After 2026-05-14 transaction · row 2 2 source rows · reconciled sequence Row 1 · 2026-05-14 · Grant · Acquired 28,201 · Balance 1,300,145 F1: Represents grant of restricted stock units (the "RSU Award") payable solely in common stock of the Issuer. The shares subject to the RSU award shall fully vest on the one-year anniversary of the grant date of May 14, 2026, subject to the Reporting Person's continued service with the Issuer. Row 2 · 2026-05-14 · Grant · Acquired 23,065 · Balance 1,323,210 F2: Represents grant of restricted stock units (the "Retainer RSU Award") payable solely in common stock of the Issuer. The Reporting Person elected to receive the Retainer RSU Award in lieu of 2026 board service retainer cash fees provided for under the Issuer's Non-Employee Director Compensation Policy. The shares subject to the Retainer RSU Award shall vest quarterly in equal one-third installments through the remainder of 2026, subject to the Reporting Person's continued service with the Issuer.
Director Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.52 · Expires 2036-05-13	Direct	121,403	Reported balance After 2026-05-14 transaction · row 3 Instrument identity requires review; Table II rows are not merged. 1 source row Row 3 · 2026-05-14 · Grant · Acquired 56,403 · Balance 121,403 F3: The shares subject to the option shall fully vest on the one-year anniversary of the grant date of May 14, 2026, subject to the Reporting Person's continued service with the Issuer.

Filing footnotes · ownership attribution and instrument terms

F1: Represents grant of restricted stock units (the "RSU Award") payable solely in common stock of the Issuer. The shares subject to the RSU award shall fully vest on the one-year anniversary of the grant date of May 14, 2026, subject to the Reporting Person's continued service with the Issuer.

F2: Represents grant of restricted stock units (the "Retainer RSU Award") payable solely in common stock of the Issuer. The Reporting Person elected to receive the Retainer RSU Award in lieu of 2026 board service retainer cash fees provided for under the Issuer's Non-Employee Director Compensation Policy. The shares subject to the Retainer RSU Award shall vest quarterly in equal one-third installments through the remainder of 2026, subject to the Reporting Person's continued service with the Issuer.

F3: The shares subject to the option shall fully vest on the one-year anniversary of the grant date of May 14, 2026, subject to the Reporting Person's continued service with the Issuer.

U.S. WELL SERVICES HOLDINGS, LLC

Report date March 02, 2022 · Filed March 04, 2022

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Warrants (right to buy)SEC Table II · derivative / convertible security	Direct	697,674	Reported balance After 2022-03-02 transaction · row 1 Instrument identity requires review; Table II rows are not merged. 1 source row Row 1 · 2022-03-02 · Grant · Acquired 697,674 · Balance 697,674 F1: Reflects the issuance by the Issuer of 697,674 warrants ("Warrants") exercisable for shares of Class A common stock of the Issuer, par value $0.0001 per share ("Class A Common Stock"), to the Reporting Person on March 2, 2022 in connection with the entry into that certain Joinder to Senior Secured Term Loan Agreement dated March 1, 2022 (the "Joinder to Credit Agreement") and the extension of a $1.5 million term loan to a subsidiary of the Issuer, and pursuant to the applicable Warrant Agreement (the "Warrant Agreement"). F2: In accordance with the Warrant Agreement, the exercise price of the Warrants is $1.29 per share, subject to adjustment for stock splits, combinations, certain distributions or similar events in accordance with the terms of the Warrant Agreement. All or any portion of the Warrants issued pursuant to the Warrant Agreement may be exercised by the Reporting Person at any time prior to expiration in accordance with the terms of the Warrant Agreement. The Warrants expire on March 1, 2028. F3: Upon exercise by the Reporting Person, pursuant to the Warrant Agreement, the Warrants are required to be net settled in shares of Class A Common Stock, on a cashless basis based on the difference between (i) the volume weighted average price of Class A Common Stock as reported during the ten trading day period ending on the second trading day prior to the date on which the notice of exercise is delivered to the warrant agent and (ii) the then-applicable exercise price, in each case, at the time of exercise. F4: As a result, the number of shares of Class A Common Stock issuable upon exercise of the Warrants cannot be determined at this time; however, in no event will the Warrants be exercisable for more than 697,674 shares of Class A Common Stock (subject to adjustment for stock splits, combinations, certain distributions or similar events).

Filing footnotes · ownership attribution and instrument terms

F1: Reflects the issuance by the Issuer of 697,674 warrants ("Warrants") exercisable for shares of Class A common stock of the Issuer, par value $0.0001 per share ("Class A Common Stock"), to the Reporting Person on March 2, 2022 in connection with the entry into that certain Joinder to Senior Secured Term Loan Agreement dated March 1, 2022 (the "Joinder to Credit Agreement") and the extension of a $1.5 million term loan to a subsidiary of the Issuer, and pursuant to the applicable Warrant Agreement (the "Warrant Agreement").

F2: In accordance with the Warrant Agreement, the exercise price of the Warrants is $1.29 per share, subject to adjustment for stock splits, combinations, certain distributions or similar events in accordance with the terms of the Warrant Agreement. All or any portion of the Warrants issued pursuant to the Warrant Agreement may be exercised by the Reporting Person at any time prior to expiration in accordance with the terms of the Warrant Agreement. The Warrants expire on March 1, 2028.

F3: Upon exercise by the Reporting Person, pursuant to the Warrant Agreement, the Warrants are required to be net settled in shares of Class A Common Stock, on a cashless basis based on the difference between (i) the volume weighted average price of Class A Common Stock as reported during the ten trading day period ending on the second trading day prior to the date on which the notice of exercise is delivered to the warrant agent and (ii) the then-applicable exercise price, in each case, at the time of exercise.

F4: As a result, the number of shares of Class A Common Stock issuable upon exercise of the Warrants cannot be determined at this time; however, in no event will the Warrants be exercisable for more than 697,674 shares of Class A Common Stock (subject to adjustment for stock splits, combinations, certain distributions or similar events).

Past disclosures · reporting ended (1)

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

Lonestar Resources US Inc.

Report date October 05, 2021 · Filed October 21, 2021

Section 16 reporting ended · disclosed 2021-10-21. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	0	Reported balance After 2021-10-05 transaction · row 1 1 source row Row 1 · 2021-10-05 · Disposition to issuer · Disposed 1,909,786 · Balance 0 F1: On October 5, 2021, pursuant to the Agreement and Plan of Merger dated as of July 10, 2021 (the "Merger Agreement"), by and among Penn Virginia Corporation ("Penn Virginia"), Lonestar Resources US Inc. ("Lonestar") and the other parties thereto, Upsilon Merger Sub Inc. merged with and into Lonestar (the "First Merger"), with Lonestar surviving the First Merger as the surviving corporation (the "Surviving Corporation"), and, following the First Merger, the Surviving Corporation merged with and into Pi Merger Sub LLC ("Merger Sub LLC"), with Merger Sub LLC continuing as the surviving entity. Pursuant to the Merger Agreement, each share of Lonestar common stock issued and outstanding immediately prior to the effective time of the First Merger was converted into the right to receive 0.51 shares of Penn Virginia common stock. F2: On October 4, 2021 (the day prior to the effective time of the First Merger), the closing price of one share of Penn Virginia common stock was $32.32.

Filing footnotes · ownership attribution and instrument terms

F1: On October 5, 2021, pursuant to the Agreement and Plan of Merger dated as of July 10, 2021 (the "Merger Agreement"), by and among Penn Virginia Corporation ("Penn Virginia"), Lonestar Resources US Inc. ("Lonestar") and the other parties thereto, Upsilon Merger Sub Inc. merged with and into Lonestar (the "First Merger"), with Lonestar surviving the First Merger as the surviving corporation (the "Surviving Corporation"), and, following the First Merger, the Surviving Corporation merged with and into Pi Merger Sub LLC ("Merger Sub LLC"), with Merger Sub LLC continuing as the surviving entity. Pursuant to the Merger Agreement, each share of Lonestar common stock issued and outstanding immediately prior to the effective time of the First Merger was converted into the right to receive 0.51 shares of Penn Virginia common stock.

F2: On October 4, 2021 (the day prior to the effective time of the First Merger), the closing price of one share of Penn Virginia common stock was $32.32.

Transaction history

JSON API

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
June 14, 2022 Filed Jun 16, 2022 11:13 UTC	Clene Inc. CLNN · Entity 7166	PurchaseCommon Stock	51,011	$2.66	$135,689.26	Disclosure SEC source: 0001562180-22-005128 · primarydocument.xml · nonDerivative · entry 1 MATLIN DAVID J · CIK 0001251956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,227,787 F1 · price: Mr. Matlin purchased 51,011 shares of common stock of Clene Inc. in multiple transactions on June 14, 2022 at prices ranging from $2.57 to $2.72, inclusive, for a weighted average price of $2.66 per share. Read SEC document
June 13, 2022 Filed Jun 14, 2022 10:06 UTC	Clene Inc. CLNN · Entity 7166	PurchaseCommon Stock	55,000	$3.06	$168,300.00	Disclosure SEC source: 0001562180-22-005087 · primarydocument.xml · nonDerivative · entry 1 MATLIN DAVID J · CIK 0001251956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,176,776 F1 · price: Mr. Matlin purchased 55,000 shares of common stock of Clene Inc. in multiple transactions on June 13, 2022 at prices ranging from $3.02 to $3.10, inclusive, for a weighted average price of $3.06 per share. Read SEC document
June 06, 2022 Filed Jun 7, 2022 10:37 UTC	Clene Inc. CLNN · Entity 7166	PurchaseCommon Stock	50,670	$2.57	$130,221.90	Disclosure SEC source: 0001562180-22-004863 · primarydocument.xml · nonDerivative · entry 2 MATLIN DAVID J · CIK 0001251956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,121,776 F2 · price: Mr. Matlin purchased 50,670 shares of common stock of Clene Inc. in multiple transactions on June 6, 2022 at prices ranging from $2.52 to $2.71, inclusive, for a weighted average price of $2.57 per share. Read SEC document
June 03, 2022 Filed Jun 7, 2022 10:37 UTC	Clene Inc. CLNN · Entity 7166	PurchaseCommon Stock	10,000	$2.46	$24,600.00	Disclosure SEC source: 0001562180-22-004863 · primarydocument.xml · nonDerivative · entry 1 MATLIN DAVID J · CIK 0001251956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,071,106 F1 · price: Mr. Matlin purchased 10,000 shares of common stock of Clene Inc. in multiple transactions on June 3, 2022 at prices ranging from $2.37 to $2.53, inclusive, for a weighted average price of $2.46 per share. Read SEC document
May 27, 2022 Filed May 27, 2022 20:37 UTC	Clene Inc. CLNN · Entity 7166	PurchaseCommon Stock	35,000	$2.27	$79,450.00	Disclosure SEC source: 0001562180-22-004547 · primarydocument.xml · nonDerivative · entry 1 MATLIN DAVID J · CIK 0001251956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,061,106 F1 · shares: Mr. Matlin purchased 35,000 shares of common stock of Clene Inc. in multiple transactions on May 27, 2022 at prices ranging from $2.11 to $2.35, inclusive, for a weighted average price of $2.27 per share. Read SEC document
May 16, 2022 Filed May 18, 2022 13:00 UTC	Clene Inc. CLNN · Entity 7166	PurchaseCommon Stock	181,818	$2.20	$399,999.60	Disclosure SEC source: 0001562180-22-004175 · primarydocument.xml · nonDerivative · entry 1 MATLIN DAVID J · CIK 0001251956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,026,106 F1 · shares: Mr. Matlin purchased 181,818 shares of common stock of Clene Inc. on May 16, 2022 for a purchase price of $2.20 per share. Read SEC document
May 05, 2022 Filed May 6, 2022 15:53 UTC	Clene Inc. CLNN · Entity 7166	GrantStock Options (Right to buy) · Derivative	30,000	$0.00 Strike: $2.89	$0.00	Disclosure SEC source: 0001562180-22-003852 · primarydocument.xml · derivative · entry 2 MATLIN DAVID J · CIK 0001251956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,000 Underlying: Common Stock · 30,000 shares Expires 2032-05-05 F2 · derivative.exercise_date: This option was granted on May 5, 2022 as an option for 30,000 shares of Common Stock under the Clene Inc. 2020 Stock Plan at an exercise price of $2.89 per share. The options vest in 12 equal installments of Common Stock on the 5th day of each calendar month, beginning June 5, 2022, until such shares are fully vested. Read SEC document
May 05, 2022 Filed May 6, 2022 15:53 UTC	Clene Inc. CLNN · Entity 7166	GrantStock Options (Right to buy) · Derivative	8,920	$0.00 Strike: $2.89	$0.00	Disclosure SEC source: 0001562180-22-003852 · primarydocument.xml · derivative · entry 1 MATLIN DAVID J · CIK 0001251956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,920 Underlying: Common Stock · 8,920 shares Expires 2032-05-05 F1 · derivative.exercise_date: This option was granted on May 5, 2022 as an option for 8,920 shares of Common Stock under the Clene Inc. 2020 Stock Plan at an exercise price of $2.89 per share. The options vest immediately upon grant. Read SEC document
April 20, 2022 Filed Apr 21, 2022 12:48 UTC	Clene Inc. CLNN · Entity 7166	PurchaseCommon Stock	132,891	$3.01	$400,001.91	Disclosure SEC source: 0001562180-22-003501 · primarydocument.xml · nonDerivative · entry 1 MATLIN DAVID J · CIK 0001251956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,844,288 F1 · shares: Mr. Matlin purchased 132,891 shares of common stock of Clene Inc. on April 20, 2022 for a purchase price of $3.01 per share. Read SEC document
March 29, 2022 Filed Mar 30, 2022 12:56 UTC	Clene Inc. CLNN · Entity 7166	PurchaseCommon Stock	8,648	$3.23	$27,933.04	Disclosure SEC source: 0001562180-22-002993 · primarydocument.xml · nonDerivative · entry 2 MATLIN DAVID J · CIK 0001251956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,711,397 F2 · price: Mr. Matlin purchased 8,648 shares of common stock of Clene Inc. in multiple transactions on March 29, 2022 at prices ranging from $3.20 to $3.28, inclusive, for a weighted average price of $3.23 per share. Read SEC document
March 28, 2022 Filed Mar 30, 2022 12:56 UTC	Clene Inc. CLNN · Entity 7166	PurchaseCommon Stock	10,000	$3.10	$31,000.00	Disclosure SEC source: 0001562180-22-002993 · primarydocument.xml · nonDerivative · entry 1 MATLIN DAVID J · CIK 0001251956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,702,749 F1 · price: Mr. Matlin purchased 10,000 shares of common stock of Clene Inc. in multiple transactions on March 28, 2022 at prices ranging from $2.97 to $3.22, inclusive, for a weighted average price of $3.10 per share. Read SEC document
March 24, 2022 Filed Mar 25, 2022 13:32 UTC	Clene Inc. CLNN · Entity 7166	PurchaseCommon Stock	20,000	$2.99	$59,800.00	Disclosure SEC source: 0001562180-22-002945 · primarydocument.xml · nonDerivative · entry 2 MATLIN DAVID J · CIK 0001251956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,692,749 F2 · price: Mr. Matlin purchased 20,000 shares of common stock of Clene Inc. in multiple transactions on March 24, 2022 at prices ranging from $2.91 to $3.05, inclusive, for a weighted average price of $2.99 per share. Read SEC document
March 23, 2022 Filed Mar 25, 2022 13:32 UTC	Clene Inc. CLNN · Entity 7166	PurchaseCommon Stock	20,000	$2.94	$58,800.00	Disclosure SEC source: 0001562180-22-002945 · primarydocument.xml · nonDerivative · entry 1 MATLIN DAVID J · CIK 0001251956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,672,749 F1 · price: Mr. Matlin purchased 20,000 shares of common stock of Clene Inc. in multiple transactions on March 23, 2022 at prices ranging from $2.85 to $3.01, inclusive, for a weighted average price of $2.94 per share. Read SEC document
March 21, 2022 Filed Mar 22, 2022 14:06 UTC	Clene Inc. CLNN · Entity 7166	PurchaseCommon Stock	35,000	$2.90	$101,500.00	Disclosure SEC source: 0001562180-22-002861 · primarydocument.xml · nonDerivative · entry 2 MATLIN DAVID J · CIK 0001251956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,652,749 F2 · price: Mr. Matlin purchased 35,000 shares of common stock of Clene Inc. in multiple transactions on March 21, 2022 at prices ranging from $2.73 to $3.07, inclusive, for a weighted average price of $2.90 per share. Read SEC document
March 18, 2022 Filed Mar 22, 2022 14:06 UTC	Clene Inc. CLNN · Entity 7166	PurchaseCommon Stock	20,000	$2.79	$55,800.00	Disclosure SEC source: 0001562180-22-002861 · primarydocument.xml · nonDerivative · entry 1 MATLIN DAVID J · CIK 0001251956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,617,749 F1 · price: Mr. Matlin purchased 20,000 shares of common stock of Clene Inc. in multiple transactions on March 18, 2022 at prices ranging from $2.64 to $2.90, inclusive, for a weighted average price of $2.79 per share. Read SEC document
March 02, 2022 Filed Mar 4, 2022 11:53 UTC	U.S. WELL SERVICES HOLDINGS, LLC USWS · Entity 122531	GrantWarrants (right to buy) · Derivative	697,674	Not disclosed	Not disclosed	Disclosure SEC source: 0001209191-22-016128 · doc4.xml · derivative · entry 1 MATLIN DAVID J · CIK 0001251956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 697,674 Underlying: Class A Common Stock · Not disclosed shares Expires not disclosed F1 · security: Reflects the issuance by the Issuer of 697,674 warrants ("Warrants") exercisable for shares of Class A common stock of the Issuer, par value $0.0001 per share ("Class A Common Stock"), to the Reporting Person on March 2, 2022 in connection with the entry into that certain Joinder to Senior Secured Term Loan Agreement dated March 1, 2022 (the "Joinder to Credit Agreement") and the extension of a $1.5 million term loan to a subsidiary of the Issuer, and pursuant to the applicable Warrant Agreement (the "Warrant Agreement"). F2 · derivative.exercise_price: In accordance with the Warrant Agreement, the exercise price of the Warrants is $1.29 per share, subject to adjustment for stock splits, combinations, certain distributions or similar events in accordance with the terms of the Warrant Agreement. All or any portion of the Warrants issued pursuant to the Warrant Agreement may be exercised by the Reporting Person at any time prior to expiration in accordance with the terms of the Warrant Agreement. The Warrants expire on March 1, 2028. F1 · price: Reflects the issuance by the Issuer of 697,674 warrants ("Warrants") exercisable for shares of Class A common stock of the Issuer, par value $0.0001 per share ("Class A Common Stock"), to the Reporting Person on March 2, 2022 in connection with the entry into that certain Joinder to Senior Secured Term Loan Agreement dated March 1, 2022 (the "Joinder to Credit Agreement") and the extension of a $1.5 million term loan to a subsidiary of the Issuer, and pursuant to the applicable Warrant Agreement (the "Warrant Agreement"). F2 · derivative.exercise_date: In accordance with the Warrant Agreement, the exercise price of the Warrants is $1.29 per share, subject to adjustment for stock splits, combinations, certain distributions or similar events in accordance with the terms of the Warrant Agreement. All or any portion of the Warrants issued pursuant to the Warrant Agreement may be exercised by the Reporting Person at any time prior to expiration in accordance with the terms of the Warrant Agreement. The Warrants expire on March 1, 2028. F2 · derivative.expiration_date: In accordance with the Warrant Agreement, the exercise price of the Warrants is $1.29 per share, subject to adjustment for stock splits, combinations, certain distributions or similar events in accordance with the terms of the Warrant Agreement. All or any portion of the Warrants issued pursuant to the Warrant Agreement may be exercised by the Reporting Person at any time prior to expiration in accordance with the terms of the Warrant Agreement. The Warrants expire on March 1, 2028. F3 · derivative.underlying_shares: Upon exercise by the Reporting Person, pursuant to the Warrant Agreement, the Warrants are required to be net settled in shares of Class A Common Stock, on a cashless basis based on the difference between (i) the volume weighted average price of Class A Common Stock as reported during the ten trading day period ending on the second trading day prior to the date on which the notice of exercise is delivered to the warrant agent and (ii) the then-applicable exercise price, in each case, at the time of exercise. F4 · derivative.underlying_shares: As a result, the number of shares of Class A Common Stock issuable upon exercise of the Warrants cannot be determined at this time; however, in no event will the Warrants be exercisable for more than 697,674 shares of Class A Common Stock (subject to adjustment for stock splits, combinations, certain distributions or similar events). F3 · balance_after: Upon exercise by the Reporting Person, pursuant to the Warrant Agreement, the Warrants are required to be net settled in shares of Class A Common Stock, on a cashless basis based on the difference between (i) the volume weighted average price of Class A Common Stock as reported during the ten trading day period ending on the second trading day prior to the date on which the notice of exercise is delivered to the warrant agent and (ii) the then-applicable exercise price, in each case, at the time of exercise. F4 · balance_after: As a result, the number of shares of Class A Common Stock issuable upon exercise of the Warrants cannot be determined at this time; however, in no event will the Warrants be exercisable for more than 697,674 shares of Class A Common Stock (subject to adjustment for stock splits, combinations, certain distributions or similar events). Read SEC document
February 03, 2022 Filed Feb 4, 2022 17:35 UTC	Clene Inc. CLNN · Entity 7166	GrantStock Options (Right to buy) · Derivative	9,701	$0.00 Strike: $2.71	$0.00	Disclosure SEC source: 0001562180-22-001119 · primarydocument.xml · derivative · entry 1 MATLIN DAVID J · CIK 0001251956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,701 Underlying: Common Stock · 9.701 shares Expires 2032-02-03 F1 · derivative.exercise_date: This option was granted on February 3, 2022 as an option for 9,701 shares of Common Stock under the Clene Inc. 2020 Stock Plan at an exercise price of $2.71 per share. The options vest immediately upon grant. Read SEC document
February 01, 2022 Filed Feb 2, 2022 20:08 UTC	Clene Inc. CLNN · Entity 7166	PurchaseCommon Stock	101,352	$2.96	$300,001.92	Disclosure SEC source: 0001562180-22-000901 · primarydocument.xml · nonDerivative · entry 1 MATLIN DAVID J · CIK 0001251956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,597,749 F1 · shares: Mr. Matlin purchased 101,352 shares of common stock of Clene Inc. on February 1, 2022 for a purchase price of $2.96 per share. Read SEC document
December 10, 2021 Filed Dec 10, 2021 19:55 UTC	Clene Inc. CLNN · Entity 7166	PurchaseCommon Stock	15,000	$4.87	$73,050.00	Disclosure SEC source: 0001562180-21-007620 · primarydocument.xml · nonDerivative · entry 3 MATLIN DAVID J · CIK 0001251956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,496,397 F3 · price: Mr. Matlin purchased 15,000 shares of common stock of Clene Inc. in multiple transactions on December 10, 2021 at prices ranging from $4.77 to $4.94, inclusive, for a weighted average price of $4.87 per share. Read SEC document
December 09, 2021 Filed Dec 10, 2021 19:55 UTC	Clene Inc. CLNN · Entity 7166	PurchaseCommon Stock	40,000	$5.00	$200,000.00	Disclosure SEC source: 0001562180-21-007620 · primarydocument.xml · nonDerivative · entry 2 MATLIN DAVID J · CIK 0001251956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,481,397 F2 · price: Mr. Matlin purchased 40,000 shares of common stock of Clene Inc. in multiple transactions on December 9, 2021 at prices ranging from $4.90 to $5.10, inclusive, for a weighted average price of $5.00 per share. Read SEC document
December 08, 2021 Filed Dec 10, 2021 19:55 UTC	Clene Inc. CLNN · Entity 7166	PurchaseCommon Stock	5,000	$4.93	$24,650.00	Disclosure SEC source: 0001562180-21-007620 · primarydocument.xml · nonDerivative · entry 1 MATLIN DAVID J · CIK 0001251956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,441,397 F1 · price: Mr. Matlin purchased 5,000 shares of common stock of Clene Inc. in multiple transactions on December 8, 2021 at prices ranging from $4.91 to $4.95, inclusive, for a weighted average price of $4.93 per share. Read SEC document
December 06, 2021 Filed Dec 8, 2021 17:17 UTC	Clene Inc. CLNN · Entity 7166	OtherWarrants (Right to buy) · Derivative	50,000	$0.00 Strike: $0.01	$0.00	Disclosure SEC source: 0001562180-21-007553 · primarydocument.xml · derivative · entry 4 MATLIN DAVID J · CIK 0001251956 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By trust Disclosed balance after: 0 Underlying: Common Stock · 50,000 shares Expires 2021-12-31 F2 · shares: The Matlin Family Trust 2020 exercised its warrant right and acquired 50,000 shares of common stock of Clene Inc for $0.01 per share. F3 · ownership.nature: The securities are owned by the Matlin Family Trust 2020. Mr. Matlin is the trustee of the Matlin Family Trust 2020. The shares owned by the Matlin Family Trust 2020 may be deemed to be beneficially owned by Mr. Matlin. Read SEC document
December 06, 2021 Filed Dec 8, 2021 17:17 UTC	Clene Inc. CLNN · Entity 7166	OtherWarrants (Right to buy) · Derivative	12,500	$0.00 Strike: $0.01	$0.00	Disclosure SEC source: 0001562180-21-007553 · primarydocument.xml · derivative · entry 3 MATLIN DAVID J · CIK 0001251956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 12,500 shares Expires 2021-12-31 F1 · shares: Mr. Matlin exercised his warrant right and acquired 12,500 shares of common stock of Clene Inc for $0.01 per share. Read SEC document
December 06, 2021 Filed Dec 8, 2021 17:17 UTC	Clene Inc. CLNN · Entity 7166	OtherCommon Stock	50,000	$0.01	$500.00	Disclosure SEC source: 0001562180-21-007553 · primarydocument.xml · nonDerivative · entry 2 MATLIN DAVID J · CIK 0001251956 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By trust Disclosed balance after: 150,000 F2 · shares: The Matlin Family Trust 2020 exercised its warrant right and acquired 50,000 shares of common stock of Clene Inc for $0.01 per share. F3 · ownership.nature: The securities are owned by the Matlin Family Trust 2020. Mr. Matlin is the trustee of the Matlin Family Trust 2020. The shares owned by the Matlin Family Trust 2020 may be deemed to be beneficially owned by Mr. Matlin. Read SEC document
December 06, 2021 Filed Dec 8, 2021 17:17 UTC	Clene Inc. CLNN · Entity 7166	OtherCommon Stock	12,500	$0.01	$125.00	Disclosure SEC source: 0001562180-21-007553 · primarydocument.xml · nonDerivative · entry 1 MATLIN DAVID J · CIK 0001251956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,436,397 F1 · shares: Mr. Matlin exercised his warrant right and acquired 12,500 shares of common stock of Clene Inc for $0.01 per share. Read SEC document
November 16, 2021 Filed Nov 17, 2021 22:24 UTC	Clene Inc. CLNN · Entity 7166	PurchaseCommon Stock	20,000	$5.26	$105,200.00	Disclosure SEC source: 0001562180-21-007119 · primarydocument.xml · nonDerivative · entry 1 MATLIN DAVID J · CIK 0001251956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,423,897 F1 · ownership.direct: Mr. Matlin purchased 20,000 shares of common stock of Clene Inc. on November 16, 2021 for a purchase price of $5.26 per share. Read SEC document
November 15, 2021 Filed Nov 15, 2021 21:41 UTC	Clene Inc. CLNN · Entity 7166	PurchaseCommon Stock	15,000	$5.71	$85,650.00	Disclosure SEC source: 0001562180-21-007047 · primarydocument.xml · nonDerivative · entry 2 MATLIN DAVID J · CIK 0001251956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,403,897 F2 · ownership.direct: Mr. Matlin purchased 15,000 shares of common stock of Clene Inc. on November 15, 2021 for a purchase price of $5.71 per share. Read SEC document
November 12, 2021 Filed Nov 15, 2021 21:41 UTC	Clene Inc. CLNN · Entity 7166	PurchaseCommon Stock	10,000	$5.37	$53,700.00	Disclosure SEC source: 0001562180-21-007047 · primarydocument.xml · nonDerivative · entry 1 MATLIN DAVID J · CIK 0001251956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,388,897 F1 · ownership.direct: Mr. Matlin purchased 10,000 shares of common stock of Clene Inc. on November 12, 2021 for a purchase price of $5.37 per share. Read SEC document
November 04, 2021 Filed Nov 4, 2021 22:51 UTC	Clene Inc. CLNN · Entity 7166	GrantStock Options (Right to buy) · Derivative	5,651	$0.00 Strike: $4.74	$0.00	Disclosure SEC source: 0001562180-21-006851 · primarydocument.xml · derivative · entry 1 MATLIN DAVID J · CIK 0001251956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,651 Underlying: Common Stock · 5,561 shares Expires 2031-10-04 F1 · derivative.exercise_date: This option was granted on November 4, 2021 as an option for 5,651 shares of Common Stock under the Clene Inc. 2020 Stock Plan at an exercise price of $4.74 per share. The options vest immediately upon grant. Read SEC document
October 05, 2021 Filed Oct 21, 2021 20:22 UTC	Lonestar Resources US Inc. LONE · Entity 134350	Disposition to issuerCommon Stock	1,909,786	Not disclosed	Not disclosed	Disclosure SEC source: 0001104659-21-128471 · tm2130653-1_4seq1.xml · nonDerivative · entry 1 MATLIN DAVID J · CIK 0001251956 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · kind: On October 5, 2021, pursuant to the Agreement and Plan of Merger dated as of July 10, 2021 (the "Merger Agreement"), by and among Penn Virginia Corporation ("Penn Virginia"), Lonestar Resources US Inc. ("Lonestar") and the other parties thereto, Upsilon Merger Sub Inc. merged with and into Lonestar (the "First Merger"), with Lonestar surviving the First Merger as the surviving corporation (the "Surviving Corporation"), and, following the First Merger, the Surviving Corporation merged with and into Pi Merger Sub LLC ("Merger Sub LLC"), with Merger Sub LLC continuing as the surviving entity. Pursuant to the Merger Agreement, each share of Lonestar common stock issued and outstanding immediately prior to the effective time of the First Merger was converted into the right to receive 0.51 shares of Penn Virginia common stock. F1 · price: On October 5, 2021, pursuant to the Agreement and Plan of Merger dated as of July 10, 2021 (the "Merger Agreement"), by and among Penn Virginia Corporation ("Penn Virginia"), Lonestar Resources US Inc. ("Lonestar") and the other parties thereto, Upsilon Merger Sub Inc. merged with and into Lonestar (the "First Merger"), with Lonestar surviving the First Merger as the surviving corporation (the "Surviving Corporation"), and, following the First Merger, the Surviving Corporation merged with and into Pi Merger Sub LLC ("Merger Sub LLC"), with Merger Sub LLC continuing as the surviving entity. Pursuant to the Merger Agreement, each share of Lonestar common stock issued and outstanding immediately prior to the effective time of the First Merger was converted into the right to receive 0.51 shares of Penn Virginia common stock. F2 · price: On October 4, 2021 (the day prior to the effective time of the First Merger), the closing price of one share of Penn Virginia common stock was $32.32. Read SEC document
September 17, 2021 Filed Sep 28, 2021 12:37 UTC	U.S. WELL SERVICES HOLDINGS, LLC USWS · Entity 122531	ConversionSeries B Redeemable Convertible Preferred Stock · Derivative	1,678	Not disclosed	Not disclosed	Disclosure SEC source: 0001104659-21-120098 · tm2128674d2_4seq1.xml · derivative · entry 2 MATLIN DAVID J · CIK 0001251956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class A Common Stock · 7,136,961 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: All shares of Series B Redeemable Convertible Preferred Stock were converted by the Issuer to its Class A Common Stock at a conversion price of $0.308 per share for no additional consideration pursuant to its charter documents. F1 · price: All shares of Series B Redeemable Convertible Preferred Stock were converted by the Issuer to its Class A Common Stock at a conversion price of $0.308 per share for no additional consideration pursuant to its charter documents. F1 · derivative.exercise_date: All shares of Series B Redeemable Convertible Preferred Stock were converted by the Issuer to its Class A Common Stock at a conversion price of $0.308 per share for no additional consideration pursuant to its charter documents. F1 · derivative.expiration_date: All shares of Series B Redeemable Convertible Preferred Stock were converted by the Issuer to its Class A Common Stock at a conversion price of $0.308 per share for no additional consideration pursuant to its charter documents. Read SEC document
September 17, 2021 Filed Sep 28, 2021 12:37 UTC	U.S. WELL SERVICES HOLDINGS, LLC USWS · Entity 122531	ConversionClass A Common Stock	7,136,961	$0.00	$0.00	Disclosure SEC source: 0001104659-21-120098 · tm2128674d2_4seq1.xml · nonDerivative · entry 1 MATLIN DAVID J · CIK 0001251956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,151,564 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
August 05, 2021 Filed Aug 5, 2021 22:32 UTC	Clene Inc. CLNN · Entity 7166	GrantStock Options (Right to buy) · Derivative	2,899	$0.00 Strike: $9.37	$0.00	Disclosure SEC source: 0001562180-21-005201 · primarydocument.xml · derivative · entry 1 MATLIN DAVID J · CIK 0001251956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,899 Underlying: Common Stock · 2,899 shares Expires 2031-08-05 F1 · derivative.exercise_date: This option was granted on August 5, 2021 as an option for 2,899 shares of Common Stock under the Clene Inc. 2020 Stock Plan at an exercise price of $9.37 per share. The options vest immediately upon grant. Read SEC document
May 24, 2021 Filed May 24, 2021 20:24 UTC	Clene Inc. CLNN · Entity 7166	PurchaseCommon Stock	207,684	$9.63	$1,999,996.92	Disclosure SEC source: 0001562180-21-003703 · primarydocument.xml · nonDerivative · entry 1 MATLIN DAVID J · CIK 0001251956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,378,897 F1 · ownership.direct: Mr. Matlin purchased 207,684 shares of common stock of Clene Inc. on May 24, 2021 for a purchase price of $9.63 per share. Read SEC document
May 18, 2021 Filed May 18, 2021 23:28 UTC	Clene Inc. CLNN · Entity 7166	GrantStock Options (Right to buy) · Derivative	3,358	$0.00 Strike: $8.59	$0.00	Disclosure SEC source: 0001562180-21-003578 · primarydocument.xml · derivative · entry 2 MATLIN DAVID J · CIK 0001251956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,358 Underlying: Common Stock · 3,358 shares Expires 2031-05-18 F2 · shares: This option was granted on May18, 2021 as an option for 3,358 shares of Common Stock under the Clene Inc. 2020 Stock Plan at an exercise price of $8.59 per share. The options vest immediately upon grant. F2 · derivative.exercise_date: This option was granted on May18, 2021 as an option for 3,358 shares of Common Stock under the Clene Inc. 2020 Stock Plan at an exercise price of $8.59 per share. The options vest immediately upon grant. Read SEC document
May 18, 2021 Filed May 18, 2021 23:28 UTC	Clene Inc. CLNN · Entity 7166	GrantStock Options (Right to buy) · Derivative	30,000	$0.00 Strike: $8.59	$0.00	Disclosure SEC source: 0001562180-21-003578 · primarydocument.xml · derivative · entry 1 MATLIN DAVID J · CIK 0001251956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,000 Underlying: Common Stock · 30,000 shares Expires 2031-05-18 F1 · shares: This option was granted on May18, 2021 as an option for 30,000 shares of Common Stock under the Clene Inc. 2020 Stock Plan at an exercise price of $8.59 per share. The options vest in 12 equal installments of Common Stock on the 18th day of each calendar month, beginning June 18, 2021, until such shares are fully vested F1 · derivative.exercise_date: This option was granted on May18, 2021 as an option for 30,000 shares of Common Stock under the Clene Inc. 2020 Stock Plan at an exercise price of $8.59 per share. The options vest in 12 equal installments of Common Stock on the 18th day of each calendar month, beginning June 18, 2021, until such shares are fully vested Read SEC document
May 18, 2021 Filed May 25, 2021 19:23 UTC Amendment	Clene Inc. CLNN · Entity 7166	GrantStock Options (Right to buy) · Derivative	30,000	$0.00 Strike: $9.10	$0.00	Disclosure SEC source: 0001562180-21-003725 · primarydocument.xml · derivative · entry 2 MATLIN DAVID J · CIK 0001251956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,000 Underlying: Common Stock · 30,000 shares Expires 2031-05-18 F3 · derivative.exercise_price: This Form 4 amendment is being filed to correct a Form 4 filed on May 18, 2021 to reflect a correction in the exercise price related to the grant of an option for 30,000 shares of common stock of Clene Inc. F4 · derivative.exercise_date: This option was granted on May18, 2021 as an option for 30,000 shares of Common Stock under the Clene Inc. 2020 Stock Plan at an exercise price of $9.10 per share. The options vest in 12 equal installments of Common Stock on the 18th day of each calendar month, beginning June 18, 2021, until such shares are fully vested. Read SEC document
May 18, 2021 Filed May 25, 2021 19:23 UTC Amendment	Clene Inc. CLNN · Entity 7166	GrantStock Options (Right to buy) · Derivative	3,170	$0.00 Strike: $9.10	$0.00	Disclosure SEC source: 0001562180-21-003725 · primarydocument.xml · derivative · entry 1 MATLIN DAVID J · CIK 0001251956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,170 Underlying: Common Stock · 3,170 shares Expires 2031-05-18 F1 · derivative.exercise_price: This Form 4 amendment is being filed to correct a Form 4 filed on May 18, 2021. The corrected exercise price is $9.10 and the corrected number of options granted is 3,170. F2 · derivative.exercise_date: This option was granted on May18, 2021 as an option for 3,170 shares of Common Stock under the Clene Inc. 2020 Stock Plan at an exercise price of $9.10 per share. The options vest immediately upon grant. Read SEC document
April 30, 2021 Filed Apr 30, 2021 21:00 UTC	Clene Inc. CLNN · Entity 7166	GrantStock Options (Right to buy) · Derivative	45,000	$0.00 Strike: $9.00	$0.00	Disclosure SEC source: 0001562180-21-003052 · primarydocument.xml · derivative · entry 1 MATLIN DAVID J · CIK 0001251956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,000 Underlying: Common Stock · 45,000 shares Expires 2031-03-31 F1 · shares: This option was granted on April 30, 2021 as an option for 45,000 shares of Common Stock under the Clene Inc. 2020 Stock Plan at an exercise price of $9.00 per share. The options vest in 36 equal installments of Common Stock on the last day of each calendar month, beginning May 31, 2021, until such shares are fully vested. F1 · derivative.exercise_date: This option was granted on April 30, 2021 as an option for 45,000 shares of Common Stock under the Clene Inc. 2020 Stock Plan at an exercise price of $9.00 per share. The options vest in 36 equal installments of Common Stock on the last day of each calendar month, beginning May 31, 2021, until such shares are fully vested. Read SEC document
January 20, 2021 Filed Jan 21, 2021 16:53 UTC	FLAGSTAR BANCORP INC (NYSE:FBC) · Entity 121881	GrantFlagstar Bancorp, Inc. Common Stock	2,426	$0.00	$0.00	Disclosure SEC source: 0001033012-21-000026 · wf-form4_161126599869022.xml · nonDerivative · entry 1 MATLIN DAVID J · CIK 0001251956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,867 Read SEC document
December 22, 2020 Filed Dec 28, 2020 17:29 UTC	TriSalus Life Sciences, Inc. MTACU · Entity 5872	OtherClass B Common Stock · Derivative	75,000	$0.00	$0.00	Disclosure SEC source: 0001104659-20-139622 · tm2039407d2_4.xml · derivative · entry 1 MATLIN DAVID J · CIK 0001251956 · Director · Chief Financial Officer · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 6,250,000 Underlying: Class A Common Stock · 75,000 shares Expires not disclosed F1 · derivative.exercise_price: The shares of Class B common stock will automatically convert into shares of Class A common stock at the time of the Issuer's initial business combination on a one-for-one basis. The Class B common stock has no expiration date. F2 · kind: As contemplated in connection with the initial public offering of the Issuer, 75,000 shares of Class B common stock of the Issuer were returned by the reporting person to the Issuer for no consideration and cancelled because the underwriters' over-allotment option was not exercised in full. F1 · derivative.exercise_date: The shares of Class B common stock will automatically convert into shares of Class A common stock at the time of the Issuer's initial business combination on a one-for-one basis. The Class B common stock has no expiration date. F1 · derivative.expiration_date: The shares of Class B common stock will automatically convert into shares of Class A common stock at the time of the Issuer's initial business combination on a one-for-one basis. The Class B common stock has no expiration date. F3 · ownership.nature: MedTech Acquisition Sponsor LLC ("Sponsor") is the record holder of the securities reported herein. David J. Matlin is a managing member of the Sponsor and may be deemed to have beneficial ownership of the securities held of record by Sponsor. Mr. Matlin disclaims any such beneficial ownership except to the extent of his pecuniary interest therein. Read SEC document
November 17, 2020 Filed Nov 19, 2020 16:08 UTC	FLAGSTAR BANCORP INC (NYSE:FBC) · Entity 121881	GrantFlagstar Bancorp, Inc. Common Stock	441	$0.00	$0.00	Disclosure SEC source: 0001033012-20-000099 · wf-form4_160582010889528.xml · nonDerivative · entry 1 MATLIN DAVID J · CIK 0001251956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 441 Read SEC document
November 10, 2020 Filed Nov 10, 2020 16:15 UTC	FLAGSTAR BANCORP INC FBC · Entity 121881	SaleCommon Stock	9,112,705	$30.19	$275,112,563.95	Disclosure SEC source: 0001567619-20-019071 · doc1.xml · nonDerivative · entry 1 MATLIN DAVID J · CIK 0001251956 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 0 F1 · shares: Represents shares of Common Stock, par value $0.01 per share (the "Common Stock"), of Flagstar Bancorp, Inc. sold by MP Thrift Investments L.P. ("MP Thrift") in a public offering pursuant to the Underwriting Agreement, dated November 5, 2020, with Morgan Stanley & Co. LLC as the underwriter. The offering closed on November 10, 2020. The shares of Common Stock were sold at a price of $30.19 per share. F1 · price: Represents shares of Common Stock, par value $0.01 per share (the "Common Stock"), of Flagstar Bancorp, Inc. sold by MP Thrift Investments L.P. ("MP Thrift") in a public offering pursuant to the Underwriting Agreement, dated November 5, 2020, with Morgan Stanley & Co. LLC as the underwriter. The offering closed on November 10, 2020. The shares of Common Stock were sold at a price of $30.19 per share. F1 · balance_after: Represents shares of Common Stock, par value $0.01 per share (the "Common Stock"), of Flagstar Bancorp, Inc. sold by MP Thrift Investments L.P. ("MP Thrift") in a public offering pursuant to the Underwriting Agreement, dated November 5, 2020, with Morgan Stanley & Co. LLC as the underwriter. The offering closed on November 10, 2020. The shares of Common Stock were sold at a price of $30.19 per share. F2 · ownership.nature: MPGOP III Thrift AV-I L.P. ("MPGOP"), a Delaware limited partnership and MPGOP (Cayman) III Thrift AV-I L.P., a Cayman Islands exempted limited partnership ("MPGOP Cayman", and together with MPGOP, the "New Fund") together hold 100% of the membership interests in MP Thrift. MPGOP has a 77.05% interest in MP Thrift and MPGOP Cayman has a 22.95% interest in MP Thrift. MP (Thrift) Global Partners III LLC ("MP LLC") is a limited liability company organized under the laws of Delaware. The principal business of MP LLC is to serve as general partner of each of MPGOP, MPGOP Cayman, MP Thrift, MP (Thrift) Global Opportunities Partners (Special) III LP ("MPGOPS"), and MP (Thrift) Global Opportunities Investments III LP ("MPGOI"). MP (Thrift) Asset Management LLC ("MPAM") is a limited liability company organized under the laws of Delaware. MPAM is the managing member of MP LLC. MP (Thrift) LLC ("MPT") is a limited liability company organized under the laws of Delaware. F3 · ownership.nature: (continued from footnote 2) MPT is the managing member of MPAM. MPGOPS is a limited partnership organized under the laws of Delaware. MPGOPS is the holder of a 100% limited partnership interest in MPGOI. MPGOI is a limited partnership organized under the laws of Delaware. MPGOI is the holder of a 1% limited partnership interest in the New Fund. Along with MPT, MPAM, MP LLC, and MPGOPS, MPGOI comprises the Associates Fund. F4 · ownership.nature: (continued from footnote 3) David J. Matlin is the sole managing member of MPT, and his principal occupation is acting as Chief Executive Officer of MatlinPatterson Global Advisers LLC ("Matlin Advisers"). Matlin Advisers is a limited liability company organized under the laws of Delaware. The principal business of Matlin Advisers is to serve as investment adviser to the various funds. Matlin Advisers also serves as investment adviser to the New Fund. David J. Matlin is a citizen of the United States of America. David J. Matlin may be deemed to have shared voting and investment control over the shares of Flagstar Bancorp, Inc. held by MP Thrift. He also has an indirect pecuniary interest in the New Fund. F5 · ownership.nature: (continued from footnote 4) David J. Matlin's exact pecuniary interest therein is not readily determinable because it is subject to several variables, including without limitation, the internal rates of return of the various funds overall and with respect to their indirect investment in Flagstar Bancorp, Inc. He disclaims beneficial ownership of any of the reported securities except to the extent of his pecuniary interest therein. Read SEC document
October 28, 2020 Filed Oct 28, 2020 16:22 UTC	FLAGSTAR BANCORP INC FBC · Entity 121881	SaleCommon Stock	4,587,647	$32.70	$150,000,000.14	Disclosure SEC source: 0001567619-20-018266 · doc1.xml · nonDerivative · entry 1 MATLIN DAVID J · CIK 0001251956 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 9,112,705 F1 · shares: Represents 4,587,647 shares of Common Stock, par value $0.01 per share (the "Common Stock"), of Flagstar Bancorp, Inc. (the "Company") repurchased by the Company from MP Thrift Investments L.P. ("MP Thrift") pursuant to the Share Purchase Agreement, dated October 20, 2020, between the Company and MP Thrift, as amended by Amendment No. 1 to Share Purchase Agreement, dated October 22, 2020. The share repurchase closed on October 28, 2020. The shares of Common Stock were sold at a price of $32.6965 per share, which represents the volume-weighted average price of the Common Stock for the three trading days up to and including October 22, 2020. F1 · price: Represents 4,587,647 shares of Common Stock, par value $0.01 per share (the "Common Stock"), of Flagstar Bancorp, Inc. (the "Company") repurchased by the Company from MP Thrift Investments L.P. ("MP Thrift") pursuant to the Share Purchase Agreement, dated October 20, 2020, between the Company and MP Thrift, as amended by Amendment No. 1 to Share Purchase Agreement, dated October 22, 2020. The share repurchase closed on October 28, 2020. The shares of Common Stock were sold at a price of $32.6965 per share, which represents the volume-weighted average price of the Common Stock for the three trading days up to and including October 22, 2020. F1 · balance_after: Represents 4,587,647 shares of Common Stock, par value $0.01 per share (the "Common Stock"), of Flagstar Bancorp, Inc. (the "Company") repurchased by the Company from MP Thrift Investments L.P. ("MP Thrift") pursuant to the Share Purchase Agreement, dated October 20, 2020, between the Company and MP Thrift, as amended by Amendment No. 1 to Share Purchase Agreement, dated October 22, 2020. The share repurchase closed on October 28, 2020. The shares of Common Stock were sold at a price of $32.6965 per share, which represents the volume-weighted average price of the Common Stock for the three trading days up to and including October 22, 2020. F2 · ownership.nature: MPGOP III Thrift AV-I L.P. ("MPGOP"), a Delaware limited partnership and MPGOP (Cayman) III Thrift AV-I L.P., a Cayman Islands exempted limited partnership ("MPGOP Cayman", and together with MPGOP, the "New Fund") together hold 100% of the membership interests in MP Thrift. MPGOP has a 77.05% interest in MP Thrift and MPGOP Cayman has a 22.95% interest in MP Thrift. MP (Thrift) Global Partners III LLC ("MP LLC") is a limited liability company organized under the laws of Delaware. The principal business of MP LLC is to serve as general partner of each of MPGOP, MPGOP Cayman, MP Thrift, MP (Thrift) Global Opportunities Partners (Special) III LP ("MPGOPS"), and MP (Thrift) Global Opportunities Investments III LP ("MPGOI"). MP (Thrift) Asset Management LLC ("MPAM") is a limited liability company organized under the laws of Delaware. MPAM is the managing member of MP LLC. MP (Thrift) LLC ("MPT") is a limited liability company organized under the laws of Delaware. F3 · ownership.nature: (continued from footnote 2) MPT is the managing member of MPAM. MPGOPS is a limited partnership organized under the laws of Delaware. MPGOPS is the holder of a 100% limited partnership interest in MPGOI. MPGOI is a limited partnership organized under the laws of Delaware. MPGOI is the holder of a 1% limited partnership interest in the New Fund. Along with MPT, MPAM, MP LLC, and MPGOPS, MPGOI comprises the Associates Fund. F4 · ownership.nature: (continued from footnote 3) David J. Matlin is the sole managing member of MPT, and his principal occupation is acting as Chief Executive Officer of MatlinPatterson Global Advisers LLC ("Matlin Advisers"). Matlin Advisers is a limited liability company organized under the laws of Delaware. The principal business of Matlin Advisers is to serve as investment adviser to the various funds. Matlin Advisers also serves as investment adviser to the New Fund. David J. Matlin is a citizen of the United States of America. David J. Matlin may be deemed to have shared voting and investment control over the shares of Flagstar Bancorp, Inc. held by MP Thrift. He also has an indirect pecuniary interest in the New Fund. F5 · ownership.nature: (continued from footnote 4) David J. Matlin's exact pecuniary interest therein is not readily determinable because it is subject to several variables, including without limitation, the internal rates of return of the various funds overall and with respect to their indirect investment in Flagstar Bancorp, Inc. He disclaims beneficial ownership of any of the reported securities except to the extent of his pecuniary interest therein. Read SEC document
August 12, 2020 Filed Aug 12, 2020 16:22 UTC	FLAGSTAR BANCORP INC FBC · Entity 121881	SaleCommon Stock	6,900,000	$30.05	$207,345,000.00	Disclosure SEC source: 0001567619-20-014916 · doc1.xml · nonDerivative · entry 1 MATLIN DAVID J · CIK 0001251956 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 13,700,352 F1 · shares: Represents shares of Common Stock, par value $0.01 per share (the "Common Stock"), of Flagstar Bancorp, Inc. sold by MP Thrift Investments L.P. ("MP Thrift") in a public offering pursuant to the Underwriting Agreement, dated August 10, 2020, with Morgan Stanley & Co. LLC, as the underwriter. The offering closed on August 12, 2020. The shares of Common Stock were sold at a price of $30.05 per share. F1 · price: Represents shares of Common Stock, par value $0.01 per share (the "Common Stock"), of Flagstar Bancorp, Inc. sold by MP Thrift Investments L.P. ("MP Thrift") in a public offering pursuant to the Underwriting Agreement, dated August 10, 2020, with Morgan Stanley & Co. LLC, as the underwriter. The offering closed on August 12, 2020. The shares of Common Stock were sold at a price of $30.05 per share. F1 · balance_after: Represents shares of Common Stock, par value $0.01 per share (the "Common Stock"), of Flagstar Bancorp, Inc. sold by MP Thrift Investments L.P. ("MP Thrift") in a public offering pursuant to the Underwriting Agreement, dated August 10, 2020, with Morgan Stanley & Co. LLC, as the underwriter. The offering closed on August 12, 2020. The shares of Common Stock were sold at a price of $30.05 per share. F2 · ownership.nature: MPGOP III Thrift AV-I L.P. ("MPGOP"), a Delaware limited partnership and MPGOP (Cayman) III Thrift AV-I L.P., a Cayman Islands exempted limited partnership ("MPGOP Cayman", and together with MPGOP, the "New Fund") together hold 100% of the membership interests in MP Thrift. MPGOP has a 77.05% interest in MP Thrift and MPGOP Cayman has a 22.95% interest in MP Thrift. MP (Thrift) Global Partners III LLC ("MP LLC") is a limited liability company organized under the laws of Delaware. The principal business of MP LLC is to serve as general partner of each of MPGOP, MPGOP Cayman, MP Thrift, MP (Thrift) Global Opportunities Partners (Special) III LP ("MPGOPS"), and MP (Thrift) Global Opportunities Investments III LP ("MPGOI"). MP (Thrift) Asset Management LLC ("MPAM") is a limited liability company organized under the laws of Delaware. MPAM is the managing member of MP LLC. MP (Thrift) LLC ("MPT") is a limited liability company organized under the laws of Delaware. F3 · ownership.nature: (continued from footnote 2) MPT is the managing member of MPAM. MPGOPS is a limited partnership organized under the laws of Delaware. MPGOPS is the holder of a 100% limited partnership interest in MPGOI. MPGOI is a limited partnership organized under the laws of Delaware. MPGOI is the holder of a 1% limited partnership interest in the New Fund. Along with MPT, MPAM, MP LLC, and MPGOPS, MPGOI comprises the Associates Fund. F4 · ownership.nature: (continued from footnote 3) David J. Matlin is the sole managing member of MPT, and his principal occupation is acting as Chief Executive Officer of MatlinPatterson Global Advisers LLC ("Matlin Advisers"). Matlin Advisers is a limited liability company organized under the laws of Delaware. The principal business of Matlin Advisers is to serve as investment adviser to the various funds. Matlin Advisers also serves as investment adviser to the New Fund. David J. Matlin is a citizen of the United States of America. David J. Matlin may be deemed to have shared voting and investment control over the shares of Flagstar Bancorp, Inc. held by MP Thrift. He also has an indirect pecuniary interest in the New Fund. F5 · ownership.nature: (continued from footnote 4) David J. Matlin's exact pecuniary interest therein is not readily determinable because it is subject to several variables, including without limitation, the internal rates of return of the various funds overall and with respect to their indirect investment in Flagstar Bancorp, Inc. He disclaims beneficial ownership of any of the reported securities except to the extent of his pecuniary interest therein. Read SEC document
June 19, 2020 Filed Jun 23, 2020 16:05 UTC	U.S. WELL SERVICES HOLDINGS, LLC USWS · Entity 122531	SaleSeries B Redeemable Convertible Preferred Stock · Derivative	200	Not disclosed	Not disclosed	Disclosure SEC source: 0001104659-20-076042 · tm2023190-2_4.xml · derivative · entry 1 MATLIN DAVID J · CIK 0001251956 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,678 Underlying: Class A Common Stock · Not disclosed shares Expires not disclosed F1 · derivative.exercise_price: Each share (a "Series B Preferred Share") of Series B Redeemable Convertible Preferred Stock, par value $0.0001 per share (the "Series B Preferred Stock"), is convertible into a number of shares of Class A Common Stock equal to (i) the Liquidation Preference (as defined in the Certificate of Designations of the Series B Preferred Stock (the "Certificate of Designations")) as of the date of conversion divided by (ii) the then applicable Conversion Price (as defined in the Certificate of Designations). The Liquidation Preference was approximately $1,017.75 as of June 19, 2020 and June 23, 2020 and is subject to increase as provided in the Certificate of Designations if the Issuer does not pay quarterly dividends on the Series B Preferred Stock in cash. The Conversion Price is initially $0.308 and is subject to adjustment in certain circumstances as provided in the Certificate of Designations. F2 · kind: On June 19, 2020, the Reporting Person sold 200 Series B Preferred Shares in a privately negotiated transaction for an aggregate sales price of $200,000 in cash. F1 · price: Each share (a "Series B Preferred Share") of Series B Redeemable Convertible Preferred Stock, par value $0.0001 per share (the "Series B Preferred Stock"), is convertible into a number of shares of Class A Common Stock equal to (i) the Liquidation Preference (as defined in the Certificate of Designations of the Series B Preferred Stock (the "Certificate of Designations")) as of the date of conversion divided by (ii) the then applicable Conversion Price (as defined in the Certificate of Designations). The Liquidation Preference was approximately $1,017.75 as of June 19, 2020 and June 23, 2020 and is subject to increase as provided in the Certificate of Designations if the Issuer does not pay quarterly dividends on the Series B Preferred Stock in cash. The Conversion Price is initially $0.308 and is subject to adjustment in certain circumstances as provided in the Certificate of Designations. F3 · derivative.exercise_date: Subject to the terms and conditions of the Certificate of Designations, the Reporting Person may, at his option at any time, convert all or a portion of the Series B Preferred Shares into shares of Class A Common Stock. F4 · derivative.expiration_date: The Series B Preferred Shares do not have an expiration date, provided that in certain circumstances on or after April 1, 2023, the Issuer may, at its option, convert all or a portion of the Series B Preferred Shares at the same conversion rate described in (1) above. In addition, at any time on or after October 1, 2021, the Issuer may, at its option, redeem all or a portion of the Series B Preferred Shares at a redemption price equal to the then applicable Liquidation Preference described in (1) above, provided that the Reporting Person may, at his option, convert his shares as described above within five business days of receipt of the notice of redemption. F5 · derivative.underlying_shares: The number of shares of Class A Common Stock into which the Series B Preferred Shares are convertible is calculated as described in (1) above. Based upon the Liquidation Preference and Conversion Price specified in (1) above, 5,544,774 shares of Class A Common Stock were issuable as of June 19, 2020 and June 23, 2020 upon conversion of the 1,678 Series B Preferred Shares held by the Reporting Person. Read SEC document
April 01, 2020 Filed Apr 3, 2020 18:04 UTC	U.S. WELL SERVICES HOLDINGS, LLC USWS · Entity 122531	GrantSeries B Redeemable Convertible Preferred Stock · Derivative	1,878	Not disclosed	Not disclosed	Disclosure SEC source: 0001104659-20-043267 · tm2014976d2_4.xml · derivative · entry 1 MATLIN DAVID J · CIK 0001251956 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,878 Underlying: Class A Common Stock · Not disclosed shares Expires not disclosed F1 · derivative.exercise_price: On April 1, 2020, the Reporting Person purchased from the Issuer 1,878 shares (the "Purchased Series B Preferred Shares") of the Issuer's Series B Redeemable Convertible Preferred Stock, par value $0.0001 per share (the "Series B Preferred Stock"), for an aggregate purchase price of $1,878,000 in cash, pursuant to a Purchase Agreement dated as of March 31, 2020 by and among the Issuer, the Reporting Person and the other parties thereto. Each of the Purchased Series B Preferred Shares is convertible into a number of shares of Class A Common Stock equal to (i) the Liquidation Preference (as defined in the Certificate of Designations of the Series B Preferred Stock (the "Certificate of Designations")) as of the date of conversion divided by (ii) the then applicable Conversion Price (as defined in the Certificate of Designations). F2 · derivative.exercise_price: The Liquidation Preference is initially $1,000 and is subject to increase as provided in the Certificate of Designations if the Issuer does not pay quarterly dividends on the Series B Preferred Stock in cash. The Conversion Price is initially $0.308 and is subject to adjustment in certain circumstances as provided in the Certificate of Designations. F1 · price: On April 1, 2020, the Reporting Person purchased from the Issuer 1,878 shares (the "Purchased Series B Preferred Shares") of the Issuer's Series B Redeemable Convertible Preferred Stock, par value $0.0001 per share (the "Series B Preferred Stock"), for an aggregate purchase price of $1,878,000 in cash, pursuant to a Purchase Agreement dated as of March 31, 2020 by and among the Issuer, the Reporting Person and the other parties thereto. Each of the Purchased Series B Preferred Shares is convertible into a number of shares of Class A Common Stock equal to (i) the Liquidation Preference (as defined in the Certificate of Designations of the Series B Preferred Stock (the "Certificate of Designations")) as of the date of conversion divided by (ii) the then applicable Conversion Price (as defined in the Certificate of Designations). F2 · price: The Liquidation Preference is initially $1,000 and is subject to increase as provided in the Certificate of Designations if the Issuer does not pay quarterly dividends on the Series B Preferred Stock in cash. The Conversion Price is initially $0.308 and is subject to adjustment in certain circumstances as provided in the Certificate of Designations. F3 · derivative.exercise_date: Subject to the terms and conditions of the Certificate of Designations, the Reporting Person may, at his option at any time, convert all or a portion of the Purchased Series B Preferred Shares into shares of Class A Common Stock. F4 · derivative.expiration_date: The Purchased Series B Preferred Shares do not have an expiration date, provided that in certain circumstances on or after April 1, 2023, the Issuer may, at its option, convert all or a portion of the Purchased Series B Preferred Shares at the same conversion rate described above. In addition, at any time on or after October 1, 2021, the Issuer may, at its option, redeem all or a portion of the Purchased Series B Preferred Shares at a redemption price equal to the then applicable Liquidation Preference described above, provided that the Reporting Person may, at his option, convert his shares as described above within five business days of receipt of the notice of redemption. F5 · derivative.underlying_shares: The number of shares of Class A Common Stock into which the Purchased Series B Preferred Shares are convertible is calculated as described above. Based upon the initial Liquidation Preference and Conversion Price, 6,097,403 shares of Class A Common Stock are initially issuable upon conversion of the 1,878 Purchased Series B Preferred Shares held by the Reporting Person. Read SEC document
March 06, 2020 Filed Mar 10, 2020 16:19 UTC	MedAvail Holdings, Inc. MYOS · Entity 94590	PurchaseCommon Stock	206,611	$1.21	$249,999.31	Disclosure SEC source: 0001104659-20-031390 · tm2012322d1_form4.xml · nonDerivative · entry 1 MATLIN DAVID J · CIK 0001251956 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,267,477 Read SEC document
December 30, 2019 Filed Jan 2, 2020 16:01 UTC	U.S. WELL SERVICES HOLDINGS, LLC USWS · Entity 122531	PurchaseClass A Common Stock	1,000,000	$1.25	$1,250,000.00	Disclosure SEC source: 0001104659-20-000340 · tv535580_4.xml · nonDerivative · entry 1 MATLIN DAVID J · CIK 0001251956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,014,603 F1 · kind: On December 30, 2019, the Reporting Person acquired 1,000,000 shares of Class A Common Stock of U.S. Well Services, Inc. (the "Purchased Shares") in a privately negotiated transaction with the prior holder of the Purchased Shares for an aggregate purchase price of $1,250,000 in cash. F1 · shares: On December 30, 2019, the Reporting Person acquired 1,000,000 shares of Class A Common Stock of U.S. Well Services, Inc. (the "Purchased Shares") in a privately negotiated transaction with the prior holder of the Purchased Shares for an aggregate purchase price of $1,250,000 in cash. F1 · price: On December 30, 2019, the Reporting Person acquired 1,000,000 shares of Class A Common Stock of U.S. Well Services, Inc. (the "Purchased Shares") in a privately negotiated transaction with the prior holder of the Purchased Shares for an aggregate purchase price of $1,250,000 in cash. F1 · balance_after: On December 30, 2019, the Reporting Person acquired 1,000,000 shares of Class A Common Stock of U.S. Well Services, Inc. (the "Purchased Shares") in a privately negotiated transaction with the prior holder of the Purchased Shares for an aggregate purchase price of $1,250,000 in cash. Read SEC document
November 08, 2019 Filed Nov 8, 2019 15:23 UTC	FLAGSTAR BANCORP INC FBC · Entity 121881	SaleCommon Stock	900,000	$35.96	$32,364,000.00	Disclosure SEC source: 0001567619-19-020813 · doc1.xml · nonDerivative · entry 1 MATLIN DAVID J · CIK 0001251956 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 20,600,352 F1 · shares: On October 29, 2019, Flagstar Bancorp, Inc. and MP Thrift Investments L.P. ("MP Thrift") entered into an underwriting agreement (the "Underwriting Agreement") with Morgan Stanley & Co. LLC as the underwriter (the "Underwriter"). Pursuant to the Underwriting Agreement, MP Thrift sold 6,100,000 shares of Common Stock, par value $0.01 per share (the "Common Stock"), of Flagstar Bancorp, Inc., in an underwritten public offering, which closed on November 1, 2019. The Underwriting Agreement also provided the Underwriter an option to purchase up to an additional 900,000 shares of Common Stock from MP Thrift within 30 days from the date of the Underwriting Agreement. On November 8, 2019, the Underwriter purchased 900,000 additional shares of Common Stock, reflecting the exercise in full of its option to purchase additional shares. The shares of Common Stock were sold at a price of $35.96 per share. F1 · price: On October 29, 2019, Flagstar Bancorp, Inc. and MP Thrift Investments L.P. ("MP Thrift") entered into an underwriting agreement (the "Underwriting Agreement") with Morgan Stanley & Co. LLC as the underwriter (the "Underwriter"). Pursuant to the Underwriting Agreement, MP Thrift sold 6,100,000 shares of Common Stock, par value $0.01 per share (the "Common Stock"), of Flagstar Bancorp, Inc., in an underwritten public offering, which closed on November 1, 2019. The Underwriting Agreement also provided the Underwriter an option to purchase up to an additional 900,000 shares of Common Stock from MP Thrift within 30 days from the date of the Underwriting Agreement. On November 8, 2019, the Underwriter purchased 900,000 additional shares of Common Stock, reflecting the exercise in full of its option to purchase additional shares. The shares of Common Stock were sold at a price of $35.96 per share. F1 · balance_after: On October 29, 2019, Flagstar Bancorp, Inc. and MP Thrift Investments L.P. ("MP Thrift") entered into an underwriting agreement (the "Underwriting Agreement") with Morgan Stanley & Co. LLC as the underwriter (the "Underwriter"). Pursuant to the Underwriting Agreement, MP Thrift sold 6,100,000 shares of Common Stock, par value $0.01 per share (the "Common Stock"), of Flagstar Bancorp, Inc., in an underwritten public offering, which closed on November 1, 2019. The Underwriting Agreement also provided the Underwriter an option to purchase up to an additional 900,000 shares of Common Stock from MP Thrift within 30 days from the date of the Underwriting Agreement. On November 8, 2019, the Underwriter purchased 900,000 additional shares of Common Stock, reflecting the exercise in full of its option to purchase additional shares. The shares of Common Stock were sold at a price of $35.96 per share. F2 · ownership.nature: MPGOP III Thrift AV-I L.P. ("MPGOP"), a Delaware limited partnership and MPGOP (Cayman) III Thrift AV-I L.P., a Cayman Islands exempted limited partnership ("MPGOP Cayman", and together with MPGOP, the "New Fund") together hold 100% of the membership interests in MP Thrift. MPGOP has a 77.05% interest in MP Thrift and MPGOP Cayman has a 22.95% interest in MP Thrift. MP (Thrift) Global Partners III LLC ("MP LLC") is a limited liability company organized under the laws of Delaware. The principal business of MP LLC is to serve as general partner of each of MPGOP, MPGOP Cayman, MP Thrift, MP (Thrift) Global Opportunities Partners (Special) III LP ("MPGOPS"), and MP (Thrift) Global Opportunities Investments III LP ("MPGOI"). MP (Thrift) Asset Management LLC ("MPAM") is a limited liability company organized under the laws of Delaware. MPAM is the managing member of MP LLC. MP (Thrift) LLC ("MPT") is a limited liability company organized under the laws of Delaware. F3 · ownership.nature: (continued from footnote 2) MPT is the managing member of MPAM. MPGOPS is a limited partnership organized under the laws of Delaware. MPGOPS is the holder of a 100% limited partnership interest in MPGOI. MPGOI is a limited partnership organized under the laws of Delaware. MPGOI is the holder of a 1% limited partnership interest in the New Fund. Along with MPT, MPAM, MP LLC, and MPGOPS, MPGOI comprises the Associates Fund. F4 · ownership.nature: (continued from footnote 3) David J. Matlin is the sole managing member of MPT, and his principal occupation is acting as Chief Executive Officer of MatlinPatterson Global Advisers LLC ("Matlin Advisers"). Matlin Advisers is a limited liability company organized under the laws of Delaware. The principal business of Matlin Advisers is to serve as investment adviser to the various funds. Matlin Advisers also serves as investment adviser to the New Fund. David J. Matlin is a citizen of the United States of America. David J. Matlin may be deemed to have shared voting and investment control over the shares of Flagstar Bancorp, Inc. held by MP Thrift. He also has an indirect pecuniary interest in the New Fund. F5 · ownership.nature: (continued from footnote 4) David J. Matlin's exact pecuniary interest therein is not readily determinable because it is subject to several variables, including without limitation, the internal rates of return of the various funds overall and with respect to their indirect investment in Flagstar Bancorp, Inc. He disclaims beneficial ownership of any of the reported securities except to the extent of his pecuniary interest therein. 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.