STROME MARK E

SEC source: 0001213900-26-047650 · ownership.xml · nonDerivative · entry 1

STROME MARK E · CIK 0000919484 · 10% owner

STROME INVESTMENT MANAGEMENT LP · CIK 0000936711 · Affiliate of 10% Owner

STROME GROUP, INC. · CIK 0001724136 · Affiliate of 10% Owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · By entity

Disclosed balance after: 572,942

F1 · shares: The reported securities are owned directly by Strome Mezzanine Fund II, LP ("SMF II"), which were acquired pursuant to a Securities Purchase Agreement that SMF II entered into with the issuer.

F1 · ownership.nature: The reported securities are owned directly by Strome Mezzanine Fund II, LP ("SMF II"), which were acquired pursuant to a Securities Purchase Agreement that SMF II entered into with the issuer.

F2 · ownership.nature: Strome Investment Management, LP is the general partner of SMF II. Strome Group, Inc. is the general partner of Strome Investment Management, LP. Mark E. Strome is the President and CEO of Strome Group, Inc. Mr. Strome, Strome Investment Management, LP and Strome Group, Inc. (together, the "Reporting Persons") may be deemed to share voting and investment power for and to beneficially own the shares held by SMF II under Section 13(d) of the Securities Exchange Act of 1934 (the "Exchange Act").

F3 · ownership.nature: Pursuant to Rule 16a-1(a)(4) of 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 owner of any equity securities reported herein.

SEC source: 0001213900-26-044832 · ownership.xml · nonDerivative · entry 1

STROME MARK E · CIK 0000919484 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 3,650,000

F1 · shares: These shares were purchased in connection with the Registrant's underwritten public offering of 12,500,000 shares of common stock. Titan Partners, a division of American Capital Partners, acted as the sole bookrunner for the offering, which priced on April 14, 2026, and closed on April 16, 2026.

F2 · ownership.nature: The reported securities are held directly by Strome Mezzanine Fund II, LP, Mark E. Strome Living Trust and Strome Dynasty, LLC. Mr. Strome has the authority to vote and dispose of the reported securities held by each of these entities. Mr. Strome disclaims beneficial ownership of the reported securities, except to the extent of his pecuniary interest therein. This report shall not be deemed an admission that Mr. Strome is a beneficial owner of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0001213900-26-016803 · ownership.xml · derivative · entry 2

STROME MARK E · CIK 0000919484 · 10% owner

STROME INVESTMENT MANAGEMENT LP · CIK 0000936711 · Affiliate of 10% Owner

STROME GROUP, INC. · CIK 0001724136 · Affiliate of 10% Owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · By entity

Disclosed balance after: 45,071

Underlying: Common Stock · 2,000 shares

Expires 2031-02-11

F1 · shares: The reported securities are owned directly by Strome Mezzanine Fund II, LP ("SMF II"), which were acquired pursuant to a Securities Purchase Agreement that SMF II entered into with the issuer.

F1 · ownership.nature: The reported securities are owned directly by Strome Mezzanine Fund II, LP ("SMF II"), which were acquired pursuant to a Securities Purchase Agreement that SMF II entered into with the issuer.

F2 · ownership.nature: Strome Investment Management, LP is the general partner of SMF II. Strome Group, Inc. is the general partner of Strome Investment Management, LP. Mark E. Strome is the President and CEO of Strome Group, Inc. Mr. Strome, Strome Investment Management, LP and Strome Group, Inc. (together, the "Reporting Persons") may be deemed to share voting and investment power for and to beneficially own the shares held by SMF II under Section 13(d) of the Securities Exchange Act of 1934 (the "Exchange Act").

F3 · ownership.nature: Pursuant to Rule 16a-1(a)(4) of 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 owner of any equity securities reported herein.

SEC source: 0001213900-26-016803 · ownership.xml · nonDerivative · entry 1

STROME MARK E · CIK 0000919484 · 10% owner

STROME INVESTMENT MANAGEMENT LP · CIK 0000936711 · Affiliate of 10% Owner

STROME GROUP, INC. · CIK 0001724136 · Affiliate of 10% Owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · By entity

Disclosed balance after: 472,942

F1 · shares: The reported securities are owned directly by Strome Mezzanine Fund II, LP ("SMF II"), which were acquired pursuant to a Securities Purchase Agreement that SMF II entered into with the issuer.

F1 · ownership.nature: The reported securities are owned directly by Strome Mezzanine Fund II, LP ("SMF II"), which were acquired pursuant to a Securities Purchase Agreement that SMF II entered into with the issuer.

F2 · ownership.nature: Strome Investment Management, LP is the general partner of SMF II. Strome Group, Inc. is the general partner of Strome Investment Management, LP. Mark E. Strome is the President and CEO of Strome Group, Inc. Mr. Strome, Strome Investment Management, LP and Strome Group, Inc. (together, the "Reporting Persons") may be deemed to share voting and investment power for and to beneficially own the shares held by SMF II under Section 13(d) of the Securities Exchange Act of 1934 (the "Exchange Act").

F3 · ownership.nature: Pursuant to Rule 16a-1(a)(4) of 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 owner of any equity securities reported herein.

SEC source: 0001213900-26-033043 · ownership.xml · derivative · entry 1

STROME MARK E · CIK 0000919484 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 41,380

Underlying: Common Stock · 41,380 shares

Expires 2036-01-01

F1 · derivative.exercise_date: Granted options on February 9, 2026 (the "Special Option"), one half of the total number of shares of common stock (the "Shares") subject to the Special Option shall vest on March 31, 2026, the three-month anniversary of the vesting commencement date beginning January 1, 2026, and the remaining Shares of common stock shall vest on June 30, 2026, the six-month anniversary of the vesting commencement date. These options have been issued from the Company's 2022 Equity Incentive Plan.

SEC source: 0001213900-25-124693 · ownership.xml · nonDerivative · entry 1

STROME MARK E · CIK 0000919484 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 2,900,000

F1 · balance_after: The price reported in Column 4 is a weighted average price. 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 sold at each separate price within the ranges set forth in footnote (1) to this Form 4.

F2 · ownership.nature: The reported securities are held directly by Mark E. Strome Living Trust and Strome Dynasty, LLC. Mr. Strome has the authority to vote and dispose of the reported securities held by each of these entities. Mr. Strome disclaims beneficial ownership of the reported securities, except to the extent of his pecuniary interest therein. This report shall not be deemed an admission that Mr. Strome is a beneficial owner of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0001213900-25-100376 · ownership.xml · derivative · entry 2

STROME MARK E · CIK 0000919484 · 10% owner

STROME INVESTMENT MANAGEMENT LP · CIK 0000936711 · Affiliate of 10% Owner

STROME GROUP, INC. · CIK 0001724136 · Affiliate of 10% Owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · By entity

Disclosed balance after: 43,071

Underlying: Common Stock · 2,025 shares

Expires 2030-10-12

F1 · ownership.nature: The reported securities are owned directly by Strome Mezzanine Fund II, LP ("SMF II"), which were acquired pursuant to a Securities Purchase Agreement that SMF II entered into with the issuer.

F2 · ownership.nature: Strome Investment Management, LP is the general partner of SMF II. Strome Group, Inc. is the general partner of Strome Investment Management, LP. Mark E. Strome is the President and CEO of Strome Group, Inc. Mr. Strome, Strome Investment Management, LP and Strome Group, Inc. (together, the "Reporting Persons") may be deemed to share voting and investment power for and to beneficially own the shares held by SMF II under Section 13(d) of the Securities Exchange Act of 1934 (the "Exchange Act").

F3 · ownership.nature: Pursuant to Rule 16a-1(a)(4) of 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 owner of any equity securities reported herein.

SEC source: 0001213900-25-100376 · ownership.xml · nonDerivative · entry 1

STROME MARK E · CIK 0000919484 · 10% owner

STROME INVESTMENT MANAGEMENT LP · CIK 0000936711 · Affiliate of 10% Owner

STROME GROUP, INC. · CIK 0001724136 · Affiliate of 10% Owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · By entity

Disclosed balance after: 452,942

F1 · shares: The reported securities are owned directly by Strome Mezzanine Fund II, LP ("SMF II"), which were acquired pursuant to a Securities Purchase Agreement that SMF II entered into with the issuer.

F1 · ownership.nature: The reported securities are owned directly by Strome Mezzanine Fund II, LP ("SMF II"), which were acquired pursuant to a Securities Purchase Agreement that SMF II entered into with the issuer.

F2 · ownership.nature: Strome Investment Management, LP is the general partner of SMF II. Strome Group, Inc. is the general partner of Strome Investment Management, LP. Mark E. Strome is the President and CEO of Strome Group, Inc. Mr. Strome, Strome Investment Management, LP and Strome Group, Inc. (together, the "Reporting Persons") may be deemed to share voting and investment power for and to beneficially own the shares held by SMF II under Section 13(d) of the Securities Exchange Act of 1934 (the "Exchange Act").

F3 · ownership.nature: Pursuant to Rule 16a-1(a)(4) of 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 owner of any equity securities reported herein.

SEC source: 0001213900-25-004766 · ownership.xml · nonDerivative · entry 1

STROME MARK E · CIK 0000919484 · 10% owner

STROME INVESTMENT MANAGEMENT LP · CIK 0000936711 · Affiliate of 10% Owner

STROME GROUP, INC. · CIK 0001724136 · Affiliate of 10% Owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · By entity

Disclosed balance after: 432,683

F1 · shares: The reported securities are owned directly by Strome Mezzanine Fund, LP ("SMF"). On January 17, 2025, SMF entered into an Exchange Agreement with the Issuer, pursuant to which in exchange for cancelling the License Co-Development Participation Agreement between the Issuer and SMF dated October 8, 2020, the Issuer agreed to issue to SMF the reported securities.

F1 · ownership.nature: The reported securities are owned directly by Strome Mezzanine Fund, LP ("SMF"). On January 17, 2025, SMF entered into an Exchange Agreement with the Issuer, pursuant to which in exchange for cancelling the License Co-Development Participation Agreement between the Issuer and SMF dated October 8, 2020, the Issuer agreed to issue to SMF the reported securities.

F2 · ownership.nature: Strome Investment Management, LP is the general partner of SMF. Strome Group, Inc. is the general partner of Strome Investment Management, LP. Mark E. Strome is the President and CEO of Strome Group, Inc. Mr. Strome, Strome Investment Management, LP and Strome Group, Inc. (together, the "Reporting Persons") may be deemed to share voting and investment power for and to beneficially own the shares held by SMF under Section 13(d) of the Securities Exchange Act of 1934 (the "Exchange Act").

F3 · ownership.nature: Pursuant to Rule 16a-1(a)(4) of 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 owner of any equity securities reported herein.

SEC source: 0001213900-24-113655 · ownership.xml · derivative · entry 2

STROME MARK E · CIK 0000919484 · 10% owner

STROME INVESTMENT MANAGEMENT LP · CIK 0000936711 · 10% owner

STROME GROUP, INC. · CIK 0001724136 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · By entity

Disclosed balance after: 44,171

Underlying: Common Stock · 7,500 shares

Expires 2029-12-26

F1 · shares: The reported securities are held by Strome Mezzanine Fund II, LP ("SMF II). Strome Investment Management, LP is the general partner of SMF II. Strome Group, Inc. is the general partner of Strome Investment Management, LP. Mark E. Strome is the President and CEO of Strome Group, Inc. Mr. Strome, Strome Investment Management, LP and Strome Group, Inc. (together, the "Reporting Persons") may be deemed to share voting and investment power for the shares held by SME II. The Reporting Persons disclaim beneficial ownership of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934 (the "Exchange Act"), except to the extent of their pecuniary interest therein. 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 owner of any equity securities reported herein.

F1 · derivative.underlying_shares: The reported securities are held by Strome Mezzanine Fund II, LP ("SMF II). Strome Investment Management, LP is the general partner of SMF II. Strome Group, Inc. is the general partner of Strome Investment Management, LP. Mark E. Strome is the President and CEO of Strome Group, Inc. Mr. Strome, Strome Investment Management, LP and Strome Group, Inc. (together, the "Reporting Persons") may be deemed to share voting and investment power for the shares held by SME II. The Reporting Persons disclaim beneficial ownership of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934 (the "Exchange Act"), except to the extent of their pecuniary interest therein. 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 owner of any equity securities reported herein.

F1 · ownership.nature: The reported securities are held by Strome Mezzanine Fund II, LP ("SMF II). Strome Investment Management, LP is the general partner of SMF II. Strome Group, Inc. is the general partner of Strome Investment Management, LP. Mark E. Strome is the President and CEO of Strome Group, Inc. Mr. Strome, Strome Investment Management, LP and Strome Group, Inc. (together, the "Reporting Persons") may be deemed to share voting and investment power for the shares held by SME II. The Reporting Persons disclaim beneficial ownership of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934 (the "Exchange Act"), except to the extent of their pecuniary interest therein. 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 owner of any equity securities reported herein.

SEC source: 0001213900-24-113655 · ownership.xml · nonDerivative · entry 1

STROME MARK E · CIK 0000919484 · 10% owner

STROME INVESTMENT MANAGEMENT LP · CIK 0000936711 · 10% owner

STROME GROUP, INC. · CIK 0001724136 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · By entity

Disclosed balance after: 398,683

F1 · shares: The reported securities are held by Strome Mezzanine Fund II, LP ("SMF II). Strome Investment Management, LP is the general partner of SMF II. Strome Group, Inc. is the general partner of Strome Investment Management, LP. Mark E. Strome is the President and CEO of Strome Group, Inc. Mr. Strome, Strome Investment Management, LP and Strome Group, Inc. (together, the "Reporting Persons") may be deemed to share voting and investment power for the shares held by SME II. The Reporting Persons disclaim beneficial ownership of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934 (the "Exchange Act"), except to the extent of their pecuniary interest therein. 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 owner of any equity securities reported herein.

F1 · ownership.nature: The reported securities are held by Strome Mezzanine Fund II, LP ("SMF II). Strome Investment Management, LP is the general partner of SMF II. Strome Group, Inc. is the general partner of Strome Investment Management, LP. Mark E. Strome is the President and CEO of Strome Group, Inc. Mr. Strome, Strome Investment Management, LP and Strome Group, Inc. (together, the "Reporting Persons") may be deemed to share voting and investment power for the shares held by SME II. The Reporting Persons disclaim beneficial ownership of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934 (the "Exchange Act"), except to the extent of their pecuniary interest therein. 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 owner of any equity securities reported herein.

SEC source: 0001213900-25-006115 · ownership.xml · nonDerivative · entry 1

STROME MARK E · CIK 0000919484 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 890,620

F1 · shares: The reported securities were sold in multiple transactions at prices ranging from $1.32 to $1.80. The reported price reflects the weighted average price. The Reporting Person undertakes to provide to the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each separate price for all transactions reported on this Form 5.

F1 · price: The reported securities were sold in multiple transactions at prices ranging from $1.32 to $1.80. The reported price reflects the weighted average price. The Reporting Person undertakes to provide to the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each separate price for all transactions reported on this Form 5.

F2 · ownership.direct: The reported securities are directly owned by certain trust and private fund (the "Strome Investors") managed, directly or indirectly, by the Reporting Person. The Reporting Person disclaims beneficial ownership of the reported securities directly owned by the Strome Investors for purposes of Section 16 of the Securities Exchange Act of 1934 (the "Exchange Act"), except to the extent of his pecuniary interest therein.

F3 · ownership.direct: Pursuant to Rule 16a-1(a)(4) of the Exchange Act, this filing shall not be deemed an admission that the Reporting Person is, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owner of any equity securities reported herein.

F2 · ownership.nature: The reported securities are directly owned by certain trust and private fund (the "Strome Investors") managed, directly or indirectly, by the Reporting Person. The Reporting Person disclaims beneficial ownership of the reported securities directly owned by the Strome Investors for purposes of Section 16 of the Securities Exchange Act of 1934 (the "Exchange Act"), except to the extent of his pecuniary interest therein.

F3 · ownership.nature: Pursuant to Rule 16a-1(a)(4) of the Exchange Act, this filing shall not be deemed an admission that the Reporting Person is, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owner of any equity securities reported herein.

SEC source: 0001213900-25-006114 · ownership.xml · derivative · entry 2

STROME MARK E · CIK 0000919484 · 10% owner

STROME INVESTMENT MANAGEMENT LP · CIK 0000936711 · Affiliate of 10% Owner

STROME GROUP, INC. · CIK 0001724136 · Affiliate of 10% Owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · By entity

Disclosed balance after: 44,171

Underlying: Common Stock · Not disclosed shares

Expires 2029-08-27

F1 · shares: The reported securities are owned directly by Strome Mezzanine Fund II, LP ("SMF II).

F1 · ownership.nature: The reported securities are owned directly by Strome Mezzanine Fund II, LP ("SMF II).

F2 · ownership.nature: Strome Investment Management, LP is the general partner of SMF II. Strome Group, Inc. is the general partner of Strome Investment Management, LP. Mark E. Strome is the President and CEO of Strome Group, Inc. Mr. Strome, Strome Investment Management, LP and Strome Group, Inc. (together, the "Reporting Persons") may be deemed to share voting and investment power for and to beneficially own the shares held by SMF under Section 13(d) of the Securities Exchange Act of 1934 (the "Exchange Act").

F3 · ownership.nature: Pursuant to Rule 16a-1(a)(4) of 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 owner of any equity securities reported herein.

SEC source: 0001213900-25-006114 · ownership.xml · nonDerivative · entry 1

STROME MARK E · CIK 0000919484 · 10% owner

STROME INVESTMENT MANAGEMENT LP · CIK 0000936711 · Affiliate of 10% Owner

STROME GROUP, INC. · CIK 0001724136 · Affiliate of 10% Owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · By entity

Disclosed balance after: 398,683

F1 · shares: The reported securities are owned directly by Strome Mezzanine Fund II, LP ("SMF II).

F1 · ownership.nature: The reported securities are owned directly by Strome Mezzanine Fund II, LP ("SMF II).

F2 · ownership.nature: Strome Investment Management, LP is the general partner of SMF II. Strome Group, Inc. is the general partner of Strome Investment Management, LP. Mark E. Strome is the President and CEO of Strome Group, Inc. Mr. Strome, Strome Investment Management, LP and Strome Group, Inc. (together, the "Reporting Persons") may be deemed to share voting and investment power for and to beneficially own the shares held by SMF under Section 13(d) of the Securities Exchange Act of 1934 (the "Exchange Act").

F3 · ownership.nature: Pursuant to Rule 16a-1(a)(4) of 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 owner of any equity securities reported herein.

SEC source: 0001779372-24-000014 · wk-form4_1718916414.xml · nonDerivative · entry 1

STROME MARK E · CIK 0000919484 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 57,146

F1 · ownership.direct: These securities are restricted stock units (RSUs). Each RSU represents a contingent right to receive one share of Common Stock of the Issuer. 100% of the RSUs shall vest on the earlier of June 12, 2025 or the date of the Issuer's 2025 annual meeting of stockholders, subject to the Reporting Person continuing to be an Outside Director (as defined in the Issuer's 2022 Equity Inventive Plan) through the applicable vesting date.

SEC source: 0001213900-23-057633 · ownership.xml · nonDerivative · entry 1

STROME MARK E · CIK 0000919484 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 23,961

F1 · shares: These securities are restricted stock units (RSUs). Each RSU represents a contingent right to receive one share of Common Stock of the Issuer. 100% of the RSUs shall vest on the earlier of July 13, 2024 or the date of the Issuer's 2024 annual meeting of stockholders, subject to the Reporting Person continuing to be an Outside Director (as defined in the Issuer's 2022 Equity Inventive Plan) through the applicable vesting date.

SEC source: 0001793373-23-000005 · primary_doc.xml · derivative · entry 11

STROME MARK E · CIK 0000919484 · 10% owner

STROME MEZZANINE FUND, LP · CIK 0001713153 · 10% owner

Strome Alpha Fund L P · CIK 0001324539 · 10% owner

STROME INVESTMENT MANAGEMENT LP · CIK 0000936711 · 10% owner

STROME GROUP, INC. · CIK 0001724136 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · By entity

Disclosed balance after: 0

Underlying: Common Stock · 4,166 shares

Expires 2022-11-20

F5 · kind: Expiration of long derivative position (warrant) without value received.

F2 · ownership.nature: This filing is made on behalf of Strome Mezzanine Fund, L.P ("Strome Mezzanine"), Strome Alpha Fund LP ("Strome Alpha"), Strome Investment Management, LP, Strome Group, Inc., and Mark Strome (together, the "Reporting Persons"). Strome Investment Management, LP is the general partner of Strome Mezzanine. Strome Group, Inc. is the general partner of Strome Investment Management, LP. Mark Strome is the President and CEO of Strome Group, Inc. Strome Investment Management, LP, Strome Group, Inc., and Mark Strome may be deemed to share voting and investment power for the shares held by Strome Mezzanine and Strome Alpha.

F3 · ownership.nature: Pursuant to Rule 16a-1(a)(4) of the Securities Exchange Act of 1934 (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 owner of any equity securities reported herein.

SEC source: 0001793373-23-000005 · primary_doc.xml · derivative · entry 10

STROME MARK E · CIK 0000919484 · 10% owner

STROME MEZZANINE FUND, LP · CIK 0001713153 · 10% owner

Strome Alpha Fund L P · CIK 0001324539 · 10% owner

STROME INVESTMENT MANAGEMENT LP · CIK 0000936711 · 10% owner

STROME GROUP, INC. · CIK 0001724136 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · By entity

Disclosed balance after: 0

Underlying: Common Stock · 104,166 shares

Expires 2022-11-20

F5 · kind: Expiration of long derivative position (warrant) without value received.

F2 · ownership.nature: This filing is made on behalf of Strome Mezzanine Fund, L.P ("Strome Mezzanine"), Strome Alpha Fund LP ("Strome Alpha"), Strome Investment Management, LP, Strome Group, Inc., and Mark Strome (together, the "Reporting Persons"). Strome Investment Management, LP is the general partner of Strome Mezzanine. Strome Group, Inc. is the general partner of Strome Investment Management, LP. Mark Strome is the President and CEO of Strome Group, Inc. Strome Investment Management, LP, Strome Group, Inc., and Mark Strome may be deemed to share voting and investment power for the shares held by Strome Mezzanine and Strome Alpha.

F3 · ownership.nature: Pursuant to Rule 16a-1(a)(4) of the Securities Exchange Act of 1934 (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 owner of any equity securities reported herein.

SEC source: 0001793373-23-000005 · primary_doc.xml · derivative · entry 9

STROME MARK E · CIK 0000919484 · 10% owner

STROME MEZZANINE FUND, LP · CIK 0001713153 · 10% owner

Strome Alpha Fund L P · CIK 0001324539 · 10% owner

STROME INVESTMENT MANAGEMENT LP · CIK 0000936711 · 10% owner

STROME GROUP, INC. · CIK 0001724136 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · By entity

Disclosed balance after: 0

Underlying: Common Stock · 3,125 shares

Expires 2022-11-20

F5 · kind: Expiration of long derivative position (warrant) without value received.

F2 · ownership.nature: This filing is made on behalf of Strome Mezzanine Fund, L.P ("Strome Mezzanine"), Strome Alpha Fund LP ("Strome Alpha"), Strome Investment Management, LP, Strome Group, Inc., and Mark Strome (together, the "Reporting Persons"). Strome Investment Management, LP is the general partner of Strome Mezzanine. Strome Group, Inc. is the general partner of Strome Investment Management, LP. Mark Strome is the President and CEO of Strome Group, Inc. Strome Investment Management, LP, Strome Group, Inc., and Mark Strome may be deemed to share voting and investment power for the shares held by Strome Mezzanine and Strome Alpha.

F3 · ownership.nature: Pursuant to Rule 16a-1(a)(4) of the Securities Exchange Act of 1934 (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 owner of any equity securities reported herein.

SEC source: 0001793373-23-000005 · primary_doc.xml · derivative · entry 8

STROME MARK E · CIK 0000919484 · 10% owner

STROME MEZZANINE FUND, LP · CIK 0001713153 · 10% owner

Strome Alpha Fund L P · CIK 0001324539 · 10% owner

STROME INVESTMENT MANAGEMENT LP · CIK 0000936711 · 10% owner

STROME GROUP, INC. · CIK 0001724136 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · By entity

Disclosed balance after: 0

Underlying: Common Stock · 8,333 shares

Expires 2022-11-20

F5 · kind: Expiration of long derivative position (warrant) without value received.

F2 · ownership.nature: This filing is made on behalf of Strome Mezzanine Fund, L.P ("Strome Mezzanine"), Strome Alpha Fund LP ("Strome Alpha"), Strome Investment Management, LP, Strome Group, Inc., and Mark Strome (together, the "Reporting Persons"). Strome Investment Management, LP is the general partner of Strome Mezzanine. Strome Group, Inc. is the general partner of Strome Investment Management, LP. Mark Strome is the President and CEO of Strome Group, Inc. Strome Investment Management, LP, Strome Group, Inc., and Mark Strome may be deemed to share voting and investment power for the shares held by Strome Mezzanine and Strome Alpha.

F3 · ownership.nature: Pursuant to Rule 16a-1(a)(4) of the Securities Exchange Act of 1934 (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 owner of any equity securities reported herein.

SEC source: 0001793373-23-000005 · primary_doc.xml · derivative · entry 7

STROME MARK E · CIK 0000919484 · 10% owner

STROME MEZZANINE FUND, LP · CIK 0001713153 · 10% owner

Strome Alpha Fund L P · CIK 0001324539 · 10% owner

STROME INVESTMENT MANAGEMENT LP · CIK 0000936711 · 10% owner

STROME GROUP, INC. · CIK 0001724136 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · By entity

Disclosed balance after: 0

Underlying: Common Stock · 208,333 shares

Expires 2022-11-20

F5 · kind: Expiration of long derivative position (warrant) without value received.

F2 · ownership.nature: This filing is made on behalf of Strome Mezzanine Fund, L.P ("Strome Mezzanine"), Strome Alpha Fund LP ("Strome Alpha"), Strome Investment Management, LP, Strome Group, Inc., and Mark Strome (together, the "Reporting Persons"). Strome Investment Management, LP is the general partner of Strome Mezzanine. Strome Group, Inc. is the general partner of Strome Investment Management, LP. Mark Strome is the President and CEO of Strome Group, Inc. Strome Investment Management, LP, Strome Group, Inc., and Mark Strome may be deemed to share voting and investment power for the shares held by Strome Mezzanine and Strome Alpha.

F3 · ownership.nature: Pursuant to Rule 16a-1(a)(4) of the Securities Exchange Act of 1934 (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 owner of any equity securities reported herein.

SEC source: 0001793373-23-000005 · primary_doc.xml · derivative · entry 6

STROME MARK E · CIK 0000919484 · 10% owner

STROME MEZZANINE FUND, LP · CIK 0001713153 · 10% owner

Strome Alpha Fund L P · CIK 0001324539 · 10% owner

STROME INVESTMENT MANAGEMENT LP · CIK 0000936711 · 10% owner

STROME GROUP, INC. · CIK 0001724136 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · By entity

Disclosed balance after: 0

Underlying: Common Stock · 3,125 shares

Expires 2022-09-25

F5 · kind: Expiration of long derivative position (warrant) without value received.

F2 · ownership.nature: This filing is made on behalf of Strome Mezzanine Fund, L.P ("Strome Mezzanine"), Strome Alpha Fund LP ("Strome Alpha"), Strome Investment Management, LP, Strome Group, Inc., and Mark Strome (together, the "Reporting Persons"). Strome Investment Management, LP is the general partner of Strome Mezzanine. Strome Group, Inc. is the general partner of Strome Investment Management, LP. Mark Strome is the President and CEO of Strome Group, Inc. Strome Investment Management, LP, Strome Group, Inc., and Mark Strome may be deemed to share voting and investment power for the shares held by Strome Mezzanine and Strome Alpha.

F3 · ownership.nature: Pursuant to Rule 16a-1(a)(4) of the Securities Exchange Act of 1934 (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 owner of any equity securities reported herein.

SEC source: 0001793373-23-000005 · primary_doc.xml · derivative · entry 5

STROME MARK E · CIK 0000919484 · 10% owner

STROME MEZZANINE FUND, LP · CIK 0001713153 · 10% owner

Strome Alpha Fund L P · CIK 0001324539 · 10% owner

STROME INVESTMENT MANAGEMENT LP · CIK 0000936711 · 10% owner

STROME GROUP, INC. · CIK 0001724136 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · By entity

Disclosed balance after: 0

Underlying: Common Stock · 3,125 shares

Expires 2022-07-24

F5 · kind: Expiration of long derivative position (warrant) without value received.

F2 · ownership.nature: This filing is made on behalf of Strome Mezzanine Fund, L.P ("Strome Mezzanine"), Strome Alpha Fund LP ("Strome Alpha"), Strome Investment Management, LP, Strome Group, Inc., and Mark Strome (together, the "Reporting Persons"). Strome Investment Management, LP is the general partner of Strome Mezzanine. Strome Group, Inc. is the general partner of Strome Investment Management, LP. Mark Strome is the President and CEO of Strome Group, Inc. Strome Investment Management, LP, Strome Group, Inc., and Mark Strome may be deemed to share voting and investment power for the shares held by Strome Mezzanine and Strome Alpha.

F3 · ownership.nature: Pursuant to Rule 16a-1(a)(4) of the Securities Exchange Act of 1934 (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 owner of any equity securities reported herein.

SEC source: 0001793373-23-000005 · primary_doc.xml · derivative · entry 4

STROME MARK E · CIK 0000919484 · 10% owner

STROME MEZZANINE FUND, LP · CIK 0001713153 · 10% owner

Strome Alpha Fund L P · CIK 0001324539 · 10% owner

STROME INVESTMENT MANAGEMENT LP · CIK 0000936711 · 10% owner

STROME GROUP, INC. · CIK 0001724136 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · By entity

Disclosed balance after: 0

Underlying: Common Stock · 326,286 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.

F4 · derivative.exercise_date: The convertible debt was convertible at any time prior to, and did not expire until, the repayment or conversion of the convertible debt in full.

F4 · derivative.expiration_date: The convertible debt was convertible at any time prior to, and did not expire until, the repayment or conversion of the convertible debt in full.

F2 · ownership.nature: This filing is made on behalf of Strome Mezzanine Fund, L.P ("Strome Mezzanine"), Strome Alpha Fund LP ("Strome Alpha"), Strome Investment Management, LP, Strome Group, Inc., and Mark Strome (together, the "Reporting Persons"). Strome Investment Management, LP is the general partner of Strome Mezzanine. Strome Group, Inc. is the general partner of Strome Investment Management, LP. Mark Strome is the President and CEO of Strome Group, Inc. Strome Investment Management, LP, Strome Group, Inc., and Mark Strome may be deemed to share voting and investment power for the shares held by Strome Mezzanine and Strome Alpha.

F3 · ownership.nature: Pursuant to Rule 16a-1(a)(4) of the Securities Exchange Act of 1934 (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 owner of any equity securities reported herein.

SEC source: 0001793373-23-000005 · primary_doc.xml · derivative · entry 3

STROME MARK E · CIK 0000919484 · 10% owner

STROME MEZZANINE FUND, LP · CIK 0001713153 · 10% owner

Strome Alpha Fund L P · CIK 0001324539 · 10% owner

STROME INVESTMENT MANAGEMENT LP · CIK 0000936711 · 10% owner

STROME GROUP, INC. · CIK 0001724136 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · By trust

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2026-06-02

F3 · ownership.nature: Pursuant to Rule 16a-1(a)(4) of the Securities Exchange Act of 1934 (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 owner of any equity securities reported herein.

SEC source: 0001793373-23-000005 · primary_doc.xml · nonDerivative · entry 2

STROME MARK E · CIK 0000919484 · 10% owner

STROME MEZZANINE FUND, LP · CIK 0001713153 · 10% owner

Strome Alpha Fund L P · CIK 0001324539 · 10% owner

STROME INVESTMENT MANAGEMENT LP · CIK 0000936711 · 10% owner

STROME GROUP, INC. · CIK 0001724136 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · By trust

Disclosed balance after: 203,601

SEC source: 0001793373-23-000005 · primary_doc.xml · nonDerivative · entry 1

STROME MARK E · CIK 0000919484 · 10% owner

STROME MEZZANINE FUND, LP · CIK 0001713153 · 10% owner

Strome Alpha Fund L P · CIK 0001324539 · 10% owner

STROME INVESTMENT MANAGEMENT LP · CIK 0000936711 · 10% owner

STROME GROUP, INC. · CIK 0001724136 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · By entity

Disclosed balance after: 326,286

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 · kind: The reported transaction resulted from the conversion of convertible debt into shares of common stock at $8.00.

F2 · ownership.nature: This filing is made on behalf of Strome Mezzanine Fund, L.P ("Strome Mezzanine"), Strome Alpha Fund LP ("Strome Alpha"), Strome Investment Management, LP, Strome Group, Inc., and Mark Strome (together, the "Reporting Persons"). Strome Investment Management, LP is the general partner of Strome Mezzanine. Strome Group, Inc. is the general partner of Strome Investment Management, LP. Mark Strome is the President and CEO of Strome Group, Inc. Strome Investment Management, LP, Strome Group, Inc., and Mark Strome may be deemed to share voting and investment power for the shares held by Strome Mezzanine and Strome Alpha.

F3 · ownership.nature: Pursuant to Rule 16a-1(a)(4) of the Securities Exchange Act of 1934 (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 owner of any equity securities reported herein.

SEC source: 0000899243-21-000505 · doc4.xml · derivative · entry 5

STROME MARK E · CIK 0000919484 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 1,055,930 shares

Expires 2020-12-31

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: The Issuer and the Reporting Persons agreed to the payment in kind of the accrued interest in the amount of $348,456.83 due under the 12% Senior Secured Subordinated Convertible Debenture as of the conversion date at a price of $0.33 per share, which was approved by the issuer's board of directors.

F3 · derivative.exercise_date: Subject to the Issuer increasing its authorized shares of common stock, which occurred on December 18, 2020, the reported security was convertible into common stock at the option of the Fund at any time on or prior to the maturity date on December 31, 2020.

F1 · ownership.nature: The reported security is owned directly by Strome Mezzanine Fund II, LP (the "Fund"). Strome Investment Management, L.P. ("SIM") is the general partner of the Fund and may be deemed to beneficially own the reported security under Section 13(d) of the Securities Exchange Act of 1934 (the "Exchange Act"). Strome Group Inc. ("SG") is the general partner of SIM and may also be deemed to beneficially own the reported security under Section 13(d) of the Exchange Act. Mark E. Strome is the President and CEO of SG and may also be deemed to beneficially own the reported security under Section 13(d) of the Exchange Act. SIM, SG and Mr. Strome disclaim beneficial ownership of the reported security for purposes of Section 16 of the Exchange Act, except the extent of their respective pecuniary interest in the security. The Fund, SIM, SG and Mr. Strome are hereby referred to as the "Reporting Persons".

SEC source: 0000899243-21-000505 · doc4.xml · derivative · entry 4

STROME MARK E · CIK 0000919484 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 3,750,000 shares

Expires 2020-12-31

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 · derivative.exercise_date: Subject to the Issuer increasing its authorized shares of common stock, which occurred on December 18, 2020, the reported security was convertible into common stock at the option of the Fund at any time on or prior to the maturity date on December 31, 2020.

F1 · ownership.nature: The reported security is owned directly by Strome Mezzanine Fund II, LP (the "Fund"). Strome Investment Management, L.P. ("SIM") is the general partner of the Fund and may be deemed to beneficially own the reported security under Section 13(d) of the Securities Exchange Act of 1934 (the "Exchange Act"). Strome Group Inc. ("SG") is the general partner of SIM and may also be deemed to beneficially own the reported security under Section 13(d) of the Exchange Act. Mark E. Strome is the President and CEO of SG and may also be deemed to beneficially own the reported security under Section 13(d) of the Exchange Act. SIM, SG and Mr. Strome disclaim beneficial ownership of the reported security for purposes of Section 16 of the Exchange Act, except the extent of their respective pecuniary interest in the security. The Fund, SIM, SG and Mr. Strome are hereby referred to as the "Reporting Persons".

SEC source: 0000899243-21-000505 · doc4.xml · derivative · entry 3

STROME MARK E · CIK 0000919484 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: Not disclosed

Underlying: Common Stock · 1,055,930 shares

Expires 2020-12-31

F2 · kind: The Issuer and the Reporting Persons agreed to the payment in kind of the accrued interest in the amount of $348,456.83 due under the 12% Senior Secured Subordinated Convertible Debenture as of the conversion date at a price of $0.33 per share, which was approved by the issuer's board of directors.

F3 · price: Subject to the Issuer increasing its authorized shares of common stock, which occurred on December 18, 2020, the reported security was convertible into common stock at the option of the Fund at any time on or prior to the maturity date on December 31, 2020.

F3 · derivative.exercise_date: Subject to the Issuer increasing its authorized shares of common stock, which occurred on December 18, 2020, the reported security was convertible into common stock at the option of the Fund at any time on or prior to the maturity date on December 31, 2020.

F1 · ownership.nature: The reported security is owned directly by Strome Mezzanine Fund II, LP (the "Fund"). Strome Investment Management, L.P. ("SIM") is the general partner of the Fund and may be deemed to beneficially own the reported security under Section 13(d) of the Securities Exchange Act of 1934 (the "Exchange Act"). Strome Group Inc. ("SG") is the general partner of SIM and may also be deemed to beneficially own the reported security under Section 13(d) of the Exchange Act. Mark E. Strome is the President and CEO of SG and may also be deemed to beneficially own the reported security under Section 13(d) of the Exchange Act. SIM, SG and Mr. Strome disclaim beneficial ownership of the reported security for purposes of Section 16 of the Exchange Act, except the extent of their respective pecuniary interest in the security. The Fund, SIM, SG and Mr. Strome are hereby referred to as the "Reporting Persons".

SEC source: 0000899243-21-000505 · doc4.xml · nonDerivative · entry 2

STROME MARK E · CIK 0000919484 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 9,291,198

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: The Issuer and the Reporting Persons agreed to the payment in kind of the accrued interest in the amount of $348,456.83 due under the 12% Senior Secured Subordinated Convertible Debenture as of the conversion date at a price of $0.33 per share, which was approved by the issuer's board of directors.

F1 · ownership.nature: The reported security is owned directly by Strome Mezzanine Fund II, LP (the "Fund"). Strome Investment Management, L.P. ("SIM") is the general partner of the Fund and may be deemed to beneficially own the reported security under Section 13(d) of the Securities Exchange Act of 1934 (the "Exchange Act"). Strome Group Inc. ("SG") is the general partner of SIM and may also be deemed to beneficially own the reported security under Section 13(d) of the Exchange Act. Mark E. Strome is the President and CEO of SG and may also be deemed to beneficially own the reported security under Section 13(d) of the Exchange Act. SIM, SG and Mr. Strome disclaim beneficial ownership of the reported security for purposes of Section 16 of the Exchange Act, except the extent of their respective pecuniary interest in the security. The Fund, SIM, SG and Mr. Strome are hereby referred to as the "Reporting Persons".

SEC source: 0000899243-21-000505 · doc4.xml · nonDerivative · entry 1

STROME MARK E · CIK 0000919484 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 8,235,268

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 · ownership.nature: The reported security is owned directly by Strome Mezzanine Fund II, LP (the "Fund"). Strome Investment Management, L.P. ("SIM") is the general partner of the Fund and may be deemed to beneficially own the reported security under Section 13(d) of the Securities Exchange Act of 1934 (the "Exchange Act"). Strome Group Inc. ("SG") is the general partner of SIM and may also be deemed to beneficially own the reported security under Section 13(d) of the Exchange Act. Mark E. Strome is the President and CEO of SG and may also be deemed to beneficially own the reported security under Section 13(d) of the Exchange Act. SIM, SG and Mr. Strome disclaim beneficial ownership of the reported security for purposes of Section 16 of the Exchange Act, except the extent of their respective pecuniary interest in the security. The Fund, SIM, SG and Mr. Strome are hereby referred to as the "Reporting Persons".

SEC source: 0000899243-20-030117 · doc4a.xml · derivative · entry 2

STROME MARK E · CIK 0000919484 · 10% owner

STROME MEZZANINE FUND, LP · CIK 0001713153 · 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: 6,400

Underlying: Common Stock · Not disclosed shares

Expires not disclosed

F2 · kind: This Amendment reports the rescission on October 29, 2020 of the purchase of the 1,650 shares of Series H Stock on August 14, 2020 by Strome Mezzanine Fund, LP (the "Fund"), which was reported in the original Form 4. The purchase of the reported Series H Stock (the "Rescinded Stock") was rescinded by the mutual agreement of the issuer and the Fund for the purpose of resolving certain disputes that had arisen between the issuer and the Reporting Persons (as defined below) in connection with the original transaction. Pursuant to the rescission agreement among the parties, the purchase of the Rescinded Stock has been deemed null and void ab initio by the issuer as if the original transaction documents were never entered into by the Fund and the purchase of the Rescinded Stock had never occurred.

F3 · kind: (continued from footnote 2) In connection with the rescission and voiding of this purchase, the Fund was refunded its original purchase price for the Rescinded Stock and surrendered the Rescinded Stock to the issuer for cancellation, as a result of which the issuer and each Reporting Person have been placed in the position it was in with respect to the ownership of the Rescinded Stock immediately prior to the transaction.

F2 · price: This Amendment reports the rescission on October 29, 2020 of the purchase of the 1,650 shares of Series H Stock on August 14, 2020 by Strome Mezzanine Fund, LP (the "Fund"), which was reported in the original Form 4. The purchase of the reported Series H Stock (the "Rescinded Stock") was rescinded by the mutual agreement of the issuer and the Fund for the purpose of resolving certain disputes that had arisen between the issuer and the Reporting Persons (as defined below) in connection with the original transaction. Pursuant to the rescission agreement among the parties, the purchase of the Rescinded Stock has been deemed null and void ab initio by the issuer as if the original transaction documents were never entered into by the Fund and the purchase of the Rescinded Stock had never occurred.

F3 · price: (continued from footnote 2) In connection with the rescission and voiding of this purchase, the Fund was refunded its original purchase price for the Rescinded Stock and surrendered the Rescinded Stock to the issuer for cancellation, as a result of which the issuer and each Reporting Person have been placed in the position it was in with respect to the ownership of the Rescinded Stock immediately prior to the transaction.

F2 · derivative.exercise_date: This Amendment reports the rescission on October 29, 2020 of the purchase of the 1,650 shares of Series H Stock on August 14, 2020 by Strome Mezzanine Fund, LP (the "Fund"), which was reported in the original Form 4. The purchase of the reported Series H Stock (the "Rescinded Stock") was rescinded by the mutual agreement of the issuer and the Fund for the purpose of resolving certain disputes that had arisen between the issuer and the Reporting Persons (as defined below) in connection with the original transaction. Pursuant to the rescission agreement among the parties, the purchase of the Rescinded Stock has been deemed null and void ab initio by the issuer as if the original transaction documents were never entered into by the Fund and the purchase of the Rescinded Stock had never occurred.

F3 · derivative.exercise_date: (continued from footnote 2) In connection with the rescission and voiding of this purchase, the Fund was refunded its original purchase price for the Rescinded Stock and surrendered the Rescinded Stock to the issuer for cancellation, as a result of which the issuer and each Reporting Person have been placed in the position it was in with respect to the ownership of the Rescinded Stock immediately prior to the transaction.

F2 · derivative.expiration_date: This Amendment reports the rescission on October 29, 2020 of the purchase of the 1,650 shares of Series H Stock on August 14, 2020 by Strome Mezzanine Fund, LP (the "Fund"), which was reported in the original Form 4. The purchase of the reported Series H Stock (the "Rescinded Stock") was rescinded by the mutual agreement of the issuer and the Fund for the purpose of resolving certain disputes that had arisen between the issuer and the Reporting Persons (as defined below) in connection with the original transaction. Pursuant to the rescission agreement among the parties, the purchase of the Rescinded Stock has been deemed null and void ab initio by the issuer as if the original transaction documents were never entered into by the Fund and the purchase of the Rescinded Stock had never occurred.

F3 · derivative.expiration_date: (continued from footnote 2) In connection with the rescission and voiding of this purchase, the Fund was refunded its original purchase price for the Rescinded Stock and surrendered the Rescinded Stock to the issuer for cancellation, as a result of which the issuer and each Reporting Person have been placed in the position it was in with respect to the ownership of the Rescinded Stock immediately prior to the transaction.

F2 · derivative.underlying_shares: This Amendment reports the rescission on October 29, 2020 of the purchase of the 1,650 shares of Series H Stock on August 14, 2020 by Strome Mezzanine Fund, LP (the "Fund"), which was reported in the original Form 4. The purchase of the reported Series H Stock (the "Rescinded Stock") was rescinded by the mutual agreement of the issuer and the Fund for the purpose of resolving certain disputes that had arisen between the issuer and the Reporting Persons (as defined below) in connection with the original transaction. Pursuant to the rescission agreement among the parties, the purchase of the Rescinded Stock has been deemed null and void ab initio by the issuer as if the original transaction documents were never entered into by the Fund and the purchase of the Rescinded Stock had never occurred.

F3 · derivative.underlying_shares: (continued from footnote 2) In connection with the rescission and voiding of this purchase, the Fund was refunded its original purchase price for the Rescinded Stock and surrendered the Rescinded Stock to the issuer for cancellation, as a result of which the issuer and each Reporting Person have been placed in the position it was in with respect to the ownership of the Rescinded Stock immediately prior to the transaction.

F2 · ownership.nature: This Amendment reports the rescission on October 29, 2020 of the purchase of the 1,650 shares of Series H Stock on August 14, 2020 by Strome Mezzanine Fund, LP (the "Fund"), which was reported in the original Form 4. The purchase of the reported Series H Stock (the "Rescinded Stock") was rescinded by the mutual agreement of the issuer and the Fund for the purpose of resolving certain disputes that had arisen between the issuer and the Reporting Persons (as defined below) in connection with the original transaction. Pursuant to the rescission agreement among the parties, the purchase of the Rescinded Stock has been deemed null and void ab initio by the issuer as if the original transaction documents were never entered into by the Fund and the purchase of the Rescinded Stock had never occurred.

F3 · ownership.nature: (continued from footnote 2) In connection with the rescission and voiding of this purchase, the Fund was refunded its original purchase price for the Rescinded Stock and surrendered the Rescinded Stock to the issuer for cancellation, as a result of which the issuer and each Reporting Person have been placed in the position it was in with respect to the ownership of the Rescinded Stock immediately prior to the transaction.

F4 · ownership.nature: The reported securities are owned directly by the Fund. Strome Investment Management, L.P. ("SIM") is the general partner of the Fund and may be deemed to beneficially own the reported securities under Section 13(d) of the Securities Exchange Act of 1934 (the "Exchange Act"). Strome Group Inc. ("SG") is the general partner of SIM and may also be deemed to beneficially own the reported securities under Section 13(d) of the Exchange Act. Mark E. Strome is the President and CEO of SG and may also be deemed to beneficially own the reported securities under Section 13(d) of the Exchange Act. SIM, SG and Mr. Strome disclaim beneficial ownership of the reported securities for purposes of Section 16 of the Exchange Act, except the extent of their respective pecuniary interest in the securities. The Fund, SIM, SG and Mr. Strome are hereby referred to as the "Reporting Persons".

SEC source: 0000899243-20-030115 · doc4a.xml · derivative · entry 4

STROME MARK E · CIK 0000919484 · 10% owner

STROME MEZZANINE FUND, LP · CIK 0001713153 · 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: 8,050

Underlying: Common Stock · Not disclosed shares

Expires not disclosed

F2 · kind: This Amendment reports the rescission on October 29, 2020 of (a) the purchase of the 82.5 shares of Series H Stock on August 19, 2020 by Strome Alpha Fund, L.P. (the "Alpha Fund") and (b) the purchase of the 412.5 shares of Series H Stock on August 20, 2020 by Strome Mezzanine Fund, LP (collectively with the Alpha Fund, the "Funds"), each of which was reported in the original Form 4. The purchases of the reported Series H Stock (the "Rescinded Stock") were rescinded by the mutual agreement of the issuer and the Funds for the purpose of resolving certain disputes that had arisen between the issuer and the Reporting Persons (as defined below) in connection with the original transactions. Pursuant to the rescission agreement among the parties, the purchases of the Rescinded Stock have been deemed null and void ab initio by the issuer as if the original transaction documents were never entered into by the Funds and the purchases of the Rescinded Stock had never occurred.

F3 · kind: (Continued from Footnote 2) In connection with the rescission and voiding of these purchases, each Fund was refunded its original purchase price for the Rescinded Stock and surrendered the Rescinded Stock to the issuer for cancellation, as a result of which the issuer and each Reporting Person have been placed in the position it was in with respect to the ownership of the Rescinded Stock immediately prior to such transactions.

F2 · price: This Amendment reports the rescission on October 29, 2020 of (a) the purchase of the 82.5 shares of Series H Stock on August 19, 2020 by Strome Alpha Fund, L.P. (the "Alpha Fund") and (b) the purchase of the 412.5 shares of Series H Stock on August 20, 2020 by Strome Mezzanine Fund, LP (collectively with the Alpha Fund, the "Funds"), each of which was reported in the original Form 4. The purchases of the reported Series H Stock (the "Rescinded Stock") were rescinded by the mutual agreement of the issuer and the Funds for the purpose of resolving certain disputes that had arisen between the issuer and the Reporting Persons (as defined below) in connection with the original transactions. Pursuant to the rescission agreement among the parties, the purchases of the Rescinded Stock have been deemed null and void ab initio by the issuer as if the original transaction documents were never entered into by the Funds and the purchases of the Rescinded Stock had never occurred.

F3 · price: (Continued from Footnote 2) In connection with the rescission and voiding of these purchases, each Fund was refunded its original purchase price for the Rescinded Stock and surrendered the Rescinded Stock to the issuer for cancellation, as a result of which the issuer and each Reporting Person have been placed in the position it was in with respect to the ownership of the Rescinded Stock immediately prior to such transactions.

F2 · derivative.exercise_date: This Amendment reports the rescission on October 29, 2020 of (a) the purchase of the 82.5 shares of Series H Stock on August 19, 2020 by Strome Alpha Fund, L.P. (the "Alpha Fund") and (b) the purchase of the 412.5 shares of Series H Stock on August 20, 2020 by Strome Mezzanine Fund, LP (collectively with the Alpha Fund, the "Funds"), each of which was reported in the original Form 4. The purchases of the reported Series H Stock (the "Rescinded Stock") were rescinded by the mutual agreement of the issuer and the Funds for the purpose of resolving certain disputes that had arisen between the issuer and the Reporting Persons (as defined below) in connection with the original transactions. Pursuant to the rescission agreement among the parties, the purchases of the Rescinded Stock have been deemed null and void ab initio by the issuer as if the original transaction documents were never entered into by the Funds and the purchases of the Rescinded Stock had never occurred.

F3 · derivative.exercise_date: (Continued from Footnote 2) In connection with the rescission and voiding of these purchases, each Fund was refunded its original purchase price for the Rescinded Stock and surrendered the Rescinded Stock to the issuer for cancellation, as a result of which the issuer and each Reporting Person have been placed in the position it was in with respect to the ownership of the Rescinded Stock immediately prior to such transactions.

F2 · derivative.expiration_date: This Amendment reports the rescission on October 29, 2020 of (a) the purchase of the 82.5 shares of Series H Stock on August 19, 2020 by Strome Alpha Fund, L.P. (the "Alpha Fund") and (b) the purchase of the 412.5 shares of Series H Stock on August 20, 2020 by Strome Mezzanine Fund, LP (collectively with the Alpha Fund, the "Funds"), each of which was reported in the original Form 4. The purchases of the reported Series H Stock (the "Rescinded Stock") were rescinded by the mutual agreement of the issuer and the Funds for the purpose of resolving certain disputes that had arisen between the issuer and the Reporting Persons (as defined below) in connection with the original transactions. Pursuant to the rescission agreement among the parties, the purchases of the Rescinded Stock have been deemed null and void ab initio by the issuer as if the original transaction documents were never entered into by the Funds and the purchases of the Rescinded Stock had never occurred.

F3 · derivative.expiration_date: (Continued from Footnote 2) In connection with the rescission and voiding of these purchases, each Fund was refunded its original purchase price for the Rescinded Stock and surrendered the Rescinded Stock to the issuer for cancellation, as a result of which the issuer and each Reporting Person have been placed in the position it was in with respect to the ownership of the Rescinded Stock immediately prior to such transactions.

F2 · derivative.underlying_shares: This Amendment reports the rescission on October 29, 2020 of (a) the purchase of the 82.5 shares of Series H Stock on August 19, 2020 by Strome Alpha Fund, L.P. (the "Alpha Fund") and (b) the purchase of the 412.5 shares of Series H Stock on August 20, 2020 by Strome Mezzanine Fund, LP (collectively with the Alpha Fund, the "Funds"), each of which was reported in the original Form 4. The purchases of the reported Series H Stock (the "Rescinded Stock") were rescinded by the mutual agreement of the issuer and the Funds for the purpose of resolving certain disputes that had arisen between the issuer and the Reporting Persons (as defined below) in connection with the original transactions. Pursuant to the rescission agreement among the parties, the purchases of the Rescinded Stock have been deemed null and void ab initio by the issuer as if the original transaction documents were never entered into by the Funds and the purchases of the Rescinded Stock had never occurred.

F3 · derivative.underlying_shares: (Continued from Footnote 2) In connection with the rescission and voiding of these purchases, each Fund was refunded its original purchase price for the Rescinded Stock and surrendered the Rescinded Stock to the issuer for cancellation, as a result of which the issuer and each Reporting Person have been placed in the position it was in with respect to the ownership of the Rescinded Stock immediately prior to such transactions.

F2 · ownership.nature: This Amendment reports the rescission on October 29, 2020 of (a) the purchase of the 82.5 shares of Series H Stock on August 19, 2020 by Strome Alpha Fund, L.P. (the "Alpha Fund") and (b) the purchase of the 412.5 shares of Series H Stock on August 20, 2020 by Strome Mezzanine Fund, LP (collectively with the Alpha Fund, the "Funds"), each of which was reported in the original Form 4. The purchases of the reported Series H Stock (the "Rescinded Stock") were rescinded by the mutual agreement of the issuer and the Funds for the purpose of resolving certain disputes that had arisen between the issuer and the Reporting Persons (as defined below) in connection with the original transactions. Pursuant to the rescission agreement among the parties, the purchases of the Rescinded Stock have been deemed null and void ab initio by the issuer as if the original transaction documents were never entered into by the Funds and the purchases of the Rescinded Stock had never occurred.

F3 · ownership.nature: (Continued from Footnote 2) In connection with the rescission and voiding of these purchases, each Fund was refunded its original purchase price for the Rescinded Stock and surrendered the Rescinded Stock to the issuer for cancellation, as a result of which the issuer and each Reporting Person have been placed in the position it was in with respect to the ownership of the Rescinded Stock immediately prior to such transactions.

F6 · ownership.nature: Strome Investment Management, L.P. ("SIM") is the general partner of the Funds. Strome Group Inc. ("SG") is the general partner of SIM, and Mark E. Strome is the President and CEO of SG. Each of SIM, SG and Mr. Strome may be deemed to beneficially own the reported securities held by the Funds under Section 13(d) of the Securities Exchange Act of 1934 (the "Exchange Act"), and hereby disclaims beneficial ownership of the reported securities for purposes of Section 16 of the Exchange Act, except the extent of its or his respective pecuniary interest in the reported securities. The Funds, SIM, SG and Mr. Strome are hereby referred to as the "Reporting Persons".

SEC source: 0000899243-20-030115 · doc4a.xml · derivative · entry 3

STROME MARK E · CIK 0000919484 · 10% owner

STROME MEZZANINE FUND, LP · CIK 0001713153 · 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: 8,462.5

Underlying: Common Stock · Not disclosed shares

Expires not disclosed

F2 · kind: This Amendment reports the rescission on October 29, 2020 of (a) the purchase of the 82.5 shares of Series H Stock on August 19, 2020 by Strome Alpha Fund, L.P. (the "Alpha Fund") and (b) the purchase of the 412.5 shares of Series H Stock on August 20, 2020 by Strome Mezzanine Fund, LP (collectively with the Alpha Fund, the "Funds"), each of which was reported in the original Form 4. The purchases of the reported Series H Stock (the "Rescinded Stock") were rescinded by the mutual agreement of the issuer and the Funds for the purpose of resolving certain disputes that had arisen between the issuer and the Reporting Persons (as defined below) in connection with the original transactions. Pursuant to the rescission agreement among the parties, the purchases of the Rescinded Stock have been deemed null and void ab initio by the issuer as if the original transaction documents were never entered into by the Funds and the purchases of the Rescinded Stock had never occurred.

F3 · kind: (Continued from Footnote 2) In connection with the rescission and voiding of these purchases, each Fund was refunded its original purchase price for the Rescinded Stock and surrendered the Rescinded Stock to the issuer for cancellation, as a result of which the issuer and each Reporting Person have been placed in the position it was in with respect to the ownership of the Rescinded Stock immediately prior to such transactions.

F2 · price: This Amendment reports the rescission on October 29, 2020 of (a) the purchase of the 82.5 shares of Series H Stock on August 19, 2020 by Strome Alpha Fund, L.P. (the "Alpha Fund") and (b) the purchase of the 412.5 shares of Series H Stock on August 20, 2020 by Strome Mezzanine Fund, LP (collectively with the Alpha Fund, the "Funds"), each of which was reported in the original Form 4. The purchases of the reported Series H Stock (the "Rescinded Stock") were rescinded by the mutual agreement of the issuer and the Funds for the purpose of resolving certain disputes that had arisen between the issuer and the Reporting Persons (as defined below) in connection with the original transactions. Pursuant to the rescission agreement among the parties, the purchases of the Rescinded Stock have been deemed null and void ab initio by the issuer as if the original transaction documents were never entered into by the Funds and the purchases of the Rescinded Stock had never occurred.

F3 · price: (Continued from Footnote 2) In connection with the rescission and voiding of these purchases, each Fund was refunded its original purchase price for the Rescinded Stock and surrendered the Rescinded Stock to the issuer for cancellation, as a result of which the issuer and each Reporting Person have been placed in the position it was in with respect to the ownership of the Rescinded Stock immediately prior to such transactions.

F2 · derivative.exercise_date: This Amendment reports the rescission on October 29, 2020 of (a) the purchase of the 82.5 shares of Series H Stock on August 19, 2020 by Strome Alpha Fund, L.P. (the "Alpha Fund") and (b) the purchase of the 412.5 shares of Series H Stock on August 20, 2020 by Strome Mezzanine Fund, LP (collectively with the Alpha Fund, the "Funds"), each of which was reported in the original Form 4. The purchases of the reported Series H Stock (the "Rescinded Stock") were rescinded by the mutual agreement of the issuer and the Funds for the purpose of resolving certain disputes that had arisen between the issuer and the Reporting Persons (as defined below) in connection with the original transactions. Pursuant to the rescission agreement among the parties, the purchases of the Rescinded Stock have been deemed null and void ab initio by the issuer as if the original transaction documents were never entered into by the Funds and the purchases of the Rescinded Stock had never occurred.

F3 · derivative.exercise_date: (Continued from Footnote 2) In connection with the rescission and voiding of these purchases, each Fund was refunded its original purchase price for the Rescinded Stock and surrendered the Rescinded Stock to the issuer for cancellation, as a result of which the issuer and each Reporting Person have been placed in the position it was in with respect to the ownership of the Rescinded Stock immediately prior to such transactions.

F2 · derivative.expiration_date: This Amendment reports the rescission on October 29, 2020 of (a) the purchase of the 82.5 shares of Series H Stock on August 19, 2020 by Strome Alpha Fund, L.P. (the "Alpha Fund") and (b) the purchase of the 412.5 shares of Series H Stock on August 20, 2020 by Strome Mezzanine Fund, LP (collectively with the Alpha Fund, the "Funds"), each of which was reported in the original Form 4. The purchases of the reported Series H Stock (the "Rescinded Stock") were rescinded by the mutual agreement of the issuer and the Funds for the purpose of resolving certain disputes that had arisen between the issuer and the Reporting Persons (as defined below) in connection with the original transactions. Pursuant to the rescission agreement among the parties, the purchases of the Rescinded Stock have been deemed null and void ab initio by the issuer as if the original transaction documents were never entered into by the Funds and the purchases of the Rescinded Stock had never occurred.

F3 · derivative.expiration_date: (Continued from Footnote 2) In connection with the rescission and voiding of these purchases, each Fund was refunded its original purchase price for the Rescinded Stock and surrendered the Rescinded Stock to the issuer for cancellation, as a result of which the issuer and each Reporting Person have been placed in the position it was in with respect to the ownership of the Rescinded Stock immediately prior to such transactions.

F2 · derivative.underlying_shares: This Amendment reports the rescission on October 29, 2020 of (a) the purchase of the 82.5 shares of Series H Stock on August 19, 2020 by Strome Alpha Fund, L.P. (the "Alpha Fund") and (b) the purchase of the 412.5 shares of Series H Stock on August 20, 2020 by Strome Mezzanine Fund, LP (collectively with the Alpha Fund, the "Funds"), each of which was reported in the original Form 4. The purchases of the reported Series H Stock (the "Rescinded Stock") were rescinded by the mutual agreement of the issuer and the Funds for the purpose of resolving certain disputes that had arisen between the issuer and the Reporting Persons (as defined below) in connection with the original transactions. Pursuant to the rescission agreement among the parties, the purchases of the Rescinded Stock have been deemed null and void ab initio by the issuer as if the original transaction documents were never entered into by the Funds and the purchases of the Rescinded Stock had never occurred.

F3 · derivative.underlying_shares: (Continued from Footnote 2) In connection with the rescission and voiding of these purchases, each Fund was refunded its original purchase price for the Rescinded Stock and surrendered the Rescinded Stock to the issuer for cancellation, as a result of which the issuer and each Reporting Person have been placed in the position it was in with respect to the ownership of the Rescinded Stock immediately prior to such transactions.

F2 · ownership.nature: This Amendment reports the rescission on October 29, 2020 of (a) the purchase of the 82.5 shares of Series H Stock on August 19, 2020 by Strome Alpha Fund, L.P. (the "Alpha Fund") and (b) the purchase of the 412.5 shares of Series H Stock on August 20, 2020 by Strome Mezzanine Fund, LP (collectively with the Alpha Fund, the "Funds"), each of which was reported in the original Form 4. The purchases of the reported Series H Stock (the "Rescinded Stock") were rescinded by the mutual agreement of the issuer and the Funds for the purpose of resolving certain disputes that had arisen between the issuer and the Reporting Persons (as defined below) in connection with the original transactions. Pursuant to the rescission agreement among the parties, the purchases of the Rescinded Stock have been deemed null and void ab initio by the issuer as if the original transaction documents were never entered into by the Funds and the purchases of the Rescinded Stock had never occurred.

F3 · ownership.nature: (Continued from Footnote 2) In connection with the rescission and voiding of these purchases, each Fund was refunded its original purchase price for the Rescinded Stock and surrendered the Rescinded Stock to the issuer for cancellation, as a result of which the issuer and each Reporting Person have been placed in the position it was in with respect to the ownership of the Rescinded Stock immediately prior to such transactions.

F6 · ownership.nature: Strome Investment Management, L.P. ("SIM") is the general partner of the Funds. Strome Group Inc. ("SG") is the general partner of SIM, and Mark E. Strome is the President and CEO of SG. Each of SIM, SG and Mr. Strome may be deemed to beneficially own the reported securities held by the Funds under Section 13(d) of the Securities Exchange Act of 1934 (the "Exchange Act"), and hereby disclaims beneficial ownership of the reported securities for purposes of Section 16 of the Exchange Act, except the extent of its or his respective pecuniary interest in the reported securities. The Funds, SIM, SG and Mr. Strome are hereby referred to as the "Reporting Persons".

SEC source: 0001793373-20-000012 · primary_doc.xml · derivative · entry 1

STROME MARK E · CIK 0000919484 · 10% owner

STROME MEZZANINE FUND, LP · CIK 0001713153 · 10% owner

STROME INVESTMENT MANAGEMENT LP · CIK 0000936711 · 10% owner

STROME GROUP, INC. · CIK 0001724136 · 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: 1,500,000

Underlying: Common Stock · 1,500,000 shares

Expires 2025-10-08

F1 · price: Strome Mezzanine Fund, L.P. ("Strome Mezzanine") entered into a License Co-Development Participation Agreement dated October 8, 2020 (the "Participation Agreement") with Zivo Bioscience, Inc. ("Zivo"), pursuant to which Strome Mezzanine agreed to fund a portion of the budgeted costs for Zivo's work to enter into certain license agreements. As additional consideration for Strome Mezzanine's funding of the Participation Agreement and to encourage Strome Mezzanine's continued investment in Zivo, Zivo issued this warrant to Strome Mezzanine. No valuation of this portion of the consideration was assigned.

F2 · ownership.nature: This filing is made on behalf of Strome Mezzanine, Strome Investment Management, LP, Strome Group, Inc., and Mark Strome (together, the "Reporting Persons"). Strome Investment Management, LP is the general partner of Strome Mezzanine. Strome Group, Inc. is the general partner of Strome Investment Management, LP. Mark Strome is the President and CEO of Strome Group, Inc. Strome Investment Management, LP, Strome Group, Inc., and Mark Strome may be deemed to share voting and investment power for the shares held by Strome Mezzanine.

F3 · ownership.nature: Pursuant to Rule 16a-1(a)(4) of the Securities Exchange Act of 1934 (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 owner of any equity securities reported herein.

SEC source: 0000899243-20-023212 · doc4.xml · derivative · entry 2

STROME MARK E · CIK 0000919484 · 10% owner

STROME MEZZANINE FUND, LP · CIK 0001713153 · 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: 8,545

Underlying: Common Stock · Not disclosed shares

Expires not disclosed

F4 · derivative.exercise_date: Subject to the conversion limitation (described in note 5), the reported securities are convertible into common stock of the issuer at any time, and has no expiration date, but are subject to mandatory conversion on the fifth anniversary of the original issuance date.

F4 · derivative.expiration_date: Subject to the conversion limitation (described in note 5), the reported securities are convertible into common stock of the issuer at any time, and has no expiration date, but are subject to mandatory conversion on the fifth anniversary of the original issuance date.

F5 · derivative.underlying_shares: The reported securities are subject to a conversion limitation that prohibits the issuer from effecting a conversion of the reported securities into common stock if giving effect to the conversion would cause the holder to beneficially own (together with its affiliates or any "group" members) in excess of 4.99% of the common stock (or, upon notice by the holder, in excess of 9.99% of the common stock). As beneficial owners of more than 10% of the common stock, the Reporting Persons are effectively barred from converting the reported securities into additional shares of common stock. Absent this conversion limitation, the reported securities held by the Funds would be convertible into 1,500,000 shares of the issuer's common stock at the election of the Funds.

F2 · ownership.nature: The reported securities are owned directly by Strome Mezzanine Fund, LP (the "Mezzanine Fund").

F3 · ownership.nature: Strome Investment Management, L.P. ("SIM") is the general partner of the Alpha Fund and the Mezzanine Fund (collectively, the "Funds"). Strome Group Inc. ("SG") is the general partner of SIM, and Mark E. Strome is the President and CEO of SG. Each of SIM, SG and Mr. Strome may be deemed to beneficially own the reported securities held by the Funds under Section 13(d) of the Securities Exchange Act of 1934 (the "Exchange Act"), and hereby disclaims beneficial ownership of the reported securities for purposes of Section 16 of the Exchange Act, except the extent of its or his respective pecuniary interest in the reported securities. The Funds, SIM, SG and Mr. Strome are hereby referred to as the "Reporting Persons".

SEC source: 0000899243-20-030115 · doc4a.xml · derivative · entry 2

STROME MARK E · CIK 0000919484 · 10% owner

STROME MEZZANINE FUND, LP · CIK 0001713153 · 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: 8,545

Underlying: Common Stock · Not disclosed shares

Expires not disclosed

F1 · price: Due to a scrivener's error, the original Form 4, as filed on August 21, 2020, inadvertently listed the stated value per share of the reported shares of Series H Convertible Preferred Stock (the "Series H Stock") instead of the purchase price paid per share for the reported Series H Stock, which is reflected in this Amendment.

F7 · derivative.exercise_date: Subject to the conversion limitation (described in note 8), the reported securities are convertible into common stock of the issuer at any time, and has no expiration date, but are subject to mandatory conversion on the fifth anniversary of the original issuance date.

F7 · derivative.expiration_date: Subject to the conversion limitation (described in note 8), the reported securities are convertible into common stock of the issuer at any time, and has no expiration date, but are subject to mandatory conversion on the fifth anniversary of the original issuance date.

F8 · derivative.underlying_shares: The reported securities are subject to a conversion limitation that prohibits the issuer from effecting a conversion of the reported securities into common stock if giving effect to the conversion would cause the holder to beneficially own (together with its affiliates or any "group" members) in excess of 4.99% of the common stock (or, upon notice by the holder, in excess of 9.99% of the common stock). As beneficial owners of more than 10% of the common stock, the Reporting Persons are effectively barred from converting the reported securities into additional shares of common stock. Absent this conversion limitation, the reported securities held by the Funds would be convertible into 1,500,000 shares of the issuer's common stock at the election of the Funds.

F2 · balance_after: This Amendment reports the rescission on October 29, 2020 of (a) the purchase of the 82.5 shares of Series H Stock on August 19, 2020 by Strome Alpha Fund, L.P. (the "Alpha Fund") and (b) the purchase of the 412.5 shares of Series H Stock on August 20, 2020 by Strome Mezzanine Fund, LP (collectively with the Alpha Fund, the "Funds"), each of which was reported in the original Form 4. The purchases of the reported Series H Stock (the "Rescinded Stock") were rescinded by the mutual agreement of the issuer and the Funds for the purpose of resolving certain disputes that had arisen between the issuer and the Reporting Persons (as defined below) in connection with the original transactions. Pursuant to the rescission agreement among the parties, the purchases of the Rescinded Stock have been deemed null and void ab initio by the issuer as if the original transaction documents were never entered into by the Funds and the purchases of the Rescinded Stock had never occurred.

F3 · balance_after: (Continued from Footnote 2) In connection with the rescission and voiding of these purchases, each Fund was refunded its original purchase price for the Rescinded Stock and surrendered the Rescinded Stock to the issuer for cancellation, as a result of which the issuer and each Reporting Person have been placed in the position it was in with respect to the ownership of the Rescinded Stock immediately prior to such transactions.

F5 · ownership.nature: The reported securities are owned directly by the Mezzanine Fund.

F6 · ownership.nature: Strome Investment Management, L.P. ("SIM") is the general partner of the Funds. Strome Group Inc. ("SG") is the general partner of SIM, and Mark E. Strome is the President and CEO of SG. Each of SIM, SG and Mr. Strome may be deemed to beneficially own the reported securities held by the Funds under Section 13(d) of the Securities Exchange Act of 1934 (the "Exchange Act"), and hereby disclaims beneficial ownership of the reported securities for purposes of Section 16 of the Exchange Act, except the extent of its or his respective pecuniary interest in the reported securities. The Funds, SIM, SG and Mr. Strome are hereby referred to as the "Reporting Persons".

SEC source: 0000899243-20-023212 · doc4.xml · derivative · entry 1

STROME MARK E · CIK 0000919484 · 10% owner

STROME MEZZANINE FUND, LP · CIK 0001713153 · 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: 8,132.5

Underlying: Common Stock · Not disclosed shares

Expires not disclosed

F4 · derivative.exercise_date: Subject to the conversion limitation (described in note 5), the reported securities are convertible into common stock of the issuer at any time, and has no expiration date, but are subject to mandatory conversion on the fifth anniversary of the original issuance date.

F4 · derivative.expiration_date: Subject to the conversion limitation (described in note 5), the reported securities are convertible into common stock of the issuer at any time, and has no expiration date, but are subject to mandatory conversion on the fifth anniversary of the original issuance date.

F5 · derivative.underlying_shares: The reported securities are subject to a conversion limitation that prohibits the issuer from effecting a conversion of the reported securities into common stock if giving effect to the conversion would cause the holder to beneficially own (together with its affiliates or any "group" members) in excess of 4.99% of the common stock (or, upon notice by the holder, in excess of 9.99% of the common stock). As beneficial owners of more than 10% of the common stock, the Reporting Persons are effectively barred from converting the reported securities into additional shares of common stock. Absent this conversion limitation, the reported securities held by the Funds would be convertible into 1,500,000 shares of the issuer's common stock at the election of the Funds.

F1 · ownership.nature: The reported securities are owned directly by Strome Alpha Fund, L.P. (the "Alpha Fund").

F3 · ownership.nature: Strome Investment Management, L.P. ("SIM") is the general partner of the Alpha Fund and the Mezzanine Fund (collectively, the "Funds"). Strome Group Inc. ("SG") is the general partner of SIM, and Mark E. Strome is the President and CEO of SG. Each of SIM, SG and Mr. Strome may be deemed to beneficially own the reported securities held by the Funds under Section 13(d) of the Securities Exchange Act of 1934 (the "Exchange Act"), and hereby disclaims beneficial ownership of the reported securities for purposes of Section 16 of the Exchange Act, except the extent of its or his respective pecuniary interest in the reported securities. The Funds, SIM, SG and Mr. Strome are hereby referred to as the "Reporting Persons".

SEC source: 0000899243-20-030115 · doc4a.xml · derivative · entry 1

STROME MARK E · CIK 0000919484 · 10% owner

STROME MEZZANINE FUND, LP · CIK 0001713153 · 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: 8,132.5

Underlying: Common Stock · Not disclosed shares

Expires not disclosed

F1 · price: Due to a scrivener's error, the original Form 4, as filed on August 21, 2020, inadvertently listed the stated value per share of the reported shares of Series H Convertible Preferred Stock (the "Series H Stock") instead of the purchase price paid per share for the reported Series H Stock, which is reflected in this Amendment.

F7 · derivative.exercise_date: Subject to the conversion limitation (described in note 8), the reported securities are convertible into common stock of the issuer at any time, and has no expiration date, but are subject to mandatory conversion on the fifth anniversary of the original issuance date.

F7 · derivative.expiration_date: Subject to the conversion limitation (described in note 8), the reported securities are convertible into common stock of the issuer at any time, and has no expiration date, but are subject to mandatory conversion on the fifth anniversary of the original issuance date.

F8 · derivative.underlying_shares: The reported securities are subject to a conversion limitation that prohibits the issuer from effecting a conversion of the reported securities into common stock if giving effect to the conversion would cause the holder to beneficially own (together with its affiliates or any "group" members) in excess of 4.99% of the common stock (or, upon notice by the holder, in excess of 9.99% of the common stock). As beneficial owners of more than 10% of the common stock, the Reporting Persons are effectively barred from converting the reported securities into additional shares of common stock. Absent this conversion limitation, the reported securities held by the Funds would be convertible into 1,500,000 shares of the issuer's common stock at the election of the Funds.

F2 · balance_after: This Amendment reports the rescission on October 29, 2020 of (a) the purchase of the 82.5 shares of Series H Stock on August 19, 2020 by Strome Alpha Fund, L.P. (the "Alpha Fund") and (b) the purchase of the 412.5 shares of Series H Stock on August 20, 2020 by Strome Mezzanine Fund, LP (collectively with the Alpha Fund, the "Funds"), each of which was reported in the original Form 4. The purchases of the reported Series H Stock (the "Rescinded Stock") were rescinded by the mutual agreement of the issuer and the Funds for the purpose of resolving certain disputes that had arisen between the issuer and the Reporting Persons (as defined below) in connection with the original transactions. Pursuant to the rescission agreement among the parties, the purchases of the Rescinded Stock have been deemed null and void ab initio by the issuer as if the original transaction documents were never entered into by the Funds and the purchases of the Rescinded Stock had never occurred.

F3 · balance_after: (Continued from Footnote 2) In connection with the rescission and voiding of these purchases, each Fund was refunded its original purchase price for the Rescinded Stock and surrendered the Rescinded Stock to the issuer for cancellation, as a result of which the issuer and each Reporting Person have been placed in the position it was in with respect to the ownership of the Rescinded Stock immediately prior to such transactions.

F4 · ownership.nature: The reported securities are owned directly by the Alpha Fund.

F6 · ownership.nature: Strome Investment Management, L.P. ("SIM") is the general partner of the Funds. Strome Group Inc. ("SG") is the general partner of SIM, and Mark E. Strome is the President and CEO of SG. Each of SIM, SG and Mr. Strome may be deemed to beneficially own the reported securities held by the Funds under Section 13(d) of the Securities Exchange Act of 1934 (the "Exchange Act"), and hereby disclaims beneficial ownership of the reported securities for purposes of Section 16 of the Exchange Act, except the extent of its or his respective pecuniary interest in the reported securities. The Funds, SIM, SG and Mr. Strome are hereby referred to as the "Reporting Persons".

SEC source: 0000899243-20-022720 · doc4.xml · derivative · entry 1

STROME MARK E · CIK 0000919484 · 10% owner

STROME MEZZANINE FUND, LP · CIK 0001713153 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 8,050

Underlying: Common Stock · Not disclosed shares

Expires not disclosed

F2 · derivative.exercise_date: Subject to the conversion limitation (described in note 3), the reported securities are convertible into common stock of the issuer at any time, and has no expiration date, but is subject to mandatory conversion on the fifth anniversary of the original issuance date.

F2 · derivative.expiration_date: Subject to the conversion limitation (described in note 3), the reported securities are convertible into common stock of the issuer at any time, and has no expiration date, but is subject to mandatory conversion on the fifth anniversary of the original issuance date.

F3 · derivative.underlying_shares: The reported securities are subject to a conversion limitation that prohibits the issuer from effecting a conversion of the reported securities into common stock if giving effect to the conversion would cause the holder to beneficially own (together with its affiliates or any "group" members) in excess of 4.99% of the common stock (or, upon notice by the holder, in excess of 9.99% of the common stock). As beneficial owners of more than 10% of the common stock, the Reporting Persons are effectively barred from converting the reported security into additional shares of common stock. Absent this conversion limitation, the reported securities would be convertible into 5,000,000 shares of the issuer's common stock at the election of the Fund.

F1 · ownership.nature: The reported securities are owned directly by Strome Mezzanine Fund, LP (the "Fund"). Strome Investment Management, L.P. ("SIM") is the general partner of the Fund and may be deemed to beneficially own the reported securities under Section 13(d) of the Securities Exchange Act of 1934 (the "Exchange Act"). Strome Group Inc. ("SG") is the general partner of SIM and may also be deemed to beneficially own the reported securities under Section 13(d) of the Exchange Act. Mark E. Strome is the President and CEO of SG and may also be deemed to beneficially own the reported securities under Section 13(d) of the Exchange Act. SIM, SG and Mr. Strome disclaim beneficial ownership of the reported securities for purposes of Section 16 of the Exchange Act, except the extent of their respective pecuniary interest in the securities. The Fund, SIM, SG and Mr. Strome are hereby referred to as the "Reporting Persons".

SEC source: 0000899243-20-030117 · doc4a.xml · derivative · entry 1

STROME MARK E · CIK 0000919484 · 10% owner

STROME MEZZANINE FUND, LP · CIK 0001713153 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 8,050

Underlying: Common Stock · Not disclosed shares

Expires not disclosed

F1 · price: Due to a scrivener's error, the original Form 4, as filed on August 18, 2020, inadvertently listed the stated value per share of the reported shares of Series H Convertible Preferred Stock (the "Series H Stock") instead of the purchase price paid per share for the reported Series H Stock, which is reflected in this Amendment.

F5 · derivative.exercise_date: Subject to the conversion limitation (described in note 6), the reported securities are convertible into common stock of the issuer at any time, and has no expiration date, but is subject to mandatory conversion on the fifth anniversary of the original issuance date.

F5 · derivative.expiration_date: Subject to the conversion limitation (described in note 6), the reported securities are convertible into common stock of the issuer at any time, and has no expiration date, but is subject to mandatory conversion on the fifth anniversary of the original issuance date.

F6 · derivative.underlying_shares: The reported securities are subject to a conversion limitation that prohibits the issuer from effecting a conversion of the reported securities into common stock if giving effect to the conversion would cause the holder to beneficially own (together with its affiliates or any "group" members) in excess of 4.99% of the common stock (or, upon notice by the holder, in excess of 9.99% of the common stock). As beneficial owners of more than 10% of the common stock, the Reporting Persons are effectively barred from converting the reported security into additional shares of common stock. Absent this conversion limitation, the reported securities would be convertible into 5,000,000 shares of the issuer's common stock at the election of the Fund.

F2 · balance_after: This Amendment reports the rescission on October 29, 2020 of the purchase of the 1,650 shares of Series H Stock on August 14, 2020 by Strome Mezzanine Fund, LP (the "Fund"), which was reported in the original Form 4. The purchase of the reported Series H Stock (the "Rescinded Stock") was rescinded by the mutual agreement of the issuer and the Fund for the purpose of resolving certain disputes that had arisen between the issuer and the Reporting Persons (as defined below) in connection with the original transaction. Pursuant to the rescission agreement among the parties, the purchase of the Rescinded Stock has been deemed null and void ab initio by the issuer as if the original transaction documents were never entered into by the Fund and the purchase of the Rescinded Stock had never occurred.

F3 · balance_after: (continued from footnote 2) In connection with the rescission and voiding of this purchase, the Fund was refunded its original purchase price for the Rescinded Stock and surrendered the Rescinded Stock to the issuer for cancellation, as a result of which the issuer and each Reporting Person have been placed in the position it was in with respect to the ownership of the Rescinded Stock immediately prior to the transaction.

F4 · ownership.nature: The reported securities are owned directly by the Fund. Strome Investment Management, L.P. ("SIM") is the general partner of the Fund and may be deemed to beneficially own the reported securities under Section 13(d) of the Securities Exchange Act of 1934 (the "Exchange Act"). Strome Group Inc. ("SG") is the general partner of SIM and may also be deemed to beneficially own the reported securities under Section 13(d) of the Exchange Act. Mark E. Strome is the President and CEO of SG and may also be deemed to beneficially own the reported securities under Section 13(d) of the Exchange Act. SIM, SG and Mr. Strome disclaim beneficial ownership of the reported securities for purposes of Section 16 of the Exchange Act, except the extent of their respective pecuniary interest in the securities. The Fund, SIM, SG and Mr. Strome are hereby referred to as the "Reporting Persons".

SEC source: 0000899243-19-022597 · doc4.xml · derivative · entry 1

STROME MARK E · CIK 0000919484 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 6,400

Underlying: Common Stock · Not disclosed shares

Expires not disclosed

F2 · derivative.exercise_date: Subject to the conversion limitation (described in note 3), the reported securities are convertible into common stock of the issuer at any time, and has no expiration date, but is subject to mandatory conversion on the fifth anniversary of the issuance date.

F2 · derivative.expiration_date: Subject to the conversion limitation (described in note 3), the reported securities are convertible into common stock of the issuer at any time, and has no expiration date, but is subject to mandatory conversion on the fifth anniversary of the issuance date.

F3 · derivative.underlying_shares: The reported securities are subject to a conversion limitation that prohibits the issuer from effecting a conversion of the reported securities into common stock if giving effect to the conversion would cause the holder to beneficially own (together with its affiliates or any "group" members) in excess of 4.99% of the common stock (or, upon notice by the holder, in excess of 9.99% of the common stock). As beneficial owner of more than 10% of the common stock, the Reporting Person is effectively barred from converting the reported securities into additional shares of common stock. Absent this conversion limitation, the reported securities would be convertible into 1,818,181 shares of the issuer's common stock at the election of the Fund based on a conversion formula, which is determined by dividing the stated value of the reported securities ($1,000) by the conversion price.

F1 · ownership.nature: The reported securities are owned directly by Mark E Strome Living Trust (the "Trust"). Mark E. Strome (the "Reporting Person") is the trustee of the Trust and may be deemed to beneficially own the reported securities under Section 13(d) of the Exchange Act. The Reporting Person disclaims beneficial ownership of the reported securities for purposes of Section 16 of the Exchange Act, except the extent of his respective pecuniary interest in the securities.

SEC source: 0000899243-19-011647 · doc4.xml · derivative · entry 1

STROME MARK E · CIK 0000919484 · 10% owner

STROME MEZZANINE FUND, LP · CIK 0001713153 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 5,800

Underlying: Common Stock · Not disclosed shares

Expires not disclosed

F2 · derivative.exercise_date: Subject to the conversion limitation (described in note 3), the reported security is convertible into common stock of the issuer at any time, and has no expiration date, but is subject to mandatory conversion on the fifth anniversary of the issuance date.

F2 · derivative.expiration_date: Subject to the conversion limitation (described in note 3), the reported security is convertible into common stock of the issuer at any time, and has no expiration date, but is subject to mandatory conversion on the fifth anniversary of the issuance date.

F3 · derivative.underlying_shares: The reported security is subject to a conversion limitation that prohibits the issuer from effecting a conversion of the reported security into common stock if giving effect to the conversion would cause the holder to beneficially own (together with its affiliates or any "group" members) in excess of 4.99% of the common stock (or, upon notice by the holder, in excess of 9.99% of the common stock). As beneficial owners of more than 10% of the common stock, the Reporting Persons are effectively barred from converting the reported security into additional shares of common stock. Absent this conversion limitation, the reported security would be convertible into 606,060 shares of the issuer's common stock at the election of the Fund.

F1 · ownership.nature: The reported securities are owned directly by Strome Mezzanine Fund, LP (the "Fund"). Strome Investment Management, L.P. ("SIM") is the general partner of the Fund and may be deemed to beneficially own the reported security under Section 13(d) of the Securities Exchange Act of 1934 (the "Exchange Act"). Strome Group Inc. ("SG") is the general partner of SIM and may also be deemed to beneficially own the reported security under Section 13(d) of the Exchange Act. Mark E. Strome is the President and CEO of SG and may also be deemed to beneficially own the reported security under Section 13(d) of the Exchange Act. SIM, SG and Mr. Strome disclaim beneficial ownership of the reported security for purposes of Section 16 of the Exchange Act, except the extent of their respective pecuniary interest in the security. The Fund, SIM, SG and Mr. Strome are hereby referred to as the "Reporting Persons".

SEC source: 0000899243-19-008582 · doc4.xml · derivative · entry 1

STROME MARK E · CIK 0000919484 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 1

Underlying: Common Stock · Not disclosed shares

Expires 2020-12-31

F2 · derivative.exercise_date: Subject to the conversion limitation (described in note 3) and the issuer receiving shareholder approval to increase its authorized shares of common stock, the reported security is convertible into common stock at the option of the Fund at any time prior to the maturity date on December 31, 2020.

F2 · derivative.expiration_date: Subject to the conversion limitation (described in note 3) and the issuer receiving shareholder approval to increase its authorized shares of common stock, the reported security is convertible into common stock at the option of the Fund at any time prior to the maturity date on December 31, 2020.

F3 · derivative.underlying_shares: The reported security is subject to a conversion limitation that prohibits the issuer from effecting a conversion of the reported security into common stock if giving effect to the conversion would cause the holder to beneficially own (together with its affiliates or any "group" members) in excess of 4.99% of the common stock (or, upon notice by the holder, in excess of 9.99% of the common stock). As beneficial owners of more than 10% of the common stock, the Reporting Persons are effectively barred from converting the reported security into additional shares of common stock. Absent this conversion limitation and assuming the issuer receives shareholder approval to increase its authorized shares of common stock, the reported security would be convertible into 3,750,000 shares of the issuer's common stock at the election of the Fund.

F1 · ownership.nature: The reported security is owned directly by Strome Mezzanine Fund II, LP (the "Fund"). Strome Investment Management, L.P. ("SIM") is the general partner of the Fund and may be deemed to beneficially own the reported security under Section 13(d) of the Securities Exchange Act of 1934 (the "Exchange Act"). Strome Group Inc. ("SG") is the general partner of SIM and may also be deemed to beneficially own the reported security under Section 13(d) of the Exchange Act. Mark E. Strome is the President and CEO of SG and may also be deemed to beneficially own the reported security under Section 13(d) of the Exchange Act. SIM, SG and Mr. Strome disclaim beneficial ownership of the reported security for purposes of Section 16 of the Exchange Act, except the extent of their respective pecuniary interest in the security. The Fund, SIM, SG and Mr. Strome are hereby referred to as the "Reporting Persons".

SEC source: 0000899243-18-026229 · doc4.xml · derivative · entry 17

STROME MARK E · CIK 0000919484 · 10% owner

STROME MEZZANINE FUND, LP · CIK 0001713153 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 5,600

Underlying: Common Stock · Not disclosed shares

Expires not disclosed

F8 · derivative.exercise_date: The Series H Convertible Preferred Stock is convertible into common stock at any time, and has no expiration date, but is subject to mandatory conversion on the fifth anniversary of the issuance date.

F8 · derivative.expiration_date: The Series H Convertible Preferred Stock is convertible into common stock at any time, and has no expiration date, but is subject to mandatory conversion on the fifth anniversary of the issuance date.

F6 · derivative.underlying_shares: The reported securities are subject to a conversion limitation that prohibits the Issuer from effecting a conversion of the reported securities into common stock if giving effect to the conversion would cause the holder to beneficially own in excess of 4.99% of the common stock (or, upon notice by the holder, in excess of 9.99% of the common stock). As beneficial owners of more than 10% of the common stock, the Reporting Persons are effectively barred from converting the reported securities into additional shares of common stock. Absent this conversion limitation, at the election of the Reporting Persons, the 5,600 shares of Series H Convertible Preferred Stock would be convertible into 16,969,677shares of the issuer's common stock.

F9 · ownership.nature: The reported securities are owned directly by The Mark Strome Revocable Trust (the "Revocable Trust"). Mark E. Strome is the trustee of the Revocable Trust and may also be deemed to beneficially own the reported securities under Section 13(d) of the Exchange Act. Mr. Strome disclaims beneficial ownership of the reported securities for purposes of Section 16 of the Exchange Act, except the extent of his pecuniary interest in the securities.

SEC source: 0000899243-18-026229 · doc4.xml · derivative · entry 16

STROME MARK E · CIK 0000919484 · 10% owner

STROME MEZZANINE FUND, LP · CIK 0001713153 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 4,600

Underlying: Common Stock · Not disclosed shares

Expires not disclosed

F8 · derivative.exercise_date: The Series H Convertible Preferred Stock is convertible into common stock at any time, and has no expiration date, but is subject to mandatory conversion on the fifth anniversary of the issuance date.

F8 · derivative.expiration_date: The Series H Convertible Preferred Stock is convertible into common stock at any time, and has no expiration date, but is subject to mandatory conversion on the fifth anniversary of the issuance date.

F6 · derivative.underlying_shares: The reported securities are subject to a conversion limitation that prohibits the Issuer from effecting a conversion of the reported securities into common stock if giving effect to the conversion would cause the holder to beneficially own in excess of 4.99% of the common stock (or, upon notice by the holder, in excess of 9.99% of the common stock). As beneficial owners of more than 10% of the common stock, the Reporting Persons are effectively barred from converting the reported securities into additional shares of common stock. Absent this conversion limitation, at the election of the Reporting Persons, the 5,600 shares of Series H Convertible Preferred Stock would be convertible into 16,969,677shares of the issuer's common stock.

F2 · ownership.nature: The reported securities are owned directly by Strome Mezzanine Fund LP (the "Fund"), a 10% owner of the issuer. Strome Investment Management, L.P. ("SIM") is the general partner of the Fund and may be deemed to beneficially own the reported securities under Section 13(d) of the Securities Exchange Act of 1934 (the "Exchange Act"). Strome Group Inc. ("SG") is the general partner of SIM and may also be deemed to beneficially own the reported securities under Section 13(d) of the Exchange Act. Mark E. Strome is the President and CEO of SG and may also be deemed to beneficially own the reported securities under Section 13(d) of the Exchange Act. SIM, SG and Mr. Strome disclaim beneficial ownership of the reported securities for purposes of Section 16 of the Exchange Act, except the extent of their respective pecuniary interest in the securities. The Fund, the Living Trust, the Revocable Trust (see note 9 below), SIM, SG and Mr. Strome are hereby referred to as the "Reporting Persons".

SEC source: 0000899243-18-026229 · doc4.xml · derivative · entry 15

STROME MARK E · CIK 0000919484 · 10% owner

STROME MEZZANINE FUND, LP · CIK 0001713153 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 3,600

Underlying: Common Stock · Not disclosed shares

Expires not disclosed

F7 · shares: In a private transaction between the Issuer and the Fund, the principal sum of the 10% Convertible Debenture was converted into 3,600 shares of Series H Convertible Preferred Stock, which are convertible into the same number of the Issuer's common stock, after taking into consideration automatic exercise price adjustments.

F7 · price: In a private transaction between the Issuer and the Fund, the principal sum of the 10% Convertible Debenture was converted into 3,600 shares of Series H Convertible Preferred Stock, which are convertible into the same number of the Issuer's common stock, after taking into consideration automatic exercise price adjustments.

F8 · derivative.exercise_date: The Series H Convertible Preferred Stock is convertible into common stock at any time, and has no expiration date, but is subject to mandatory conversion on the fifth anniversary of the issuance date.

F8 · derivative.expiration_date: The Series H Convertible Preferred Stock is convertible into common stock at any time, and has no expiration date, but is subject to mandatory conversion on the fifth anniversary of the issuance date.

F6 · derivative.underlying_shares: The reported securities are subject to a conversion limitation that prohibits the Issuer from effecting a conversion of the reported securities into common stock if giving effect to the conversion would cause the holder to beneficially own in excess of 4.99% of the common stock (or, upon notice by the holder, in excess of 9.99% of the common stock). As beneficial owners of more than 10% of the common stock, the Reporting Persons are effectively barred from converting the reported securities into additional shares of common stock. Absent this conversion limitation, at the election of the Reporting Persons, the 5,600 shares of Series H Convertible Preferred Stock would be convertible into 16,969,677shares of the issuer's common stock.

F2 · ownership.nature: The reported securities are owned directly by Strome Mezzanine Fund LP (the "Fund"), a 10% owner of the issuer. Strome Investment Management, L.P. ("SIM") is the general partner of the Fund and may be deemed to beneficially own the reported securities under Section 13(d) of the Securities Exchange Act of 1934 (the "Exchange Act"). Strome Group Inc. ("SG") is the general partner of SIM and may also be deemed to beneficially own the reported securities under Section 13(d) of the Exchange Act. Mark E. Strome is the President and CEO of SG and may also be deemed to beneficially own the reported securities under Section 13(d) of the Exchange Act. SIM, SG and Mr. Strome disclaim beneficial ownership of the reported securities for purposes of Section 16 of the Exchange Act, except the extent of their respective pecuniary interest in the securities. The Fund, the Living Trust, the Revocable Trust (see note 9 below), SIM, SG and Mr. Strome are hereby referred to as the "Reporting Persons".

SEC source: 0000899243-18-026229 · doc4.xml · derivative · entry 14

STROME MARK E · CIK 0000919484 · 10% owner

STROME MEZZANINE FUND, LP · CIK 0001713153 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 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.

F6 · kind: The reported securities are subject to a conversion limitation that prohibits the Issuer from effecting a conversion of the reported securities into common stock if giving effect to the conversion would cause the holder to beneficially own in excess of 4.99% of the common stock (or, upon notice by the holder, in excess of 9.99% of the common stock). As beneficial owners of more than 10% of the common stock, the Reporting Persons are effectively barred from converting the reported securities into additional shares of common stock. Absent this conversion limitation, at the election of the Reporting Persons, the 5,600 shares of Series H Convertible Preferred Stock would be convertible into 16,969,677shares of the issuer's common stock.

F5 · derivative.exercise_date: The 10% Convertible Debenture was convertible into common stock at any time, and had no expiration date.

F5 · derivative.expiration_date: The 10% Convertible Debenture was convertible into common stock at any time, and had no expiration date.

F7 · derivative.underlying: In a private transaction between the Issuer and the Fund, the principal sum of the 10% Convertible Debenture was converted into 3,600 shares of Series H Convertible Preferred Stock, which are convertible into the same number of the Issuer's common stock, after taking into consideration automatic exercise price adjustments.

F6 · derivative.underlying_shares: The reported securities are subject to a conversion limitation that prohibits the Issuer from effecting a conversion of the reported securities into common stock if giving effect to the conversion would cause the holder to beneficially own in excess of 4.99% of the common stock (or, upon notice by the holder, in excess of 9.99% of the common stock). As beneficial owners of more than 10% of the common stock, the Reporting Persons are effectively barred from converting the reported securities into additional shares of common stock. Absent this conversion limitation, at the election of the Reporting Persons, the 5,600 shares of Series H Convertible Preferred Stock would be convertible into 16,969,677shares of the issuer's common stock.

F2 · ownership.nature: The reported securities are owned directly by Strome Mezzanine Fund LP (the "Fund"), a 10% owner of the issuer. Strome Investment Management, L.P. ("SIM") is the general partner of the Fund and may be deemed to beneficially own the reported securities under Section 13(d) of the Securities Exchange Act of 1934 (the "Exchange Act"). Strome Group Inc. ("SG") is the general partner of SIM and may also be deemed to beneficially own the reported securities under Section 13(d) of the Exchange Act. Mark E. Strome is the President and CEO of SG and may also be deemed to beneficially own the reported securities under Section 13(d) of the Exchange Act. SIM, SG and Mr. Strome disclaim beneficial ownership of the reported securities for purposes of Section 16 of the Exchange Act, except the extent of their respective pecuniary interest in the securities. The Fund, the Living Trust, the Revocable Trust (see note 9 below), SIM, SG and Mr. Strome are hereby referred to as the "Reporting Persons".

SEC source: 0001736749-18-000011 · primary_doc.xml · derivative · entry 3

STROME MARK E · CIK 0000919484 · 10% owner

Strome Alpha Fund L P · CIK 0001324539 · 10% owner

STROME INVESTMENT MANAGEMENT LP · CIK 0000936711 · 10% owner

STROME GROUP, INC. · CIK 0001724136 · 10% owner

STROME MEZZANINE FUND, LP · CIK 0001713153 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: Not disclosed

Underlying: Common Stock · 6,911,870 shares

Expires 2019-04-01

F6 · price: On June 28, 2018, Strome Mezzanine, Strome Alpha, HEP and Zivo entered into the First Amended and Restated Participation Agreement (the "A&R Participation Agreement"). Under the terms of the A&R Participation Agreement, Strome Mezzanine purchased a participation right in the Eleventh Amended and Restated Senior Secured Promissory Note dated May 16, 2018 (the "Eleventh A&R Note") in the amount of $691,187. The Eleventh A&R Note accrues interest at a rate of eleven percent per annum. The principal amount of the Eleventh A&R Note and accrued interest are convertible to Common Stock of Zivo at $0.10 per share.

F7 · valueOwnedAfter: Under the A&R Participation Agreement, upon conversion Strome Mezzanine and Strome Alpha will receive shares of Common Stock equal to the principal and one-half of the accrued interest but unpaid interest, converted at $0.10 per share. If all of the principal and accrued but unpaid interest were converted as of the date hereof, Strome Mezzanine and Strome Alpha would receive a combined 22,952,461 shares of Common Stock. Under the terms of the A&R Participation Agreement, Strome Mezzanine would receive 17,697,804 shares upon conversion , and Strome Alpha would receive 5,254,657 of the shares issued upon conversion. A copy of the A&R Participation Agreement was filed with Strome Mezzanine's Schedule 13D on October 24, 2018, and a copy of the Eleventh A&R Note was filed with Zivo's Form 8-K on May 18, 2018.

F3 · ownership.nature: This filing is made on behalf of Strome Mezzanine, Strome Alpha, Strome Investment Management, LP, Strome Group, Inc., and Mark Strome (together,the "Reporting Persons"). Strome Investment Management, LP is the general partner of Strome Mezzanine and Strome Alpha. Strome Group, Inc. is the general partner of Strome Investment Management, LP. Mark Strome is the President and CEO of Strome Group, Inc. Strome Investment Management, LP, Strome Group, Inc., and Mark Strome may be deemed to share voting and investment power for the shares held by Strome Mezzanine and Strome Alpha.

F4 · ownership.nature: Pursuant to Rule 16a-1(a)(4) of the Securities Exchange Act of 1934 (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 owner of any equity securities reported herein.