Maura David M

SEC source: 0000109177-20-000038 · wf-form4_159680750962967.xml · nonDerivative · entry 1

Maura David M · CIK 0001365833 · Director · Executive Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 392,857

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

F1 · shares: On August 5, 2020, Mr. Maura acquired 5,000 shares of the Company's common stock by exercising previously granted stock options. In connection with this exercise, Mr. Maura paid to the Company $272,120.03 representing the net option exercise price.

SEC source: 0000950142-20-000477 · es2000347_4-maura.xml · nonDerivative · entry 1

Maura David M · CIK 0001365833 · Director · Executive Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 387,857

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $59.76 to $59.92, 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 set forth herein.

SEC source: 0000950142-20-000159 · es2000180_4-maura.xml · derivative · entry 5

Maura David M · CIK 0001365833 · Director

Mosaic Strategic Capital LLC · CIK 0001720178 · See Remarks

Mosaic Sponsor, LLC · CIK 0001715608 · See Remarks

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Mosaic Sponsor, LLC

Disclosed balance after: 2,225,000

Underlying: Class A Common Stock · 2,225,000 shares

Expires not disclosed

F5 · kind: The Private Placement Warrants were purchased by Mosaic Sponsor, LLC on October 23, 2017. Each Private Placement Warrant is exercisable for one Class A Share at an exercise price of $11.50 per Class A Share, subject to certain adjustments. The Private Placement Warrants are subject to certain vesting provisions and may be exercised only during the period commencing 30 days after the first date on which the Company completes a business combination and expiring five years after the completion of the Company's business combination or earlier upon redemption or liquidation.

F5 · derivative.exercise_date: The Private Placement Warrants were purchased by Mosaic Sponsor, LLC on October 23, 2017. Each Private Placement Warrant is exercisable for one Class A Share at an exercise price of $11.50 per Class A Share, subject to certain adjustments. The Private Placement Warrants are subject to certain vesting provisions and may be exercised only during the period commencing 30 days after the first date on which the Company completes a business combination and expiring five years after the completion of the Company's business combination or earlier upon redemption or liquidation.

F5 · derivative.expiration_date: The Private Placement Warrants were purchased by Mosaic Sponsor, LLC on October 23, 2017. Each Private Placement Warrant is exercisable for one Class A Share at an exercise price of $11.50 per Class A Share, subject to certain adjustments. The Private Placement Warrants are subject to certain vesting provisions and may be exercised only during the period commencing 30 days after the first date on which the Company completes a business combination and expiring five years after the completion of the Company's business combination or earlier upon redemption or liquidation.

F6 · ownership.nature: The securities reported herein are held of record by Mosaic Sponsor, LLC. David M. Maura is the sole member of Mosaic Strategic Capital LLC, which is the sole member of Mosaic Sponsor, LLC. As such, David M. Maura and Mosaic Strategic Capital LLC may be deemed to have beneficial ownership of the securities beneficially owned by Mosaic Sponsor, LLC. Because of the relationship among the reporting persons, the reporting persons may be deemed to beneficially own the securities reported herein to the extent of their respective pecuniary interests. (cont'd on FN 7)

F7 · ownership.nature: (cont'd from FN 6) Each reporting person disclaims beneficial ownership of the securities reported herein, except to the extent of such reporting person's pecuniary interest therein, if any. Pursuant to Rule 16a-1(a)(4) under the Exchange Act, this filing shall not be deemed an admission that the reporting persons are, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owners of any equity securities in excess of their respective pecuniary interests.

SEC source: 0000950142-20-000159 · es2000180_4-maura.xml · derivative · entry 4

Maura David M · CIK 0001365833 · Director

Mosaic Strategic Capital LLC · CIK 0001720178 · See Remarks

Mosaic Sponsor, LLC · CIK 0001715608 · See Remarks

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Mosaic Sponsor, LLC

Disclosed balance after: 0

Underlying: Class A Common Stock · Not disclosed shares

Expires not disclosed

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

F1 · derivative.exercise_price: Pursuant to the Issuer's Certificate of Incorporation, the shares of Class F Common Stock, par value $0.0001 per share (the "Class F Shares"), of Mosaic Acquisition Corp. (the "Issuer") automatically converted into shares of Class A Common Stock ("Class A Shares") of the Issuer at the time of the Issuer's initial business combination as provided in the Issuer's Certificate of Incorporation. The Class F Shares have no expiration date.

F2 · derivative.exercise_price: On January 17, 2020, the Issuer consummated its initial business combination (the "Business Combination") with Vivint Smart Home, Inc., a Delaware corporation ("Vivint"). In connection with the Business Combination, each Class F Share converted to approximately 1.20 Class A Shares.

F2 · kind: On January 17, 2020, the Issuer consummated its initial business combination (the "Business Combination") with Vivint Smart Home, Inc., a Delaware corporation ("Vivint"). In connection with the Business Combination, each Class F Share converted to approximately 1.20 Class A Shares.

F1 · price: Pursuant to the Issuer's Certificate of Incorporation, the shares of Class F Common Stock, par value $0.0001 per share (the "Class F Shares"), of Mosaic Acquisition Corp. (the "Issuer") automatically converted into shares of Class A Common Stock ("Class A Shares") of the Issuer at the time of the Issuer's initial business combination as provided in the Issuer's Certificate of Incorporation. The Class F Shares have no expiration date.

F2 · price: On January 17, 2020, the Issuer consummated its initial business combination (the "Business Combination") with Vivint Smart Home, Inc., a Delaware corporation ("Vivint"). In connection with the Business Combination, each Class F Share converted to approximately 1.20 Class A Shares.

F1 · derivative.exercise_date: Pursuant to the Issuer's Certificate of Incorporation, the shares of Class F Common Stock, par value $0.0001 per share (the "Class F Shares"), of Mosaic Acquisition Corp. (the "Issuer") automatically converted into shares of Class A Common Stock ("Class A Shares") of the Issuer at the time of the Issuer's initial business combination as provided in the Issuer's Certificate of Incorporation. The Class F Shares have no expiration date.

F1 · derivative.expiration_date: Pursuant to the Issuer's Certificate of Incorporation, the shares of Class F Common Stock, par value $0.0001 per share (the "Class F Shares"), of Mosaic Acquisition Corp. (the "Issuer") automatically converted into shares of Class A Common Stock ("Class A Shares") of the Issuer at the time of the Issuer's initial business combination as provided in the Issuer's Certificate of Incorporation. The Class F Shares have no expiration date.

F1 · derivative.underlying_shares: Pursuant to the Issuer's Certificate of Incorporation, the shares of Class F Common Stock, par value $0.0001 per share (the "Class F Shares"), of Mosaic Acquisition Corp. (the "Issuer") automatically converted into shares of Class A Common Stock ("Class A Shares") of the Issuer at the time of the Issuer's initial business combination as provided in the Issuer's Certificate of Incorporation. The Class F Shares have no expiration date.

F2 · derivative.underlying_shares: On January 17, 2020, the Issuer consummated its initial business combination (the "Business Combination") with Vivint Smart Home, Inc., a Delaware corporation ("Vivint"). In connection with the Business Combination, each Class F Share converted to approximately 1.20 Class A Shares.

F6 · ownership.nature: The securities reported herein are held of record by Mosaic Sponsor, LLC. David M. Maura is the sole member of Mosaic Strategic Capital LLC, which is the sole member of Mosaic Sponsor, LLC. As such, David M. Maura and Mosaic Strategic Capital LLC may be deemed to have beneficial ownership of the securities beneficially owned by Mosaic Sponsor, LLC. Because of the relationship among the reporting persons, the reporting persons may be deemed to beneficially own the securities reported herein to the extent of their respective pecuniary interests. (cont'd on FN 7)

F7 · ownership.nature: (cont'd from FN 6) Each reporting person disclaims beneficial ownership of the securities reported herein, except to the extent of such reporting person's pecuniary interest therein, if any. Pursuant to Rule 16a-1(a)(4) under the Exchange Act, this filing shall not be deemed an admission that the reporting persons are, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owners of any equity securities in excess of their respective pecuniary interests.

SEC source: 0000950142-20-000159 · es2000180_4-maura.xml · derivative · entry 3

Maura David M · CIK 0001365833 · Director

Mosaic Strategic Capital LLC · CIK 0001720178 · See Remarks

Mosaic Sponsor, LLC · CIK 0001715608 · See Remarks

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Mosaic Sponsor, LLC

Disclosed balance after: 3,223,125

Underlying: Class A Common Stock · Not disclosed shares

Expires not disclosed

F1 · derivative.exercise_price: Pursuant to the Issuer's Certificate of Incorporation, the shares of Class F Common Stock, par value $0.0001 per share (the "Class F Shares"), of Mosaic Acquisition Corp. (the "Issuer") automatically converted into shares of Class A Common Stock ("Class A Shares") of the Issuer at the time of the Issuer's initial business combination as provided in the Issuer's Certificate of Incorporation. The Class F Shares have no expiration date.

F3 · derivative.exercise_price: In connection with the Business Combination, Mosaic Sponsor, LLC forfeited 1,074,375 Class F Shares to the Issuer pursuant to the Subscription Agreement, dated as of December 18, 2019, among Fayerweather Fund Eiger L.P., the Issuer, Mosaic Sponsor, LLC and Vivint.

F3 · kind: In connection with the Business Combination, Mosaic Sponsor, LLC forfeited 1,074,375 Class F Shares to the Issuer pursuant to the Subscription Agreement, dated as of December 18, 2019, among Fayerweather Fund Eiger L.P., the Issuer, Mosaic Sponsor, LLC and Vivint.

F1 · price: Pursuant to the Issuer's Certificate of Incorporation, the shares of Class F Common Stock, par value $0.0001 per share (the "Class F Shares"), of Mosaic Acquisition Corp. (the "Issuer") automatically converted into shares of Class A Common Stock ("Class A Shares") of the Issuer at the time of the Issuer's initial business combination as provided in the Issuer's Certificate of Incorporation. The Class F Shares have no expiration date.

F3 · price: In connection with the Business Combination, Mosaic Sponsor, LLC forfeited 1,074,375 Class F Shares to the Issuer pursuant to the Subscription Agreement, dated as of December 18, 2019, among Fayerweather Fund Eiger L.P., the Issuer, Mosaic Sponsor, LLC and Vivint.

F1 · derivative.exercise_date: Pursuant to the Issuer's Certificate of Incorporation, the shares of Class F Common Stock, par value $0.0001 per share (the "Class F Shares"), of Mosaic Acquisition Corp. (the "Issuer") automatically converted into shares of Class A Common Stock ("Class A Shares") of the Issuer at the time of the Issuer's initial business combination as provided in the Issuer's Certificate of Incorporation. The Class F Shares have no expiration date.

F1 · derivative.expiration_date: Pursuant to the Issuer's Certificate of Incorporation, the shares of Class F Common Stock, par value $0.0001 per share (the "Class F Shares"), of Mosaic Acquisition Corp. (the "Issuer") automatically converted into shares of Class A Common Stock ("Class A Shares") of the Issuer at the time of the Issuer's initial business combination as provided in the Issuer's Certificate of Incorporation. The Class F Shares have no expiration date.

F1 · derivative.underlying_shares: Pursuant to the Issuer's Certificate of Incorporation, the shares of Class F Common Stock, par value $0.0001 per share (the "Class F Shares"), of Mosaic Acquisition Corp. (the "Issuer") automatically converted into shares of Class A Common Stock ("Class A Shares") of the Issuer at the time of the Issuer's initial business combination as provided in the Issuer's Certificate of Incorporation. The Class F Shares have no expiration date.

F3 · derivative.underlying_shares: In connection with the Business Combination, Mosaic Sponsor, LLC forfeited 1,074,375 Class F Shares to the Issuer pursuant to the Subscription Agreement, dated as of December 18, 2019, among Fayerweather Fund Eiger L.P., the Issuer, Mosaic Sponsor, LLC and Vivint.

F6 · ownership.nature: The securities reported herein are held of record by Mosaic Sponsor, LLC. David M. Maura is the sole member of Mosaic Strategic Capital LLC, which is the sole member of Mosaic Sponsor, LLC. As such, David M. Maura and Mosaic Strategic Capital LLC may be deemed to have beneficial ownership of the securities beneficially owned by Mosaic Sponsor, LLC. Because of the relationship among the reporting persons, the reporting persons may be deemed to beneficially own the securities reported herein to the extent of their respective pecuniary interests. (cont'd on FN 7)

F7 · ownership.nature: (cont'd from FN 6) Each reporting person disclaims beneficial ownership of the securities reported herein, except to the extent of such reporting person's pecuniary interest therein, if any. Pursuant to Rule 16a-1(a)(4) under the Exchange Act, this filing shall not be deemed an admission that the reporting persons are, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owners of any equity securities in excess of their respective pecuniary interests.

SEC source: 0000950142-20-000159 · es2000180_4-maura.xml · nonDerivative · entry 1

Maura David M · CIK 0001365833 · Director

Mosaic Strategic Capital LLC · CIK 0001720178 · See Remarks

Mosaic Sponsor, LLC · CIK 0001715608 · See Remarks

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Mosaic Sponsor, LLC

Disclosed balance after: 3,878,731

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

F2 · kind: On January 17, 2020, the Issuer consummated its initial business combination (the "Business Combination") with Vivint Smart Home, Inc., a Delaware corporation ("Vivint"). In connection with the Business Combination, each Class F Share converted to approximately 1.20 Class A Shares.

F1 · price: Pursuant to the Issuer's Certificate of Incorporation, the shares of Class F Common Stock, par value $0.0001 per share (the "Class F Shares"), of Mosaic Acquisition Corp. (the "Issuer") automatically converted into shares of Class A Common Stock ("Class A Shares") of the Issuer at the time of the Issuer's initial business combination as provided in the Issuer's Certificate of Incorporation. The Class F Shares have no expiration date.

F2 · price: On January 17, 2020, the Issuer consummated its initial business combination (the "Business Combination") with Vivint Smart Home, Inc., a Delaware corporation ("Vivint"). In connection with the Business Combination, each Class F Share converted to approximately 1.20 Class A Shares.

F6 · ownership.nature: The securities reported herein are held of record by Mosaic Sponsor, LLC. David M. Maura is the sole member of Mosaic Strategic Capital LLC, which is the sole member of Mosaic Sponsor, LLC. As such, David M. Maura and Mosaic Strategic Capital LLC may be deemed to have beneficial ownership of the securities beneficially owned by Mosaic Sponsor, LLC. Because of the relationship among the reporting persons, the reporting persons may be deemed to beneficially own the securities reported herein to the extent of their respective pecuniary interests. (cont'd on FN 7)

F7 · ownership.nature: (cont'd from FN 6) Each reporting person disclaims beneficial ownership of the securities reported herein, except to the extent of such reporting person's pecuniary interest therein, if any. Pursuant to Rule 16a-1(a)(4) under the Exchange Act, this filing shall not be deemed an admission that the reporting persons are, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owners of any equity securities in excess of their respective pecuniary interests.

SEC source: 0000950142-20-000101 · es2000169_4-maura.xml · derivative · entry 1

Maura David M · CIK 0001365833 · Director · President and CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 259,633.33

Underlying: Class A Common Stock · 100,000 shares

Expires not disclosed

F1 · price: On January 13, 2020, Mr. Maura acquired, at a weighted average price of $0.9458 per warrant, 100,000 warrants (the "Warrants") of the Company. The Warrants were purchased in multiple transactions at prices ranging from $0.90 to $0.95, inclusive. The reporting person undertakes to provide to the Company, any security holder of the Company or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of Warrants acquired at each separate price within the range set forth above.

F2 · derivative.exercise_date: Each Warrant is exercisable for one Class A Share at an exercise price of $11.50 per Class A Share, subject to certain adjustments. The Warrants may be exercised only during the period commencing 30 days after the first date on which the Company completes a business combination and expiring five years after the completion of the Company's business combination or earlier upon redemption or liquidation.

F2 · derivative.expiration_date: Each Warrant is exercisable for one Class A Share at an exercise price of $11.50 per Class A Share, subject to certain adjustments. The Warrants may be exercised only during the period commencing 30 days after the first date on which the Company completes a business combination and expiring five years after the completion of the Company's business combination or earlier upon redemption or liquidation.

SEC source: 0000950142-20-000081 · es2000146_4-maura.xml · derivative · entry 2

Maura David M · CIK 0001365833 · Director · President and CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 159,633.33

Underlying: Class A Common Stock · 100,000 shares

Expires not disclosed

F1 · price: On January 9, 2020, Mr. Maura acquired, at a weighted average price of $0.9499 per warrant, 100,000 warrants (the "Warrants") of the Company. The Warrants were purchased in multiple transactions at prices ranging from $0.92 to $0.95, inclusive. The reporting person undertakes to provide to the Company, any security holder of the Company or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of Warrants acquired at each separate price within the range set forth above.

F2 · derivative.exercise_date: Each Warrant is exercisable for one Class A Share at an exercise price of $11.50 per Class A Share, subject to certain adjustments. The Warrants may be exercised only during the period commencing 30 days after the first date on which the Company completes a business combination and expiring five years after the completion of the Company's business combination or earlier upon redemption or liquidation.

F2 · derivative.expiration_date: Each Warrant is exercisable for one Class A Share at an exercise price of $11.50 per Class A Share, subject to certain adjustments. The Warrants may be exercised only during the period commencing 30 days after the first date on which the Company completes a business combination and expiring five years after the completion of the Company's business combination or earlier upon redemption or liquidation.

SEC source: 0000950142-20-000081 · es2000146_4-maura.xml · nonDerivative · entry 1

Maura David M · CIK 0001365833 · Director · President and CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 435,066

SEC source: 0000950142-20-000073 · es2000142_4-maura.xml · derivative · entry 2

Maura David M · CIK 0001365833 · Director · President and CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,633.33

Underlying: Class A Common Stock · 12,500 shares

Expires not disclosed

F2 · price: On January 7, 2020, Mr. Maura acquired, at a weighted average price of $0.8922 per warrant, 12,500 warrants (the "Warrants") of the Company. The Warrants were purchased in multiple transactions at prices ranging from $0.85 to $0.92, inclusive. The reporting person undertakes to provide to the Company, any security holder of the Company or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of Warrants acquired at each separate price within the range set forth above.

F3 · derivative.exercise_date: Each Warrant is exercisable for one Class A Share at an exercise price of $11.50 per Class A Share, subject to certain adjustments. The Warrants may be exercised only during the period commencing 30 days after the first date on which the Company completes a business combination and expiring five years after the completion of the Company's business combination or earlier upon redemption or liquidation.

F3 · derivative.expiration_date: Each Warrant is exercisable for one Class A Share at an exercise price of $11.50 per Class A Share, subject to certain adjustments. The Warrants may be exercised only during the period commencing 30 days after the first date on which the Company completes a business combination and expiring five years after the completion of the Company's business combination or earlier upon redemption or liquidation.

SEC source: 0000950142-20-000073 · es2000142_4-maura.xml · nonDerivative · entry 1

Maura David M · CIK 0001365833 · Director · President and CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 335,066

F1 · price: On January 7, 2020, Mr. Maura acquired, at a weighted average price of $10.2855 per share, 12,410 shares of Class A common stock, par value $0.0001 per share (the "Class A Shares"), of Mosaic Acquisition Corp. (the "Company"). The Class A Shares were purchased in multiple transactions at prices ranging from $10.27 to $10.29, inclusive. The reporting person undertakes to provide to the Company, any security holder of the Company or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of Class A Shares acquired at each separate price within the range set forth above.

SEC source: 0000950142-20-000057 · es2000137_4-maura.xml · derivative · entry 2

Maura David M · CIK 0001365833 · Director · President and CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: Not disclosed

Underlying: Class A Common Stock · 200 shares

Expires not disclosed

F2 · price: On January 6, 2020, Mr. Maura acquired, at a weighted average price of $0.87975 per warrant, 200 warrants (the "Warrants") of the Company. The Warrants were purchased in multiple transactions at prices ranging from $0.8595 to $0.90, inclusive. The reporting person undertakes to provide to the Company, any security holder of the Company or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of Warrants acquired at each separate price within the range set forth above.

F3 · derivative.exercise_date: Each Warrant is exercisable for one Class A Share at an exercise price of $11.50 per Class A Share, subject to certain adjustments. The Warrants may be exercised only during the period commencing 30 days after the first date on which the Company completes a business combination and expiring five years after the completion of the Company's business combination or earlier upon redemption or liquidation.

F3 · derivative.expiration_date: Each Warrant is exercisable for one Class A Share at an exercise price of $11.50 per Class A Share, subject to certain adjustments. The Warrants may be exercised only during the period commencing 30 days after the first date on which the Company completes a business combination and expiring five years after the completion of the Company's business combination or earlier upon redemption or liquidation.

SEC source: 0000950142-20-000057 · es2000137_4-maura.xml · nonDerivative · entry 1

Maura David M · CIK 0001365833 · Director · President and CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 322,656

F1 · price: On January 3, 2020, Mr. Maura acquired, at a weighted average price of $10.2854 per share, 21,049 shares of Class A common stock, par value $0.0001 per share (the "Class A Shares"), of Mosaic Acquisition Corp. (the "Company"). The Class A Shares were purchased in multiple transactions at prices ranging from $10.27 to $10.29, inclusive. The reporting person undertakes to provide to the Company, any security holder of the Company or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of Class A Shares acquired at each separate price within the range set forth above.

SEC source: 0000950142-19-002553 · es1901367_4-maura.xml · nonDerivative · entry 1

Maura David M · CIK 0001365833 · Director · President and CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 301,607

SEC source: 0000950142-19-002547 · es1901364_4-maura.xml · derivative · entry 2

Maura David M · CIK 0001365833 · Director · President and CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,933.33

Underlying: Class A Common Stock · 5,900 shares

Expires not disclosed

F2 · price: On December 20, 2019, Mr. Maura acquired, at a weighted average price of $0.9938 per warrant, 5,900 warrants (the "Warrants") of the Company. The Warrants were purchased in multiple transactions at prices ranging from $0.95 to $1.00, inclusive. The reporting person undertakes to provide to the Company, any security holder of the Company or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of Warrants acquired at each separate price within the range set forth above.

F3 · derivative.exercise_date: Each Warrant is exercisable for one Class A Share at an exercise price of $11.50 per Class A Share, subject to certain adjustments. The Warrants may be exercised only during the period commencing 30 days after the first date on which the Company completes a business combination and expiring five years after the completion of the Company's business combination or earlier upon redemption or liquidation.

F3 · derivative.expiration_date: Each Warrant is exercisable for one Class A Share at an exercise price of $11.50 per Class A Share, subject to certain adjustments. The Warrants may be exercised only during the period commencing 30 days after the first date on which the Company completes a business combination and expiring five years after the completion of the Company's business combination or earlier upon redemption or liquidation.

SEC source: 0000950142-19-002547 · es1901364_4-maura.xml · nonDerivative · entry 1

Maura David M · CIK 0001365833 · Director · President and CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 297,549

F1 · price: On December 20, 2019, Mr. Maura acquired, at a weighted average price of $10.2731 per share, 17,657 shares of Class A common stock, par value $0.0001 per share (the "Class A Shares"), of Mosaic Acquisition Corp. (the "Company"). The Class A Shares were purchased in multiple transactions at prices ranging from $10.26 to $10.29, inclusive. The reporting person undertakes to provide to the Company, any security holder of the Company or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of Class A Shares acquired at each separate price within the range set forth above.

SEC source: 0000950142-19-002535 · es1901349_4-maura.xml · nonDerivative · entry 1

Maura David M · CIK 0001365833 · Director · Executive Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 371,148

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $62.69 to $62.76, 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 set forth herein.

SEC source: 0000950142-19-002515 · es1901340_4-maura.xml · derivative · entry 1

Maura David M · CIK 0001365833 · Director · Executive Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,012

Underlying: Common Stock · 26,012 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of common stock of the Issuer.

F2 · derivative.exercise_date: The restricted stock units reported on this line vest December 2, 2022.

F2 · derivative.expiration_date: The restricted stock units reported on this line vest December 2, 2022.

SEC source: 0000950142-19-002453 · es1901305_4-maura.xml · nonDerivative · entry 2

Maura David M · CIK 0001365833 · Director · Executive Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 369,148

F2 · shares: Represents shares of the Issuers' common stock withheld to satisfy the reporting person's tax withholding obligation resulting from the vesting of restricted stock under the Issuer's Management Incentive Plan.

SEC source: 0000950142-19-002453 · es1901305_4-maura.xml · nonDerivative · entry 1

Maura David M · CIK 0001365833 · Director · Executive Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 377,230

F1 · shares: The shares represent the cash value of the Management Incentive Award under the Issuers' 2019 Management Incentive Plan.

F1 · price: The shares represent the cash value of the Management Incentive Award under the Issuers' 2019 Management Incentive Plan.

SEC source: 0000950142-19-002356 · es1901277_4-maura.xml · derivative · entry 3

Maura David M · CIK 0001365833 · Director · President and CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,033.33

Underlying: Class A Common Stock · 32,700 shares

Expires not disclosed

F2 · price: On November 22, 2019, Mr. Maura acquired, at a weighted average price of $0.8329 per warrant, 32,700 warrants (the "Warrants") of the Company. The Warrants were purchased in multiple transactions at prices ranging from $0.829 to $0.830, inclusive. The reporting person undertakes to provide to the Company, any security holder of the Company or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of Warrants acquired at each separate price within the range set forth above.

F3 · derivative.exercise_date: Each Warrant is exercisable for one Class A Share at an exercise price of $11.50 per Class A Share, subject to certain adjustments. The Warrants may be exercised only during the period commencing 30 days after the first date on which the Company completes a business combination and expiring five years after the completion of the Company's business combination or earlier upon redemption or liquidation.

F3 · derivative.expiration_date: Each Warrant is exercisable for one Class A Share at an exercise price of $11.50 per Class A Share, subject to certain adjustments. The Warrants may be exercised only during the period commencing 30 days after the first date on which the Company completes a business combination and expiring five years after the completion of the Company's business combination or earlier upon redemption or liquidation.

SEC source: 0000950142-19-002356 · es1901277_4-maura.xml · nonDerivative · entry 2

Maura David M · CIK 0001365833 · Director · President and CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 279,892

SEC source: 0000950142-19-002365 · es1901283_4-maura.xml · derivative · entry 4

Maura David M · CIK 0001365833 · Director · Executive Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,147

Underlying: Common Stock · 32,146 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F3 · derivative.exercise_date: On January 17, 2019, the reporting person was granted 64,293 restricted stock units, 32,146 of which vested on November 21, 2019. The remaining 32,147 restricted stock units will vest on November 21, 2020.

F3 · derivative.expiration_date: On January 17, 2019, the reporting person was granted 64,293 restricted stock units, 32,146 of which vested on November 21, 2019. The remaining 32,147 restricted stock units will vest on November 21, 2020.

SEC source: 0000950142-19-002365 · es1901283_4-maura.xml · nonDerivative · entry 3

Maura David M · CIK 0001365833 · Director · Executive Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 356,692

F2 · kind: Represents the disposition or withholding of shares of Common Stock to the Issuer to satisfy the reporting person's tax liability resulting from the vesting of restricted stock.

SEC source: 0000950142-19-002365 · es1901283_4-maura.xml · nonDerivative · entry 2

Maura David M · CIK 0001365833 · Director · Executive Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 388,317

SEC source: 0000950142-19-002365 · es1901283_4-maura.xml · nonDerivative · entry 1

Maura David M · CIK 0001365833 · Director · Executive Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 340,097

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

F1 · price: Restricted stock units convert into common stock on a one-for-one basis.

SEC source: 0000950142-19-002356 · es1901277_4-maura.xml · nonDerivative · entry 1

Maura David M · CIK 0001365833 · Director · President and CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 279,642

F1 · price: On November 21, 2019, Mr. Maura acquired, at a weighted average price of $10.2399 per share, 18,422 shares of Class A common stock, par value $0.0001 per share (the "Class A Shares"), of Mosaic Acquisition Corp. (the "Company"). The Class A Shares were purchased in multiple transactions at prices ranging from $10.23 to $10.24, inclusive. The reporting person undertakes to provide to the Company, any security holder of the Company or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of Class A Shares acquired at each separate price within the range set forth above.

SEC source: 0000950142-19-002111 · es1901175_4-maura.xml · nonDerivative · entry 1

Maura David M · CIK 0001365833 · Director · President and CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 261,220

F1 · price: On October 18, 2019, Mr. Maura acquired, at a weighted average price of $10.2871 per share, 16,224 shares of Class A common stock, par value $0.0001 per share (the "Class A Shares"), of Mosaic Acquisition Corp. (the "Company"). The Class A Shares were purchased in multiple transactions at prices ranging from $10.27 to $10.29, inclusive. The reporting person undertakes to provide to the Company, any security holder of the Company or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of Class A Shares acquired at each separate price within the range set forth above.

SEC source: 0000950142-19-002105 · es1901162_4-maura.xml · nonDerivative · entry 1

Maura David M · CIK 0001365833 · Director · President and CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 244,996

F1 · price: On October 17, 2019, Mr. Maura acquired, at a weighted average price of $10.2871 per share, 25,000 shares of Class A common stock, par value $0.0001 per share (the "Class A Shares"), of Mosaic Acquisition Corp. (the "Company"). The Class A Shares were purchased in multiple transactions at prices ranging from $10.26 to $10.29, inclusive. The reporting person undertakes to provide to the Company, any security holder of the Company or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of Class A Shares acquired at each separate price within the range set forth above.

SEC source: 0000950142-19-002033 · es1901138_4-maura.xml · nonDerivative · entry 1

Maura David M · CIK 0001365833 · Director · President and CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 219,996

SEC source: 0000950142-19-002027 · es1901134_4-maura.xml · nonDerivative · entry 1

Maura David M · CIK 0001365833 · Director · President and CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 195,184

F1 · price: On October 4, 2019, Mr. Maura acquired, at a weighted average price of $10.3167 per share, 50,000 shares of Class A common stock, par value $0.0001 per share (the "Class A Shares"), of Mosaic Acquisition Corp. (the "Company"). The Class A Shares were purchased in multiple transactions at prices ranging from $10.30 to $10.32, inclusive. The reporting person undertakes to provide to the Company, any security holder of the Company or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of Class A Shares acquired at each separate price within the range set forth above.

SEC source: 0000950142-19-002008 · es1901118_4-maura.xml · nonDerivative · entry 1

Maura David M · CIK 0001365833 · Director · President and CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 145,184

F1 · price: On September 30, 2019, Mr. Maura acquired, at a weighted average price of $10.3067 per share, 26,484 shares of Class A common stock, par value $0.0001 per share (the "Class A Shares"), of Mosaic Acquisition Corp. (the "Company"). The Class A Shares were purchased in multiple transactions at prices ranging from $10.29 to $10.31, inclusive. The reporting person undertakes to provide to the Company, any security holder of the Company or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of Class A Shares acquired at each separate price within the range set forth above.

SEC source: 0000950142-19-002000 · es1901116_4-maura.xml · nonDerivative · entry 1

Maura David M · CIK 0001365833 · Director · President and CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 118,700

F1 · price: On September 27, 2019, Mr. Maura acquired, at a weighted average price of $10.3202 per share, 93,700 shares of Class A common stock, par value $0.0001 per share (the "Class A Shares"), of Mosaic Acquisition Corp. (the "Company"). The Class A Shares were purchased in multiple transactions at prices ranging from $10.31 to $10.33, inclusive. The reporting person undertakes to provide to the Company, any security holder of the Company or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of Class A Shares acquired at each separate price within the range set forth above.

SEC source: 0000950142-19-001753 · es1901001_4-maura.xml · nonDerivative · entry 1

Maura David M · CIK 0001365833 · Director · Executive Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 307,951

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $49.41 to $51.08, 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 set forth herein.

SEC source: 0000950142-19-000098 · ownership.xml · derivative · entry 2

Maura David M · CIK 0001365833 · Director · Executive Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 64,293

Underlying: Common Stock · 64,293 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of common stock of the Issuer.

F3 · derivative.exercise_date: 50% of the restricted stock units reported on this line will vest on November 21, 2019 and the remaining 50% will vest on November 21, 2020.

F3 · derivative.expiration_date: 50% of the restricted stock units reported on this line will vest on November 21, 2019 and the remaining 50% will vest on November 21, 2020.

SEC source: 0000950142-19-000098 · ownership.xml · derivative · entry 1

Maura David M · CIK 0001365833 · Director · Executive Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,817

Underlying: Common Stock · 35,817 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of common stock of the Issuer.

F2 · derivative.exercise_date: The restricted stock units reported on this line vest on December 3, 2021.

F2 · derivative.expiration_date: The restricted stock units reported on this line vest on December 3, 2021.

SEC source: 0000950142-18-002394 · ownership.xml · nonDerivative · entry 2

Maura David M · CIK 0001365833 · Director · Executive Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 287,951

F2 · shares: Represents shares of the Issuer's common stock withheld to satisfy the reporting person's tax withholding obligation resulting from the vesting of restricted stock under the Issuer's Management Incentive Plan.

SEC source: 0000950142-18-002394 · ownership.xml · nonDerivative · entry 1

Maura David M · CIK 0001365833 · Director · Executive Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 289,033

F1 · shares: The shares represent the cash value of the Management Incentive Award under the Issuer's 2018 Management Incentive Plan.

F1 · price: The shares represent the cash value of the Management Incentive Award under the Issuer's 2018 Management Incentive Plan.

SEC source: 0000950142-18-002348 · ownership.xml · derivative · entry 3

Maura David M · CIK 0001365833 · Director · Executive Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 9,272 shares

Expires not disclosed

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

F3 · security: Each performance right represents a contingent right to receive one share of the Issuer's common stock.

F1 · derivative.exercise_price: Performance rights granted on December 15, 2016 under the Spectrum Brands Holdings, Inc. 2017 Equity Incentive Plan (the "2017 EIP Award") were earned as of December 1, 2017, and 9,272 shares, representing the 2017 EIP Service Award portion of the reporting person's 2017 EIP Award, vested on December 1, 2018. The reporting person forfeited an additional 87 shares, representing the 2017 EIP Additional Award portion of the reporting person's 2017 EIP Award, as the requirements for the Issuer's consolidated free cash flow results for 2018 were not met.

F1 · price: Performance rights granted on December 15, 2016 under the Spectrum Brands Holdings, Inc. 2017 Equity Incentive Plan (the "2017 EIP Award") were earned as of December 1, 2017, and 9,272 shares, representing the 2017 EIP Service Award portion of the reporting person's 2017 EIP Award, vested on December 1, 2018. The reporting person forfeited an additional 87 shares, representing the 2017 EIP Additional Award portion of the reporting person's 2017 EIP Award, as the requirements for the Issuer's consolidated free cash flow results for 2018 were not met.

F1 · derivative.exercise_date: Performance rights granted on December 15, 2016 under the Spectrum Brands Holdings, Inc. 2017 Equity Incentive Plan (the "2017 EIP Award") were earned as of December 1, 2017, and 9,272 shares, representing the 2017 EIP Service Award portion of the reporting person's 2017 EIP Award, vested on December 1, 2018. The reporting person forfeited an additional 87 shares, representing the 2017 EIP Additional Award portion of the reporting person's 2017 EIP Award, as the requirements for the Issuer's consolidated free cash flow results for 2018 were not met.

F1 · derivative.expiration_date: Performance rights granted on December 15, 2016 under the Spectrum Brands Holdings, Inc. 2017 Equity Incentive Plan (the "2017 EIP Award") were earned as of December 1, 2017, and 9,272 shares, representing the 2017 EIP Service Award portion of the reporting person's 2017 EIP Award, vested on December 1, 2018. The reporting person forfeited an additional 87 shares, representing the 2017 EIP Additional Award portion of the reporting person's 2017 EIP Award, as the requirements for the Issuer's consolidated free cash flow results for 2018 were not met.

SEC source: 0000950142-18-002348 · ownership.xml · nonDerivative · entry 2

Maura David M · CIK 0001365833 · Director · Executive Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 286,285

F2 · shares: Represents shares of the Issuer's common stock withheld to satisfy the reporting person's tax withholding obligation upon the vesting and settling of performance rights of the 2017 EIP Service Award portion of the reporting person's 2017 EIP Award.

SEC source: 0000950142-18-002348 · ownership.xml · nonDerivative · entry 1

Maura David M · CIK 0001365833 · Director · Executive Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 289,934

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

F1 · price: Performance rights granted on December 15, 2016 under the Spectrum Brands Holdings, Inc. 2017 Equity Incentive Plan (the "2017 EIP Award") were earned as of December 1, 2017, and 9,272 shares, representing the 2017 EIP Service Award portion of the reporting person's 2017 EIP Award, vested on December 1, 2018. The reporting person forfeited an additional 87 shares, representing the 2017 EIP Additional Award portion of the reporting person's 2017 EIP Award, as the requirements for the Issuer's consolidated free cash flow results for 2018 were not met.

SEC source: 0000950142-18-002306 · es1801267_4-maura.xml · nonDerivative · entry 2

Maura David M · CIK 0001365833 · Director · Executive Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 280,662

F1 · kind: Reflects the disposition of shares to the Issuer. Sales were made to satisfy certain personal and charitable obligations of the reporting person. The reporting person continues to have a significant ownership stake in the Issuer.

SEC source: 0000950142-18-002306 · es1801267_4-maura.xml · nonDerivative · entry 1

Maura David M · CIK 0001365833 · Director · Executive Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 359,171

F1 · kind: Reflects the disposition of shares to the Issuer. Sales were made to satisfy certain personal and charitable obligations of the reporting person. The reporting person continues to have a significant ownership stake in the Issuer.

SEC source: 0000950142-18-001579 · ownership.xml · derivative · entry 2

Maura David M · CIK 0001365833 · Director · Executive Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,360

Underlying: Common Stock · 9,360 shares

Expires not disclosed

F3 · security: Each performance right represents a contingent right to receive one Issuer Share.

F4 · derivative.exercise_price: Performance rights granted on December 15, 2016 under the Spectrum Brands Holdings, Inc. 2017 Equity Incentive Plan (the "2017 EIP Award") were earned as of December 1, 2017, and 50% of such performance rights, representing the 2017 EIP Performance Award portion of Mr. Maura's 2017 EIP Award, settled for 9,272 shares of the Issuer Shares and are included in Table I. In addition, 9,273 shares, representing the 2017 EIP Service Award portion of Mr. Maura's 2017 EIP Award, will vest on December 1, 2018 if Mr. Maura remains employed by the Issuer on such first anniversary.

F5 · derivative.exercise_price: Mr. Maura also shall be eligible to receive up to 87 additional shares, representing the 2017 EIP Additional Award portion of Mr. Maura's 2017 EIP Award, based on the Issuer exceeding 2017 consolidated free cash flow targets for the fiscal year ending September 30, 2018. The 2017 EIP Additional Award will vest on December 1, 2018 if Mr. Maura remains employed by the Issuer as of such date and will be payable if the Issuer's consolidated free cash flow results are equal to or greater than the comparable results for 2017.

F1 · shares: Represents shares of common stock of the Issuer ("Issuer Shares") and restricted stock units with respect to Issuer Shares that were acquired in exchange for an equal number of shares of common stock of Spectrum Brands Legacy, Inc. (f/k/a Spectrum Brands Holdings, Inc.), a Delaware corporation ("Legacy Spectrum"), and restricted stock units with respect to shares of common stock of Legacy Spectrum in connection with a merger (the "Merger") pursuant to which Legacy Spectrum became a direct subsidiary of the Issuer.

F4 · price: Performance rights granted on December 15, 2016 under the Spectrum Brands Holdings, Inc. 2017 Equity Incentive Plan (the "2017 EIP Award") were earned as of December 1, 2017, and 50% of such performance rights, representing the 2017 EIP Performance Award portion of Mr. Maura's 2017 EIP Award, settled for 9,272 shares of the Issuer Shares and are included in Table I. In addition, 9,273 shares, representing the 2017 EIP Service Award portion of Mr. Maura's 2017 EIP Award, will vest on December 1, 2018 if Mr. Maura remains employed by the Issuer on such first anniversary.

F5 · price: Mr. Maura also shall be eligible to receive up to 87 additional shares, representing the 2017 EIP Additional Award portion of Mr. Maura's 2017 EIP Award, based on the Issuer exceeding 2017 consolidated free cash flow targets for the fiscal year ending September 30, 2018. The 2017 EIP Additional Award will vest on December 1, 2018 if Mr. Maura remains employed by the Issuer as of such date and will be payable if the Issuer's consolidated free cash flow results are equal to or greater than the comparable results for 2017.

F4 · derivative.exercise_date: Performance rights granted on December 15, 2016 under the Spectrum Brands Holdings, Inc. 2017 Equity Incentive Plan (the "2017 EIP Award") were earned as of December 1, 2017, and 50% of such performance rights, representing the 2017 EIP Performance Award portion of Mr. Maura's 2017 EIP Award, settled for 9,272 shares of the Issuer Shares and are included in Table I. In addition, 9,273 shares, representing the 2017 EIP Service Award portion of Mr. Maura's 2017 EIP Award, will vest on December 1, 2018 if Mr. Maura remains employed by the Issuer on such first anniversary.

F5 · derivative.exercise_date: Mr. Maura also shall be eligible to receive up to 87 additional shares, representing the 2017 EIP Additional Award portion of Mr. Maura's 2017 EIP Award, based on the Issuer exceeding 2017 consolidated free cash flow targets for the fiscal year ending September 30, 2018. The 2017 EIP Additional Award will vest on December 1, 2018 if Mr. Maura remains employed by the Issuer as of such date and will be payable if the Issuer's consolidated free cash flow results are equal to or greater than the comparable results for 2017.

F4 · derivative.expiration_date: Performance rights granted on December 15, 2016 under the Spectrum Brands Holdings, Inc. 2017 Equity Incentive Plan (the "2017 EIP Award") were earned as of December 1, 2017, and 50% of such performance rights, representing the 2017 EIP Performance Award portion of Mr. Maura's 2017 EIP Award, settled for 9,272 shares of the Issuer Shares and are included in Table I. In addition, 9,273 shares, representing the 2017 EIP Service Award portion of Mr. Maura's 2017 EIP Award, will vest on December 1, 2018 if Mr. Maura remains employed by the Issuer on such first anniversary.

F5 · derivative.expiration_date: Mr. Maura also shall be eligible to receive up to 87 additional shares, representing the 2017 EIP Additional Award portion of Mr. Maura's 2017 EIP Award, based on the Issuer exceeding 2017 consolidated free cash flow targets for the fiscal year ending September 30, 2018. The 2017 EIP Additional Award will vest on December 1, 2018 if Mr. Maura remains employed by the Issuer as of such date and will be payable if the Issuer's consolidated free cash flow results are equal to or greater than the comparable results for 2017.

SEC source: 0000950142-18-001579 · ownership.xml · nonDerivative · entry 1

Maura David M · CIK 0001365833 · Director · Executive Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 438,980

F1 · shares: Represents shares of common stock of the Issuer ("Issuer Shares") and restricted stock units with respect to Issuer Shares that were acquired in exchange for an equal number of shares of common stock of Spectrum Brands Legacy, Inc. (f/k/a Spectrum Brands Holdings, Inc.), a Delaware corporation ("Legacy Spectrum"), and restricted stock units with respect to shares of common stock of Legacy Spectrum in connection with a merger (the "Merger") pursuant to which Legacy Spectrum became a direct subsidiary of the Issuer.

F2 · balance_after: Includes 156,021 Issuer Shares resulting from a reverse stock split whereby, as of immediately prior to the effective time of the Merger, each Issuer Share was combined into 0.1613 Issuer Shares.

SEC source: 0000908834-18-000144 · edgar.xml · derivative · entry 2

Maura David M · CIK 0001365833 · Director · Executive Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 9,360 shares

Expires not disclosed

F2 · derivative.exercise_price: These performance rights, which provide for vesting on December 1, 2018, were assumed by HRG in the merger. Pursuant to the Merger Agreement, each performance right that corresponds to a number of shares of Spectrum common stock granted under a Spectrum equity incentive plan that was outstanding immediately prior to the effective time of the merger, was automatically converted into a performance right award of HRG common stock equal to the number of shares of Spectrum common stock subject to such award as of immediately prior to the effective time of the merger (each such award, a "New HRG Award"). Each New HRG Award will continue to have the same terms and conditions, including with respect to vesting, as the Spectrum performance rights award to which they relate.

F2 · price: These performance rights, which provide for vesting on December 1, 2018, were assumed by HRG in the merger. Pursuant to the Merger Agreement, each performance right that corresponds to a number of shares of Spectrum common stock granted under a Spectrum equity incentive plan that was outstanding immediately prior to the effective time of the merger, was automatically converted into a performance right award of HRG common stock equal to the number of shares of Spectrum common stock subject to such award as of immediately prior to the effective time of the merger (each such award, a "New HRG Award"). Each New HRG Award will continue to have the same terms and conditions, including with respect to vesting, as the Spectrum performance rights award to which they relate.

F2 · derivative.exercise_date: These performance rights, which provide for vesting on December 1, 2018, were assumed by HRG in the merger. Pursuant to the Merger Agreement, each performance right that corresponds to a number of shares of Spectrum common stock granted under a Spectrum equity incentive plan that was outstanding immediately prior to the effective time of the merger, was automatically converted into a performance right award of HRG common stock equal to the number of shares of Spectrum common stock subject to such award as of immediately prior to the effective time of the merger (each such award, a "New HRG Award"). Each New HRG Award will continue to have the same terms and conditions, including with respect to vesting, as the Spectrum performance rights award to which they relate.

F2 · derivative.expiration_date: These performance rights, which provide for vesting on December 1, 2018, were assumed by HRG in the merger. Pursuant to the Merger Agreement, each performance right that corresponds to a number of shares of Spectrum common stock granted under a Spectrum equity incentive plan that was outstanding immediately prior to the effective time of the merger, was automatically converted into a performance right award of HRG common stock equal to the number of shares of Spectrum common stock subject to such award as of immediately prior to the effective time of the merger (each such award, a "New HRG Award"). Each New HRG Award will continue to have the same terms and conditions, including with respect to vesting, as the Spectrum performance rights award to which they relate.

SEC source: 0000908834-18-000144 · edgar.xml · nonDerivative · entry 1

Maura David M · CIK 0001365833 · Director · Executive Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · price: Pursuant to the terms of the Agreement and Plan of Merger dated February 24, 2018, and amended June 8, 2018, by and among Spectrum Brands Holdings, Inc. ("Spectrum") and HRG Group, Inc. ("HRG"), each share of common stock of Spectrum was converted into one share of common stock of HRG and each restricted stock unit with respect to common stock of Spectrum was exchanged for an equal number of restricted stock units with respect to common stock of HRG, in each case as of July 13, 2018, which was the closing date of the merger.

SEC source: 0000908834-17-000289 · edgar.xml · nonDerivative · entry 10

Maura David M · CIK 0001365833 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 282,959

F11 · shares: These shares of the Issuer's common stock were surrendered to satisfy Mr. Maura's tax withholding requirements resulting from the vesting of his Management Incentive Award.

SEC source: 0000908834-17-000289 · edgar.xml · nonDerivative · entry 9

Maura David M · CIK 0001365833 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 285,428

F10 · price: The shares represent the cash value of the Management Incentive Award under the Issuer's 2017 Management Incentive Plan.

SEC source: 0000908834-17-000289 · edgar.xml · derivative · entry 14

Maura David M · CIK 0001365833 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,360

Underlying: Common Stock · 9,272 shares

Expires not disclosed

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

F12 · security: Each performance right represents a contingent right to receive one share of the Issuer's common stock.

F7 · derivative.exercise_price: Performance rights granted on December 15, 2016 under the Spectrum Brands Holdings, Inc. 2017 Equity Incentive Plan (the "2017 EIP Award") were earned as of December 1, 2017, and 50% of such performance rights, representing the 2017 EIP Performance Award portion of Mr. Maura's 2017 EIP Award, settled for 9,272 shares of the Issuer's common stock. In addition, 9,273 shares, representing the 2017 EIP Service Award portion of Mr. Maura's 2017 EIP Award, will vest on December 1, 2018 if Mr. Maura remains employed by the Issuer on such first anniversary.

F8 · derivative.exercise_price: Mr. Maura also shall be eligible to receive up to 87 additional shares, representing the 2017 EIP Additional Award portion of Mr. Maura's 2017 EIP Award, based on the Issuer exceeding 2017 consolidated free cash flow targets for the fiscal year ended September 30, 2018. The 2017 EIP Additional Award will vest on December 1, 2018 if Mr. Maura remains employed by the Issuer as of such date and will be payable if the Issuer's consolidated free cash flow results are equal to or greater than the comparable results for 2017.

F7 · price: Performance rights granted on December 15, 2016 under the Spectrum Brands Holdings, Inc. 2017 Equity Incentive Plan (the "2017 EIP Award") were earned as of December 1, 2017, and 50% of such performance rights, representing the 2017 EIP Performance Award portion of Mr. Maura's 2017 EIP Award, settled for 9,272 shares of the Issuer's common stock. In addition, 9,273 shares, representing the 2017 EIP Service Award portion of Mr. Maura's 2017 EIP Award, will vest on December 1, 2018 if Mr. Maura remains employed by the Issuer on such first anniversary.

F8 · price: Mr. Maura also shall be eligible to receive up to 87 additional shares, representing the 2017 EIP Additional Award portion of Mr. Maura's 2017 EIP Award, based on the Issuer exceeding 2017 consolidated free cash flow targets for the fiscal year ended September 30, 2018. The 2017 EIP Additional Award will vest on December 1, 2018 if Mr. Maura remains employed by the Issuer as of such date and will be payable if the Issuer's consolidated free cash flow results are equal to or greater than the comparable results for 2017.

F7 · derivative.exercise_date: Performance rights granted on December 15, 2016 under the Spectrum Brands Holdings, Inc. 2017 Equity Incentive Plan (the "2017 EIP Award") were earned as of December 1, 2017, and 50% of such performance rights, representing the 2017 EIP Performance Award portion of Mr. Maura's 2017 EIP Award, settled for 9,272 shares of the Issuer's common stock. In addition, 9,273 shares, representing the 2017 EIP Service Award portion of Mr. Maura's 2017 EIP Award, will vest on December 1, 2018 if Mr. Maura remains employed by the Issuer on such first anniversary.

F8 · derivative.exercise_date: Mr. Maura also shall be eligible to receive up to 87 additional shares, representing the 2017 EIP Additional Award portion of Mr. Maura's 2017 EIP Award, based on the Issuer exceeding 2017 consolidated free cash flow targets for the fiscal year ended September 30, 2018. The 2017 EIP Additional Award will vest on December 1, 2018 if Mr. Maura remains employed by the Issuer as of such date and will be payable if the Issuer's consolidated free cash flow results are equal to or greater than the comparable results for 2017.

F7 · derivative.expiration_date: Performance rights granted on December 15, 2016 under the Spectrum Brands Holdings, Inc. 2017 Equity Incentive Plan (the "2017 EIP Award") were earned as of December 1, 2017, and 50% of such performance rights, representing the 2017 EIP Performance Award portion of Mr. Maura's 2017 EIP Award, settled for 9,272 shares of the Issuer's common stock. In addition, 9,273 shares, representing the 2017 EIP Service Award portion of Mr. Maura's 2017 EIP Award, will vest on December 1, 2018 if Mr. Maura remains employed by the Issuer on such first anniversary.

F8 · derivative.expiration_date: Mr. Maura also shall be eligible to receive up to 87 additional shares, representing the 2017 EIP Additional Award portion of Mr. Maura's 2017 EIP Award, based on the Issuer exceeding 2017 consolidated free cash flow targets for the fiscal year ended September 30, 2018. The 2017 EIP Additional Award will vest on December 1, 2018 if Mr. Maura remains employed by the Issuer as of such date and will be payable if the Issuer's consolidated free cash flow results are equal to or greater than the comparable results for 2017.