HEYER ANDREW R

SEC source: 0001213900-20-031750 · ownership.xml · derivative · entry 10

HEYER ANDREW R · CIK 0001259062 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 0

Underlying: Common Stock · 74,200 shares

Expires 2021-06-29

F3 · ownership.nature: On October 14, 2020, Mistral Sac Holdings 4, LLP ("MSH4") exercised a warrant to purchase 74,200 shares of Lovesac common stock for $16 per share. MSH4 paid the exercise price on a cashless basis, resulting in Lovesac's withholding of 32,906 of the warrant shares to pay the exercise price and issuing to MSH4 the remaining 41,294 shares.

F4 · ownership.nature: By reason of the provisions of Rule 16a-1 of the Exchange Act, Mr. Heyer may be deemed to have beneficial ownership of certain of the securities that are beneficially owned by MSH3, MSH4 and the Mistral Funds. Each of the Mistral Funds is controlled by Mr. Heyer. Mr. Heyer disclaims beneficial ownership of the securities owned by MSH3, MSH4 and the Mistral Funds, except to the extent of Mr. Heyer's pecuniary interest therein.

SEC source: 0001213900-20-031750 · ownership.xml · derivative · entry 9

HEYER ANDREW R · CIK 0001259062 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 0

Underlying: Common Stock · 90,000 shares

Expires 2021-06-29

F2 · ownership.nature: On October 14, 2020, Mistral Sac Holdings 3, LLP ("MSH3") exercised a warrant to purchase 90,000 shares of Lovesac common stock for $16 per share. MSH3 paid the exercise price on a cashless basis, resulting in Lovesac's withholding of 39,913 of the warrant shares to pay the exercise price and issuing to MSH3 the remaining 50,087 shares.

F4 · ownership.nature: By reason of the provisions of Rule 16a-1 of the Exchange Act, Mr. Heyer may be deemed to have beneficial ownership of certain of the securities that are beneficially owned by MSH3, MSH4 and the Mistral Funds. Each of the Mistral Funds is controlled by Mr. Heyer. Mr. Heyer disclaims beneficial ownership of the securities owned by MSH3, MSH4 and the Mistral Funds, except to the extent of Mr. Heyer's pecuniary interest therein.

SEC source: 0001213900-20-031750 · ownership.xml · derivative · entry 8

HEYER ANDREW R · CIK 0001259062 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 0

Underlying: Common Stock · 75,000 shares

Expires 2021-06-29

F1 · ownership.nature: On October 14, 2020, Mistral Equity Partners, LP ("MEP, LP"), MEP Co-Invest, LLC ("MEP Co-Invest"), and Mistral Equity Partners QP, LP ("Mistral QP" and together with MEP, LP and MEP Co-Invest, the "Mistral Funds") exercised warrants to purchase a total of 75,000 shares of Lovesac common stock for $16 per share. The Mistral Funds paid the exercise price on a cashless basis, resulting in Lovesac's withholding of 33,260 of the warrant shares to pay the exercise price and issuing to the Mistral Funds the remaining 41,740 shares.

F4 · ownership.nature: By reason of the provisions of Rule 16a-1 of the Exchange Act, Mr. Heyer may be deemed to have beneficial ownership of certain of the securities that are beneficially owned by MSH3, MSH4 and the Mistral Funds. Each of the Mistral Funds is controlled by Mr. Heyer. Mr. Heyer disclaims beneficial ownership of the securities owned by MSH3, MSH4 and the Mistral Funds, except to the extent of Mr. Heyer's pecuniary interest therein.

SEC source: 0001213900-20-031750 · ownership.xml · nonDerivative · entry 6

HEYER ANDREW R · CIK 0001259062 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 2,359,626

F3 · kind: On October 14, 2020, Mistral Sac Holdings 4, LLP ("MSH4") exercised a warrant to purchase 74,200 shares of Lovesac common stock for $16 per share. MSH4 paid the exercise price on a cashless basis, resulting in Lovesac's withholding of 32,906 of the warrant shares to pay the exercise price and issuing to MSH4 the remaining 41,294 shares.

F4 · ownership.nature: By reason of the provisions of Rule 16a-1 of the Exchange Act, Mr. Heyer may be deemed to have beneficial ownership of certain of the securities that are beneficially owned by MSH3, MSH4 and the Mistral Funds. Each of the Mistral Funds is controlled by Mr. Heyer. Mr. Heyer disclaims beneficial ownership of the securities owned by MSH3, MSH4 and the Mistral Funds, except to the extent of Mr. Heyer's pecuniary interest therein.

SEC source: 0001213900-20-031750 · ownership.xml · nonDerivative · entry 5

HEYER ANDREW R · CIK 0001259062 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 2,285,426

F4 · ownership.nature: By reason of the provisions of Rule 16a-1 of the Exchange Act, Mr. Heyer may be deemed to have beneficial ownership of certain of the securities that are beneficially owned by MSH3, MSH4 and the Mistral Funds. Each of the Mistral Funds is controlled by Mr. Heyer. Mr. Heyer disclaims beneficial ownership of the securities owned by MSH3, MSH4 and the Mistral Funds, except to the extent of Mr. Heyer's pecuniary interest therein.

SEC source: 0001213900-20-031750 · ownership.xml · nonDerivative · entry 4

HEYER ANDREW R · CIK 0001259062 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 2,325,339

F2 · kind: On October 14, 2020, Mistral Sac Holdings 3, LLP ("MSH3") exercised a warrant to purchase 90,000 shares of Lovesac common stock for $16 per share. MSH3 paid the exercise price on a cashless basis, resulting in Lovesac's withholding of 39,913 of the warrant shares to pay the exercise price and issuing to MSH3 the remaining 50,087 shares.

F4 · ownership.nature: By reason of the provisions of Rule 16a-1 of the Exchange Act, Mr. Heyer may be deemed to have beneficial ownership of certain of the securities that are beneficially owned by MSH3, MSH4 and the Mistral Funds. Each of the Mistral Funds is controlled by Mr. Heyer. Mr. Heyer disclaims beneficial ownership of the securities owned by MSH3, MSH4 and the Mistral Funds, except to the extent of Mr. Heyer's pecuniary interest therein.

SEC source: 0001213900-20-031750 · ownership.xml · nonDerivative · entry 3

HEYER ANDREW R · CIK 0001259062 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 2,235,339

F4 · ownership.nature: By reason of the provisions of Rule 16a-1 of the Exchange Act, Mr. Heyer may be deemed to have beneficial ownership of certain of the securities that are beneficially owned by MSH3, MSH4 and the Mistral Funds. Each of the Mistral Funds is controlled by Mr. Heyer. Mr. Heyer disclaims beneficial ownership of the securities owned by MSH3, MSH4 and the Mistral Funds, except to the extent of Mr. Heyer's pecuniary interest therein.

SEC source: 0001213900-20-031750 · ownership.xml · nonDerivative · entry 2

HEYER ANDREW R · CIK 0001259062 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 2,268,599

F1 · kind: On October 14, 2020, Mistral Equity Partners, LP ("MEP, LP"), MEP Co-Invest, LLC ("MEP Co-Invest"), and Mistral Equity Partners QP, LP ("Mistral QP" and together with MEP, LP and MEP Co-Invest, the "Mistral Funds") exercised warrants to purchase a total of 75,000 shares of Lovesac common stock for $16 per share. The Mistral Funds paid the exercise price on a cashless basis, resulting in Lovesac's withholding of 33,260 of the warrant shares to pay the exercise price and issuing to the Mistral Funds the remaining 41,740 shares.

F4 · ownership.nature: By reason of the provisions of Rule 16a-1 of the Exchange Act, Mr. Heyer may be deemed to have beneficial ownership of certain of the securities that are beneficially owned by MSH3, MSH4 and the Mistral Funds. Each of the Mistral Funds is controlled by Mr. Heyer. Mr. Heyer disclaims beneficial ownership of the securities owned by MSH3, MSH4 and the Mistral Funds, except to the extent of Mr. Heyer's pecuniary interest therein.

SEC source: 0001213900-20-031750 · ownership.xml · nonDerivative · entry 1

HEYER ANDREW R · CIK 0001259062 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 2,250,153

F4 · ownership.nature: By reason of the provisions of Rule 16a-1 of the Exchange Act, Mr. Heyer may be deemed to have beneficial ownership of certain of the securities that are beneficially owned by MSH3, MSH4 and the Mistral Funds. Each of the Mistral Funds is controlled by Mr. Heyer. Mr. Heyer disclaims beneficial ownership of the securities owned by MSH3, MSH4 and the Mistral Funds, except to the extent of Mr. Heyer's pecuniary interest therein.

SEC source: 0001213900-20-032412 · ownership.xml · derivative · entry 12

HEYER ANDREW R · CIK 0001259062 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 0

Underlying: Common Stock · 74,200 shares

Expires 2021-06-29

F3 · ownership.nature: On October 14, 2020, Mistral Sac Holdings 4, LLP ("MSH4") exercised a warrant to purchase 74,200 shares of Lovesac common stock for $16 per share. MSH4 paid the exercise price on a cashless basis, resulting in Lovesac's withholding of 32,906 of the warrant shares to pay the exercise price and issuing to MSH4 the remaining 41,294 shares.

F4 · ownership.nature: By reason of the provisions of Rule 16a-1 of the Exchange Act, Mr. Heyer may be deemed to have beneficial ownership of certain of the securities that are beneficially owned by MSH3, MSH4 and the Mistral Funds. Each of the Mistral Funds is controlled by Mr. Heyer. Mr. Heyer disclaims beneficial ownership of the securities owned by MSH3, MSH4 and the Mistral Funds, except to the extent of Mr. Heyer's pecuniary interest therein.

SEC source: 0001213900-20-032412 · ownership.xml · derivative · entry 11

HEYER ANDREW R · CIK 0001259062 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 0

Underlying: Common Stock · 90,000 shares

Expires 2021-06-29

F2 · ownership.nature: On October 14, 2020, Mistral Sac Holdings 3, LLP ("MSH3") exercised a warrant to purchase 90,000 shares of Lovesac common stock for $16 per share. MSH3 paid the exercise price on a cashless basis, resulting in Lovesac's withholding of 39,913 of the warrant shares to pay the exercise price and issuing to MSH3 the remaining 50,087 shares.

F4 · ownership.nature: By reason of the provisions of Rule 16a-1 of the Exchange Act, Mr. Heyer may be deemed to have beneficial ownership of certain of the securities that are beneficially owned by MSH3, MSH4 and the Mistral Funds. Each of the Mistral Funds is controlled by Mr. Heyer. Mr. Heyer disclaims beneficial ownership of the securities owned by MSH3, MSH4 and the Mistral Funds, except to the extent of Mr. Heyer's pecuniary interest therein.

SEC source: 0001213900-20-032412 · ownership.xml · derivative · entry 10

HEYER ANDREW R · CIK 0001259062 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 0

Underlying: Common Stock · 75,000 shares

Expires 2021-06-29

F1 · ownership.nature: On October 14, 2020, Mistral Equity Partners, LP ("MEP, LP"), MEP Co-Invest, LLC ("MEP Co-Invest"), and Mistral Equity Partners QP, LP ("Mistral QP" and together with MEP, LP and MEP Co-Invest, the "Mistral Funds") exercised warrants to purchase a total of 75,000 shares of Lovesac common stock for $16 per share. The Mistral Funds paid the exercise price on a cashless basis, resulting in Lovesac's withholding of 33,262 of the warrant shares to pay the exercise price and issuing to the Mistral Funds the remaining 41,738 shares.

F4 · ownership.nature: By reason of the provisions of Rule 16a-1 of the Exchange Act, Mr. Heyer may be deemed to have beneficial ownership of certain of the securities that are beneficially owned by MSH3, MSH4 and the Mistral Funds. Each of the Mistral Funds is controlled by Mr. Heyer. Mr. Heyer disclaims beneficial ownership of the securities owned by MSH3, MSH4 and the Mistral Funds, except to the extent of Mr. Heyer's pecuniary interest therein.

SEC source: 0001213900-20-032412 · ownership.xml · nonDerivative · entry 7

HEYER ANDREW R · CIK 0001259062 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 2,326,718

F3 · kind: On October 14, 2020, Mistral Sac Holdings 4, LLP ("MSH4") exercised a warrant to purchase 74,200 shares of Lovesac common stock for $16 per share. MSH4 paid the exercise price on a cashless basis, resulting in Lovesac's withholding of 32,906 of the warrant shares to pay the exercise price and issuing to MSH4 the remaining 41,294 shares.

F4 · ownership.nature: By reason of the provisions of Rule 16a-1 of the Exchange Act, Mr. Heyer may be deemed to have beneficial ownership of certain of the securities that are beneficially owned by MSH3, MSH4 and the Mistral Funds. Each of the Mistral Funds is controlled by Mr. Heyer. Mr. Heyer disclaims beneficial ownership of the securities owned by MSH3, MSH4 and the Mistral Funds, except to the extent of Mr. Heyer's pecuniary interest therein.

SEC source: 0001213900-20-032412 · ownership.xml · nonDerivative · entry 6

HEYER ANDREW R · CIK 0001259062 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 2,359,624

F4 · ownership.nature: By reason of the provisions of Rule 16a-1 of the Exchange Act, Mr. Heyer may be deemed to have beneficial ownership of certain of the securities that are beneficially owned by MSH3, MSH4 and the Mistral Funds. Each of the Mistral Funds is controlled by Mr. Heyer. Mr. Heyer disclaims beneficial ownership of the securities owned by MSH3, MSH4 and the Mistral Funds, except to the extent of Mr. Heyer's pecuniary interest therein.

SEC source: 0001213900-20-032412 · ownership.xml · nonDerivative · entry 5

HEYER ANDREW R · CIK 0001259062 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 2,285,424

F2 · kind: On October 14, 2020, Mistral Sac Holdings 3, LLP ("MSH3") exercised a warrant to purchase 90,000 shares of Lovesac common stock for $16 per share. MSH3 paid the exercise price on a cashless basis, resulting in Lovesac's withholding of 39,913 of the warrant shares to pay the exercise price and issuing to MSH3 the remaining 50,087 shares.

F4 · ownership.nature: By reason of the provisions of Rule 16a-1 of the Exchange Act, Mr. Heyer may be deemed to have beneficial ownership of certain of the securities that are beneficially owned by MSH3, MSH4 and the Mistral Funds. Each of the Mistral Funds is controlled by Mr. Heyer. Mr. Heyer disclaims beneficial ownership of the securities owned by MSH3, MSH4 and the Mistral Funds, except to the extent of Mr. Heyer's pecuniary interest therein.

SEC source: 0001213900-20-032412 · ownership.xml · nonDerivative · entry 4

HEYER ANDREW R · CIK 0001259062 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 2,285,424

F2 · kind: On October 14, 2020, Mistral Sac Holdings 3, LLP ("MSH3") exercised a warrant to purchase 90,000 shares of Lovesac common stock for $16 per share. MSH3 paid the exercise price on a cashless basis, resulting in Lovesac's withholding of 39,913 of the warrant shares to pay the exercise price and issuing to MSH3 the remaining 50,087 shares.

F4 · ownership.nature: By reason of the provisions of Rule 16a-1 of the Exchange Act, Mr. Heyer may be deemed to have beneficial ownership of certain of the securities that are beneficially owned by MSH3, MSH4 and the Mistral Funds. Each of the Mistral Funds is controlled by Mr. Heyer. Mr. Heyer disclaims beneficial ownership of the securities owned by MSH3, MSH4 and the Mistral Funds, except to the extent of Mr. Heyer's pecuniary interest therein.

SEC source: 0001213900-20-032412 · ownership.xml · nonDerivative · entry 3

HEYER ANDREW R · CIK 0001259062 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 2,325,337

F4 · ownership.nature: By reason of the provisions of Rule 16a-1 of the Exchange Act, Mr. Heyer may be deemed to have beneficial ownership of certain of the securities that are beneficially owned by MSH3, MSH4 and the Mistral Funds. Each of the Mistral Funds is controlled by Mr. Heyer. Mr. Heyer disclaims beneficial ownership of the securities owned by MSH3, MSH4 and the Mistral Funds, except to the extent of Mr. Heyer's pecuniary interest therein.

SEC source: 0001213900-20-032412 · ownership.xml · nonDerivative · entry 2

HEYER ANDREW R · CIK 0001259062 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 2,235,337

F1 · kind: On October 14, 2020, Mistral Equity Partners, LP ("MEP, LP"), MEP Co-Invest, LLC ("MEP Co-Invest"), and Mistral Equity Partners QP, LP ("Mistral QP" and together with MEP, LP and MEP Co-Invest, the "Mistral Funds") exercised warrants to purchase a total of 75,000 shares of Lovesac common stock for $16 per share. The Mistral Funds paid the exercise price on a cashless basis, resulting in Lovesac's withholding of 33,262 of the warrant shares to pay the exercise price and issuing to the Mistral Funds the remaining 41,738 shares.

F4 · ownership.nature: By reason of the provisions of Rule 16a-1 of the Exchange Act, Mr. Heyer may be deemed to have beneficial ownership of certain of the securities that are beneficially owned by MSH3, MSH4 and the Mistral Funds. Each of the Mistral Funds is controlled by Mr. Heyer. Mr. Heyer disclaims beneficial ownership of the securities owned by MSH3, MSH4 and the Mistral Funds, except to the extent of Mr. Heyer's pecuniary interest therein.

SEC source: 0001213900-20-032412 · ownership.xml · nonDerivative · entry 1

HEYER ANDREW R · CIK 0001259062 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 2,268,599

F4 · ownership.nature: By reason of the provisions of Rule 16a-1 of the Exchange Act, Mr. Heyer may be deemed to have beneficial ownership of certain of the securities that are beneficially owned by MSH3, MSH4 and the Mistral Funds. Each of the Mistral Funds is controlled by Mr. Heyer. Mr. Heyer disclaims beneficial ownership of the securities owned by MSH3, MSH4 and the Mistral Funds, except to the extent of Mr. Heyer's pecuniary interest therein.

SEC source: 0000899243-20-022875 · doc4.xml · derivative · entry 1

HEYER ANDREW R · CIK 0001259062 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,024

Underlying: Common Shares · 26,408 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit represents a contingent right to receive, at vesting, one common share, par value $0.0001 per share, of the Issuer (the "Common Shares"). The Restricted Stock Units vest one year from the grant date. Vested Common Shares will be delivered to the reporting person on the 60th day following the date of termination of service to the Issuer.

F1 · derivative.exercise_date: Each Restricted Stock Unit represents a contingent right to receive, at vesting, one common share, par value $0.0001 per share, of the Issuer (the "Common Shares"). The Restricted Stock Units vest one year from the grant date. Vested Common Shares will be delivered to the reporting person on the 60th day following the date of termination of service to the Issuer.

F1 · derivative.expiration_date: Each Restricted Stock Unit represents a contingent right to receive, at vesting, one common share, par value $0.0001 per share, of the Issuer (the "Common Shares"). The Restricted Stock Units vest one year from the grant date. Vested Common Shares will be delivered to the reporting person on the 60th day following the date of termination of service to the Issuer.

F2 · balance_after: Includes 9,616 Restricted Stock Units that vested on July 30, 2020 but the Common Shares underlying such Restricted Stock Units have not been delivered to the reporting person because the reporting person elected to defer delivery until after 60 days following the reporting person's termination of service to the Issuer.

SEC source: 0001213900-20-018308 · ownership.xml · nonDerivative · entry 4

HEYER ANDREW R · CIK 0001259062 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 128,687

F6 · kind: Represents shares acquired in pro rata distributions of shares of the registrant's common stock from MSH2 and MSH4 to its members

SEC source: 0001213900-20-018308 · ownership.xml · nonDerivative · entry 3

HEYER ANDREW R · CIK 0001259062 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 33,515

F6 · kind: Represents shares acquired in pro rata distributions of shares of the registrant's common stock from MSH2 and MSH4 to its members

F3 · ownership.nature: By reason of the provisions of Rule 16a-1 of the Exchange Act, Mr. Heyer may be deemed to have beneficial ownership of certain of the securities that are beneficially owned by MSH2, Mistral Sac Holdings 4, LLC ("MSH4"), Heyer Investment Management LLC, Andrew R. Heyer 2007 Associates, L.P. and the Mistral Funds (as defined below). Mr. Heyer disclaims beneficial ownership of the securities owned by the aforementioned entities, except to the extent of Mr. Heyer's pecuniary interest therein.

F7 · ownership.nature: These shares are held by Heyer Investment Management LLC and Andrew R. Heyer 2007 Associates, L.P., each of which Mr. Heyer controls.

SEC source: 0001213900-20-018308 · ownership.xml · nonDerivative · entry 2

HEYER ANDREW R · CIK 0001259062 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

F4 · kind: Represents a pro rata distribution of shares of the registrant's common stock from MSH4 to its members.

F3 · ownership.nature: By reason of the provisions of Rule 16a-1 of the Exchange Act, Mr. Heyer may be deemed to have beneficial ownership of certain of the securities that are beneficially owned by MSH2, Mistral Sac Holdings 4, LLC ("MSH4"), Heyer Investment Management LLC, Andrew R. Heyer 2007 Associates, L.P. and the Mistral Funds (as defined below). Mr. Heyer disclaims beneficial ownership of the securities owned by the aforementioned entities, except to the extent of Mr. Heyer's pecuniary interest therein.

F5 · ownership.nature: These securities were held by MSH4.

SEC source: 0001213900-20-018308 · ownership.xml · nonDerivative · entry 1

HEYER ANDREW R · CIK 0001259062 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

F1 · kind: Represents a pro rata distribution of shares of the registrant's common stock from Mistral Sac Holdings 2, LLC ("MSH2") to its members.

F2 · ownership.nature: These securities were held by MSH2.

F3 · ownership.nature: By reason of the provisions of Rule 16a-1 of the Exchange Act, Mr. Heyer may be deemed to have beneficial ownership of certain of the securities that are beneficially owned by MSH2, Mistral Sac Holdings 4, LLC ("MSH4"), Heyer Investment Management LLC, Andrew R. Heyer 2007 Associates, L.P. and the Mistral Funds (as defined below). Mr. Heyer disclaims beneficial ownership of the securities owned by the aforementioned entities, except to the extent of Mr. Heyer's pecuniary interest therein.

SEC source: 0000899243-20-016792 · doc4.xml · derivative · entry 2

HEYER ANDREW R · CIK 0001259062 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 100,000

Underlying: Common Shares · 100,000 shares

Expires 2025-06-12

F1 · price: On June 12, 2020, the reporting person and Heyer Investment Management LLC ("Heyer Management") purchased an aggregate of (i) 375,000 common shares and (ii) 100,000 warrants to acquire common shares pursuant to an Investment Agreement by and among the Issuer, Steiner Leisure Limited, the reporting person, Heyer Management, and the other investors named on the signature pages thereto, for an aggregate purchase price of $1,500,000. The reporting person directly acquired 250,000 common shares and 66,667 warrants to acquire common shares for a purchase price of $1,000,000, and Heyer Management acquired the balance of the securities for a purchase price of $500,000.

F4 · derivative.exercise_date: The warrants are immediately exercisable and expire on the fifth anniversary of the issuance date.

F1 · ownership.direct: On June 12, 2020, the reporting person and Heyer Investment Management LLC ("Heyer Management") purchased an aggregate of (i) 375,000 common shares and (ii) 100,000 warrants to acquire common shares pursuant to an Investment Agreement by and among the Issuer, Steiner Leisure Limited, the reporting person, Heyer Management, and the other investors named on the signature pages thereto, for an aggregate purchase price of $1,500,000. The reporting person directly acquired 250,000 common shares and 66,667 warrants to acquire common shares for a purchase price of $1,000,000, and Heyer Management acquired the balance of the securities for a purchase price of $500,000.

F3 · ownership.direct: The reporting person is the managing member of Heyer Management and has voting and dispositive power of the securities held by such entity. Accordingly, the reporting person may be deemed to have or share beneficial ownership of such securities. The reporting person disclaims beneficial ownership of the securities, except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose.

F1 · ownership.nature: On June 12, 2020, the reporting person and Heyer Investment Management LLC ("Heyer Management") purchased an aggregate of (i) 375,000 common shares and (ii) 100,000 warrants to acquire common shares pursuant to an Investment Agreement by and among the Issuer, Steiner Leisure Limited, the reporting person, Heyer Management, and the other investors named on the signature pages thereto, for an aggregate purchase price of $1,500,000. The reporting person directly acquired 250,000 common shares and 66,667 warrants to acquire common shares for a purchase price of $1,000,000, and Heyer Management acquired the balance of the securities for a purchase price of $500,000.

F3 · ownership.nature: The reporting person is the managing member of Heyer Management and has voting and dispositive power of the securities held by such entity. Accordingly, the reporting person may be deemed to have or share beneficial ownership of such securities. The reporting person disclaims beneficial ownership of the securities, except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose.

SEC source: 0000899243-20-016792 · doc4.xml · nonDerivative · entry 1

HEYER ANDREW R · CIK 0001259062 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 946,091

F1 · price: On June 12, 2020, the reporting person and Heyer Investment Management LLC ("Heyer Management") purchased an aggregate of (i) 375,000 common shares and (ii) 100,000 warrants to acquire common shares pursuant to an Investment Agreement by and among the Issuer, Steiner Leisure Limited, the reporting person, Heyer Management, and the other investors named on the signature pages thereto, for an aggregate purchase price of $1,500,000. The reporting person directly acquired 250,000 common shares and 66,667 warrants to acquire common shares for a purchase price of $1,000,000, and Heyer Management acquired the balance of the securities for a purchase price of $500,000.

F2 · balance_after: Includes (i) 290,697 common shares held directly by the reporting person, (ii) 150,878 common shares indirectly by Heyer Management, (iii) 32,379 common shares indirectly held by the Harris Reid Heyer Trust, (iv) 32,379 common shares indirectly held by James Heyer Trust, (v) 32,379 common shares indirectly held by the Peter Justin Heyer Trust, and (vi) 32,379 common shares indirectly held by the William Heyer Trust, prior to June 12, 2020. The reporting person is a trustee of the trusts named in clauses (iii) - (vi), and jointly holds voting and dispositive power of the securities held by such entities. As such, the reporting person may be deemed to have or share beneficial ownership of such securities.

F1 · ownership.direct: On June 12, 2020, the reporting person and Heyer Investment Management LLC ("Heyer Management") purchased an aggregate of (i) 375,000 common shares and (ii) 100,000 warrants to acquire common shares pursuant to an Investment Agreement by and among the Issuer, Steiner Leisure Limited, the reporting person, Heyer Management, and the other investors named on the signature pages thereto, for an aggregate purchase price of $1,500,000. The reporting person directly acquired 250,000 common shares and 66,667 warrants to acquire common shares for a purchase price of $1,000,000, and Heyer Management acquired the balance of the securities for a purchase price of $500,000.

F2 · ownership.direct: Includes (i) 290,697 common shares held directly by the reporting person, (ii) 150,878 common shares indirectly by Heyer Management, (iii) 32,379 common shares indirectly held by the Harris Reid Heyer Trust, (iv) 32,379 common shares indirectly held by James Heyer Trust, (v) 32,379 common shares indirectly held by the Peter Justin Heyer Trust, and (vi) 32,379 common shares indirectly held by the William Heyer Trust, prior to June 12, 2020. The reporting person is a trustee of the trusts named in clauses (iii) - (vi), and jointly holds voting and dispositive power of the securities held by such entities. As such, the reporting person may be deemed to have or share beneficial ownership of such securities.

F3 · ownership.direct: The reporting person is the managing member of Heyer Management and has voting and dispositive power of the securities held by such entity. Accordingly, the reporting person may be deemed to have or share beneficial ownership of such securities. The reporting person disclaims beneficial ownership of the securities, except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose.

F1 · ownership.nature: On June 12, 2020, the reporting person and Heyer Investment Management LLC ("Heyer Management") purchased an aggregate of (i) 375,000 common shares and (ii) 100,000 warrants to acquire common shares pursuant to an Investment Agreement by and among the Issuer, Steiner Leisure Limited, the reporting person, Heyer Management, and the other investors named on the signature pages thereto, for an aggregate purchase price of $1,500,000. The reporting person directly acquired 250,000 common shares and 66,667 warrants to acquire common shares for a purchase price of $1,000,000, and Heyer Management acquired the balance of the securities for a purchase price of $500,000.

F2 · ownership.nature: Includes (i) 290,697 common shares held directly by the reporting person, (ii) 150,878 common shares indirectly by Heyer Management, (iii) 32,379 common shares indirectly held by the Harris Reid Heyer Trust, (iv) 32,379 common shares indirectly held by James Heyer Trust, (v) 32,379 common shares indirectly held by the Peter Justin Heyer Trust, and (vi) 32,379 common shares indirectly held by the William Heyer Trust, prior to June 12, 2020. The reporting person is a trustee of the trusts named in clauses (iii) - (vi), and jointly holds voting and dispositive power of the securities held by such entities. As such, the reporting person may be deemed to have or share beneficial ownership of such securities.

F3 · ownership.nature: The reporting person is the managing member of Heyer Management and has voting and dispositive power of the securities held by such entity. Accordingly, the reporting person may be deemed to have or share beneficial ownership of such securities. The reporting person disclaims beneficial ownership of the securities, except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose.

SEC source: 0001213900-20-014622 · ownership.xml · derivative · entry 1

HEYER ANDREW R · CIK 0001259062 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,126

Underlying: Common Stock · 4,126 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock.

F2 · derivative.exercise_date: The reporting person received a grant of 4,126 RSUs, of which 100% are subject to vesting on 6/5/2021.

F2 · derivative.expiration_date: The reporting person received a grant of 4,126 RSUs, of which 100% are subject to vesting on 6/5/2021.

SEC source: 0001104659-20-047794 · tm2015981d2_4.xml · nonDerivative · entry 3

HEYER ANDREW R · CIK 0001259062 · Former director and 10% owner

Mistral Spa Holdings, LLC · CIK 0001690963 · 10% owner

Mistral Capital Management, LLC · CIK 0001695155 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,750

F5 · price: The price reported in Column 4 is an average price. These shares were sold in multiple transactions at prices ranging from $0.39 to $0.41, inclusive. The Reporting Persons undertake to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (5) to this Form 4.

SEC source: 0001104659-20-047794 · tm2015981d2_4.xml · nonDerivative · entry 2

HEYER ANDREW R · CIK 0001259062 · Former director and 10% owner

Mistral Spa Holdings, LLC · CIK 0001690963 · 10% owner

Mistral Capital Management, LLC · CIK 0001695155 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 2,759,173

F4 · price: The price reported in Column 4 is an average price. These shares were sold in multiple transactions at prices ranging from $0.40 to $0.41, inclusive. The Reporting Persons undertake to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (4) to this Form 4.

F2 · ownership.nature: Mistral Spa Holdings, LLC ("MSH"), a Delaware limited liability company, is the record holder of the securities identified in this row. Mr. Heyer is the managing member and the managing partner of Mistral Capital Management, LLC ("MCM" and, together with Mr. Heyer and MSH, the "Reporting Persons"), which is the sole manager of MSH. By reason of the provisions of Rule 16a-1 of the Exchange Act, MCM and Mr. Heyer may be deemed to be beneficial owners of certain of the securities that are deemed to be beneficially owned by MSH. Each of the Reporting Persons disclaims beneficial ownership of the securities owned by MSH except to the extent of the Reporting Person's pecuniary interest therein.

F3 · ownership.nature: Includes (a) 158,820 shares of common stock deposited in various escrow accounts to cover certain indemnification claims made pursuant to that certain Agreement and Plan of Merger, by and among FORM Holdings Corp., FHXMS, LLC, XpresSpa Holdings, LLC and Mistral XH Representative, LLC, as representative of the unitholders, dated October 25, 2016, as subsequently amended; (b) 7,500 shares of common stock held of record by Heyer Investment Management LLC and 900 shares of common stock held of record by Andrew R. Heyer 2007 Associates, L.P., each of which Mr. Heyer controls; and (c) shares of common stock received as part of a pro rata distribution of the Company's Series D Convertible Preferred Stock, which subsequently converted into common shares, from MSH on October 1, 2019. Each of the Reporting Persons disclaims beneficial ownership of these securities except to the extent of the Reporting Person's pecuniary interest therein.

SEC source: 0001104659-20-047794 · tm2015981d2_4.xml · nonDerivative · entry 1

HEYER ANDREW R · CIK 0001259062 · Former director and 10% owner

Mistral Spa Holdings, LLC · CIK 0001690963 · 10% owner

Mistral Capital Management, LLC · CIK 0001695155 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 3,759,173

F1 · price: The price reported in Column 4 is an average price. These shares were sold in multiple transactions at prices ranging from $0.35 to $0.40, inclusive. The Reporting Persons undertake to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (1) to this Form 4.

F2 · ownership.nature: Mistral Spa Holdings, LLC ("MSH"), a Delaware limited liability company, is the record holder of the securities identified in this row. Mr. Heyer is the managing member and the managing partner of Mistral Capital Management, LLC ("MCM" and, together with Mr. Heyer and MSH, the "Reporting Persons"), which is the sole manager of MSH. By reason of the provisions of Rule 16a-1 of the Exchange Act, MCM and Mr. Heyer may be deemed to be beneficial owners of certain of the securities that are deemed to be beneficially owned by MSH. Each of the Reporting Persons disclaims beneficial ownership of the securities owned by MSH except to the extent of the Reporting Person's pecuniary interest therein.

F3 · ownership.nature: Includes (a) 158,820 shares of common stock deposited in various escrow accounts to cover certain indemnification claims made pursuant to that certain Agreement and Plan of Merger, by and among FORM Holdings Corp., FHXMS, LLC, XpresSpa Holdings, LLC and Mistral XH Representative, LLC, as representative of the unitholders, dated October 25, 2016, as subsequently amended; (b) 7,500 shares of common stock held of record by Heyer Investment Management LLC and 900 shares of common stock held of record by Andrew R. Heyer 2007 Associates, L.P., each of which Mr. Heyer controls; and (c) shares of common stock received as part of a pro rata distribution of the Company's Series D Convertible Preferred Stock, which subsequently converted into common shares, from MSH on October 1, 2019. Each of the Reporting Persons disclaims beneficial ownership of these securities except to the extent of the Reporting Person's pecuniary interest therein.

SEC source: 0000899243-21-006295 · doc5.xml · nonDerivative · entry 1

HEYER ANDREW R · CIK 0001259062 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 796,091

F1 · balance_after: Includes (i) 290,697 common shares held directly by the reporting person, (ii) 150,878 common shares indirectly by Heyer Investment Management LLC ("Heyer Management"), (iii) 32,379 common shares indirectly held by the Harris Reid Heyer Trust, (iv) 32,379 common shares indirectly held by James Heyer Trust, (v) 32,379 common shares indirectly held by the Peter Justin Heyer Trust, and (vi) 32,379 common shares indirectly held by the William Heyer Trust, prior to June 12, 2020. The reporting person is a trustee of the trusts named in clauses (iii) - (vi), and jointly holds voting and dispositive power of the securities held by such entities. As such, the reporting person may be deemed to have or share beneficial ownership of such securities.

F1 · ownership.nature: Includes (i) 290,697 common shares held directly by the reporting person, (ii) 150,878 common shares indirectly by Heyer Investment Management LLC ("Heyer Management"), (iii) 32,379 common shares indirectly held by the Harris Reid Heyer Trust, (iv) 32,379 common shares indirectly held by James Heyer Trust, (v) 32,379 common shares indirectly held by the Peter Justin Heyer Trust, and (vi) 32,379 common shares indirectly held by the William Heyer Trust, prior to June 12, 2020. The reporting person is a trustee of the trusts named in clauses (iii) - (vi), and jointly holds voting and dispositive power of the securities held by such entities. As such, the reporting person may be deemed to have or share beneficial ownership of such securities.

F2 · ownership.nature: The reporting person is the managing member of Heyer Management and has voting and dispositive power of the securities held by such entity. Accordingly, the reporting person may be deemed to have or share beneficial ownership of such securities. The reporting person disclaims beneficial ownership of the securities, except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose.

SEC source: 0001213900-20-001153 · ownership.xml · nonDerivative · entry 2

HEYER ANDREW R · CIK 0001259062 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,960

F2 · price: The price represents the weighted average purchase price for multiple transactions reported on this line. The prices of the transactions ranged from $12.26 to $12.30, inclusive. Upon request of the SEC staff or the issuer, the reporting person will provide full information regarding the number of shares purchased at each separate price.

SEC source: 0001213900-20-001153 · ownership.xml · nonDerivative · entry 1

HEYER ANDREW R · CIK 0001259062 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,960

F1 · price: The price represents the weighted average purchase price for multiple transactions reported on this line. The prices of the transactions ranged from $12.53 to $13.17, inclusive. Upon request of the SEC staff or the issuer, the reporting person will provide full information regarding the number of shares purchased at each separate price.

SEC source: 0001213900-19-027221 · ownership.xml · nonDerivative · entry 1

HEYER ANDREW R · CIK 0001259062 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,960

F1 · price: The price represents the weighted average purchase price for multiple transactions reported on this line. The prices of the transactions ranged from $13.9892 to $14.1285, inclusive. Upon request of the SEC staff or the issuer, the reporting person will provide full information regarding the number of shares purchased at each separate price.

SEC source: 0000899243-20-004649 · doc5.xml · nonDerivative · entry 1

HEYER ANDREW R · CIK 0001259062 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 571,091

SEC source: 0001213900-19-027036 · ownership.xml · nonDerivative · entry 2

HEYER ANDREW R · CIK 0001259062 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,460

F1 · price: The price represents the weighted average purchase price for multiple transactions reported on this line. The prices of the transactions ranged from $14.27 to $14.50, inclusive. Upon request of the SEC staff or the issuer, the reporting person will provide full information regarding the number of shares purchased at each separate price.

SEC source: 0001213900-19-027036 · ownership.xml · nonDerivative · entry 1

HEYER ANDREW R · CIK 0001259062 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,200

SEC source: 0001213900-19-026748 · ownership.xml · nonDerivative · entry 5

HEYER ANDREW R · CIK 0001259062 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 430,304

F4 · kind: Represents shares acquired in a pro rata distribution of shares of the registrant's common stock from SAC to its members.

F6 · ownership.nature: These securities are held by Mistral Sac Holdings 2, LLC ("MSH2") and, in the case of common stock, after giving effect to the distribution described in footnote 3.

F8 · ownership.nature: By reason of the provisions of Rule 16a-1 of the Exchange Act, Mr. Heyer may be deemed to have beneficial ownership of certain of the securities that are beneficially owned by SAC, MSH, MSH2, MSH3, MSH4 and the Mistral Funds (as defined below). Mr. Heyer disclaims beneficial ownership of the securities owned by SAC, MSH, MSH2, MSH3, MSH4 and the Mistral Funds, except to the extent of Mr. Heyer's pecuniary interest therein.

SEC source: 0001213900-19-026748 · ownership.xml · nonDerivative · entry 4

HEYER ANDREW R · CIK 0001259062 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 1,654,082

F14 · kind: Represents the net result of a pro rata distribution of 2,639,744 shares of the registrant's common stock from MSH to its members. As a result of the distribution, 446,145 shares of the registrant's common stock were distributed to non-affiliates of the reporting person and the remaining shares are held by Mistral Equity Partners, LP, Mistral Equity Partners QP, LP and MEP Co-Invest, LLC (collectively, the "Mistral Funds"), each of which is controlled by Mr, Heyer.

F8 · ownership.nature: By reason of the provisions of Rule 16a-1 of the Exchange Act, Mr. Heyer may be deemed to have beneficial ownership of certain of the securities that are beneficially owned by SAC, MSH, MSH2, MSH3, MSH4 and the Mistral Funds (as defined below). Mr. Heyer disclaims beneficial ownership of the securities owned by SAC, MSH, MSH2, MSH3, MSH4 and the Mistral Funds, except to the extent of Mr. Heyer's pecuniary interest therein.

SEC source: 0001213900-19-026748 · ownership.xml · nonDerivative · entry 3

HEYER ANDREW R · CIK 0001259062 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 2,628,569

F4 · kind: Represents shares acquired in a pro rata distribution of shares of the registrant's common stock from SAC to its members.

F5 · ownership.nature: These securities were held by Mistral Sac Holdings, LLC ("MSH") after giving effect to the distribution described in footnote 3, prior to giving effect to the distribution described in footnote 14.

F8 · ownership.nature: By reason of the provisions of Rule 16a-1 of the Exchange Act, Mr. Heyer may be deemed to have beneficial ownership of certain of the securities that are beneficially owned by SAC, MSH, MSH2, MSH3, MSH4 and the Mistral Funds (as defined below). Mr. Heyer disclaims beneficial ownership of the securities owned by SAC, MSH, MSH2, MSH3, MSH4 and the Mistral Funds, except to the extent of Mr. Heyer's pecuniary interest therein.

SEC source: 0001213900-19-026748 · ownership.xml · nonDerivative · entry 2

HEYER ANDREW R · CIK 0001259062 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

F3 · kind: Represents a pro rata distribution of shares of the registrant's common stock from SAC to its members.

F2 · ownership.nature: These securities were held by SAC.

F8 · ownership.nature: By reason of the provisions of Rule 16a-1 of the Exchange Act, Mr. Heyer may be deemed to have beneficial ownership of certain of the securities that are beneficially owned by SAC, MSH, MSH2, MSH3, MSH4 and the Mistral Funds (as defined below). Mr. Heyer disclaims beneficial ownership of the securities owned by SAC, MSH, MSH2, MSH3, MSH4 and the Mistral Funds, except to the extent of Mr. Heyer's pecuniary interest therein.

SEC source: 0001213900-19-026748 · ownership.xml · nonDerivative · entry 1

HEYER ANDREW R · CIK 0001259062 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 3,611,361

F1 · kind: Represents a contribution of shares of the registrant's common stock from SAC Acquisition LLC ("SAC") to the registrant in connection with an exchange of options previously issued by SAC.

F2 · ownership.nature: These securities were held by SAC.

F8 · ownership.nature: By reason of the provisions of Rule 16a-1 of the Exchange Act, Mr. Heyer may be deemed to have beneficial ownership of certain of the securities that are beneficially owned by SAC, MSH, MSH2, MSH3, MSH4 and the Mistral Funds (as defined below). Mr. Heyer disclaims beneficial ownership of the securities owned by SAC, MSH, MSH2, MSH3, MSH4 and the Mistral Funds, except to the extent of Mr. Heyer's pecuniary interest therein.

SEC source: 0001144204-19-047234 · tv530640_4.xml · derivative · entry 5

HEYER ANDREW R · CIK 0001259062 · Director · 10% owner

Mistral Spa Holdings, LLC · CIK 0001690963 · 10% owner

Mistral Capital Management, LLC · CIK 0001695155 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 6,606,338 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: Automatic conversion of the Registrant's Series D convertible preferred stock (including shares payable as accrued but unpaid dividends thereon). On July 8, 2019, the Registrant filed a certificate of amendment to the Certificate of Designation of Series D Convertible Preferred Stock (the "Series D COD Amendment") with the State of Delaware to, upon receipt of stockholder approval, reduce the conversion price to $2.00 and provide for automatic conversion of the Series D Convertible Preferred Stock into shares of Common Stock. The Series D COD Amendment was approved by the stockholders of the Registrant on October 2, 2019.

F7 · derivative.expiration_date: Prior to the conversion described in footnote 1 above, the Series D convertible preferred stock would have matured seven years after the date of issuance, and the Registrant would have had to pay holders in cash, shares of common stock, or any combination thereof.

F2 · derivative.underlying_shares: Mistral Spa Holdings, LLC ("MSH"), a Delaware limited liability company, is the record holder of the shares of common stock, shares of preferred stock, and warrants identified in this filing. Mr. Heyer is the managing member and the managing partner of Mistral Capital Management, LLC ("MCM" and, together with Mr. Heyer and MSH, the "Reporting Persons"), which is the sole manager of MSH. By reason of the provisions of Rule 16a-1 of the Exchange Act, MCM and Mr. Heyer may be deemed to be beneficial owners of certain of the securities that are deemed to be beneficially owned by MSH. Each of the Reporting Persons disclaims beneficial ownership of the securities owned by MSH except to the extent of the Reporting Person's pecuniary interest therein.

F2 · ownership.nature: Mistral Spa Holdings, LLC ("MSH"), a Delaware limited liability company, is the record holder of the shares of common stock, shares of preferred stock, and warrants identified in this filing. Mr. Heyer is the managing member and the managing partner of Mistral Capital Management, LLC ("MCM" and, together with Mr. Heyer and MSH, the "Reporting Persons"), which is the sole manager of MSH. By reason of the provisions of Rule 16a-1 of the Exchange Act, MCM and Mr. Heyer may be deemed to be beneficial owners of certain of the securities that are deemed to be beneficially owned by MSH. Each of the Reporting Persons disclaims beneficial ownership of the securities owned by MSH except to the extent of the Reporting Person's pecuniary interest therein.

SEC source: 0001144204-19-047234 · tv530640_4.xml · nonDerivative · entry 1

HEYER ANDREW R · CIK 0001259062 · Director · 10% owner

Mistral Spa Holdings, LLC · CIK 0001690963 · 10% owner

Mistral Capital Management, LLC · CIK 0001695155 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 6,712,861

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

F1 · price: Automatic conversion of the Registrant's Series D convertible preferred stock (including shares payable as accrued but unpaid dividends thereon). On July 8, 2019, the Registrant filed a certificate of amendment to the Certificate of Designation of Series D Convertible Preferred Stock (the "Series D COD Amendment") with the State of Delaware to, upon receipt of stockholder approval, reduce the conversion price to $2.00 and provide for automatic conversion of the Series D Convertible Preferred Stock into shares of Common Stock. The Series D COD Amendment was approved by the stockholders of the Registrant on October 2, 2019.

F2 · balance_after: Mistral Spa Holdings, LLC ("MSH"), a Delaware limited liability company, is the record holder of the shares of common stock, shares of preferred stock, and warrants identified in this filing. Mr. Heyer is the managing member and the managing partner of Mistral Capital Management, LLC ("MCM" and, together with Mr. Heyer and MSH, the "Reporting Persons"), which is the sole manager of MSH. By reason of the provisions of Rule 16a-1 of the Exchange Act, MCM and Mr. Heyer may be deemed to be beneficial owners of certain of the securities that are deemed to be beneficially owned by MSH. Each of the Reporting Persons disclaims beneficial ownership of the securities owned by MSH except to the extent of the Reporting Person's pecuniary interest therein.

F3 · balance_after: All numbers reflect the impact of the 1:20 reverse stock split of the Registrant's common stock that became effective on February 22, 2019.

F2 · ownership.nature: Mistral Spa Holdings, LLC ("MSH"), a Delaware limited liability company, is the record holder of the shares of common stock, shares of preferred stock, and warrants identified in this filing. Mr. Heyer is the managing member and the managing partner of Mistral Capital Management, LLC ("MCM" and, together with Mr. Heyer and MSH, the "Reporting Persons"), which is the sole manager of MSH. By reason of the provisions of Rule 16a-1 of the Exchange Act, MCM and Mr. Heyer may be deemed to be beneficial owners of certain of the securities that are deemed to be beneficially owned by MSH. Each of the Reporting Persons disclaims beneficial ownership of the securities owned by MSH except to the extent of the Reporting Person's pecuniary interest therein.

SEC source: 0001213900-19-019821 · ownership.xml · derivative · entry 2

HEYER ANDREW R · CIK 0001259062 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,490

Underlying: Common Stock · 3,245 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock.

F3 · derivative.exercise_date: The reporting person received a grant of 3,245 RSUs, of which 50% are subject vesting on the first anniversary of the grant date and 50% are subject vesting on the second anniversary of the grant date.

F3 · derivative.expiration_date: The reporting person received a grant of 3,245 RSUs, of which 50% are subject vesting on the first anniversary of the grant date and 50% are subject vesting on the second anniversary of the grant date.

SEC source: 0001213900-19-019821 · ownership.xml · derivative · entry 1

HEYER ANDREW R · CIK 0001259062 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,245

Underlying: Common Stock · 3,245 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock.

F2 · derivative.exercise_date: The reporting person received a grant of 3,245 RSUs, of which 100% are subject vesting on the first anniversary of the grant date.

F2 · derivative.expiration_date: The reporting person received a grant of 3,245 RSUs, of which 100% are subject vesting on the first anniversary of the grant date.

SEC source: 0001144204-19-047234 · tv530640_4.xml · derivative · entry 4

HEYER ANDREW R · CIK 0001259062 · Director · 10% owner

Mistral Spa Holdings, LLC · CIK 0001690963 · 10% owner

Mistral Capital Management, LLC · CIK 0001695155 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 220,199

Underlying: Common Stock · 2,037,390 shares

Expires not disclosed

F6 · derivative.exercise_price: Represents the net result of a pro rata distribution of 71,927 shares of the registrant's Series D Convertible Preferred Stock from MSH. As a result of the distribution, 67,913 shares of the registrant's Series D Convertible Preferred Stock were distributed to non-affiliates of the reporting persons, while the reporting persons may be deemed to be the beneficial owners of the remaining portion of the distribution.

F6 · kind: Represents the net result of a pro rata distribution of 71,927 shares of the registrant's Series D Convertible Preferred Stock from MSH. As a result of the distribution, 67,913 shares of the registrant's Series D Convertible Preferred Stock were distributed to non-affiliates of the reporting persons, while the reporting persons may be deemed to be the beneficial owners of the remaining portion of the distribution.

F7 · derivative.expiration_date: Prior to the conversion described in footnote 1 above, the Series D convertible preferred stock would have matured seven years after the date of issuance, and the Registrant would have had to pay holders in cash, shares of common stock, or any combination thereof.

F2 · derivative.underlying_shares: Mistral Spa Holdings, LLC ("MSH"), a Delaware limited liability company, is the record holder of the shares of common stock, shares of preferred stock, and warrants identified in this filing. Mr. Heyer is the managing member and the managing partner of Mistral Capital Management, LLC ("MCM" and, together with Mr. Heyer and MSH, the "Reporting Persons"), which is the sole manager of MSH. By reason of the provisions of Rule 16a-1 of the Exchange Act, MCM and Mr. Heyer may be deemed to be beneficial owners of certain of the securities that are deemed to be beneficially owned by MSH. Each of the Reporting Persons disclaims beneficial ownership of the securities owned by MSH except to the extent of the Reporting Person's pecuniary interest therein.

F5 · derivative.underlying_shares: For consistency, these numbers give effect to the conversion described in footnote (1) above.

F2 · ownership.nature: Mistral Spa Holdings, LLC ("MSH"), a Delaware limited liability company, is the record holder of the shares of common stock, shares of preferred stock, and warrants identified in this filing. Mr. Heyer is the managing member and the managing partner of Mistral Capital Management, LLC ("MCM" and, together with Mr. Heyer and MSH, the "Reporting Persons"), which is the sole manager of MSH. By reason of the provisions of Rule 16a-1 of the Exchange Act, MCM and Mr. Heyer may be deemed to be beneficial owners of certain of the securities that are deemed to be beneficially owned by MSH. Each of the Reporting Persons disclaims beneficial ownership of the securities owned by MSH except to the extent of the Reporting Person's pecuniary interest therein.

SEC source: 0001144204-19-047234 · tv530640_4.xml · derivative · entry 3

HEYER ANDREW R · CIK 0001259062 · Director · 10% owner

Mistral Spa Holdings, LLC · CIK 0001690963 · 10% owner

Mistral Capital Management, LLC · CIK 0001695155 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 288,112

Underlying: Common Stock · 254,100 shares

Expires not disclosed

F4 · derivative.exercise_price: On October 2, 2019, 8,470 shares of Series D Convertible Preferred Stock, which were deposited in various escrow accounts to cover certain indemnification claims made pursuant to the Merger Agreement, were forfeited by the reporting persons in connection with such claims.

F4 · kind: On October 2, 2019, 8,470 shares of Series D Convertible Preferred Stock, which were deposited in various escrow accounts to cover certain indemnification claims made pursuant to the Merger Agreement, were forfeited by the reporting persons in connection with such claims.

F7 · derivative.expiration_date: Prior to the conversion described in footnote 1 above, the Series D convertible preferred stock would have matured seven years after the date of issuance, and the Registrant would have had to pay holders in cash, shares of common stock, or any combination thereof.

F2 · derivative.underlying_shares: Mistral Spa Holdings, LLC ("MSH"), a Delaware limited liability company, is the record holder of the shares of common stock, shares of preferred stock, and warrants identified in this filing. Mr. Heyer is the managing member and the managing partner of Mistral Capital Management, LLC ("MCM" and, together with Mr. Heyer and MSH, the "Reporting Persons"), which is the sole manager of MSH. By reason of the provisions of Rule 16a-1 of the Exchange Act, MCM and Mr. Heyer may be deemed to be beneficial owners of certain of the securities that are deemed to be beneficially owned by MSH. Each of the Reporting Persons disclaims beneficial ownership of the securities owned by MSH except to the extent of the Reporting Person's pecuniary interest therein.

F5 · derivative.underlying_shares: For consistency, these numbers give effect to the conversion described in footnote (1) above.

F2 · ownership.nature: Mistral Spa Holdings, LLC ("MSH"), a Delaware limited liability company, is the record holder of the shares of common stock, shares of preferred stock, and warrants identified in this filing. Mr. Heyer is the managing member and the managing partner of Mistral Capital Management, LLC ("MCM" and, together with Mr. Heyer and MSH, the "Reporting Persons"), which is the sole manager of MSH. By reason of the provisions of Rule 16a-1 of the Exchange Act, MCM and Mr. Heyer may be deemed to be beneficial owners of certain of the securities that are deemed to be beneficially owned by MSH. Each of the Reporting Persons disclaims beneficial ownership of the securities owned by MSH except to the extent of the Reporting Person's pecuniary interest therein.

SEC source: 0000899243-19-020875 · doc4.xml · derivative · entry 1

HEYER ANDREW R · CIK 0001259062 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,616

Underlying: Common Shares · 9,616 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit represents a contingent right to receive, at vesting, one common share, par value $0.0001 per share, of the Issuer (the "Common Shares"). The Restricted Stock Units vest one year from the grant date. Vested Common Shares will be delivered to the reporting person on the 60th day following the date of termination of service to the Issuer.

F1 · derivative.exercise_date: Each Restricted Stock Unit represents a contingent right to receive, at vesting, one common share, par value $0.0001 per share, of the Issuer (the "Common Shares"). The Restricted Stock Units vest one year from the grant date. Vested Common Shares will be delivered to the reporting person on the 60th day following the date of termination of service to the Issuer.

F1 · derivative.expiration_date: Each Restricted Stock Unit represents a contingent right to receive, at vesting, one common share, par value $0.0001 per share, of the Issuer (the "Common Shares"). The Restricted Stock Units vest one year from the grant date. Vested Common Shares will be delivered to the reporting person on the 60th day following the date of termination of service to the Issuer.

SEC source: 0000899243-19-016867 · doc4.xml · derivative · entry 1

HEYER ANDREW R · CIK 0001259062 · Director · President

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 10,000,000

Underlying: Class A Common Stock · 62,500 shares

Expires not disclosed

F1 · derivative.exercise_price: As described in the issuer's registration statement on Form S-1 (File No. 333- 231617) under the heading "Description of Securities--Founder Shares", the shares of Class B common stock will automatically convert into shares of Class A common stock at the time of the issuer's initial business combination, or earlier at the option of the holder, on a one-for-one basis, subject to adjustment for stock splits, stock dividends, reorganizations, recapitalizations and the like, and certain anti-dilution rights and has no expiration date.

F2 · kind: As contemplated in connection with the initial public offering of the issuer, 62,500 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: As described in the issuer's registration statement on Form S-1 (File No. 333- 231617) under the heading "Description of Securities--Founder Shares", the shares of Class B common stock will automatically convert into shares of Class A common stock at the time of the issuer's initial business combination, or earlier at the option of the holder, on a one-for-one basis, subject to adjustment for stock splits, stock dividends, reorganizations, recapitalizations and the like, and certain anti-dilution rights and has no expiration date.

F1 · derivative.expiration_date: As described in the issuer's registration statement on Form S-1 (File No. 333- 231617) under the heading "Description of Securities--Founder Shares", the shares of Class B common stock will automatically convert into shares of Class A common stock at the time of the issuer's initial business combination, or earlier at the option of the holder, on a one-for-one basis, subject to adjustment for stock splits, stock dividends, reorganizations, recapitalizations and the like, and certain anti-dilution rights and has no expiration date.

F3 · ownership.nature: These shares represent Class B common stock held by Haymaker Sponsor II LLC (the "Sponsor") acquired pursuant to a subscription agreement by and between the Sponsor and the issuer. Andrew R. Heyer is the President and Director of the issuer, and is a managing member of the Sponsor. He has voting and investment discretion with respect to the securities held by the Sponsor. As such, Mr. Heyer may be deemed to share beneficial ownership of the shares of Class B common stock held directly by the Sponsor. Mr. Heyer disclaims any beneficial ownership of the reported shares other than to the extent of any pecuniary interest he may have therein, directly or indirectly.