person · Reporting owner

OBUS NELSON

Disclosed activity across 15 companies

Tapewire entity: 41100
SEC CIK: 0001017043

Reported relationships

Latest disclosed role at each company.

Company	Last reported as	Report date	Published
DLH Holdings Corp.DLHC · Entity 7088	10% owner	March 14, 2023	March 16, 2023
GlyEco, Inc.GLYE · Entity 156109	10% owner	May 31, 2019	June 05, 2019
Jason Industries, Inc.JASN · Entity 149778	10% owner	August 14, 2019	August 16, 2019
LIFECORE BIOMEDICAL INCLFCR · Entity 120804	10% owner	January 09, 2023	January 11, 2023
LIFECORE BIOMEDICAL, INC. \DE\LFCR · Entity 6447	Director	June 04, 2026	June 05, 2026
MusclePharm CorpMSLP · Entity 125097	10% owner	September 27, 2019	October 01, 2019
NATURES SUNSHINE PRODUCTS INCNATR · Entity 1465	10% owner	September 15, 2022	September 19, 2022
Quest Resource Holding CorpQRHC · Entity 852	10% owner	March 13, 2024	March 15, 2024
Summer Infant, Inc.SUMR · Entity 125947	10% owner	May 25, 2021	May 27, 2021
TELOS CORPTLSRP · Entity 770	10% owner	October 06, 2020	October 08, 2020
Williams Industrial Services Group Inc.WLMS · Entity 114766	Director · 10% owner	February 02, 2023	February 03, 2023

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.

DLH Holdings Corp.

Report date March 14, 2023 · Filed March 16, 2023

Jointly reported with WYNNEFIELD PARTNERS SMALL CAP VALUE LP, WYNNEFIELD PARTNERS SMALL CAP VALUE LP I, WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD, WYNNEFIELD CAPITAL MANAGEMENT LLC, WYNNEFIELD CAPITAL INC, Wynnefield Capital, Inc. Profit Sharing Plan, LANDES JOSHUA

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common Stock, par value $0.001 per share ("Common Stock")SEC Table I · non-derivative	Direct	1,028,495	Reported balance After 2023-03-14 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2023-03-14 · Sale · Disposed 40,000 · Balance 1,028,495 F5: This Form 4 is being filed as a result of sales related to portfolio management. F1: The Reporting Person directly beneficially owns 1,028,495 shares of Common Stock of DLH Holdings Corp. (the "Issuer"). Wynnefield Capital Management, LLC, as the sole general partner of the Reporting Person, has an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns.
Common StockSEC Table I · non-derivative	IndirectSee Footnotes	2,652,926	Reported balance After 2023-03-14 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 2 · 2023-03-14 · Sale · Disposed 210,000 · Balance 2,652,926 F5: This Form 4 is being filed as a result of sales related to portfolio management. F2: The Reporting Person has an indirect beneficial ownership interest in 1,854,044 shares of Common Stock, which are directly beneficially owned by Wynnefield Partners Small Cap Value, L.P. I, as members of a group under Section 13(d) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Wynnefield Partners Small Cap Value, L.P. I, which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital Management, LLC, as the sole general partner of Wynnefield Partners Small Cap Value, L.P. I, has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value L.P. I directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value, L.P. I directly beneficially owns. F3: The Reporting Person has an indirect beneficial ownership interest in 672,395 shares of Common Stock, which are directly beneficially owned by Wynnefield Small Cap Value Offshore Fund, Ltd., as members of a group under Section 13(d) of the Exchange Act. Wynnefield Small Cap Value Offshore Fund, Ltd., which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital, Inc. as the sole investment manager of Wynnefield Small Cap Value Offshore Fund, Ltd., has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns. Nelson Obus and Joshua Landes, as principal executive officers of Wynnefield Capital, Inc., have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns. F4: The Reporting Person has an indirect beneficial ownership interest in 126,487 shares of Common Stock, which are directly beneficially owned by Wynnefield Capital, Inc. Profit Sharing Plan, as members of a group under Section 13(d) of the Exchange Act. Wynnefield Capital, Inc. Profit Sharing Plan, which maintains offices at the same address as the Reporting Person, is filing this Form jointly with the Reporting Person. Mr. Obus and Mr. Landes, as co-trustees, have the power to vote and dispose of Wynnefield Capital, Inc. Profit Sharing Plan's investments in securities and have indirect beneficial ownership interests in the shares of Common Stock that Wynnefield Capital, Inc. Profit Sharing Plan directly beneficially owns.

Filing footnotes · ownership attribution and instrument terms

F1: The Reporting Person directly beneficially owns 1,028,495 shares of Common Stock of DLH Holdings Corp. (the "Issuer"). Wynnefield Capital Management, LLC, as the sole general partner of the Reporting Person, has an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns.

F2: The Reporting Person has an indirect beneficial ownership interest in 1,854,044 shares of Common Stock, which are directly beneficially owned by Wynnefield Partners Small Cap Value, L.P. I, as members of a group under Section 13(d) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Wynnefield Partners Small Cap Value, L.P. I, which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital Management, LLC, as the sole general partner of Wynnefield Partners Small Cap Value, L.P. I, has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value L.P. I directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value, L.P. I directly beneficially owns.

F3: The Reporting Person has an indirect beneficial ownership interest in 672,395 shares of Common Stock, which are directly beneficially owned by Wynnefield Small Cap Value Offshore Fund, Ltd., as members of a group under Section 13(d) of the Exchange Act. Wynnefield Small Cap Value Offshore Fund, Ltd., which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital, Inc. as the sole investment manager of Wynnefield Small Cap Value Offshore Fund, Ltd., has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns. Nelson Obus and Joshua Landes, as principal executive officers of Wynnefield Capital, Inc., have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns.

F4: The Reporting Person has an indirect beneficial ownership interest in 126,487 shares of Common Stock, which are directly beneficially owned by Wynnefield Capital, Inc. Profit Sharing Plan, as members of a group under Section 13(d) of the Exchange Act. Wynnefield Capital, Inc. Profit Sharing Plan, which maintains offices at the same address as the Reporting Person, is filing this Form jointly with the Reporting Person. Mr. Obus and Mr. Landes, as co-trustees, have the power to vote and dispose of Wynnefield Capital, Inc. Profit Sharing Plan's investments in securities and have indirect beneficial ownership interests in the shares of Common Stock that Wynnefield Capital, Inc. Profit Sharing Plan directly beneficially owns.

F5: This Form 4 is being filed as a result of sales related to portfolio management.

GlyEco, Inc.

Report date May 31, 2019 · Filed June 05, 2019

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common Stock Purchase Warrant (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.55 · Expires 2024-05-31	Direct	417,843	Reported balance After 2019-05-31 transaction · row 1 Instrument identity requires review; Table II rows are not merged. 1 source row Row 1 · 2019-05-31 · Other · Acquired 417,843 · Balance 417,843 F1: The warrant to purchase 417,843 shares of common stock, $0.0001 par value per share (the "Common Stock"), of GlyEco, Inc. (the "Issuer"), was issued to the Reporting Person in connection with an agreement to replace the Issuer's 10% Senior, Unsecured Promissory Note, which had been previously issued to the Reporting Person, with an Amended and Restated 12.5% Senior, Subordinated Unsecured Promissory Note. F3: The Reporting Person directly beneficially owns the warrant to purchase 417,843 shares of Common Stock. Wynnefield Capital Management, LLC, as the sole general partner of the Reporting Person, has an indirect beneficial ownership interest in the warrant that the Reporting Person directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the warrant that the Reporting Person directly beneficially owns.
Common Stock Purchase Warrant (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.55 · Expires 2024-05-31	IndirectSee Footnote	646,981	Reported balance After 2019-05-31 transaction · row 2 Instrument identity requires review; Table II rows are not merged. 1 source row Row 2 · 2019-05-31 · Other · Acquired 646,981 · Balance 646,981 F2: The warrant to purchase 646,981 shares of Common Stock was issued to Wynnefield Partners Small Cap Value, L.P. I in connection with an agreement to replace the Issuers's 10% Senior, Unsecured Promissory Note, which had been previously issued to Wynnefield Partners Small Cap Value, L.P. I, with an Amended and Restated 12.5% Senior, Subordinated Unsecured Promissory Note. F4: The Reporting Person has an indirect beneficial ownership interest in the warrant to purchase 646,981 shares of Common Stock that is directly beneficially owned by Wynnefield Partners Small Cap Value, L.P. I, as members of a group under Section 13(d) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Wynnefield Partners Small Cap Value, L.P. I, which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital Management, LLC, as the sole general partner of Wynnefield Partners Small Cap Value, L.P. I, has an indirect beneficial ownership interest in the warrant that Wynnefield Partners Small Cap Value L.P. I directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the warrant that Wynnefield Partners Small Cap Value, L.P. I directly beneficially owns.

Filing footnotes · ownership attribution and instrument terms

F1: The warrant to purchase 417,843 shares of common stock, $0.0001 par value per share (the "Common Stock"), of GlyEco, Inc. (the "Issuer"), was issued to the Reporting Person in connection with an agreement to replace the Issuer's 10% Senior, Unsecured Promissory Note, which had been previously issued to the Reporting Person, with an Amended and Restated 12.5% Senior, Subordinated Unsecured Promissory Note.

F2: The warrant to purchase 646,981 shares of Common Stock was issued to Wynnefield Partners Small Cap Value, L.P. I in connection with an agreement to replace the Issuers's 10% Senior, Unsecured Promissory Note, which had been previously issued to Wynnefield Partners Small Cap Value, L.P. I, with an Amended and Restated 12.5% Senior, Subordinated Unsecured Promissory Note.

F3: The Reporting Person directly beneficially owns the warrant to purchase 417,843 shares of Common Stock. Wynnefield Capital Management, LLC, as the sole general partner of the Reporting Person, has an indirect beneficial ownership interest in the warrant that the Reporting Person directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the warrant that the Reporting Person directly beneficially owns.

F4: The Reporting Person has an indirect beneficial ownership interest in the warrant to purchase 646,981 shares of Common Stock that is directly beneficially owned by Wynnefield Partners Small Cap Value, L.P. I, as members of a group under Section 13(d) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Wynnefield Partners Small Cap Value, L.P. I, which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital Management, LLC, as the sole general partner of Wynnefield Partners Small Cap Value, L.P. I, has an indirect beneficial ownership interest in the warrant that Wynnefield Partners Small Cap Value L.P. I directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the warrant that Wynnefield Partners Small Cap Value, L.P. I directly beneficially owns.

Jason Industries, Inc.

Report date August 14, 2019 · Filed August 16, 2019

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common Stock, par value $0.0001 per shareSEC Table I · non-derivative	IndirectSee Footnotes	3,690,407	Reported balance After 2019-08-14 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 2 · 2019-08-14 · Purchase · Acquired 20,000 · Balance 3,690,407 F2: The Reporting Person has an indirect beneficial ownership interest in 2,180,597 shares of Common Stock, which are directly beneficially owned by Wynnefield Partners Small Cap Value, L.P. I, as members of a group under Section 13(d) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Wynnefield Partners Small Cap Value, L.P. I, which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital Management, LLC, as the sole general partner of Wynnefield Partners Small Cap Value, L.P. I, has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value L.P. I directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value, L.P. I directly beneficially owns. F3: The Reporting Person has an indirect beneficial ownership interest 1,161,833 shares of Common Stock, which are directly beneficially owned by Wynnefield Small Cap Value Offshore Fund, Ltd., as members of a group under Section 13(d) of the Exchange Act. Wynnefield Small Cap Value Offshore Fund, Ltd., which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital, Inc. as the sole investment manager of Wynnefield Small Cap Value Offshore Fund, Ltd., has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns. Nelson Obus and Joshua Landes, as principal executive officers of Wynnefield Capital, Inc., have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns. F4: The Reporting Person has an indirect beneficial ownership interest in 347,977 shares of Common Stock, which are directly beneficially owned by Wynnefield Capital, Inc. Profit Sharing Plan, as members of a group under Section 13(d) of the Exchange Act. Wynnefield Capital, Inc. Profit Sharing Plan, which maintains offices at the same address as the Reporting Person, is filing this Form jointly with the Reporting Person. Mr. Obus and Mr. Landes, as co-trustees, has the power to vote and dispose of Wynnefield Capital, Inc. Profit Sharing Plan's investments in securities and has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Capital, Inc. Profit Sharing Plan directly beneficially owns.
Common Stock, par value $0.0001 per shareSEC Table I · non-derivative	Direct	1,568,833	Reported balance Holding disclosure · report date 2019-08-14 · row 1 Holding and transaction disclosures are not merged. 1 source row Row 1 · Balance 1,568,833 F1: The Reporting Person directly beneficially owns 1,568,833 shares of common stock, $0.0001 par value per share ("Common Stock") of Jason Industries, Inc. (the "Issuer"). Wynnefield Capital Management, LLC, as the sole general partner of the Reporting Person, has an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns.

Filing footnotes · ownership attribution and instrument terms

F1: The Reporting Person directly beneficially owns 1,568,833 shares of common stock, $0.0001 par value per share ("Common Stock") of Jason Industries, Inc. (the "Issuer"). Wynnefield Capital Management, LLC, as the sole general partner of the Reporting Person, has an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns.

F2: The Reporting Person has an indirect beneficial ownership interest in 2,180,597 shares of Common Stock, which are directly beneficially owned by Wynnefield Partners Small Cap Value, L.P. I, as members of a group under Section 13(d) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Wynnefield Partners Small Cap Value, L.P. I, which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital Management, LLC, as the sole general partner of Wynnefield Partners Small Cap Value, L.P. I, has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value L.P. I directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value, L.P. I directly beneficially owns.

F3: The Reporting Person has an indirect beneficial ownership interest 1,161,833 shares of Common Stock, which are directly beneficially owned by Wynnefield Small Cap Value Offshore Fund, Ltd., as members of a group under Section 13(d) of the Exchange Act. Wynnefield Small Cap Value Offshore Fund, Ltd., which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital, Inc. as the sole investment manager of Wynnefield Small Cap Value Offshore Fund, Ltd., has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns. Nelson Obus and Joshua Landes, as principal executive officers of Wynnefield Capital, Inc., have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns.

F4: The Reporting Person has an indirect beneficial ownership interest in 347,977 shares of Common Stock, which are directly beneficially owned by Wynnefield Capital, Inc. Profit Sharing Plan, as members of a group under Section 13(d) of the Exchange Act. Wynnefield Capital, Inc. Profit Sharing Plan, which maintains offices at the same address as the Reporting Person, is filing this Form jointly with the Reporting Person. Mr. Obus and Mr. Landes, as co-trustees, has the power to vote and dispose of Wynnefield Capital, Inc. Profit Sharing Plan's investments in securities and has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Capital, Inc. Profit Sharing Plan directly beneficially owns.

LIFECORE BIOMEDICAL INC

Report date January 09, 2023 · Filed January 11, 2023

Jointly reported with WYNNEFIELD PARTNERS SMALL CAP VALUE LP I, WYNNEFIELD PARTNERS SMALL CAP VALUE LP, WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD, WYNNEFIELD CAPITAL MANAGEMENT LLC, WYNNEFIELD CAPITAL INC, Wynnefield Capital, Inc. Profit Sharing Plan, LANDES JOSHUA

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Series A Convertible Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $7.00	Direct	1,560	Reported balance After 2023-01-09 transaction · row 1 Instrument identity requires review; Table II rows are not merged. 1 source row Row 1 · 2023-01-09 · Purchase · Acquired 1,560 · Balance 1,560 F1: Subject to adjustment, as described in the Certificate of Designations of the Series A Convertible Preferred Stock, par value $0.001 per share (the "Convertible Preferred Stock") filed by Lifecore Biomedical, Inc. (the "Company") with the Delaware Secretary of State on January 9, 2023 (the "Certificate of Designation"). F2: The shares of Convertible Preferred Stock are convertible into shares of the Company's Common Stock, $0.001 par value per share (the "Common Stock") upon the events specified in the Certificate of Designation. F3: Represents the number of shares of Common Stock issuable upon conversion of the Convertible Preferred Stock on the date of the reported transaction. Each holder of shares of Convertible Preferred Stock shall be entitled to convert all or any portion of the Conversion Amount (as defined in the Certificate of Designation) into that number of shares of Common Stock divided by the Conversion Price (as defined in the Certificate of Designation), initially $7.00, subject to the adjustments and limitations set forth in the Certificate of Designation, including, without limitation, the Beneficial Ownership Limit and the Exchange Cap (each as defined in the Certificate of Designation). F4: The shares of Convertible Preferred Stock accrue dividends at the rate of 7.5% per annum (on the basis of a 360-day calendar year) on the Stated Value (as defined in the Certificate of Designation), as specified in the Certificate of Designation. To the extent such dividends are paid in-kind, the number of shares of Convertible Preferred Stock and the shares of Common Stock underlying such Convertible Preferred Stock will increase accordingly. F5: Wynnefield Capital Management, LLC, as the sole general partner of the Reporting Person, has an indirect beneficial ownership interest in the securities that the Reporting Person directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the securities that the Reporting Person directly beneficially owns.
Series A Convertible Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $7.00	IndirectSee Footnote	1,040	Reported balance After 2023-01-09 transaction · row 2 Instrument identity requires review; Table II rows are not merged. 1 source row Row 2 · 2023-01-09 · Purchase · Acquired 1,040 · Balance 1,040 F1: Subject to adjustment, as described in the Certificate of Designations of the Series A Convertible Preferred Stock, par value $0.001 per share (the "Convertible Preferred Stock") filed by Lifecore Biomedical, Inc. (the "Company") with the Delaware Secretary of State on January 9, 2023 (the "Certificate of Designation"). F2: The shares of Convertible Preferred Stock are convertible into shares of the Company's Common Stock, $0.001 par value per share (the "Common Stock") upon the events specified in the Certificate of Designation. F3: Represents the number of shares of Common Stock issuable upon conversion of the Convertible Preferred Stock on the date of the reported transaction. Each holder of shares of Convertible Preferred Stock shall be entitled to convert all or any portion of the Conversion Amount (as defined in the Certificate of Designation) into that number of shares of Common Stock divided by the Conversion Price (as defined in the Certificate of Designation), initially $7.00, subject to the adjustments and limitations set forth in the Certificate of Designation, including, without limitation, the Beneficial Ownership Limit and the Exchange Cap (each as defined in the Certificate of Designation). F4: The shares of Convertible Preferred Stock accrue dividends at the rate of 7.5% per annum (on the basis of a 360-day calendar year) on the Stated Value (as defined in the Certificate of Designation), as specified in the Certificate of Designation. To the extent such dividends are paid in-kind, the number of shares of Convertible Preferred Stock and the shares of Common Stock underlying such Convertible Preferred Stock will increase accordingly. F6: The Reporting Person has an indirect beneficial ownership interest in the securities, which are directly beneficially owned by Wynnefield Partners Small Cap Value, L.P., as members of a group under Section 13(d) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Wynnefield Partners Small Cap Value, L.P., which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital Management, LLC, as the sole general partner of Wynnefield Partners Small Cap Value, L.P., has an indirect beneficial ownership interest in the securities that Wynnefield Partners Small Cap Value L.P. directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the securities that Wynnefield Partners Small Cap Value, L.P. directly beneficially owns.
Series A Convertible Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $7.00	IndirectSee Footnote	650	Reported balance After 2023-01-09 transaction · row 3 Instrument identity requires review; Table II rows are not merged. 1 source row Row 3 · 2023-01-09 · Purchase · Acquired 650 · Balance 650 F1: Subject to adjustment, as described in the Certificate of Designations of the Series A Convertible Preferred Stock, par value $0.001 per share (the "Convertible Preferred Stock") filed by Lifecore Biomedical, Inc. (the "Company") with the Delaware Secretary of State on January 9, 2023 (the "Certificate of Designation"). F2: The shares of Convertible Preferred Stock are convertible into shares of the Company's Common Stock, $0.001 par value per share (the "Common Stock") upon the events specified in the Certificate of Designation. F3: Represents the number of shares of Common Stock issuable upon conversion of the Convertible Preferred Stock on the date of the reported transaction. Each holder of shares of Convertible Preferred Stock shall be entitled to convert all or any portion of the Conversion Amount (as defined in the Certificate of Designation) into that number of shares of Common Stock divided by the Conversion Price (as defined in the Certificate of Designation), initially $7.00, subject to the adjustments and limitations set forth in the Certificate of Designation, including, without limitation, the Beneficial Ownership Limit and the Exchange Cap (each as defined in the Certificate of Designation). F4: The shares of Convertible Preferred Stock accrue dividends at the rate of 7.5% per annum (on the basis of a 360-day calendar year) on the Stated Value (as defined in the Certificate of Designation), as specified in the Certificate of Designation. To the extent such dividends are paid in-kind, the number of shares of Convertible Preferred Stock and the shares of Common Stock underlying such Convertible Preferred Stock will increase accordingly. F7: The Reporting Person has an indirect beneficial ownership interest in the securities, which are directly beneficially owned by Wynnefield Small Cap Value Offshore Fund, Ltd., as members of a group under Section 13(d) of the Exchange Act. Wynnefield Small Cap Value Offshore Fund, Ltd., which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital, Inc. as the sole investment manager of Wynnefield Small Cap Value Offshore Fund, Ltd., has an indirect beneficial ownership interest in the securities that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns. Nelson Obus and Joshua Landes, as principal executive officers of Wynnefield Capital, Inc., have an indirect beneficial ownership interest in the securities that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns.

Filing footnotes · ownership attribution and instrument terms

F1: Subject to adjustment, as described in the Certificate of Designations of the Series A Convertible Preferred Stock, par value $0.001 per share (the "Convertible Preferred Stock") filed by Lifecore Biomedical, Inc. (the "Company") with the Delaware Secretary of State on January 9, 2023 (the "Certificate of Designation").

F2: The shares of Convertible Preferred Stock are convertible into shares of the Company's Common Stock, $0.001 par value per share (the "Common Stock") upon the events specified in the Certificate of Designation.

F3: Represents the number of shares of Common Stock issuable upon conversion of the Convertible Preferred Stock on the date of the reported transaction. Each holder of shares of Convertible Preferred Stock shall be entitled to convert all or any portion of the Conversion Amount (as defined in the Certificate of Designation) into that number of shares of Common Stock divided by the Conversion Price (as defined in the Certificate of Designation), initially $7.00, subject to the adjustments and limitations set forth in the Certificate of Designation, including, without limitation, the Beneficial Ownership Limit and the Exchange Cap (each as defined in the Certificate of Designation).

F4: The shares of Convertible Preferred Stock accrue dividends at the rate of 7.5% per annum (on the basis of a 360-day calendar year) on the Stated Value (as defined in the Certificate of Designation), as specified in the Certificate of Designation. To the extent such dividends are paid in-kind, the number of shares of Convertible Preferred Stock and the shares of Common Stock underlying such Convertible Preferred Stock will increase accordingly.

F5: Wynnefield Capital Management, LLC, as the sole general partner of the Reporting Person, has an indirect beneficial ownership interest in the securities that the Reporting Person directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the securities that the Reporting Person directly beneficially owns.

F6: The Reporting Person has an indirect beneficial ownership interest in the securities, which are directly beneficially owned by Wynnefield Partners Small Cap Value, L.P., as members of a group under Section 13(d) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Wynnefield Partners Small Cap Value, L.P., which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital Management, LLC, as the sole general partner of Wynnefield Partners Small Cap Value, L.P., has an indirect beneficial ownership interest in the securities that Wynnefield Partners Small Cap Value L.P. directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the securities that Wynnefield Partners Small Cap Value, L.P. directly beneficially owns.

F7: The Reporting Person has an indirect beneficial ownership interest in the securities, which are directly beneficially owned by Wynnefield Small Cap Value Offshore Fund, Ltd., as members of a group under Section 13(d) of the Exchange Act. Wynnefield Small Cap Value Offshore Fund, Ltd., which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital, Inc. as the sole investment manager of Wynnefield Small Cap Value Offshore Fund, Ltd., has an indirect beneficial ownership interest in the securities that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns. Nelson Obus and Joshua Landes, as principal executive officers of Wynnefield Capital, Inc., have an indirect beneficial ownership interest in the securities that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns.

LIFECORE BIOMEDICAL, INC. \DE\

Report date June 04, 2026 · Filed June 05, 2026

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	164,100	Reported balance After 2026-06-04 transaction · row 1 1 source row Row 1 · 2026-06-04 · Grant · Acquired 25,907 · Balance 164,100 F1: The restricted stock units convert into common stock of Lifecore Biomedical, Inc. on a 1 for 1 basis. F2: Vests on earlier of June 4, 2027 or the date of the annual meeting of stockholders of the Company first held in calendar year 2027 (provided such date is no less than 50 weeks from June 4, 2026).

Filing footnotes · ownership attribution and instrument terms

F1: The restricted stock units convert into common stock of Lifecore Biomedical, Inc. on a 1 for 1 basis.

F2: Vests on earlier of June 4, 2027 or the date of the annual meeting of stockholders of the Company first held in calendar year 2027 (provided such date is no less than 50 weeks from June 4, 2026).

MusclePharm Corp

Report date September 27, 2019 · Filed October 01, 2019

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common Stock, par value $0.001 per shareSEC Table I · non-derivative	Direct	737,626	Reported balance After 2019-09-27 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2019-09-27 · Purchase · Acquired 2,444 · Balance 737,626 F1: The Reporting Person directly beneficially owns 737,626 shares of common stock, no par value per share ("Common Stock") of MusclePharm Corporation (the "Issuer"). Wynnefield Capital Management, LLC, as the sole general partner of the Reporting Person, has an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns.
Common Stock, par value $0.001 per shareSEC Table I · non-derivative	IndirectSee Footnotes	1,198,679	Reported balance After 2019-09-27 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 2 · 2019-09-27 · Purchase · Acquired 2,556 · Balance 1,198,679 F2: The Reporting Person has an indirect beneficial ownership interest in 539,587 shares of Common Stock, which are directly beneficially owned by Wynnefield Partners Small Cap Value, L.P. as members of a group under Section 13(d) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Wynnefield Partners Small Cap Value, L.P., which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital Management, LLC, as the sole general partner of Wynnefield Partners Small Cap Value, L.P. I, has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value L.P. I directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value, L.P. I directly beneficially owns. F3: The Reporting Person has an indirect beneficial ownership interest in 552,092 shares of Common Stock, which are directly beneficially owned by Wynnefield Small Cap Value Offshore Fund, Ltd., as members of a group under Section 13(d) of the Exchange Act. Wynnefield Small Cap Value Offshore Fund, Ltd., which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital, Inc. as the sole investment manager of Wynnefield Small Cap Value Offshore Fund, Ltd., has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns. Nelson Obus and Joshua Landes, as principal executive officers of Wynnefield Capital, Inc., have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns. F4: The Reporting Person has an indirect beneficial ownership interest in 107,000 shares of Common Stock, which are directly beneficially owned by Wynnefield Capital, Inc. Profit Sharing Plan, as members of a group under Section 13(d) of the Exchange Act. Wynnefield Capital, Inc. Profit Sharing Plan, which maintains offices at the same address as the Reporting Person, is filing this Form jointly with the Reporting Person. Mr. Obus and Mr. Landes, as co-trustees, has the power to vote and dispose of Wynnefield Capital, Inc. Profit Sharing Plan's investments in securities and has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Capital, Inc. Profit Sharing Plan directly beneficially owns.

Filing footnotes · ownership attribution and instrument terms

F1: The Reporting Person directly beneficially owns 737,626 shares of common stock, no par value per share ("Common Stock") of MusclePharm Corporation (the "Issuer"). Wynnefield Capital Management, LLC, as the sole general partner of the Reporting Person, has an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns.

F2: The Reporting Person has an indirect beneficial ownership interest in 539,587 shares of Common Stock, which are directly beneficially owned by Wynnefield Partners Small Cap Value, L.P. as members of a group under Section 13(d) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Wynnefield Partners Small Cap Value, L.P., which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital Management, LLC, as the sole general partner of Wynnefield Partners Small Cap Value, L.P. I, has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value L.P. I directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value, L.P. I directly beneficially owns.

F3: The Reporting Person has an indirect beneficial ownership interest in 552,092 shares of Common Stock, which are directly beneficially owned by Wynnefield Small Cap Value Offshore Fund, Ltd., as members of a group under Section 13(d) of the Exchange Act. Wynnefield Small Cap Value Offshore Fund, Ltd., which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital, Inc. as the sole investment manager of Wynnefield Small Cap Value Offshore Fund, Ltd., has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns. Nelson Obus and Joshua Landes, as principal executive officers of Wynnefield Capital, Inc., have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns.

F4: The Reporting Person has an indirect beneficial ownership interest in 107,000 shares of Common Stock, which are directly beneficially owned by Wynnefield Capital, Inc. Profit Sharing Plan, as members of a group under Section 13(d) of the Exchange Act. Wynnefield Capital, Inc. Profit Sharing Plan, which maintains offices at the same address as the Reporting Person, is filing this Form jointly with the Reporting Person. Mr. Obus and Mr. Landes, as co-trustees, has the power to vote and dispose of Wynnefield Capital, Inc. Profit Sharing Plan's investments in securities and has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Capital, Inc. Profit Sharing Plan directly beneficially owns.

NATURES SUNSHINE PRODUCTS INC

Report date September 15, 2022 · Filed September 19, 2022

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common Stock, no par value per share (the "Common Stock")SEC Table I · non-derivative	Direct	774,547	Reported balance After 2022-09-15 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2022-09-15 · Purchase · Acquired 1,569 · Balance 774,547 F1: The price reported in Column 4 is a weighted average price. These shares of Common Stock were sold in multiple transactions at prices ranging from $9.51-$9.53. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares of Common Stock sold at each separate price within the ranges set forth in this footnote (1) to this Form 4. F2: The Reporting Person directly beneficially owns 774,547 shares of Common Stock of the Issuer. Wynnefield Capital Management, LLC, as the sole general partner of the Reporting Person, has an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns.
Common StockSEC Table I · non-derivative	IndirectSee Footnotes	1,699,139	Reported balance After 2022-09-15 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 2 · 2022-09-15 · Purchase · Acquired 3,431 · Balance 1,699,139 F1: The price reported in Column 4 is a weighted average price. These shares of Common Stock were sold in multiple transactions at prices ranging from $9.51-$9.53. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares of Common Stock sold at each separate price within the ranges set forth in this footnote (1) to this Form 4. F3: The Reporting Person has an indirect beneficial ownership interest in 1,277,536 shares of Common Stock, which are directly beneficially owned by Wynnefield Partners Small Cap Value, L.P. I, as members of a group under Section 13(d) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Wynnefield Partners Small Cap Value, L.P. I, which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital Management, LLC, as the sole general partner of Wynnefield Partners Small Cap Value, L.P. I, has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value L.P. I directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value, L.P. I directly beneficially owns. F4: The Reporting Person has an indirect beneficial ownership interest in 366,490 shares of Common Stock, which are directly beneficially owned by Wynnefield Small Cap Value Offshore Fund, Ltd., as members of a group under Section 13(d) of the Exchange Act. Wynnefield Small Cap Value Offshore Fund, Ltd., which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital, Inc. as the sole investment manager of Wynnefield Small Cap Value Offshore Fund, Ltd., has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns. Nelson Obus and Joshua Landes, as principal executive officers of Wynnefield Capital, Inc., have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns. F5: The Reporting Person has an indirect beneficial ownership interest in 55,113 shares of Common Stock, which are directly beneficially owned by Wynnefield Capital, Inc. Profit Sharing Plan, as members of a group under Section 13(d) of the Exchange Act. Wynnefield Capital, Inc. Profit Sharing Plan, which maintains offices at the same address as the Reporting Person, is filing this Form jointly with the Reporting Person. Mr. Obus and Mr. Landes, as co-trustees, has the power to vote and dispose of Wynnefield Capital, Inc. Profit Sharing Plan's investments in securities and has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Capital, Inc. Profit Sharing Plan directly beneficially owns.

Filing footnotes · ownership attribution and instrument terms

F1: The price reported in Column 4 is a weighted average price. These shares of Common Stock were sold in multiple transactions at prices ranging from $9.51-$9.53. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares of Common Stock sold at each separate price within the ranges set forth in this footnote (1) to this Form 4.

F2: The Reporting Person directly beneficially owns 774,547 shares of Common Stock of the Issuer. Wynnefield Capital Management, LLC, as the sole general partner of the Reporting Person, has an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns.

F3: The Reporting Person has an indirect beneficial ownership interest in 1,277,536 shares of Common Stock, which are directly beneficially owned by Wynnefield Partners Small Cap Value, L.P. I, as members of a group under Section 13(d) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Wynnefield Partners Small Cap Value, L.P. I, which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital Management, LLC, as the sole general partner of Wynnefield Partners Small Cap Value, L.P. I, has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value L.P. I directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value, L.P. I directly beneficially owns.

F4: The Reporting Person has an indirect beneficial ownership interest in 366,490 shares of Common Stock, which are directly beneficially owned by Wynnefield Small Cap Value Offshore Fund, Ltd., as members of a group under Section 13(d) of the Exchange Act. Wynnefield Small Cap Value Offshore Fund, Ltd., which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital, Inc. as the sole investment manager of Wynnefield Small Cap Value Offshore Fund, Ltd., has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns. Nelson Obus and Joshua Landes, as principal executive officers of Wynnefield Capital, Inc., have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns.

F5: The Reporting Person has an indirect beneficial ownership interest in 55,113 shares of Common Stock, which are directly beneficially owned by Wynnefield Capital, Inc. Profit Sharing Plan, as members of a group under Section 13(d) of the Exchange Act. Wynnefield Capital, Inc. Profit Sharing Plan, which maintains offices at the same address as the Reporting Person, is filing this Form jointly with the Reporting Person. Mr. Obus and Mr. Landes, as co-trustees, has the power to vote and dispose of Wynnefield Capital, Inc. Profit Sharing Plan's investments in securities and has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Capital, Inc. Profit Sharing Plan directly beneficially owns.

Quest Resource Holding Corp

Report date March 13, 2024 · Filed March 15, 2024

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	1,294,093	Reported balance After 2024-03-13 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2024-03-13 · Purchase · Acquired 14,918 · Balance 1,294,093 F1: The Reporting Person directly beneficially owns 1,294,093 shares of common stock, $0.001 par value per share ("Common Stock") of Quest Resource Holding Corporation (the "Issuer"). Wynnefield Capital Management, LLC, as the sole general partner of the Reporting Person, has an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns.
Common StockSEC Table I · non-derivative	IndirectSee Footnotes	1,440,256	Reported balance After 2024-03-13 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 2 · 2024-03-13 · Purchase · Acquired 15,658 · Balance 1,440,256 F2: The Reporting Person has an indirect beneficial ownership interest in 843,247 shares of Common Stock, which are directly beneficially owned by Wynnefield Partners Small Cap Value, L.P., as members of a group under Section 13(d) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Wynnefield Partners Small Cap Value, L.P., which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital Management, LLC, as the sole general partner of Wynnefield Partners Small Cap Value, L.P., has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value L.P. directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value, L.P. directly beneficially owns. F3: The Reporting Person has an indirect beneficial ownership interest in 340,006 shares of Common Stock, which are directly beneficially owned by Wynnefield Small Cap Value Offshore Fund, Ltd., as members of a group under Section 13(d) of the Exchange Act. Wynnefield Small Cap Value Offshore Fund, Ltd., which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital, Inc. as the sole investment manager of Wynnefield Small Cap Value Offshore Fund, Ltd., has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns. Nelson Obus and Joshua Landes, as principal executive officers of Wynnefield Capital, Inc., have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns. F4: The Reporting Person has an indirect beneficial ownership interest in 257,003 shares of Common Stock, which are directly beneficially owned by Wynnefield Capital, Inc. Profit Sharing Plan, as members of a group under Section 13(d) of the Exchange Act. Wynnefield Capital, Inc. Profit Sharing Plan, which maintains offices at the same address as the Reporting Person, is filing this Form jointly with the Reporting Person. Mr. Obus and Mr. Landes, as co-trustees, has the power to vote and dispose of Wynnefield Capital, Inc. Profit Sharing Plan's investments in securities and has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Capital, Inc. Profit Sharing Plan directly beneficially owns.

Filing footnotes · ownership attribution and instrument terms

F1: The Reporting Person directly beneficially owns 1,294,093 shares of common stock, $0.001 par value per share ("Common Stock") of Quest Resource Holding Corporation (the "Issuer"). Wynnefield Capital Management, LLC, as the sole general partner of the Reporting Person, has an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns.

F2: The Reporting Person has an indirect beneficial ownership interest in 843,247 shares of Common Stock, which are directly beneficially owned by Wynnefield Partners Small Cap Value, L.P., as members of a group under Section 13(d) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Wynnefield Partners Small Cap Value, L.P., which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital Management, LLC, as the sole general partner of Wynnefield Partners Small Cap Value, L.P., has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value L.P. directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value, L.P. directly beneficially owns.

F3: The Reporting Person has an indirect beneficial ownership interest in 340,006 shares of Common Stock, which are directly beneficially owned by Wynnefield Small Cap Value Offshore Fund, Ltd., as members of a group under Section 13(d) of the Exchange Act. Wynnefield Small Cap Value Offshore Fund, Ltd., which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital, Inc. as the sole investment manager of Wynnefield Small Cap Value Offshore Fund, Ltd., has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns. Nelson Obus and Joshua Landes, as principal executive officers of Wynnefield Capital, Inc., have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns.

F4: The Reporting Person has an indirect beneficial ownership interest in 257,003 shares of Common Stock, which are directly beneficially owned by Wynnefield Capital, Inc. Profit Sharing Plan, as members of a group under Section 13(d) of the Exchange Act. Wynnefield Capital, Inc. Profit Sharing Plan, which maintains offices at the same address as the Reporting Person, is filing this Form jointly with the Reporting Person. Mr. Obus and Mr. Landes, as co-trustees, has the power to vote and dispose of Wynnefield Capital, Inc. Profit Sharing Plan's investments in securities and has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Capital, Inc. Profit Sharing Plan directly beneficially owns.

Summer Infant, Inc.

Report date May 25, 2021 · Filed May 27, 2021

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common Stock, par value $0.0001 per shareSEC Table I · non-derivative	Direct	236,595	Reported balance After 2021-05-25 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2021-05-25 · Purchase · Acquired 1,291 · Balance 236,595 F1: The Reporting Person directly beneficially owns 236,595 shares of common stock, $0.0001 par value per share ("Common Stock") of Summer Infant, Inc. (the "Issuer"). Wynnefield Capital Management, LLC, as the sole general partner of the Reporting Person, has an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns.
Common Stock, par value $0.0001 per shareSEC Table I · non-derivative	IndirectSee Footnotes	547,588	Reported balance After 2021-05-25 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 2 · 2021-05-25 · Purchase · Acquired 2,822 · Balance 547,588 F2: The Reporting Person has an indirect beneficial ownership interest in 358,792 shares of Common Stock, which are directly beneficially owned by Wynnefield Partners Small Cap Value, L.P. I, as members of a group under Section 13(d) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Wynnefield Partners Small Cap Value, L.P. I, which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital Management, LLC, as the sole general partner of Wynnefield Partners Small Cap Value, L.P. I, has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value L.P. I directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value, L.P. I directly beneficially owns. F3: The Reporting Person has an indirect beneficial ownership interest in 164,523 shares of Common Stock, which are directly beneficially owned by Wynnefield Small Cap Value Offshore Fund, Ltd., as members of a group under Section 13(d) of the Exchange Act. Wynnefield Small Cap Value Offshore Fund, Ltd., which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital, Inc. as the sole investment manager of Wynnefield Small Cap Value Offshore Fund, Ltd., has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns. Nelson Obus and Joshua Landes, as principal executive officers of Wynnefield Capital, Inc., have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns. F4: The Reporting Person has an indirect beneficial ownership interest in 24,273 shares of Common Stock, which are directly beneficially owned by Wynnefield Capital, Inc. Profit Sharing Plan, as members of a group under Section 13(d) of the Exchange Act. Wynnefield Capital, Inc. Profit Sharing Plan, which maintains offices at the same address as the Reporting Person, is filing this Form jointly with the Reporting Person. Mr. Obus and Mr. Landes, as co-trustees, have the power to vote and dispose of Wynnefield Capital, Inc. Profit Sharing Plan's investments in securities and have indirect beneficial ownership interests in the shares of Common Stock that Wynnefield Capital, Inc. Profit Sharing Plan directly beneficially owns.

Filing footnotes · ownership attribution and instrument terms

F1: The Reporting Person directly beneficially owns 236,595 shares of common stock, $0.0001 par value per share ("Common Stock") of Summer Infant, Inc. (the "Issuer"). Wynnefield Capital Management, LLC, as the sole general partner of the Reporting Person, has an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns.

F2: The Reporting Person has an indirect beneficial ownership interest in 358,792 shares of Common Stock, which are directly beneficially owned by Wynnefield Partners Small Cap Value, L.P. I, as members of a group under Section 13(d) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Wynnefield Partners Small Cap Value, L.P. I, which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital Management, LLC, as the sole general partner of Wynnefield Partners Small Cap Value, L.P. I, has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value L.P. I directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value, L.P. I directly beneficially owns.

F3: The Reporting Person has an indirect beneficial ownership interest in 164,523 shares of Common Stock, which are directly beneficially owned by Wynnefield Small Cap Value Offshore Fund, Ltd., as members of a group under Section 13(d) of the Exchange Act. Wynnefield Small Cap Value Offshore Fund, Ltd., which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital, Inc. as the sole investment manager of Wynnefield Small Cap Value Offshore Fund, Ltd., has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns. Nelson Obus and Joshua Landes, as principal executive officers of Wynnefield Capital, Inc., have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns.

F4: The Reporting Person has an indirect beneficial ownership interest in 24,273 shares of Common Stock, which are directly beneficially owned by Wynnefield Capital, Inc. Profit Sharing Plan, as members of a group under Section 13(d) of the Exchange Act. Wynnefield Capital, Inc. Profit Sharing Plan, which maintains offices at the same address as the Reporting Person, is filing this Form jointly with the Reporting Person. Mr. Obus and Mr. Landes, as co-trustees, have the power to vote and dispose of Wynnefield Capital, Inc. Profit Sharing Plan's investments in securities and have indirect beneficial ownership interests in the shares of Common Stock that Wynnefield Capital, Inc. Profit Sharing Plan directly beneficially owns.

TELOS CORP

Report date October 06, 2020 · Filed October 08, 2020

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Preferred Stock, par value $.01 per shareSEC Table I · non-derivative	Direct	165,760	Reported balance Holding disclosure · report date 2020-10-06 · row 1 Holding and transaction disclosures are not merged. 1 source row Row 1 · Balance 165,760 F1: 12% Cumulative Exchangeable Redeemable Preferred Stock, par value $.01 per share (the "Preferred Stock"), of Telos Corporation (TLSRP) ("Telos"). F2: The Partnership directly beneficially owns 165,760 shares of Preferred Stock. Wynnefield Capital Management, LLC ("WCM"), as the sole general partner of the Partnership, has an indirect beneficial ownership interest in the shares of Preferred Stock that the Partnership directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of WCM, have an indirect beneficial ownership interest in the shares of Preferred Stock that the Partnership directly beneficially owns. F6: Mr. Obus and Mr. Landes disclaim beneficial ownership of the securities described in this statement, except to the extent of their individual pecuniary interest in such securities. The filing of this statement shall not be deemed an admission that Mr. Obus and Mr. Landes are, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owner of any securities specified in this statement.
Preferred Stock, par value $.01 per shareSEC Table I · non-derivative	IndirectSee Footnote	261,456	Reported balance Holding disclosure · report date 2020-10-06 · row 2 Holding and transaction disclosures are not merged. 1 source row Row 2 · Balance 261,456 F1: 12% Cumulative Exchangeable Redeemable Preferred Stock, par value $.01 per share (the "Preferred Stock"), of Telos Corporation (TLSRP) ("Telos"). F3: Partnership-I directly beneficially owns 261,456 shares of Preferred Stock, to which the Partnership has an indirect beneficial ownership as members of a group under Section 13(d) of the Securities Exchange Act of 1934, as amended. Partnership-I, which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. WCM, as the sole general partner of Partnership-I has indirect beneficial ownership interest in the shares of Preferred Stock that Partnership-I directly beneficially owns. Mr. Obus and Mr. Landes, as co-managing members of WCM, have an indirect beneficial ownership interest in the shares of Preferred Stock that Partnership-I directly beneficially owns.
Preferred Stock, par value $.01 per shareSEC Table I · non-derivative	IndirectSee Footnote	112,549	Reported balance Holding disclosure · report date 2020-10-06 · row 3 Holding and transaction disclosures are not merged. 1 source row Row 3 · Balance 112,549 F1: 12% Cumulative Exchangeable Redeemable Preferred Stock, par value $.01 per share (the "Preferred Stock"), of Telos Corporation (TLSRP) ("Telos"). F4: The Fund directly beneficially owns 112,549 shares of Preferred Stock, to which the Partnership has an indirect beneficial ownership as members of a group under Section 13(d) of the Securities Exchange Act of 1934, as amended. The Fund, which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital, Inc. ("WCI"), as the sole investment manager of the Fund, has an indirect beneficial ownership interest in the shares of Preferred Stock that the Fund directly beneficially owns. Mr. Obus and Mr. Landes, as principal executive officers of WCI, have an indirect beneficial ownership interest in the shares of Preferred Stock that the Fund directly beneficially owns.
Preferred Stock, par value $.01 per shareSEC Table I · non-derivative	IndirectSee Footnote	15,000	Reported balance Holding disclosure · report date 2020-10-06 · row 4 Holding and transaction disclosures are not merged. 1 source row Row 4 · Balance 15,000 F1: 12% Cumulative Exchangeable Redeemable Preferred Stock, par value $.01 per share (the "Preferred Stock"), of Telos Corporation (TLSRP) ("Telos"). F5: The Plan directly beneficially owns 15,000 shares of Preferred Stock, to which the Partnership has an indirect beneficial ownership as members of a group under Section 13(d) of the Securities Exchange Act of 1934, as amended. The Plan, which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital, Inc. ("WCI"), as the sole investment manager of the Plan, has an indirect beneficial ownership interest in the 15,000 shares of Preferred Stock that the Plan directly beneficially owns. Mr. Obus and Mr. Landes, as principal executive officers of WCI, have an indirect beneficial ownership interest in the shares of Preferred Stock that the Plan directly beneficially owns.

Filing footnotes · ownership attribution and instrument terms

F1: 12% Cumulative Exchangeable Redeemable Preferred Stock, par value $.01 per share (the "Preferred Stock"), of Telos Corporation (TLSRP) ("Telos").

F2: The Partnership directly beneficially owns 165,760 shares of Preferred Stock. Wynnefield Capital Management, LLC ("WCM"), as the sole general partner of the Partnership, has an indirect beneficial ownership interest in the shares of Preferred Stock that the Partnership directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of WCM, have an indirect beneficial ownership interest in the shares of Preferred Stock that the Partnership directly beneficially owns.

F3: Partnership-I directly beneficially owns 261,456 shares of Preferred Stock, to which the Partnership has an indirect beneficial ownership as members of a group under Section 13(d) of the Securities Exchange Act of 1934, as amended. Partnership-I, which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. WCM, as the sole general partner of Partnership-I has indirect beneficial ownership interest in the shares of Preferred Stock that Partnership-I directly beneficially owns. Mr. Obus and Mr. Landes, as co-managing members of WCM, have an indirect beneficial ownership interest in the shares of Preferred Stock that Partnership-I directly beneficially owns.

F4: The Fund directly beneficially owns 112,549 shares of Preferred Stock, to which the Partnership has an indirect beneficial ownership as members of a group under Section 13(d) of the Securities Exchange Act of 1934, as amended. The Fund, which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital, Inc. ("WCI"), as the sole investment manager of the Fund, has an indirect beneficial ownership interest in the shares of Preferred Stock that the Fund directly beneficially owns. Mr. Obus and Mr. Landes, as principal executive officers of WCI, have an indirect beneficial ownership interest in the shares of Preferred Stock that the Fund directly beneficially owns.

F5: The Plan directly beneficially owns 15,000 shares of Preferred Stock, to which the Partnership has an indirect beneficial ownership as members of a group under Section 13(d) of the Securities Exchange Act of 1934, as amended. The Plan, which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital, Inc. ("WCI"), as the sole investment manager of the Plan, has an indirect beneficial ownership interest in the 15,000 shares of Preferred Stock that the Plan directly beneficially owns. Mr. Obus and Mr. Landes, as principal executive officers of WCI, have an indirect beneficial ownership interest in the shares of Preferred Stock that the Plan directly beneficially owns.

F6: Mr. Obus and Mr. Landes disclaim beneficial ownership of the securities described in this statement, except to the extent of their individual pecuniary interest in such securities. The filing of this statement shall not be deemed an admission that Mr. Obus and Mr. Landes are, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owner of any securities specified in this statement.

Williams Industrial Services Group Inc.

Report date February 02, 2023 · Filed February 03, 2023

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common Stock, $0.01 par value per shareSEC Table I · non-derivative	Direct	381,706	Reported balance After 2023-02-02 transaction · row 1 1 source row Row 1 · 2023-02-02 · Grant · Acquired 85,821 · Balance 381,706 F2: Consists of restricted shares granted under the 2015 Equity Incentive Plan, as amended and restated, all of which will vest on February 2, 2024. The vesting of the grant disclosed herein is subject to continued service as a director through the vesting and accelerated vesting upon occurrence of certain events. Any shares that do not vest will be forfeited.
Common Stock, $0.01 par value per shareSEC Table I · non-derivative	IndirectSee Footnote	6,461,332	Reported balance Holding disclosure · report date 2023-02-02 · row 2 Holding and transaction disclosures are not merged. 1 source row Row 2 · Balance 6,461,332 F1: As of the date of this Form 4, Mr. Obus is (i) a principal executive officer of Wynnefield Capital, Inc., which is the sole investment manager of Wynnefield Small Cap Value Offshore Fund, Ltd., which beneficially owns 1,576,936 shares of the issuer's common stock; (ii) a co-managing member of Wynnefield Capital Management, LLC, which is the sole general partner of Wynnefield Partners Small Cap Value, L.P. I, which beneficially owns 2,509,488 shares of the issuer's common stock, and the sole general partner of Wynnefield Partners Small Cap Value, L.P., which beneficially owns 2,119,632 shares of the issuer's common stock; and (iii) a co-trustee of Wynnefield Capital, Inc. Profit Sharing & Money Purchase Plan, which beneficially owns 255,276 shares of the issuer's common stock. Mr. Obus disclaims beneficial ownership of the securities described in this footnote except to the extent of his pecuniary interest.

Filing footnotes · ownership attribution and instrument terms

F1: As of the date of this Form 4, Mr. Obus is (i) a principal executive officer of Wynnefield Capital, Inc., which is the sole investment manager of Wynnefield Small Cap Value Offshore Fund, Ltd., which beneficially owns 1,576,936 shares of the issuer's common stock; (ii) a co-managing member of Wynnefield Capital Management, LLC, which is the sole general partner of Wynnefield Partners Small Cap Value, L.P. I, which beneficially owns 2,509,488 shares of the issuer's common stock, and the sole general partner of Wynnefield Partners Small Cap Value, L.P., which beneficially owns 2,119,632 shares of the issuer's common stock; and (iii) a co-trustee of Wynnefield Capital, Inc. Profit Sharing & Money Purchase Plan, which beneficially owns 255,276 shares of the issuer's common stock. Mr. Obus disclaims beneficial ownership of the securities described in this footnote except to the extent of his pecuniary interest.

F2: Consists of restricted shares granted under the 2015 Equity Incentive Plan, as amended and restated, all of which will vest on February 2, 2024. The vesting of the grant disclosed herein is subject to continued service as a director through the vesting and accelerated vesting upon occurrence of certain events. Any shares that do not vest will be forfeited.

Past disclosures · reporting ended (4)

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

LAYNE CHRISTENSEN CO

Report date June 14, 2018 · Filed June 14, 2018

Section 16 reporting ended · disclosed 2018-06-14. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosure context
Common StockSEC Table I · non-derivative	Direct	Reported balance After 2018-06-14 transaction · row 1 1 source row Row 1 · 2018-06-14 · Disposition to issuer · Disposed 18,012 · Balance 0 F1: Disposed of pursuant to merger agreement between issuer and Granite Construction Incorporated ("Granite") in exchange for 4,863.24 shares of Granite common stock having a market value of $58.11 per share on the effective date of the merger.
Phantom Stock UnitsSEC Table II · derivative / convertible security	Direct	Reported balance After 2018-06-14 transaction · row 2 Instrument identity requires review; Table II rows are not merged. 1 source row Row 2 · 2018-06-14 · Disposition to issuer · Disposed 48,765.32 · Balance 0 F2: These Phantom Stock Units were accrued under the Layne Christensen Company Deferred Compensation Plan for Directors and were canceled in the merger in exchange for a cash payment of $760,007.54.
Stock Option (right to buy)SEC Table II · derivative / convertible security	Direct	Reported balance After 2018-06-14 transaction · row 3 Instrument identity requires review; Table II rows are not merged. 1 source row Row 3 · 2018-06-14 · Disposition to issuer · Disposed 654 · Balance 0 F3: This option was canceled in the merger without consideration.
Stock Option (right to buy)SEC Table II · derivative / convertible security	Direct	Reported balance After 2018-06-14 transaction · row 4 Instrument identity requires review; Table II rows are not merged. 1 source row Row 4 · 2018-06-14 · Disposition to issuer · Disposed 353 · Balance 0 F3: This option was canceled in the merger without consideration.
Stock Option (right to buy)SEC Table II · derivative / convertible security	Direct	Reported balance After 2018-06-14 transaction · row 5 Instrument identity requires review; Table II rows are not merged. 1 source row Row 5 · 2018-06-14 · Disposition to issuer · Disposed 3,245 · Balance 0 F3: This option was canceled in the merger without consideration.
Stock Option (right to buy)SEC Table II · derivative / convertible security	Direct	Reported balance After 2018-06-14 transaction · row 6 Instrument identity requires review; Table II rows are not merged. 1 source row Row 6 · 2018-06-14 · Disposition to issuer · Disposed 5,168 · Balance 0 F3: This option was canceled in the merger without consideration.
Stock Option (right to buy)SEC Table II · derivative / convertible security	Direct	Reported balance After 2018-06-14 transaction · row 8 Instrument identity requires review; Table II rows are not merged. 1 source row Row 8 · 2018-06-14 · Disposition to issuer · Disposed 14,937 · Balance 0 F5: This option was canceled in the merger in exchange for a cash payment of $127,829.35, representing the difference between the exercise price of the option and the market value of the underlying Layne common stock on the effective date of the merger ($15.5979 per share).
Stock Option(right to buy)SEC Table II · derivative / convertible security	Direct	Reported balance After 2018-06-14 transaction · row 7 Instrument identity requires review; Table II rows are not merged. 1 source row Row 7 · 2018-06-14 · Disposition to issuer · Disposed 15,528 · Balance 0 F4: This option was canceled in the merger in exchange for a cash payment of $161,613.87, representing the difference between the exercise price of the option and the market value of the underlying Layne common stock on the effective date of the merger ($15.5979 per share).
Restricted Stock UnitsSEC Table II · derivative / convertible security	Direct	Reported balance After 2018-06-14 transaction · row 9 Instrument identity requires review; Table II rows are not merged. 1 source row Row 9 · 2018-06-14 · Disposition to issuer · Disposed 5,650 · Balance 0 F6: These restricted stock units were canceled in the merger in exchange for a cash payment of $88,128.14.

Filing footnotes · ownership attribution and instrument terms

F1: Disposed of pursuant to merger agreement between issuer and Granite Construction Incorporated ("Granite") in exchange for 4,863.24 shares of Granite common stock having a market value of $58.11 per share on the effective date of the merger.

F2: These Phantom Stock Units were accrued under the Layne Christensen Company Deferred Compensation Plan for Directors and were canceled in the merger in exchange for a cash payment of $760,007.54.

F3: This option was canceled in the merger without consideration.

F4: This option was canceled in the merger in exchange for a cash payment of $161,613.87, representing the difference between the exercise price of the option and the market value of the underlying Layne common stock on the effective date of the merger ($15.5979 per share).

F5: This option was canceled in the merger in exchange for a cash payment of $127,829.35, representing the difference between the exercise price of the option and the market value of the underlying Layne common stock on the effective date of the merger ($15.5979 per share).

F6: These restricted stock units were canceled in the merger in exchange for a cash payment of $88,128.14.

MAM SOFTWARE GROUP, INC.

Report date October 21, 2019 · Filed October 23, 2019

Section 16 reporting ended · disclosed 2019-10-23. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common Stock, par value $0.001 per shareSEC Table I · non-derivative	Direct	0	Reported balance After 2019-10-21 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2019-10-21 · Disposition to issuer · Disposed 983,251 · Balance 0 F1: Disposed of pursuant to the Agreement and Plan of Merger, dated as of August 30, 2019, by and among Kerridge Commercial Systems Group Limited, Chickadee Holdings Inc. and the Company in exchange for $12.12 for each share of common stock, $0.0001 par value per share ("Common Stock") of MAM Software Group, Inc. (the "Issuer") held by the Reporting Owners. F2: The Reporting Person directly beneficially owned shares of Common Stock. Wynnefield Capital Management, LLC, as the sole general partner of the Reporting Person, had an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owned. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, had an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owned.
Common Stock, par value $0.001 per shareSEC Table I · non-derivative	IndirectSee Footnotes	0	Reported balance After 2019-10-21 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 2 · 2019-10-21 · Disposition to issuer · Disposed 2,264,273 · Balance 0 F1: Disposed of pursuant to the Agreement and Plan of Merger, dated as of August 30, 2019, by and among Kerridge Commercial Systems Group Limited, Chickadee Holdings Inc. and the Company in exchange for $12.12 for each share of common stock, $0.0001 par value per share ("Common Stock") of MAM Software Group, Inc. (the "Issuer") held by the Reporting Owners. F3: The Reporting Person had an indirect beneficial ownership interest in shares of Common Stock, which were directly beneficially owned by Wynnefield Partners Small Cap Value, L.P. I, as members of a group under Section 13(d) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Wynnefield Partners Small Cap Value, L.P. I, which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital Management, LLC, as the sole general partner of Wynnefield Partners Small Cap Value, L.P. I, had an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value L.P. I directly beneficially owned. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, had an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value, L.P. I directly beneficially owned. F4: The Reporting Person had an indirect beneficial ownership interest in shares of Common Stock, which were directly beneficially owned by Wynnefield Small Cap Value Offshore Fund, Ltd., as members of a group under Section 13(d) of the Exchange Act. Wynnefield Small Cap Value Offshore Fund, Ltd., which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital, Inc. as the sole investment manager of Wynnefield Small Cap Value Offshore Fund, Ltd., had an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owned. Nelson Obus and Joshua Landes, as principal executive officers of Wynnefield Capital, Inc., had an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owned. F5: The Reporting Person had an indirect beneficial ownership interest in shares of Common Stock, which were directly beneficially owned by Wynnefield Capital, Inc. Profit Sharing Plan, as members of a group under Section 13(d) of the Exchange Act. Wynnefield Capital, Inc. Profit Sharing Plan, which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Nelson Obus, as the portfolio manager of Wynnefield Capital, Inc. Profit Sharing Plan, had an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Capital, Inc. Profit Sharing Plan directly beneficially owned.

Filing footnotes · ownership attribution and instrument terms

F1: Disposed of pursuant to the Agreement and Plan of Merger, dated as of August 30, 2019, by and among Kerridge Commercial Systems Group Limited, Chickadee Holdings Inc. and the Company in exchange for $12.12 for each share of common stock, $0.0001 par value per share ("Common Stock") of MAM Software Group, Inc. (the "Issuer") held by the Reporting Owners.

F2: The Reporting Person directly beneficially owned shares of Common Stock. Wynnefield Capital Management, LLC, as the sole general partner of the Reporting Person, had an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owned. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, had an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owned.

F3: The Reporting Person had an indirect beneficial ownership interest in shares of Common Stock, which were directly beneficially owned by Wynnefield Partners Small Cap Value, L.P. I, as members of a group under Section 13(d) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Wynnefield Partners Small Cap Value, L.P. I, which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital Management, LLC, as the sole general partner of Wynnefield Partners Small Cap Value, L.P. I, had an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value L.P. I directly beneficially owned. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, had an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value, L.P. I directly beneficially owned.

F4: The Reporting Person had an indirect beneficial ownership interest in shares of Common Stock, which were directly beneficially owned by Wynnefield Small Cap Value Offshore Fund, Ltd., as members of a group under Section 13(d) of the Exchange Act. Wynnefield Small Cap Value Offshore Fund, Ltd., which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital, Inc. as the sole investment manager of Wynnefield Small Cap Value Offshore Fund, Ltd., had an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owned. Nelson Obus and Joshua Landes, as principal executive officers of Wynnefield Capital, Inc., had an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owned.

F5: The Reporting Person had an indirect beneficial ownership interest in shares of Common Stock, which were directly beneficially owned by Wynnefield Capital, Inc. Profit Sharing Plan, as members of a group under Section 13(d) of the Exchange Act. Wynnefield Capital, Inc. Profit Sharing Plan, which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Nelson Obus, as the portfolio manager of Wynnefield Capital, Inc. Profit Sharing Plan, had an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Capital, Inc. Profit Sharing Plan directly beneficially owned.

S&W Seed Co

Report date February 07, 2023 · Filed February 09, 2023

Section 16 reporting ended · disclosed 2023-02-09. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common Stock, par value $0.0001 per shareSEC Table I · non-derivative	Direct	1,336,741	Reported balance After 2023-02-07 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2023-02-07 · Sale · Disposed 119,244 · Balance 1,336,741 F1: The Reporting Person directly beneficially owns 1,336,741 shares of common stock, $0.0001 par value per share ("Common Stock") of S&W Seed Company (the "Issuer"). Wynnefield Capital Management, LLC, as the sole general partner of the Reporting Person, has an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns.
Common Stock, par value $0.0001 per shareSEC Table I · non-derivative	IndirectSee footnotes	2,776,209	Reported balance After 2023-02-07 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 2 · 2023-02-07 · Sale · Disposed 260,756 · Balance 2,776,209 F2: The Reporting Person has an indirect beneficial ownership interest in 2,104,556 shares of Common Stock, which are directly beneficially owned by Wynnefield Partners Small Cap Value, L.P. I, as members of a group under Section 13(d) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Wynnefield Partners Small Cap Value, L.P. I, which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital Management, LLC, as the sole general partner of Wynnefield Partners Small Cap Value, L.P. I, has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value L.P. I directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value, L.P. I directly beneficially owns. F3: The Reporting Person has an indirect beneficial ownership interest in 542,418 shares of Common Stock, which are directly beneficially owned by Wynnefield Small Cap Value Offshore Fund, Ltd., as members of a group under Section 13(d) of the Exchange Act. Wynnefield Small Cap Value Offshore Fund, Ltd., which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital, Inc. as the sole investment manager of Wynnefield Small Cap Value Offshore Fund, Ltd., has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns. Nelson Obus and Joshua Landes, as principal executive officers of Wynnefield Capital, Inc., have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns. F4: The Reporting Person has an indirect beneficial ownership interest in 129,235 shares of Common Stock, which are directly beneficially owned by Wynnefield Capital, Inc. Profit Sharing Plan, as members of a group under Section 13(d) of the Exchange Act. Wynnefield Capital, Inc. Profit Sharing Plan, which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Mr. Obus and Mr. Landes, as co-trustees, have the power to vote and dispose of Wynnefield Capital, Inc. Profit Sharing Plan's investments in securities and have indirect beneficial ownership interests in the shares of Common Stock that Wynnefield Capital, Inc. Profit Sharing Plan directly beneficially owns.

Filing footnotes · ownership attribution and instrument terms

F1: The Reporting Person directly beneficially owns 1,336,741 shares of common stock, $0.0001 par value per share ("Common Stock") of S&W Seed Company (the "Issuer"). Wynnefield Capital Management, LLC, as the sole general partner of the Reporting Person, has an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns.

F2: The Reporting Person has an indirect beneficial ownership interest in 2,104,556 shares of Common Stock, which are directly beneficially owned by Wynnefield Partners Small Cap Value, L.P. I, as members of a group under Section 13(d) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Wynnefield Partners Small Cap Value, L.P. I, which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital Management, LLC, as the sole general partner of Wynnefield Partners Small Cap Value, L.P. I, has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value L.P. I directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value, L.P. I directly beneficially owns.

F3: The Reporting Person has an indirect beneficial ownership interest in 542,418 shares of Common Stock, which are directly beneficially owned by Wynnefield Small Cap Value Offshore Fund, Ltd., as members of a group under Section 13(d) of the Exchange Act. Wynnefield Small Cap Value Offshore Fund, Ltd., which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital, Inc. as the sole investment manager of Wynnefield Small Cap Value Offshore Fund, Ltd., has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns. Nelson Obus and Joshua Landes, as principal executive officers of Wynnefield Capital, Inc., have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns.

F4: The Reporting Person has an indirect beneficial ownership interest in 129,235 shares of Common Stock, which are directly beneficially owned by Wynnefield Capital, Inc. Profit Sharing Plan, as members of a group under Section 13(d) of the Exchange Act. Wynnefield Capital, Inc. Profit Sharing Plan, which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Mr. Obus and Mr. Landes, as co-trustees, have the power to vote and dispose of Wynnefield Capital, Inc. Profit Sharing Plan's investments in securities and have indirect beneficial ownership interests in the shares of Common Stock that Wynnefield Capital, Inc. Profit Sharing Plan directly beneficially owns.

TRANS WORLD CORP

Report date April 30, 2018 · Filed April 30, 2018

Section 16 reporting ended · disclosed 2018-04-30. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common Stock, par value $0.001 per shareSEC Table I · non-derivative	Direct	0	Reported balance After 2018-04-30 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2018-04-30 · Disposition to issuer · Disposed 757,463 · Balance 0 F1: Disposed of pursuant to the Agreement and Plan of Merger (the "Merger Agreement") dated as of March 2, 2018 by and among FEC Overseas Investment (UK) Limited, FEC Investment (US) Limited, Trans World Corporation and, solely for limited purposes therein, Far East Consortium International Limited in exchange for $4.1886 for each share of common stock of the issuer held by the Reporting Owners. F2: Wynnefield Capital Management, LLC, as the sole general partner of the Reporting Person, has an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns.
Common Stock, par value $0.001 per shareSEC Table I · non-derivative	IndirectSee Footnote	0	Reported balance After 2018-04-30 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 2 · 2018-04-30 · Disposition to issuer · Disposed 1,592,114 · Balance 0 F1: Disposed of pursuant to the Agreement and Plan of Merger (the "Merger Agreement") dated as of March 2, 2018 by and among FEC Overseas Investment (UK) Limited, FEC Investment (US) Limited, Trans World Corporation and, solely for limited purposes therein, Far East Consortium International Limited in exchange for $4.1886 for each share of common stock of the issuer held by the Reporting Owners. F3: The Reporting Person has an indirect beneficial ownership interest in the shares of Common Stock, which are directly beneficially owned by Wynnefield Partners Small Cap Value, L.P. I, as members of a group under Section 13(d) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Wynnefield Partners Small Cap Value, L.P. I, which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital Management, LLC, as the sole general partner of Wynnefield Partners Small Cap Value, L.P. I, has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value L.P. I directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value, L.P. I directly beneficially owns. F4: The Reporting Person has an indirect beneficial ownership interest in the shares of Common Stock, which are directly beneficially owned by Wynnefield Small Cap Value Offshore Fund, Ltd., as members of a group under Section 13(d) of the Exchange Act. Wynnefield Small Cap Value Offshore Fund, Ltd., which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital, Inc. as the sole investment manager of Wynnefield Small Cap Value Offshore Fund, Ltd., has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns. Nelson Obus and Joshua Landes, as principal executive officers of Wynnefield Capital, Inc., have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns.

Filing footnotes · ownership attribution and instrument terms

F1: Disposed of pursuant to the Agreement and Plan of Merger (the "Merger Agreement") dated as of March 2, 2018 by and among FEC Overseas Investment (UK) Limited, FEC Investment (US) Limited, Trans World Corporation and, solely for limited purposes therein, Far East Consortium International Limited in exchange for $4.1886 for each share of common stock of the issuer held by the Reporting Owners.

F2: Wynnefield Capital Management, LLC, as the sole general partner of the Reporting Person, has an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns.

F3: The Reporting Person has an indirect beneficial ownership interest in the shares of Common Stock, which are directly beneficially owned by Wynnefield Partners Small Cap Value, L.P. I, as members of a group under Section 13(d) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Wynnefield Partners Small Cap Value, L.P. I, which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital Management, LLC, as the sole general partner of Wynnefield Partners Small Cap Value, L.P. I, has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value L.P. I directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value, L.P. I directly beneficially owns.

F4: The Reporting Person has an indirect beneficial ownership interest in the shares of Common Stock, which are directly beneficially owned by Wynnefield Small Cap Value Offshore Fund, Ltd., as members of a group under Section 13(d) of the Exchange Act. Wynnefield Small Cap Value Offshore Fund, Ltd., which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital, Inc. as the sole investment manager of Wynnefield Small Cap Value Offshore Fund, Ltd., has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns. Nelson Obus and Joshua Landes, as principal executive officers of Wynnefield Capital, Inc., have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns.

Transaction history

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

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

Transaction date	Company	Activity / security	Shares / units	Reported price	Reported value	Details
February 21, 2020 Filed Feb 24, 2020 21:15 UTC	DLH Holdings Corp. DLHC · Entity 7088	PurchaseCommon Stock, par value $0.001 per share	31,960	$4.60	$147,012.80	Disclosure SEC source: 0001104659-20-024260 · tm2010802-1_4.xml · nonDerivative · entry 3 WYNNEFIELD PARTNERS SMALL CAP VALUE LP · CIK 0000899083 · 10% owner WYNNEFIELD PARTNERS SMALL CAP VALUE LP I · CIK 0001251565 · 10% owner WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD · CIK 0001030806 · 10% owner WYNNEFIELD CAPITAL MANAGEMENT LLC · CIK 0001056835 · 10% owner WYNNEFIELD CAPITAL INC · CIK 0001251567 · 10% owner Wynnefield Capital, Inc. Profit Sharing Plan · CIK 0001289453 · 10% owner OBUS NELSON · CIK 0001017043 · 10% owner LANDES JOSHUA · CIK 0001251568 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,038,008 F1 · ownership.direct: The Reporting Person directly beneficially owns 1,038,008 shares of common stock, $0.001 par value per share ("Common Stock") of DLH Holdings Corp. (the "Issuer"). Wynnefield Capital Management, LLC, as the sole general partner of the Reporting Person, has an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns. Read SEC document
February 20, 2020 Filed Feb 24, 2020 21:15 UTC	DLH Holdings Corp. DLHC · Entity 7088	PurchaseCommon Stock, par value $0.001 per share	2,301	$4.50	$10,354.50	Disclosure SEC source: 0001104659-20-024260 · tm2010802-1_4.xml · nonDerivative · entry 2 WYNNEFIELD PARTNERS SMALL CAP VALUE LP · CIK 0000899083 · 10% owner WYNNEFIELD PARTNERS SMALL CAP VALUE LP I · CIK 0001251565 · 10% owner WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD · CIK 0001030806 · 10% owner WYNNEFIELD CAPITAL MANAGEMENT LLC · CIK 0001056835 · 10% owner WYNNEFIELD CAPITAL INC · CIK 0001251567 · 10% owner Wynnefield Capital, Inc. Profit Sharing Plan · CIK 0001289453 · 10% owner OBUS NELSON · CIK 0001017043 · 10% owner LANDES JOSHUA · CIK 0001251568 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 2,733,588 F2 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 1,949,524 shares of Common Stock, which are directly beneficially owned by Wynnefield Partners Small Cap Value, L.P. I, as members of a group under Section 13(d) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Wynnefield Partners Small Cap Value, L.P. I, which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital Management, LLC, as the sole general partner of Wynnefield Partners Small Cap Value, L.P. I, has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value L.P. I directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value, L.P. I directly beneficially owns. F3 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 725,617 shares of Common Stock, which are directly beneficially owned by Wynnefield Small Cap Value Offshore Fund, Ltd., as members of a group under Section 13(d) of the Exchange Act. Wynnefield Small Cap Value Offshore Fund, Ltd., which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital, Inc. as the sole investment manager of Wynnefield Small Cap Value Offshore Fund, Ltd., has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns. Nelson Obus and Joshua Landes, as principal executive officers of Wynnefield Capital, Inc., have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns. F4 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 126,487 shares of Common Stock, which are directly beneficially owned by Wynnefield Capital, Inc. Profit Sharing Plan, as members of a group under Section 13(d) of the Exchange Act. Wynnefield Capital, Inc. Profit Sharing Plan, which maintains offices at the same address as the Reporting Person, is filing this Form jointly with the Reporting Person. Mr. Obus and Mr. Landes, as co-trustees, have the power to vote and dispose of Wynnefield Capital, Inc. Profit Sharing Plan's investments in securities and have indirect beneficial ownership interests in the shares of Common Stock that Wynnefield Capital, Inc. Profit Sharing Plan directly beneficially owns. Read SEC document
February 20, 2020 Filed Feb 24, 2020 21:15 UTC	DLH Holdings Corp. DLHC · Entity 7088	PurchaseCommon Stock, par value $0.001 per share	1,081	$4.60	$4,972.49	Disclosure SEC source: 0001104659-20-024260 · tm2010802-1_4.xml · nonDerivative · entry 1 WYNNEFIELD PARTNERS SMALL CAP VALUE LP · CIK 0000899083 · 10% owner WYNNEFIELD PARTNERS SMALL CAP VALUE LP I · CIK 0001251565 · 10% owner WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD · CIK 0001030806 · 10% owner WYNNEFIELD CAPITAL MANAGEMENT LLC · CIK 0001056835 · 10% owner WYNNEFIELD CAPITAL INC · CIK 0001251567 · 10% owner Wynnefield Capital, Inc. Profit Sharing Plan · CIK 0001289453 · 10% owner OBUS NELSON · CIK 0001017043 · 10% owner LANDES JOSHUA · CIK 0001251568 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,006,048 F1 · ownership.direct: The Reporting Person directly beneficially owns 1,038,008 shares of common stock, $0.001 par value per share ("Common Stock") of DLH Holdings Corp. (the "Issuer"). Wynnefield Capital Management, LLC, as the sole general partner of the Reporting Person, has an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns. Read SEC document
February 19, 2020 Filed Feb 20, 2020 21:19 UTC	DLH Holdings Corp. DLHC · Entity 7088	PurchaseCommon Stock, par value $0.001 per share	30,004	$4.59	$137,760.37	Disclosure SEC source: 0001104659-20-023391 · tm209538-1_4.xml · nonDerivative · entry 4 WYNNEFIELD PARTNERS SMALL CAP VALUE LP · CIK 0000899083 · 10% owner WYNNEFIELD PARTNERS SMALL CAP VALUE LP I · CIK 0001251565 · 10% owner WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD · CIK 0001030806 · 10% owner WYNNEFIELD CAPITAL MANAGEMENT LLC · CIK 0001056835 · 10% owner WYNNEFIELD CAPITAL INC · CIK 0001251567 · 10% owner Wynnefield Capital, Inc. Profit Sharing Plan · CIK 0001289453 · 10% owner OBUS NELSON · CIK 0001017043 · 10% owner LANDES JOSHUA · CIK 0001251568 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 2,731,287 F2 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 1,897,802 shares of Common Stock, which are directly beneficially owned by Wynnefield Partners Small Cap Value, L.P. I, as members of a group under Section 13(d) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Wynnefield Partners Small Cap Value, L.P. I, which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital Management, LLC, as the sole general partner of Wynnefield Partners Small Cap Value, L.P. I, has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value L.P. I directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value, L.P. I directly beneficially owns. F3 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 706,998 shares of Common Stock, which are directly beneficially owned by Wynnefield Small Cap Value Offshore Fund, Ltd., as members of a group under Section 13(d) of the Exchange Act. Wynnefield Small Cap Value Offshore Fund, Ltd., which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital, Inc. as the sole investment manager of Wynnefield Small Cap Value Offshore Fund, Ltd., has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns. Nelson Obus and Joshua Landes, as principal executive officers of Wynnefield Capital, Inc., have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns. F4 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 126,487 shares of Common Stock, which are directly beneficially owned by Wynnefield Capital, Inc. Profit Sharing Plan, as members of a group under Section 13(d) of the Exchange Act. Wynnefield Capital, Inc. Profit Sharing Plan, which maintains offices at the same address as the Reporting Person, is filing this Form jointly with the Reporting Person. Mr. Obus and Mr. Landes, as co-trustees, have the power to vote and dispose of Wynnefield Capital, Inc. Profit Sharing Plan's investments in securities and have indirect beneficial ownership interests in the shares of Common Stock that Wynnefield Capital, Inc. Profit Sharing Plan directly beneficially owns. Read SEC document
February 19, 2020 Filed Feb 20, 2020 21:19 UTC	DLH Holdings Corp. DLHC · Entity 7088	PurchaseCommon Stock, par value $0.001 per share	14,120	$4.52	$63,795.57	Disclosure SEC source: 0001104659-20-023391 · tm209538-1_4.xml · nonDerivative · entry 3 WYNNEFIELD PARTNERS SMALL CAP VALUE LP · CIK 0000899083 · 10% owner WYNNEFIELD PARTNERS SMALL CAP VALUE LP I · CIK 0001251565 · 10% owner WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD · CIK 0001030806 · 10% owner WYNNEFIELD CAPITAL MANAGEMENT LLC · CIK 0001056835 · 10% owner WYNNEFIELD CAPITAL INC · CIK 0001251567 · 10% owner Wynnefield Capital, Inc. Profit Sharing Plan · CIK 0001289453 · 10% owner OBUS NELSON · CIK 0001017043 · 10% owner LANDES JOSHUA · CIK 0001251568 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,004,967 F1 · ownership.direct: The Reporting Person directly beneficially owns 1,004,967 shares of common stock, $0.001 par value per share ("Common Stock") of DLH Holdings Corp. (the "Issuer"). Wynnefield Capital Management, LLC, as the sole general partner of the Reporting Person, has an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns. Read SEC document
February 18, 2020 Filed Feb 20, 2020 21:19 UTC	DLH Holdings Corp. DLHC · Entity 7088	PurchaseCommon Stock, par value $0.001 per share	5,940	$4.59	$27,272.92	Disclosure SEC source: 0001104659-20-023391 · tm209538-1_4.xml · nonDerivative · entry 2 WYNNEFIELD PARTNERS SMALL CAP VALUE LP · CIK 0000899083 · 10% owner WYNNEFIELD PARTNERS SMALL CAP VALUE LP I · CIK 0001251565 · 10% owner WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD · CIK 0001030806 · 10% owner WYNNEFIELD CAPITAL MANAGEMENT LLC · CIK 0001056835 · 10% owner WYNNEFIELD CAPITAL INC · CIK 0001251567 · 10% owner Wynnefield Capital, Inc. Profit Sharing Plan · CIK 0001289453 · 10% owner OBUS NELSON · CIK 0001017043 · 10% owner LANDES JOSHUA · CIK 0001251568 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 2,701,283 F2 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 1,897,802 shares of Common Stock, which are directly beneficially owned by Wynnefield Partners Small Cap Value, L.P. I, as members of a group under Section 13(d) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Wynnefield Partners Small Cap Value, L.P. I, which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital Management, LLC, as the sole general partner of Wynnefield Partners Small Cap Value, L.P. I, has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value L.P. I directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value, L.P. I directly beneficially owns. F3 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 706,998 shares of Common Stock, which are directly beneficially owned by Wynnefield Small Cap Value Offshore Fund, Ltd., as members of a group under Section 13(d) of the Exchange Act. Wynnefield Small Cap Value Offshore Fund, Ltd., which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital, Inc. as the sole investment manager of Wynnefield Small Cap Value Offshore Fund, Ltd., has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns. Nelson Obus and Joshua Landes, as principal executive officers of Wynnefield Capital, Inc., have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns. F4 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 126,487 shares of Common Stock, which are directly beneficially owned by Wynnefield Capital, Inc. Profit Sharing Plan, as members of a group under Section 13(d) of the Exchange Act. Wynnefield Capital, Inc. Profit Sharing Plan, which maintains offices at the same address as the Reporting Person, is filing this Form jointly with the Reporting Person. Mr. Obus and Mr. Landes, as co-trustees, have the power to vote and dispose of Wynnefield Capital, Inc. Profit Sharing Plan's investments in securities and have indirect beneficial ownership interests in the shares of Common Stock that Wynnefield Capital, Inc. Profit Sharing Plan directly beneficially owns. Read SEC document
February 18, 2020 Filed Feb 20, 2020 21:19 UTC	DLH Holdings Corp. DLHC · Entity 7088	PurchaseCommon Stock, par value $0.001 per share	2,801	$4.52	$12,655.20	Disclosure SEC source: 0001104659-20-023391 · tm209538-1_4.xml · nonDerivative · entry 1 WYNNEFIELD PARTNERS SMALL CAP VALUE LP · CIK 0000899083 · 10% owner WYNNEFIELD PARTNERS SMALL CAP VALUE LP I · CIK 0001251565 · 10% owner WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD · CIK 0001030806 · 10% owner WYNNEFIELD CAPITAL MANAGEMENT LLC · CIK 0001056835 · 10% owner WYNNEFIELD CAPITAL INC · CIK 0001251567 · 10% owner Wynnefield Capital, Inc. Profit Sharing Plan · CIK 0001289453 · 10% owner OBUS NELSON · CIK 0001017043 · 10% owner LANDES JOSHUA · CIK 0001251568 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 990,847 F1 · ownership.direct: The Reporting Person directly beneficially owns 1,004,967 shares of common stock, $0.001 par value per share ("Common Stock") of DLH Holdings Corp. (the "Issuer"). Wynnefield Capital Management, LLC, as the sole general partner of the Reporting Person, has an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns. Read SEC document
February 14, 2020 Filed Feb 18, 2020 21:20 UTC	DLH Holdings Corp. DLHC · Entity 7088	PurchaseCommon Stock, par value $0.001 per share	866	$4.56	$3,946.10	Disclosure SEC source: 0001104659-20-022456 · tm1924270-7_form4.xml · nonDerivative · entry 4 WYNNEFIELD PARTNERS SMALL CAP VALUE LP · CIK 0000899083 · 10% owner WYNNEFIELD PARTNERS SMALL CAP VALUE LP I · CIK 0001251565 · 10% owner WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD · CIK 0001030806 · 10% owner WYNNEFIELD CAPITAL MANAGEMENT LLC · CIK 0001056835 · 10% owner WYNNEFIELD CAPITAL INC · CIK 0001251567 · 10% owner Wynnefield Capital, Inc. Profit Sharing Plan · CIK 0001289453 · 10% owner OBUS NELSON · CIK 0001017043 · 10% owner LANDES JOSHUA · CIK 0001251568 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 2,695,343 F2 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 1,871,357 shares of Common Stock, which are directly beneficially owned by Wynnefield Partners Small Cap Value, L.P. I, as members of a group under Section 13(d) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Wynnefield Partners Small Cap Value, L.P. I, which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital Management, LLC, as the sole general partner of Wynnefield Partners Small Cap Value, L.P. I, has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value L.P. I directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value, L.P. I directly beneficially owns. F3 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 697,499 shares of Common Stock, which are directly beneficially owned by Wynnefield Small Cap Value Offshore Fund, Ltd., as members of a group under Section 13(d) of the Exchange Act. Wynnefield Small Cap Value Offshore Fund, Ltd., which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital, Inc. as the sole investment manager of Wynnefield Small Cap Value Offshore Fund, Ltd., has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns. Nelson Obus and Joshua Landes, as principal executive officers of Wynnefield Capital, Inc., have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns. F4 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 126,487 shares of Common Stock, which are directly beneficially owned by Wynnefield Capital, Inc. Profit Sharing Plan, as members of a group under Section 13(d) of the Exchange Act. Wynnefield Capital, Inc. Profit Sharing Plan, which maintains offices at the same address as the Reporting Person, is filing this Form jointly with the Reporting Person. Mr. Obus and Mr. Landes, as co-trustees, have the power to vote and dispose of Wynnefield Capital, Inc. Profit Sharing Plan's investments in securities and have indirect beneficial ownership interests in the shares of Common Stock that Wynnefield Capital, Inc. Profit Sharing Plan directly beneficially owns. Read SEC document
February 14, 2020 Filed Feb 18, 2020 21:20 UTC	DLH Holdings Corp. DLHC · Entity 7088	PurchaseCommon Stock, par value $0.001 per share	409	$4.56	$1,863.69	Disclosure SEC source: 0001104659-20-022456 · tm1924270-7_form4.xml · nonDerivative · entry 3 WYNNEFIELD PARTNERS SMALL CAP VALUE LP · CIK 0000899083 · 10% owner WYNNEFIELD PARTNERS SMALL CAP VALUE LP I · CIK 0001251565 · 10% owner WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD · CIK 0001030806 · 10% owner WYNNEFIELD CAPITAL MANAGEMENT LLC · CIK 0001056835 · 10% owner WYNNEFIELD CAPITAL INC · CIK 0001251567 · 10% owner Wynnefield Capital, Inc. Profit Sharing Plan · CIK 0001289453 · 10% owner OBUS NELSON · CIK 0001017043 · 10% owner LANDES JOSHUA · CIK 0001251568 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 988,046 F1 · ownership.direct: The Reporting Person directly beneficially owns 988,046 shares of common stock, $0.001 par value per share ("Common Stock") of DLH Holdings Corp. (the "Issuer"). Wynnefield Capital Management, LLC, as the sole general partner of the Reporting Person, has an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns. Read SEC document
February 13, 2020 Filed Feb 18, 2020 21:20 UTC	DLH Holdings Corp. DLHC · Entity 7088	PurchaseCommon Stock, par value $0.001 per share	16,705	$4.37	$72,985.82	Disclosure SEC source: 0001104659-20-022456 · tm1924270-7_form4.xml · nonDerivative · entry 2 WYNNEFIELD PARTNERS SMALL CAP VALUE LP · CIK 0000899083 · 10% owner WYNNEFIELD PARTNERS SMALL CAP VALUE LP I · CIK 0001251565 · 10% owner WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD · CIK 0001030806 · 10% owner WYNNEFIELD CAPITAL MANAGEMENT LLC · CIK 0001056835 · 10% owner WYNNEFIELD CAPITAL INC · CIK 0001251567 · 10% owner Wynnefield Capital, Inc. Profit Sharing Plan · CIK 0001289453 · 10% owner OBUS NELSON · CIK 0001017043 · 10% owner LANDES JOSHUA · CIK 0001251568 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 2,694,477 F2 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 1,871,357 shares of Common Stock, which are directly beneficially owned by Wynnefield Partners Small Cap Value, L.P. I, as members of a group under Section 13(d) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Wynnefield Partners Small Cap Value, L.P. I, which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital Management, LLC, as the sole general partner of Wynnefield Partners Small Cap Value, L.P. I, has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value L.P. I directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value, L.P. I directly beneficially owns. F3 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 697,499 shares of Common Stock, which are directly beneficially owned by Wynnefield Small Cap Value Offshore Fund, Ltd., as members of a group under Section 13(d) of the Exchange Act. Wynnefield Small Cap Value Offshore Fund, Ltd., which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital, Inc. as the sole investment manager of Wynnefield Small Cap Value Offshore Fund, Ltd., has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns. Nelson Obus and Joshua Landes, as principal executive officers of Wynnefield Capital, Inc., have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns. F4 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 126,487 shares of Common Stock, which are directly beneficially owned by Wynnefield Capital, Inc. Profit Sharing Plan, as members of a group under Section 13(d) of the Exchange Act. Wynnefield Capital, Inc. Profit Sharing Plan, which maintains offices at the same address as the Reporting Person, is filing this Form jointly with the Reporting Person. Mr. Obus and Mr. Landes, as co-trustees, have the power to vote and dispose of Wynnefield Capital, Inc. Profit Sharing Plan's investments in securities and have indirect beneficial ownership interests in the shares of Common Stock that Wynnefield Capital, Inc. Profit Sharing Plan directly beneficially owns. Read SEC document
February 13, 2020 Filed Feb 18, 2020 21:20 UTC	DLH Holdings Corp. DLHC · Entity 7088	PurchaseCommon Stock, par value $0.001 per share	7,879	$4.37	$34,424.14	Disclosure SEC source: 0001104659-20-022456 · tm1924270-7_form4.xml · nonDerivative · entry 1 WYNNEFIELD PARTNERS SMALL CAP VALUE LP · CIK 0000899083 · 10% owner WYNNEFIELD PARTNERS SMALL CAP VALUE LP I · CIK 0001251565 · 10% owner WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD · CIK 0001030806 · 10% owner WYNNEFIELD CAPITAL MANAGEMENT LLC · CIK 0001056835 · 10% owner WYNNEFIELD CAPITAL INC · CIK 0001251567 · 10% owner Wynnefield Capital, Inc. Profit Sharing Plan · CIK 0001289453 · 10% owner OBUS NELSON · CIK 0001017043 · 10% owner LANDES JOSHUA · CIK 0001251568 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 987,637 F1 · ownership.direct: The Reporting Person directly beneficially owns 988,046 shares of common stock, $0.001 par value per share ("Common Stock") of DLH Holdings Corp. (the "Issuer"). Wynnefield Capital Management, LLC, as the sole general partner of the Reporting Person, has an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns. Read SEC document
December 19, 2019 Filed Dec 26, 2019 21:15 UTC	DLH Holdings Corp. DLHC · Entity 7088	PurchaseCommon Stock, par value $0.001 per share	21,894	$4.00	$87,576.00	Disclosure SEC source: 0001104659-19-076129 · tm1924270-6_form4.xml · nonDerivative · entry 2 WYNNEFIELD PARTNERS SMALL CAP VALUE LP · CIK 0000899083 · 10% owner WYNNEFIELD PARTNERS SMALL CAP VALUE LP I · CIK 0001251565 · 10% owner WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD · CIK 0001030806 · 10% owner WYNNEFIELD CAPITAL MANAGEMENT LLC · CIK 0001056835 · 10% owner WYNNEFIELD CAPITAL INC · CIK 0001251567 · 10% owner Wynnefield Capital, Inc. Profit Sharing Plan · CIK 0001289453 · 10% owner OBUS NELSON · CIK 0001017043 · 10% owner LANDES JOSHUA · CIK 0001251568 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 2,677,772 F2 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 1,858,430 shares of Common Stock, which are directly beneficially owned by Wynnefield Partners Small Cap Value, L.P. I, as members of a group under Section 13(d) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Wynnefield Partners Small Cap Value, L.P. I, which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital Management, LLC, as the sole general partner of Wynnefield Partners Small Cap Value, L.P. I, has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value L.P. I directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value, L.P. I directly beneficially owns. F3 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 692,855 shares of Common Stock, which are directly beneficially owned by Wynnefield Small Cap Value Offshore Fund, Ltd., as members of a group under Section 13(d) of the Exchange Act. Wynnefield Small Cap Value Offshore Fund, Ltd., which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital, Inc. as the sole investment manager of Wynnefield Small Cap Value Offshore Fund, Ltd., has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns. Nelson Obus and Joshua Landes, as principal executive officers of Wynnefield Capital, Inc., have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns. F4 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 126,487 shares of Common Stock, which are directly beneficially owned by Wynnefield Capital, Inc. Profit Sharing Plan, as members of a group under Section 13(d) of the Exchange Act. Wynnefield Capital, Inc. Profit Sharing Plan, which maintains offices at the same address as the Reporting Person, is filing this Form jointly with the Reporting Person. Mr. Obus and Mr. Landes, as co-trustees, have the power to vote and dispose of Wynnefield Capital, Inc. Profit Sharing Plan's investments in securities and have indirect beneficial ownership interests in the shares of Common Stock that Wynnefield Capital, Inc. Profit Sharing Plan directly beneficially owns. Read SEC document
December 19, 2019 Filed Dec 26, 2019 21:15 UTC	DLH Holdings Corp. DLHC · Entity 7088	PurchaseCommon Stock, par value $0.001 per share	10,003	$4.00	$40,012.00	Disclosure SEC source: 0001104659-19-076129 · tm1924270-6_form4.xml · nonDerivative · entry 1 WYNNEFIELD PARTNERS SMALL CAP VALUE LP · CIK 0000899083 · 10% owner WYNNEFIELD PARTNERS SMALL CAP VALUE LP I · CIK 0001251565 · 10% owner WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD · CIK 0001030806 · 10% owner WYNNEFIELD CAPITAL MANAGEMENT LLC · CIK 0001056835 · 10% owner WYNNEFIELD CAPITAL INC · CIK 0001251567 · 10% owner Wynnefield Capital, Inc. Profit Sharing Plan · CIK 0001289453 · 10% owner OBUS NELSON · CIK 0001017043 · 10% owner LANDES JOSHUA · CIK 0001251568 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 979,758 F1 · ownership.direct: The Reporting Person directly beneficially owns 979,758 shares of common stock, $0.001 par value per share ("Common Stock") of DLH Holdings Corp. (the "Issuer"). Wynnefield Capital Management, LLC, as the sole general partner of the Reporting Person, has an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns. Read SEC document
December 09, 2019 Filed Dec 10, 2019 21:17 UTC	NATURES SUNSHINE PRODUCTS INC NATR · Entity 1465	PurchaseCommon Stock, no par value per share	2,288	$9.74	$22,287.41	Disclosure SEC source: 0001104659-19-071437 · tm1924270-5_form4.xml · nonDerivative · entry 4 WYNNEFIELD PARTNERS SMALL CAP VALUE LP · CIK 0000899083 · 10% owner WYNNEFIELD PARTNERS SMALL CAP VALUE LP I · CIK 0001251565 · 10% owner WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD · CIK 0001030806 · 10% owner WYNNEFIELD CAPITAL MANAGEMENT LLC · CIK 0001056835 · 10% owner WYNNEFIELD CAPITAL INC · CIK 0001251567 · 10% owner Wynnefield Capital, Inc. Profit Sharing Plan · CIK 0001289453 · 10% owner OBUS NELSON · CIK 0001017043 · 10% owner LANDES JOSHUA · CIK 0001251568 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 1,641,540 F2 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 1,129,116 shares of Common Stock, which are directly beneficially owned by Wynnefield Partners Small Cap Value, L.P. I, as members of a group under Section 13(d) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Wynnefield Partners Small Cap Value, L.P. I, which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital Management, LLC, as the sole general partner of Wynnefield Partners Small Cap Value, L.P. I, has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value L.P. I directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value, L.P. I directly beneficially owns. F3 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 460,695 shares of Common Stock, which are directly beneficially owned by Wynnefield Small Cap Value Offshore Fund, Ltd., as members of a group under Section 13(d) of the Exchange Act. Wynnefield Small Cap Value Offshore Fund, Ltd., which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital, Inc. as the sole investment manager of Wynnefield Small Cap Value Offshore Fund, Ltd., has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns. Nelson Obus and Joshua Landes, as principal executive officers of Wynnefield Capital, Inc., have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns. F4 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 51,729 shares of Common Stock, which are directly beneficially owned by Wynnefield Capital, Inc. Profit Sharing Plan, as members of a group under Section 13(d) of the Exchange Act. Wynnefield Capital, Inc. Profit Sharing Plan, which maintains offices at the same address as the Reporting Person, is filing this Form jointly with the Reporting Person. Mr. Obus and Mr. Landes, as co-trustees, has the power to vote and dispose of Wynnefield Capital, Inc. Profit Sharing Plan's investments in securities and has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Capital, Inc. Profit Sharing Plan directly beneficially owns. Read SEC document
December 09, 2019 Filed Dec 10, 2019 21:17 UTC	NATURES SUNSHINE PRODUCTS INC NATR · Entity 1465	PurchaseCommon Stock, no par value per share	1,048	$9.74	$10,208.57	Disclosure SEC source: 0001104659-19-071437 · tm1924270-5_form4.xml · nonDerivative · entry 3 WYNNEFIELD PARTNERS SMALL CAP VALUE LP · CIK 0000899083 · 10% owner WYNNEFIELD PARTNERS SMALL CAP VALUE LP I · CIK 0001251565 · 10% owner WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD · CIK 0001030806 · 10% owner WYNNEFIELD CAPITAL MANAGEMENT LLC · CIK 0001056835 · 10% owner WYNNEFIELD CAPITAL INC · CIK 0001251567 · 10% owner Wynnefield Capital, Inc. Profit Sharing Plan · CIK 0001289453 · 10% owner OBUS NELSON · CIK 0001017043 · 10% owner LANDES JOSHUA · CIK 0001251568 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 746,891 F1 · ownership.direct: The Reporting Person directly beneficially owns 746,891 shares of common stock, no par value per share ("Common Stock") of Nature's Sunshine Products Inc. Wynnefield Capital Management, LLC, as the sole general partner of the Reporting Person, has an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns. Read SEC document
December 06, 2019 Filed Dec 10, 2019 21:17 UTC	NATURES SUNSHINE PRODUCTS INC NATR · Entity 1465	PurchaseCommon Stock, no par value per share	140	$9.77	$1,367.80	Disclosure SEC source: 0001104659-19-071437 · tm1924270-5_form4.xml · nonDerivative · entry 2 WYNNEFIELD PARTNERS SMALL CAP VALUE LP · CIK 0000899083 · 10% owner WYNNEFIELD PARTNERS SMALL CAP VALUE LP I · CIK 0001251565 · 10% owner WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD · CIK 0001030806 · 10% owner WYNNEFIELD CAPITAL MANAGEMENT LLC · CIK 0001056835 · 10% owner WYNNEFIELD CAPITAL INC · CIK 0001251567 · 10% owner Wynnefield Capital, Inc. Profit Sharing Plan · CIK 0001289453 · 10% owner OBUS NELSON · CIK 0001017043 · 10% owner LANDES JOSHUA · CIK 0001251568 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 1,639,252 F2 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 1,129,116 shares of Common Stock, which are directly beneficially owned by Wynnefield Partners Small Cap Value, L.P. I, as members of a group under Section 13(d) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Wynnefield Partners Small Cap Value, L.P. I, which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital Management, LLC, as the sole general partner of Wynnefield Partners Small Cap Value, L.P. I, has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value L.P. I directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value, L.P. I directly beneficially owns. F3 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 460,695 shares of Common Stock, which are directly beneficially owned by Wynnefield Small Cap Value Offshore Fund, Ltd., as members of a group under Section 13(d) of the Exchange Act. Wynnefield Small Cap Value Offshore Fund, Ltd., which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital, Inc. as the sole investment manager of Wynnefield Small Cap Value Offshore Fund, Ltd., has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns. Nelson Obus and Joshua Landes, as principal executive officers of Wynnefield Capital, Inc., have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns. F4 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 51,729 shares of Common Stock, which are directly beneficially owned by Wynnefield Capital, Inc. Profit Sharing Plan, as members of a group under Section 13(d) of the Exchange Act. Wynnefield Capital, Inc. Profit Sharing Plan, which maintains offices at the same address as the Reporting Person, is filing this Form jointly with the Reporting Person. Mr. Obus and Mr. Landes, as co-trustees, has the power to vote and dispose of Wynnefield Capital, Inc. Profit Sharing Plan's investments in securities and has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Capital, Inc. Profit Sharing Plan directly beneficially owns. Read SEC document
December 06, 2019 Filed Dec 10, 2019 21:17 UTC	NATURES SUNSHINE PRODUCTS INC NATR · Entity 1465	PurchaseCommon Stock, no par value per share	64	$9.77	$625.28	Disclosure SEC source: 0001104659-19-071437 · tm1924270-5_form4.xml · nonDerivative · entry 1 WYNNEFIELD PARTNERS SMALL CAP VALUE LP · CIK 0000899083 · 10% owner WYNNEFIELD PARTNERS SMALL CAP VALUE LP I · CIK 0001251565 · 10% owner WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD · CIK 0001030806 · 10% owner WYNNEFIELD CAPITAL MANAGEMENT LLC · CIK 0001056835 · 10% owner WYNNEFIELD CAPITAL INC · CIK 0001251567 · 10% owner Wynnefield Capital, Inc. Profit Sharing Plan · CIK 0001289453 · 10% owner OBUS NELSON · CIK 0001017043 · 10% owner LANDES JOSHUA · CIK 0001251568 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 745,843 F1 · ownership.direct: The Reporting Person directly beneficially owns 746,891 shares of common stock, no par value per share ("Common Stock") of Nature's Sunshine Products Inc. Wynnefield Capital Management, LLC, as the sole general partner of the Reporting Person, has an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns. Read SEC document
December 04, 2019 Filed Dec 6, 2019 21:16 UTC	NATURES SUNSHINE PRODUCTS INC NATR · Entity 1465	PurchaseCommon Stock, no par value per share	1,538	$9.82	$15,099.16	Disclosure SEC source: 0001104659-19-070604 · tm1924270-4_form4.xml · nonDerivative · entry 2 WYNNEFIELD PARTNERS SMALL CAP VALUE LP · CIK 0000899083 · 10% owner WYNNEFIELD PARTNERS SMALL CAP VALUE LP I · CIK 0001251565 · 10% owner WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD · CIK 0001030806 · 10% owner WYNNEFIELD CAPITAL MANAGEMENT LLC · CIK 0001056835 · 10% owner WYNNEFIELD CAPITAL INC · CIK 0001251567 · 10% owner Wynnefield Capital, Inc. Profit Sharing Plan · CIK 0001289453 · 10% owner OBUS NELSON · CIK 0001017043 · 10% owner LANDES JOSHUA · CIK 0001251568 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 1,639,112 F2 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 1,127,384 shares of Common Stock, which are directly beneficially owned by Wynnefield Partners Small Cap Value, L.P. I, as members of a group under Section 13(d) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Wynnefield Partners Small Cap Value, L.P. I, which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital Management, LLC, as the sole general partner of Wynnefield Partners Small Cap Value, L.P. I, has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value L.P. I directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value, L.P. I directly beneficially owns. F3 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 459,999 shares of Common Stock, which are directly beneficially owned by Wynnefield Small Cap Value Offshore Fund, Ltd., as members of a group under Section 13(d) of the Exchange Act. Wynnefield Small Cap Value Offshore Fund, Ltd., which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital, Inc. as the sole investment manager of Wynnefield Small Cap Value Offshore Fund, Ltd., has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns. Nelson Obus and Joshua Landes, as principal executive officers of Wynnefield Capital, Inc., have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns. F4 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 51,729 shares of Common Stock, which are directly beneficially owned by Wynnefield Capital, Inc. Profit Sharing Plan, as members of a group under Section 13(d) of the Exchange Act. Wynnefield Capital, Inc. Profit Sharing Plan, which maintains offices at the same address as the Reporting Person, is filing this Form jointly with the Reporting Person. Mr. Obus and Mr. Landes, as co-trustees, has the power to vote and dispose of Wynnefield Capital, Inc. Profit Sharing Plan's investments in securities and has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Capital, Inc. Profit Sharing Plan directly beneficially owns. Read SEC document
December 04, 2019 Filed Dec 6, 2019 21:16 UTC	NATURES SUNSHINE PRODUCTS INC NATR · Entity 1465	PurchaseCommon Stock, no par value per share	704	$9.82	$6,911.45	Disclosure SEC source: 0001104659-19-070604 · tm1924270-4_form4.xml · nonDerivative · entry 1 WYNNEFIELD PARTNERS SMALL CAP VALUE LP · CIK 0000899083 · 10% owner WYNNEFIELD PARTNERS SMALL CAP VALUE LP I · CIK 0001251565 · 10% owner WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD · CIK 0001030806 · 10% owner WYNNEFIELD CAPITAL MANAGEMENT LLC · CIK 0001056835 · 10% owner WYNNEFIELD CAPITAL INC · CIK 0001251567 · 10% owner Wynnefield Capital, Inc. Profit Sharing Plan · CIK 0001289453 · 10% owner OBUS NELSON · CIK 0001017043 · 10% owner LANDES JOSHUA · CIK 0001251568 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 745,779 F1 · ownership.direct: The Reporting Person directly beneficially owns 745,779 shares of common stock, no par value per share ("Common Stock") of Nature's Sunshine Products Inc. Wynnefield Capital Management, LLC, as the sole general partner of the Reporting Person, has an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns. Read SEC document
December 02, 2019 Filed Dec 3, 2019 21:15 UTC	NATURES SUNSHINE PRODUCTS INC NATR · Entity 1465	PurchaseCommon Stock, no par value per share	1,228	$9.75	$11,973.00	Disclosure SEC source: 0001104659-19-069533 · tm1924270-2_form4.xml · nonDerivative · entry 4 WYNNEFIELD PARTNERS SMALL CAP VALUE LP · CIK 0000899083 · 10% owner WYNNEFIELD PARTNERS SMALL CAP VALUE LP I · CIK 0001251565 · 10% owner WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD · CIK 0001030806 · 10% owner WYNNEFIELD CAPITAL MANAGEMENT LLC · CIK 0001056835 · 10% owner WYNNEFIELD CAPITAL INC · CIK 0001251567 · 10% owner Wynnefield Capital, Inc. Profit Sharing Plan · CIK 0001289453 · 10% owner OBUS NELSON · CIK 0001017043 · 10% owner LANDES JOSHUA · CIK 0001251568 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 1,637,574 F2 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 1,126,287 shares of Common Stock, which are directly beneficially owned by Wynnefield Partners Small Cap Value, L.P. I, as members of a group under Section 13(d) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Wynnefield Partners Small Cap Value, L.P. I, which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital Management, LLC, as the sole general partner of Wynnefield Partners Small Cap Value, L.P. I, has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value L.P. I directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value, L.P. I directly beneficially owns. F3 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 459,558 shares of Common Stock, which are directly beneficially owned by Wynnefield Small Cap Value Offshore Fund, Ltd., as members of a group under Section 13(d) of the Exchange Act. Wynnefield Small Cap Value Offshore Fund, Ltd., which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital, Inc. as the sole investment manager of Wynnefield Small Cap Value Offshore Fund, Ltd., has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns. Nelson Obus and Joshua Landes, as principal executive officers of Wynnefield Capital, Inc., have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns. F4 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 51,729 shares of Common Stock, which are directly beneficially owned by Wynnefield Capital, Inc. Profit Sharing Plan, as members of a group under Section 13(d) of the Exchange Act. Wynnefield Capital, Inc. Profit Sharing Plan, which maintains offices at the same address as the Reporting Person, is filing this Form jointly with the Reporting Person. Mr. Obus and Mr. Landes, as co-trustees, has the power to vote and dispose of Wynnefield Capital, Inc. Profit Sharing Plan's investments in securities and has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Capital, Inc. Profit Sharing Plan directly beneficially owns. Read SEC document
December 02, 2019 Filed Dec 3, 2019 21:15 UTC	NATURES SUNSHINE PRODUCTS INC NATR · Entity 1465	PurchaseCommon Stock, no par value per share	562	$9.75	$5,479.50	Disclosure SEC source: 0001104659-19-069533 · tm1924270-2_form4.xml · nonDerivative · entry 3 WYNNEFIELD PARTNERS SMALL CAP VALUE LP · CIK 0000899083 · 10% owner WYNNEFIELD PARTNERS SMALL CAP VALUE LP I · CIK 0001251565 · 10% owner WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD · CIK 0001030806 · 10% owner WYNNEFIELD CAPITAL MANAGEMENT LLC · CIK 0001056835 · 10% owner WYNNEFIELD CAPITAL INC · CIK 0001251567 · 10% owner Wynnefield Capital, Inc. Profit Sharing Plan · CIK 0001289453 · 10% owner OBUS NELSON · CIK 0001017043 · 10% owner LANDES JOSHUA · CIK 0001251568 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 745,075 F1 · ownership.direct: The Reporting Person directly beneficially owns 745,075 shares of common stock, no par value per share ("Common Stock") of Nature's Sunshine Products Inc. Wynnefield Capital Management, LLC, as the sole general partner of the Reporting Person, has an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns. Read SEC document
November 29, 2019 Filed Dec 2, 2019 16:15 UTC	Williams Industrial Services Group Inc. WLMS · Entity 114766	PurchaseCommon Stock, par value $0.01 per share	1,788	$1.43	$2,565.60	Disclosure SEC source: 0001104659-19-068967 · tm1924270-1_form4.xml · nonDerivative · entry 4 WYNNEFIELD PARTNERS SMALL CAP VALUE LP I · CIK 0001251565 · 10% owner WYNNEFIELD PARTNERS SMALL CAP VALUE LP · CIK 0000899083 · 10% owner WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD · CIK 0001030806 · 10% owner WYNNEFIELD CAPITAL MANAGEMENT LLC · CIK 0001056835 · 10% owner WYNNEFIELD CAPITAL INC · CIK 0001251567 · 10% owner Wynnefield Capital, Inc. Profit Sharing Plan · CIK 0001289453 · 10% owner OBUS NELSON · CIK 0001017043 · 10% owner LANDES JOSHUA · CIK 0001251568 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 2,425,839 F2 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 1,202,950 shares of Common Stock, which are directly beneficially owned by Wynnefield Partners Small Cap Value, L.P., as members of a group under Section 13(d) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Wynnefield Partners Small Cap Value, L.P. I, which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital Management, LLC, as the sole general partner of Wynnefield Partners Small Cap Value, L.P. I, has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value L.P. I directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value, L.P. I directly beneficially owns. F3 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 1,052,189 shares of Common Stock, which are directly beneficially owned by Wynnefield Small Cap Value Offshore Fund, Ltd., as members of a group under Section 13(d) of the Exchange Act. Wynnefield Small Cap Value Offshore Fund, Ltd., which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital, Inc. as the sole investment manager of Wynnefield Small Cap Value Offshore Fund, Ltd., has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns. Nelson Obus and Joshua Landes, as principal executive officers of Wynnefield Capital, Inc., have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns. F4 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 170,700 shares of Common Stock, which are directly beneficially owned by Wynnefield Capital, Inc. Profit Sharing Plan, as members of a group under Section 13(d) of the Exchange Act. Wynnefield Capital, Inc. Profit Sharing Plan, which maintains offices at the same address as the Reporting Person, is filing this Form jointly with the Reporting Person. Mr. Obus and Mr. Landes, as co-trustees, has the power to vote and dispose of Wynnefield Capital, Inc. Profit Sharing Plan's investments in securities and has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Capital, Inc. Profit Sharing Plan directly beneficially owns. Read SEC document
November 29, 2019 Filed Dec 2, 2019 16:15 UTC	Williams Industrial Services Group Inc. WLMS · Entity 114766	PurchaseCommon Stock, par value $0.01 per share	1,712	$1.43	$2,456.55	Disclosure SEC source: 0001104659-19-068967 · tm1924270-1_form4.xml · nonDerivative · entry 3 WYNNEFIELD PARTNERS SMALL CAP VALUE LP I · CIK 0001251565 · 10% owner WYNNEFIELD PARTNERS SMALL CAP VALUE LP · CIK 0000899083 · 10% owner WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD · CIK 0001030806 · 10% owner WYNNEFIELD CAPITAL MANAGEMENT LLC · CIK 0001056835 · 10% owner WYNNEFIELD CAPITAL INC · CIK 0001251567 · 10% owner Wynnefield Capital, Inc. Profit Sharing Plan · CIK 0001289453 · 10% owner OBUS NELSON · CIK 0001017043 · 10% owner LANDES JOSHUA · CIK 0001251568 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,251,932 F1 · ownership.direct: The Reporting Person directly beneficially owns 1,251,932 shares of common stock, no par value per share ("Common Stock") of Williams Industrial Services Group Inc. (the "Issuer"). Wynnefield Capital Management, LLC, as the sole general partner of the Reporting Person, has an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns. Read SEC document
November 29, 2019 Filed Dec 2, 2019 21:32 UTC	Williams Industrial Services Group Inc. WLMS · Entity 114766	PurchaseCommon Stock, $0.01 par value per share	3,500	$1.43	$5,022.15	Disclosure SEC source: 0001104659-19-068988 · a4.xml · nonDerivative · entry 2 OBUS NELSON · CIK 0001017043 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 3,677,771 F2 · shares: Of the aggregate number of shares purchased on each of November 27, 2019 and November 29, 2019, Wynnefield Partners Small Cap Value, L.P. I purchased 9,782 shares and 1,712 shares, respectively, while the other Wynnefield entities disclosed in footnote 1 purchased 10,218 shares and 1,788 shares, respectively. F1 · ownership.nature: As of the date of this Form 4, Mr. Obus is (i) a principal executive officer of Wynnefield Capital, Inc., which is the sole investment manager of Wynnefield Small Cap Value Offshore Fund, Ltd., which beneficially owns 1,052,189 shares of the issuer's common stock; (ii) a co-managing member of Wynnefield Capital Management, LLC, which is the sole general partner of Wynnefield Partners Small Cap Value, L.P. I, which beneficially owns 1,251,932 shares of the issuer's common stock, and the sole general partner of Wynnefield Partners Small Cap Value, L.P., which beneficially owns 1,202,950 shares of the issuer's common stock; and (iii) a co-trustee of Wynnefield Capital, Inc. Profit Sharing & Money Purchase Plan, which beneficially owns 170,700 shares of the issuer's common stock. Mr. Obus disclaims beneficial ownership of the securities described in this footnote except to the extent of his pecuniary interest. Read SEC document
November 29, 2019 Filed Dec 3, 2019 21:15 UTC	NATURES SUNSHINE PRODUCTS INC NATR · Entity 1465	PurchaseCommon Stock, no par value per share	343	$10.09	$3,460.12	Disclosure SEC source: 0001104659-19-069533 · tm1924270-2_form4.xml · nonDerivative · entry 2 WYNNEFIELD PARTNERS SMALL CAP VALUE LP · CIK 0000899083 · 10% owner WYNNEFIELD PARTNERS SMALL CAP VALUE LP I · CIK 0001251565 · 10% owner WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD · CIK 0001030806 · 10% owner WYNNEFIELD CAPITAL MANAGEMENT LLC · CIK 0001056835 · 10% owner WYNNEFIELD CAPITAL INC · CIK 0001251567 · 10% owner Wynnefield Capital, Inc. Profit Sharing Plan · CIK 0001289453 · 10% owner OBUS NELSON · CIK 0001017043 · 10% owner LANDES JOSHUA · CIK 0001251568 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 1,636,346 F2 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 1,126,287 shares of Common Stock, which are directly beneficially owned by Wynnefield Partners Small Cap Value, L.P. I, as members of a group under Section 13(d) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Wynnefield Partners Small Cap Value, L.P. I, which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital Management, LLC, as the sole general partner of Wynnefield Partners Small Cap Value, L.P. I, has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value L.P. I directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value, L.P. I directly beneficially owns. F3 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 459,558 shares of Common Stock, which are directly beneficially owned by Wynnefield Small Cap Value Offshore Fund, Ltd., as members of a group under Section 13(d) of the Exchange Act. Wynnefield Small Cap Value Offshore Fund, Ltd., which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital, Inc. as the sole investment manager of Wynnefield Small Cap Value Offshore Fund, Ltd., has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns. Nelson Obus and Joshua Landes, as principal executive officers of Wynnefield Capital, Inc., have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns. F4 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 51,729 shares of Common Stock, which are directly beneficially owned by Wynnefield Capital, Inc. Profit Sharing Plan, as members of a group under Section 13(d) of the Exchange Act. Wynnefield Capital, Inc. Profit Sharing Plan, which maintains offices at the same address as the Reporting Person, is filing this Form jointly with the Reporting Person. Mr. Obus and Mr. Landes, as co-trustees, has the power to vote and dispose of Wynnefield Capital, Inc. Profit Sharing Plan's investments in securities and has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Capital, Inc. Profit Sharing Plan directly beneficially owns. Read SEC document
November 29, 2019 Filed Dec 3, 2019 21:15 UTC	NATURES SUNSHINE PRODUCTS INC NATR · Entity 1465	PurchaseCommon Stock, no par value per share	157	$10.09	$1,583.78	Disclosure SEC source: 0001104659-19-069533 · tm1924270-2_form4.xml · nonDerivative · entry 1 WYNNEFIELD PARTNERS SMALL CAP VALUE LP · CIK 0000899083 · 10% owner WYNNEFIELD PARTNERS SMALL CAP VALUE LP I · CIK 0001251565 · 10% owner WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD · CIK 0001030806 · 10% owner WYNNEFIELD CAPITAL MANAGEMENT LLC · CIK 0001056835 · 10% owner WYNNEFIELD CAPITAL INC · CIK 0001251567 · 10% owner Wynnefield Capital, Inc. Profit Sharing Plan · CIK 0001289453 · 10% owner OBUS NELSON · CIK 0001017043 · 10% owner LANDES JOSHUA · CIK 0001251568 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 744,513 F1 · ownership.direct: The Reporting Person directly beneficially owns 745,075 shares of common stock, no par value per share ("Common Stock") of Nature's Sunshine Products Inc. Wynnefield Capital Management, LLC, as the sole general partner of the Reporting Person, has an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns. Read SEC document
November 27, 2019 Filed Dec 2, 2019 16:15 UTC	Williams Industrial Services Group Inc. WLMS · Entity 114766	PurchaseCommon Stock, par value $0.01 per share	10,218	$1.37	$13,998.66	Disclosure SEC source: 0001104659-19-068967 · tm1924270-1_form4.xml · nonDerivative · entry 2 WYNNEFIELD PARTNERS SMALL CAP VALUE LP I · CIK 0001251565 · 10% owner WYNNEFIELD PARTNERS SMALL CAP VALUE LP · CIK 0000899083 · 10% owner WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD · CIK 0001030806 · 10% owner WYNNEFIELD CAPITAL MANAGEMENT LLC · CIK 0001056835 · 10% owner WYNNEFIELD CAPITAL INC · CIK 0001251567 · 10% owner Wynnefield Capital, Inc. Profit Sharing Plan · CIK 0001289453 · 10% owner OBUS NELSON · CIK 0001017043 · 10% owner LANDES JOSHUA · CIK 0001251568 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 2,424,051 F2 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 1,202,950 shares of Common Stock, which are directly beneficially owned by Wynnefield Partners Small Cap Value, L.P., as members of a group under Section 13(d) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Wynnefield Partners Small Cap Value, L.P. I, which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital Management, LLC, as the sole general partner of Wynnefield Partners Small Cap Value, L.P. I, has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value L.P. I directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value, L.P. I directly beneficially owns. F3 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 1,052,189 shares of Common Stock, which are directly beneficially owned by Wynnefield Small Cap Value Offshore Fund, Ltd., as members of a group under Section 13(d) of the Exchange Act. Wynnefield Small Cap Value Offshore Fund, Ltd., which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital, Inc. as the sole investment manager of Wynnefield Small Cap Value Offshore Fund, Ltd., has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns. Nelson Obus and Joshua Landes, as principal executive officers of Wynnefield Capital, Inc., have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns. F4 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 170,700 shares of Common Stock, which are directly beneficially owned by Wynnefield Capital, Inc. Profit Sharing Plan, as members of a group under Section 13(d) of the Exchange Act. Wynnefield Capital, Inc. Profit Sharing Plan, which maintains offices at the same address as the Reporting Person, is filing this Form jointly with the Reporting Person. Mr. Obus and Mr. Landes, as co-trustees, has the power to vote and dispose of Wynnefield Capital, Inc. Profit Sharing Plan's investments in securities and has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Capital, Inc. Profit Sharing Plan directly beneficially owns. Read SEC document
November 27, 2019 Filed Dec 2, 2019 16:15 UTC	Williams Industrial Services Group Inc. WLMS · Entity 114766	PurchaseCommon Stock, par value $0.01 per share	9,782	$1.37	$13,401.34	Disclosure SEC source: 0001104659-19-068967 · tm1924270-1_form4.xml · nonDerivative · entry 1 WYNNEFIELD PARTNERS SMALL CAP VALUE LP I · CIK 0001251565 · 10% owner WYNNEFIELD PARTNERS SMALL CAP VALUE LP · CIK 0000899083 · 10% owner WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD · CIK 0001030806 · 10% owner WYNNEFIELD CAPITAL MANAGEMENT LLC · CIK 0001056835 · 10% owner WYNNEFIELD CAPITAL INC · CIK 0001251567 · 10% owner Wynnefield Capital, Inc. Profit Sharing Plan · CIK 0001289453 · 10% owner OBUS NELSON · CIK 0001017043 · 10% owner LANDES JOSHUA · CIK 0001251568 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,250,220 F1 · ownership.direct: The Reporting Person directly beneficially owns 1,251,932 shares of common stock, no par value per share ("Common Stock") of Williams Industrial Services Group Inc. (the "Issuer"). Wynnefield Capital Management, LLC, as the sole general partner of the Reporting Person, has an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns. Read SEC document
November 27, 2019 Filed Dec 2, 2019 21:32 UTC	Williams Industrial Services Group Inc. WLMS · Entity 114766	PurchaseCommon Stock, $0.01 par value per share	20,000	$1.37	$27,400.00	Disclosure SEC source: 0001104659-19-068988 · a4.xml · nonDerivative · entry 1 OBUS NELSON · CIK 0001017043 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 3,674,271 F2 · shares: Of the aggregate number of shares purchased on each of November 27, 2019 and November 29, 2019, Wynnefield Partners Small Cap Value, L.P. I purchased 9,782 shares and 1,712 shares, respectively, while the other Wynnefield entities disclosed in footnote 1 purchased 10,218 shares and 1,788 shares, respectively. F1 · ownership.nature: As of the date of this Form 4, Mr. Obus is (i) a principal executive officer of Wynnefield Capital, Inc., which is the sole investment manager of Wynnefield Small Cap Value Offshore Fund, Ltd., which beneficially owns 1,052,189 shares of the issuer's common stock; (ii) a co-managing member of Wynnefield Capital Management, LLC, which is the sole general partner of Wynnefield Partners Small Cap Value, L.P. I, which beneficially owns 1,251,932 shares of the issuer's common stock, and the sole general partner of Wynnefield Partners Small Cap Value, L.P., which beneficially owns 1,202,950 shares of the issuer's common stock; and (iii) a co-trustee of Wynnefield Capital, Inc. Profit Sharing & Money Purchase Plan, which beneficially owns 170,700 shares of the issuer's common stock. Mr. Obus disclaims beneficial ownership of the securities described in this footnote except to the extent of his pecuniary interest. Read SEC document
November 21, 2019 Filed Nov 22, 2019 21:13 UTC	NATURES SUNSHINE PRODUCTS INC NATR · Entity 1465	PurchaseCommon Stock, no par value per share	3,060	$9.63	$29,461.68	Disclosure SEC source: 0001104659-19-066646 · tm1923747-1_form4.xml · nonDerivative · entry 4 WYNNEFIELD PARTNERS SMALL CAP VALUE LP · CIK 0000899083 · 10% owner WYNNEFIELD PARTNERS SMALL CAP VALUE LP I · CIK 0001251565 · 10% owner WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD · CIK 0001030806 · 10% owner WYNNEFIELD CAPITAL MANAGEMENT LLC · CIK 0001056835 · 10% owner WYNNEFIELD CAPITAL INC · CIK 0001251567 · 10% owner Wynnefield Capital, Inc. Profit Sharing Plan · CIK 0001289453 · 10% owner OBUS NELSON · CIK 0001017043 · 10% owner LANDES JOSHUA · CIK 0001251568 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 1,636,003 F2 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 1,125,168 shares of Common Stock, which are directly beneficially owned by Wynnefield Partners Small Cap Value, L.P. I, as members of a group under Section 13(d) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Wynnefield Partners Small Cap Value, L.P. I, which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital Management, LLC, as the sole general partner of Wynnefield Partners Small Cap Value, L.P. I, has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value L.P. I directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value, L.P. I directly beneficially owns. F3 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 459,106 shares of Common Stock, which are directly beneficially owned by Wynnefield Small Cap Value Offshore Fund, Ltd., as members of a group under Section 13(d) of the Exchange Act. Wynnefield Small Cap Value Offshore Fund, Ltd., which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital, Inc. as the sole investment manager of Wynnefield Small Cap Value Offshore Fund, Ltd., has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns. Nelson Obus and Joshua Landes, as principal executive officers of Wynnefield Capital, Inc., have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns. F4 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 51,729 shares of Common Stock, which are directly beneficially owned by Wynnefield Capital, Inc. Profit Sharing Plan, as members of a group under Section 13(d) of the Exchange Act. Wynnefield Capital, Inc. Profit Sharing Plan, which maintains offices at the same address as the Reporting Person, is filing this Form jointly with the Reporting Person. Mr. Obus and Mr. Landes, as co-trustees, has the power to vote and dispose of Wynnefield Capital, Inc. Profit Sharing Plan's investments in securities and has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Capital, Inc. Profit Sharing Plan directly beneficially owns. Read SEC document
November 21, 2019 Filed Nov 22, 2019 21:13 UTC	NATURES SUNSHINE PRODUCTS INC NATR · Entity 1465	PurchaseCommon Stock, no par value per share	1,400	$9.63	$13,479.20	Disclosure SEC source: 0001104659-19-066646 · tm1923747-1_form4.xml · nonDerivative · entry 3 WYNNEFIELD PARTNERS SMALL CAP VALUE LP · CIK 0000899083 · 10% owner WYNNEFIELD PARTNERS SMALL CAP VALUE LP I · CIK 0001251565 · 10% owner WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD · CIK 0001030806 · 10% owner WYNNEFIELD CAPITAL MANAGEMENT LLC · CIK 0001056835 · 10% owner WYNNEFIELD CAPITAL INC · CIK 0001251567 · 10% owner Wynnefield Capital, Inc. Profit Sharing Plan · CIK 0001289453 · 10% owner OBUS NELSON · CIK 0001017043 · 10% owner LANDES JOSHUA · CIK 0001251568 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 744,356 F1 · ownership.direct: The Reporting Person directly beneficially owns 744,356 shares of common stock, no par value per share ("Common Stock") of Nature's Sunshine Products Inc. Wynnefield Capital Management, LLC, as the sole general partner of the Reporting Person, has an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns. Read SEC document
November 20, 2019 Filed Nov 22, 2019 21:13 UTC	NATURES SUNSHINE PRODUCTS INC NATR · Entity 1465	PurchaseCommon Stock, no par value per share	4,814	$9.70	$46,672.69	Disclosure SEC source: 0001104659-19-066646 · tm1923747-1_form4.xml · nonDerivative · entry 2 WYNNEFIELD PARTNERS SMALL CAP VALUE LP · CIK 0000899083 · 10% owner WYNNEFIELD PARTNERS SMALL CAP VALUE LP I · CIK 0001251565 · 10% owner WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD · CIK 0001030806 · 10% owner WYNNEFIELD CAPITAL MANAGEMENT LLC · CIK 0001056835 · 10% owner WYNNEFIELD CAPITAL INC · CIK 0001251567 · 10% owner Wynnefield Capital, Inc. Profit Sharing Plan · CIK 0001289453 · 10% owner OBUS NELSON · CIK 0001017043 · 10% owner LANDES JOSHUA · CIK 0001251568 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 1,632,943 F2 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 1,125,168 shares of Common Stock, which are directly beneficially owned by Wynnefield Partners Small Cap Value, L.P. I, as members of a group under Section 13(d) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Wynnefield Partners Small Cap Value, L.P. I, which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital Management, LLC, as the sole general partner of Wynnefield Partners Small Cap Value, L.P. I, has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value L.P. I directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value, L.P. I directly beneficially owns. F3 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 459,106 shares of Common Stock, which are directly beneficially owned by Wynnefield Small Cap Value Offshore Fund, Ltd., as members of a group under Section 13(d) of the Exchange Act. Wynnefield Small Cap Value Offshore Fund, Ltd., which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital, Inc. as the sole investment manager of Wynnefield Small Cap Value Offshore Fund, Ltd., has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns. Nelson Obus and Joshua Landes, as principal executive officers of Wynnefield Capital, Inc., have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns. F4 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 51,729 shares of Common Stock, which are directly beneficially owned by Wynnefield Capital, Inc. Profit Sharing Plan, as members of a group under Section 13(d) of the Exchange Act. Wynnefield Capital, Inc. Profit Sharing Plan, which maintains offices at the same address as the Reporting Person, is filing this Form jointly with the Reporting Person. Mr. Obus and Mr. Landes, as co-trustees, has the power to vote and dispose of Wynnefield Capital, Inc. Profit Sharing Plan's investments in securities and has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Capital, Inc. Profit Sharing Plan directly beneficially owns. Read SEC document
November 20, 2019 Filed Nov 22, 2019 21:13 UTC	NATURES SUNSHINE PRODUCTS INC NATR · Entity 1465	PurchaseCommon Stock, no par value per share	2,204	$9.70	$21,368.22	Disclosure SEC source: 0001104659-19-066646 · tm1923747-1_form4.xml · nonDerivative · entry 1 WYNNEFIELD PARTNERS SMALL CAP VALUE LP · CIK 0000899083 · 10% owner WYNNEFIELD PARTNERS SMALL CAP VALUE LP I · CIK 0001251565 · 10% owner WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD · CIK 0001030806 · 10% owner WYNNEFIELD CAPITAL MANAGEMENT LLC · CIK 0001056835 · 10% owner WYNNEFIELD CAPITAL INC · CIK 0001251567 · 10% owner Wynnefield Capital, Inc. Profit Sharing Plan · CIK 0001289453 · 10% owner OBUS NELSON · CIK 0001017043 · 10% owner LANDES JOSHUA · CIK 0001251568 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 742,956 F1 · ownership.direct: The Reporting Person directly beneficially owns 744,356 shares of common stock, no par value per share ("Common Stock") of Nature's Sunshine Products Inc. Wynnefield Capital Management, LLC, as the sole general partner of the Reporting Person, has an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns. Read SEC document
November 19, 2019 Filed Nov 20, 2019 21:21 UTC	NATURES SUNSHINE PRODUCTS INC NATR · Entity 1465	PurchaseCommon Stock, no par value per share	19,569	$9.64	$188,707.78	Disclosure SEC source: 0001104659-19-065866 · tm1923525-1_form4.xml · nonDerivative · entry 4 WYNNEFIELD PARTNERS SMALL CAP VALUE LP · CIK 0000899083 · 10% owner WYNNEFIELD PARTNERS SMALL CAP VALUE LP I · CIK 0001251565 · 10% owner WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD · CIK 0001030806 · 10% owner WYNNEFIELD CAPITAL MANAGEMENT LLC · CIK 0001056835 · 10% owner WYNNEFIELD CAPITAL INC · CIK 0001251567 · 10% owner Wynnefield Capital, Inc. Profit Sharing Plan · CIK 0001289453 · 10% owner OBUS NELSON · CIK 0001017043 · 10% owner LANDES JOSHUA · CIK 0001251568 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 1,628,129 F2 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 1,119,554 shares of Common Stock, which are directly beneficially owned by Wynnefield Partners Small Cap Value, L.P. I, as members of a group under Section 13(d) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Wynnefield Partners Small Cap Value, L.P. I, which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital Management, LLC, as the sole general partner of Wynnefield Partners Small Cap Value, L.P. I, has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value L.P. I directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value, L.P. I directly beneficially owns. F3 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 456,846 shares of Common Stock, which are directly beneficially owned by Wynnefield Small Cap Value Offshore Fund, Ltd., as members of a group under Section 13(d) of the Exchange Act. Wynnefield Small Cap Value Offshore Fund, Ltd., which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital, Inc. as the sole investment manager of Wynnefield Small Cap Value Offshore Fund, Ltd., has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns. Nelson Obus and Joshua Landes, as principal executive officers of Wynnefield Capital, Inc., have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns. F4 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 51,729 shares of Common Stock, which are directly beneficially owned by Wynnefield Capital, Inc. Profit Sharing Plan, as members of a group under Section 13(d) of the Exchange Act. Wynnefield Capital, Inc. Profit Sharing Plan, which maintains offices at the same address as the Reporting Person, is filing this Form jointly with the Reporting Person. Mr. Obus and Mr. Landes, as co-trustees, has the power to vote and dispose of Wynnefield Capital, Inc. Profit Sharing Plan's investments in securities and has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Capital, Inc. Profit Sharing Plan directly beneficially owns. Read SEC document
November 19, 2019 Filed Nov 20, 2019 21:21 UTC	NATURES SUNSHINE PRODUCTS INC NATR · Entity 1465	PurchaseCommon Stock, no par value per share	8,957	$9.64	$86,374.14	Disclosure SEC source: 0001104659-19-065866 · tm1923525-1_form4.xml · nonDerivative · entry 3 WYNNEFIELD PARTNERS SMALL CAP VALUE LP · CIK 0000899083 · 10% owner WYNNEFIELD PARTNERS SMALL CAP VALUE LP I · CIK 0001251565 · 10% owner WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD · CIK 0001030806 · 10% owner WYNNEFIELD CAPITAL MANAGEMENT LLC · CIK 0001056835 · 10% owner WYNNEFIELD CAPITAL INC · CIK 0001251567 · 10% owner Wynnefield Capital, Inc. Profit Sharing Plan · CIK 0001289453 · 10% owner OBUS NELSON · CIK 0001017043 · 10% owner LANDES JOSHUA · CIK 0001251568 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 740,752 F1 · ownership.direct: The Reporting Person directly beneficially owns 740,752 shares of common stock, no par value per share ("Common Stock") of Nature's Sunshine Products Inc. Wynnefield Capital Management, LLC, as the sole general partner of the Reporting Person, has an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns. Read SEC document
November 18, 2019 Filed Nov 20, 2019 21:21 UTC	NATURES SUNSHINE PRODUCTS INC NATR · Entity 1465	PurchaseCommon Stock, no par value per share	9,890	$9.64	$95,365.31	Disclosure SEC source: 0001104659-19-065866 · tm1923525-1_form4.xml · nonDerivative · entry 2 WYNNEFIELD PARTNERS SMALL CAP VALUE LP · CIK 0000899083 · 10% owner WYNNEFIELD PARTNERS SMALL CAP VALUE LP I · CIK 0001251565 · 10% owner WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD · CIK 0001030806 · 10% owner WYNNEFIELD CAPITAL MANAGEMENT LLC · CIK 0001056835 · 10% owner WYNNEFIELD CAPITAL INC · CIK 0001251567 · 10% owner Wynnefield Capital, Inc. Profit Sharing Plan · CIK 0001289453 · 10% owner OBUS NELSON · CIK 0001017043 · 10% owner LANDES JOSHUA · CIK 0001251568 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 1,608,560 F2 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 1,119,554 shares of Common Stock, which are directly beneficially owned by Wynnefield Partners Small Cap Value, L.P. I, as members of a group under Section 13(d) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Wynnefield Partners Small Cap Value, L.P. I, which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital Management, LLC, as the sole general partner of Wynnefield Partners Small Cap Value, L.P. I, has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value L.P. I directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value, L.P. I directly beneficially owns. F3 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 456,846 shares of Common Stock, which are directly beneficially owned by Wynnefield Small Cap Value Offshore Fund, Ltd., as members of a group under Section 13(d) of the Exchange Act. Wynnefield Small Cap Value Offshore Fund, Ltd., which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital, Inc. as the sole investment manager of Wynnefield Small Cap Value Offshore Fund, Ltd., has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns. Nelson Obus and Joshua Landes, as principal executive officers of Wynnefield Capital, Inc., have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns. F4 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 51,729 shares of Common Stock, which are directly beneficially owned by Wynnefield Capital, Inc. Profit Sharing Plan, as members of a group under Section 13(d) of the Exchange Act. Wynnefield Capital, Inc. Profit Sharing Plan, which maintains offices at the same address as the Reporting Person, is filing this Form jointly with the Reporting Person. Mr. Obus and Mr. Landes, as co-trustees, has the power to vote and dispose of Wynnefield Capital, Inc. Profit Sharing Plan's investments in securities and has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Capital, Inc. Profit Sharing Plan directly beneficially owns. Read SEC document
November 18, 2019 Filed Nov 20, 2019 21:21 UTC	NATURES SUNSHINE PRODUCTS INC NATR · Entity 1465	PurchaseCommon Stock, no par value per share	4,489	$9.64	$43,285.63	Disclosure SEC source: 0001104659-19-065866 · tm1923525-1_form4.xml · nonDerivative · entry 1 WYNNEFIELD PARTNERS SMALL CAP VALUE LP · CIK 0000899083 · 10% owner WYNNEFIELD PARTNERS SMALL CAP VALUE LP I · CIK 0001251565 · 10% owner WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD · CIK 0001030806 · 10% owner WYNNEFIELD CAPITAL MANAGEMENT LLC · CIK 0001056835 · 10% owner WYNNEFIELD CAPITAL INC · CIK 0001251567 · 10% owner Wynnefield Capital, Inc. Profit Sharing Plan · CIK 0001289453 · 10% owner OBUS NELSON · CIK 0001017043 · 10% owner LANDES JOSHUA · CIK 0001251568 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 731,795 F1 · ownership.direct: The Reporting Person directly beneficially owns 740,752 shares of common stock, no par value per share ("Common Stock") of Nature's Sunshine Products Inc. Wynnefield Capital Management, LLC, as the sole general partner of the Reporting Person, has an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns. Read SEC document
November 15, 2019 Filed Nov 18, 2019 21:16 UTC	NATURES SUNSHINE PRODUCTS INC NATR · Entity 1465	PurchaseCommon Stock, no par value per share	5,000	$9.61	$48,037.50	Disclosure SEC source: 0001104659-19-065098 · tm1923291-1_form4.xml · nonDerivative · entry 4 WYNNEFIELD PARTNERS SMALL CAP VALUE LP · CIK 0000899083 · 10% owner WYNNEFIELD PARTNERS SMALL CAP VALUE LP I · CIK 0001251565 · 10% owner WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD · CIK 0001030806 · 10% owner WYNNEFIELD CAPITAL MANAGEMENT LLC · CIK 0001056835 · 10% owner WYNNEFIELD CAPITAL INC · CIK 0001251567 · 10% owner Wynnefield Capital, Inc. Profit Sharing Plan · CIK 0001289453 · 10% owner OBUS NELSON · CIK 0001017043 · 10% owner LANDES JOSHUA · CIK 0001251568 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 1,598,670 F2 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 1,098,561 shares of Common Stock, which are directly beneficially owned by Wynnefield Partners Small Cap Value, L.P. I, as members of a group under Section 13(d) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Wynnefield Partners Small Cap Value, L.P. I, which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital Management, LLC, as the sole general partner of Wynnefield Partners Small Cap Value, L.P. I, has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value L.P. I directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value, L.P. I directly beneficially owns. F3 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 448,380 shares of Common Stock, which are directly beneficially owned by Wynnefield Small Cap Value Offshore Fund, Ltd., as members of a group under Section 13(d) of the Exchange Act. Wynnefield Small Cap Value Offshore Fund, Ltd., which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital, Inc. as the sole investment manager of Wynnefield Small Cap Value Offshore Fund, Ltd., has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns. Nelson Obus and Joshua Landes, as principal executive officers of Wynnefield Capital, Inc., have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns. F4 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 51,729 shares of Common Stock, which are directly beneficially owned by Wynnefield Capital, Inc. Profit Sharing Plan, as members of a group under Section 13(d) of the Exchange Act. Wynnefield Capital, Inc. Profit Sharing Plan, which maintains offices at the same address as the Reporting Person, is filing this Form jointly with the Reporting Person. Mr. Obus and Mr. Landes, as co-trustees, has the power to vote and dispose of Wynnefield Capital, Inc. Profit Sharing Plan's investments in securities and has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Capital, Inc. Profit Sharing Plan directly beneficially owns. Read SEC document
November 15, 2019 Filed Nov 18, 2019 21:16 UTC	NATURES SUNSHINE PRODUCTS INC NATR · Entity 1465	PurchaseCommon Stock, no par value per share	2,269	$9.61	$21,799.42	Disclosure SEC source: 0001104659-19-065098 · tm1923291-1_form4.xml · nonDerivative · entry 3 WYNNEFIELD PARTNERS SMALL CAP VALUE LP · CIK 0000899083 · 10% owner WYNNEFIELD PARTNERS SMALL CAP VALUE LP I · CIK 0001251565 · 10% owner WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD · CIK 0001030806 · 10% owner WYNNEFIELD CAPITAL MANAGEMENT LLC · CIK 0001056835 · 10% owner WYNNEFIELD CAPITAL INC · CIK 0001251567 · 10% owner Wynnefield Capital, Inc. Profit Sharing Plan · CIK 0001289453 · 10% owner OBUS NELSON · CIK 0001017043 · 10% owner LANDES JOSHUA · CIK 0001251568 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 727,306 F1 · ownership.direct: The Reporting Person directly beneficially owns 727,306 shares of common stock, no par value per share ("Common Stock") of Nature's Sunshine Products Inc. Wynnefield Capital Management, LLC, as the sole general partner of the Reporting Person, has an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns. Read SEC document
November 14, 2019 Filed Nov 18, 2019 21:16 UTC	NATURES SUNSHINE PRODUCTS INC NATR · Entity 1465	PurchaseCommon Stock, no par value per share	221	$9.41	$2,078.77	Disclosure SEC source: 0001104659-19-065098 · tm1923291-1_form4.xml · nonDerivative · entry 2 WYNNEFIELD PARTNERS SMALL CAP VALUE LP · CIK 0000899083 · 10% owner WYNNEFIELD PARTNERS SMALL CAP VALUE LP I · CIK 0001251565 · 10% owner WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD · CIK 0001030806 · 10% owner WYNNEFIELD CAPITAL MANAGEMENT LLC · CIK 0001056835 · 10% owner WYNNEFIELD CAPITAL INC · CIK 0001251567 · 10% owner Wynnefield Capital, Inc. Profit Sharing Plan · CIK 0001289453 · 10% owner OBUS NELSON · CIK 0001017043 · 10% owner LANDES JOSHUA · CIK 0001251568 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 1,593,670 F2 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 1,098,561 shares of Common Stock, which are directly beneficially owned by Wynnefield Partners Small Cap Value, L.P. I, as members of a group under Section 13(d) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Wynnefield Partners Small Cap Value, L.P. I, which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital Management, LLC, as the sole general partner of Wynnefield Partners Small Cap Value, L.P. I, has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value L.P. I directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value, L.P. I directly beneficially owns. F3 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 448,380 shares of Common Stock, which are directly beneficially owned by Wynnefield Small Cap Value Offshore Fund, Ltd., as members of a group under Section 13(d) of the Exchange Act. Wynnefield Small Cap Value Offshore Fund, Ltd., which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital, Inc. as the sole investment manager of Wynnefield Small Cap Value Offshore Fund, Ltd., has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns. Nelson Obus and Joshua Landes, as principal executive officers of Wynnefield Capital, Inc., have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns. F4 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 51,729 shares of Common Stock, which are directly beneficially owned by Wynnefield Capital, Inc. Profit Sharing Plan, as members of a group under Section 13(d) of the Exchange Act. Wynnefield Capital, Inc. Profit Sharing Plan, which maintains offices at the same address as the Reporting Person, is filing this Form jointly with the Reporting Person. Mr. Obus and Mr. Landes, as co-trustees, has the power to vote and dispose of Wynnefield Capital, Inc. Profit Sharing Plan's investments in securities and has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Capital, Inc. Profit Sharing Plan directly beneficially owns. Read SEC document
November 14, 2019 Filed Nov 18, 2019 21:16 UTC	NATURES SUNSHINE PRODUCTS INC NATR · Entity 1465	PurchaseCommon Stock, no par value per share	101	$9.41	$950.03	Disclosure SEC source: 0001104659-19-065098 · tm1923291-1_form4.xml · nonDerivative · entry 1 WYNNEFIELD PARTNERS SMALL CAP VALUE LP · CIK 0000899083 · 10% owner WYNNEFIELD PARTNERS SMALL CAP VALUE LP I · CIK 0001251565 · 10% owner WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD · CIK 0001030806 · 10% owner WYNNEFIELD CAPITAL MANAGEMENT LLC · CIK 0001056835 · 10% owner WYNNEFIELD CAPITAL INC · CIK 0001251567 · 10% owner Wynnefield Capital, Inc. Profit Sharing Plan · CIK 0001289453 · 10% owner OBUS NELSON · CIK 0001017043 · 10% owner LANDES JOSHUA · CIK 0001251568 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 725,037 F1 · ownership.direct: The Reporting Person directly beneficially owns 727,306 shares of common stock, no par value per share ("Common Stock") of Nature's Sunshine Products Inc. Wynnefield Capital Management, LLC, as the sole general partner of the Reporting Person, has an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns. Read SEC document
November 13, 2019 Filed Nov 14, 2019 21:26 UTC	NATURES SUNSHINE PRODUCTS INC NATR · Entity 1465	PurchaseCommon Stock, no par value per share	9,499	$9.32	$88,525.93	Disclosure SEC source: 0001104659-19-064242 · tm1922945-1_form4.xml · nonDerivative · entry 4 WYNNEFIELD PARTNERS SMALL CAP VALUE LP · CIK 0000899083 · 10% owner WYNNEFIELD PARTNERS SMALL CAP VALUE LP I · CIK 0001251565 · 10% owner WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD · CIK 0001030806 · 10% owner WYNNEFIELD CAPITAL MANAGEMENT LLC · CIK 0001056835 · 10% owner WYNNEFIELD CAPITAL INC · CIK 0001251567 · 10% owner Wynnefield Capital, Inc. Profit Sharing Plan · CIK 0001289453 · 10% owner OBUS NELSON · CIK 0001017043 · 10% owner LANDES JOSHUA · CIK 0001251568 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 1,593,449 F2 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 1,094,843 shares of Common Stock, which are directly beneficially owned by Wynnefield Partners Small Cap Value, L.P. I, as members of a group under Section 13(d) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Wynnefield Partners Small Cap Value, L.P. I, which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital Management, LLC, as the sole general partner of Wynnefield Partners Small Cap Value, L.P. I, has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value L.P. I directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value, L.P. I directly beneficially owns. F3 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 446,877 shares of Common Stock, which are directly beneficially owned by Wynnefield Small Cap Value Offshore Fund, Ltd., as members of a group under Section 13(d) of the Exchange Act. Wynnefield Small Cap Value Offshore Fund, Ltd., which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital, Inc. as the sole investment manager of Wynnefield Small Cap Value Offshore Fund, Ltd., has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns. Nelson Obus and Joshua Landes, as principal executive officers of Wynnefield Capital, Inc., have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns. F4 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 51,729 shares of Common Stock, which are directly beneficially owned by Wynnefield Capital, Inc. Profit Sharing Plan, as members of a group under Section 13(d) of the Exchange Act. Wynnefield Capital, Inc. Profit Sharing Plan, which maintains offices at the same address as the Reporting Person, is filing this Form jointly with the Reporting Person. Mr. Obus and Mr. Landes, as co-trustees, has the power to vote and dispose of Wynnefield Capital, Inc. Profit Sharing Plan's investments in securities and has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Capital, Inc. Profit Sharing Plan directly beneficially owns. Read SEC document
November 13, 2019 Filed Nov 14, 2019 21:26 UTC	NATURES SUNSHINE PRODUCTS INC NATR · Entity 1465	PurchaseCommon Stock, no par value per share	4,312	$9.32	$40,185.68	Disclosure SEC source: 0001104659-19-064242 · tm1922945-1_form4.xml · nonDerivative · entry 3 WYNNEFIELD PARTNERS SMALL CAP VALUE LP · CIK 0000899083 · 10% owner WYNNEFIELD PARTNERS SMALL CAP VALUE LP I · CIK 0001251565 · 10% owner WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD · CIK 0001030806 · 10% owner WYNNEFIELD CAPITAL MANAGEMENT LLC · CIK 0001056835 · 10% owner WYNNEFIELD CAPITAL INC · CIK 0001251567 · 10% owner Wynnefield Capital, Inc. Profit Sharing Plan · CIK 0001289453 · 10% owner OBUS NELSON · CIK 0001017043 · 10% owner LANDES JOSHUA · CIK 0001251568 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 724,936 F1 · ownership.direct: The Reporting Person directly beneficially owns 724,936 shares of common stock, no par value per share ("Common Stock") of Nature's Sunshine Products Inc. Wynnefield Capital Management, LLC, as the sole general partner of the Reporting Person, has an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns. Read SEC document
November 12, 2019 Filed Nov 14, 2019 21:26 UTC	NATURES SUNSHINE PRODUCTS INC NATR · Entity 1465	PurchaseCommon Stock, no par value per share	11,103	$9.24	$102,591.72	Disclosure SEC source: 0001104659-19-064242 · tm1922945-1_form4.xml · nonDerivative · entry 2 WYNNEFIELD PARTNERS SMALL CAP VALUE LP · CIK 0000899083 · 10% owner WYNNEFIELD PARTNERS SMALL CAP VALUE LP I · CIK 0001251565 · 10% owner WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD · CIK 0001030806 · 10% owner WYNNEFIELD CAPITAL MANAGEMENT LLC · CIK 0001056835 · 10% owner WYNNEFIELD CAPITAL INC · CIK 0001251567 · 10% owner Wynnefield Capital, Inc. Profit Sharing Plan · CIK 0001289453 · 10% owner OBUS NELSON · CIK 0001017043 · 10% owner LANDES JOSHUA · CIK 0001251568 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 1,583,950 F2 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 1,094,843 shares of Common Stock, which are directly beneficially owned by Wynnefield Partners Small Cap Value, L.P. I, as members of a group under Section 13(d) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Wynnefield Partners Small Cap Value, L.P. I, which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital Management, LLC, as the sole general partner of Wynnefield Partners Small Cap Value, L.P. I, has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value L.P. I directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value, L.P. I directly beneficially owns. F3 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 446,877 shares of Common Stock, which are directly beneficially owned by Wynnefield Small Cap Value Offshore Fund, Ltd., as members of a group under Section 13(d) of the Exchange Act. Wynnefield Small Cap Value Offshore Fund, Ltd., which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital, Inc. as the sole investment manager of Wynnefield Small Cap Value Offshore Fund, Ltd., has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns. Nelson Obus and Joshua Landes, as principal executive officers of Wynnefield Capital, Inc., have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns. F4 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 51,729 shares of Common Stock, which are directly beneficially owned by Wynnefield Capital, Inc. Profit Sharing Plan, as members of a group under Section 13(d) of the Exchange Act. Wynnefield Capital, Inc. Profit Sharing Plan, which maintains offices at the same address as the Reporting Person, is filing this Form jointly with the Reporting Person. Mr. Obus and Mr. Landes, as co-trustees, has the power to vote and dispose of Wynnefield Capital, Inc. Profit Sharing Plan's investments in securities and has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Capital, Inc. Profit Sharing Plan directly beneficially owns. Read SEC document
November 12, 2019 Filed Nov 14, 2019 21:26 UTC	NATURES SUNSHINE PRODUCTS INC NATR · Entity 1465	PurchaseCommon Stock, no par value per share	5,040	$9.24	$46,569.60	Disclosure SEC source: 0001104659-19-064242 · tm1922945-1_form4.xml · nonDerivative · entry 1 WYNNEFIELD PARTNERS SMALL CAP VALUE LP · CIK 0000899083 · 10% owner WYNNEFIELD PARTNERS SMALL CAP VALUE LP I · CIK 0001251565 · 10% owner WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD · CIK 0001030806 · 10% owner WYNNEFIELD CAPITAL MANAGEMENT LLC · CIK 0001056835 · 10% owner WYNNEFIELD CAPITAL INC · CIK 0001251567 · 10% owner Wynnefield Capital, Inc. Profit Sharing Plan · CIK 0001289453 · 10% owner OBUS NELSON · CIK 0001017043 · 10% owner LANDES JOSHUA · CIK 0001251568 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 720,624 F1 · ownership.direct: The Reporting Person directly beneficially owns 724,936 shares of common stock, no par value per share ("Common Stock") of Nature's Sunshine Products Inc. Wynnefield Capital Management, LLC, as the sole general partner of the Reporting Person, has an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns. Read SEC document
November 05, 2019 Filed Nov 5, 2019 18:25 UTC	LIFECORE BIOMEDICAL, INC. \DE\ LNDC · Entity 6447	PurchaseCommon Stock	10,000	$10.38	$103,800.00	Disclosure SEC source: 0001628280-19-013275 · wf-form4_157297830746506.xml · nonDerivative · entry 1 OBUS NELSON · CIK 0001017043 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Wynnefield Capital, Inc. Disclosed balance after: 2,870,300 F1 · price: The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $10.25 to $10.48, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range. F2 · balance_after: The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all the reported shares for the purposes of Section 16 or for any other purpose. Read SEC document
October 21, 2019 Filed Oct 23, 2019 16:17 UTC	MAM SOFTWARE GROUP, INC. MAMS · Entity 154284	Disposition to issuerCommon Stock, par value $0.001 per share	2,264,273	$12.12	$27,442,988.76	Disclosure SEC source: 0001104659-19-055819 · tm1920837-1_4seq1.xml · nonDerivative · entry 2 WYNNEFIELD PARTNERS SMALL CAP VALUE LP · CIK 0000899083 · 10% owner WYNNEFIELD PARTNERS SMALL CAP VALUE LP I · CIK 0001251565 · 10% owner WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD · CIK 0001030806 · 10% owner WYNNEFIELD CAPITAL MANAGEMENT LLC · CIK 0001056835 · 10% owner WYNNEFIELD CAPITAL INC · CIK 0001251567 · 10% owner Wynnefield Capital, Inc. Profit Sharing Plan · CIK 0001289453 · 10% owner OBUS NELSON · CIK 0001017043 · 10% owner LANDES JOSHUA · CIK 0001251568 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 0 F1 · kind: Disposed of pursuant to the Agreement and Plan of Merger, dated as of August 30, 2019, by and among Kerridge Commercial Systems Group Limited, Chickadee Holdings Inc. and the Company in exchange for $12.12 for each share of common stock, $0.0001 par value per share ("Common Stock") of MAM Software Group, Inc. (the "Issuer") held by the Reporting Owners. F3 · ownership.nature: The Reporting Person had an indirect beneficial ownership interest in shares of Common Stock, which were directly beneficially owned by Wynnefield Partners Small Cap Value, L.P. I, as members of a group under Section 13(d) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Wynnefield Partners Small Cap Value, L.P. I, which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital Management, LLC, as the sole general partner of Wynnefield Partners Small Cap Value, L.P. I, had an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value L.P. I directly beneficially owned. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, had an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value, L.P. I directly beneficially owned. F4 · ownership.nature: The Reporting Person had an indirect beneficial ownership interest in shares of Common Stock, which were directly beneficially owned by Wynnefield Small Cap Value Offshore Fund, Ltd., as members of a group under Section 13(d) of the Exchange Act. Wynnefield Small Cap Value Offshore Fund, Ltd., which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital, Inc. as the sole investment manager of Wynnefield Small Cap Value Offshore Fund, Ltd., had an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owned. Nelson Obus and Joshua Landes, as principal executive officers of Wynnefield Capital, Inc., had an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owned. F5 · ownership.nature: The Reporting Person had an indirect beneficial ownership interest in shares of Common Stock, which were directly beneficially owned by Wynnefield Capital, Inc. Profit Sharing Plan, as members of a group under Section 13(d) of the Exchange Act. Wynnefield Capital, Inc. Profit Sharing Plan, which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Nelson Obus, as the portfolio manager of Wynnefield Capital, Inc. Profit Sharing Plan, had an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Capital, Inc. Profit Sharing Plan directly beneficially owned. Read SEC document
October 21, 2019 Filed Oct 23, 2019 16:17 UTC	MAM SOFTWARE GROUP, INC. MAMS · Entity 154284	Disposition to issuerCommon Stock, par value $0.001 per share	983,251	$12.12	$11,917,002.12	Disclosure SEC source: 0001104659-19-055819 · tm1920837-1_4seq1.xml · nonDerivative · entry 1 WYNNEFIELD PARTNERS SMALL CAP VALUE LP · CIK 0000899083 · 10% owner WYNNEFIELD PARTNERS SMALL CAP VALUE LP I · CIK 0001251565 · 10% owner WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD · CIK 0001030806 · 10% owner WYNNEFIELD CAPITAL MANAGEMENT LLC · CIK 0001056835 · 10% owner WYNNEFIELD CAPITAL INC · CIK 0001251567 · 10% owner Wynnefield Capital, Inc. Profit Sharing Plan · CIK 0001289453 · 10% owner OBUS NELSON · CIK 0001017043 · 10% owner LANDES JOSHUA · CIK 0001251568 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · kind: Disposed of pursuant to the Agreement and Plan of Merger, dated as of August 30, 2019, by and among Kerridge Commercial Systems Group Limited, Chickadee Holdings Inc. and the Company in exchange for $12.12 for each share of common stock, $0.0001 par value per share ("Common Stock") of MAM Software Group, Inc. (the "Issuer") held by the Reporting Owners. F2 · ownership.direct: The Reporting Person directly beneficially owned shares of Common Stock. Wynnefield Capital Management, LLC, as the sole general partner of the Reporting Person, had an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owned. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, had an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owned. Read SEC document
October 15, 2019 Filed Oct 17, 2019 19:17 UTC	LIFECORE BIOMEDICAL, INC. \DE\ LNDC · Entity 6447	GrantRight to Buy Restricted Stock Unit (RSU) · Derivative	2,200	Not disclosed	Not disclosed	Disclosure SEC source: 0001628280-19-012374 · wf-form4_157133980057177.xml · derivative · entry 1 OBUS NELSON · CIK 0001017043 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,200 Underlying: Common Stock · 2,200 shares Expires not disclosed F1 · derivative.exercise_price: The restricted stock units convert into common stock of Landec Corporation on a 1 for 1 basis. F1 · price: The restricted stock units convert into common stock of Landec Corporation on a 1 for 1 basis. F2 · derivative.expiration_date: Restricted Stock Units will vest on the 1st anniversary of the grant date and will be automatically settled in shares of common stock. Read SEC document
October 14, 2019 Filed Oct 16, 2019 19:29 UTC	LIFECORE BIOMEDICAL, INC. \DE\ LNDC · Entity 6447	PurchaseCommon Stock	5,000	$9.32	$46,600.00	Disclosure SEC source: 0001628280-19-012315 · wf-form4_157125412715747.xml · nonDerivative · entry 1 OBUS NELSON · CIK 0001017043 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Wynnefield Capital, Inc. Disclosed balance after: 2,860,300 F1 · balance_after: The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all the reported shares for the purposes of Section 16 or for any other purpose. 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.