person · Reporting owner

ASHER DANIEL

Disclosed activity across 6 companies

Tapewire entity: 65400
SEC CIK: 0001251859

Reported relationships

Latest disclosed role at each company.

Company	Last reported as	Report date	Published
Angel Oak Financial Strategies Income Term Trustfins · Entity 5597	10% owner	February 11, 2021	February 12, 2021
BRC Group Holdings, Inc.RILY · Entity 6050	10% owner	May 20, 2022	May 27, 2022
ChronoScale Holdings CorpEKSO · Entity 4331	10% owner	February 19, 2026	February 20, 2026
NATIONAL HOLDINGS CORPNHLD · Entity 142239	10% owner	December 24, 2020	December 29, 2020
SEQUANS COMMUNICATIONSSQNS · Entity 7292	10% owner	January 26, 2026	January 28, 2026
Vivaldi Opportunities FundVAM · Entity 148386	10% owner	June 21, 2019	June 17, 2020

Disclosed balances

About these balances

Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.

Angel Oak Financial Strategies Income Term Trust

Report date February 11, 2021 · Filed February 12, 2021

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectbyAFOB FIP MS, LLC	1,029,454	Reported balance After 2021-02-11 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 1 · 2021-02-11 · Sale · Disposed 50,000 · Balance 1,029,454 F1: AFO Blackberry, LLC is the managing member of AFOB FIP MS, LLC and Daniel Asher is deemed to control AFOB Blackberry, LLC. Mr Asher disclaims beneficial interest in the shares held by AFOB FIP MS, LLC except to the extent of any pecuniary interest therein.
Common StockSEC Table I · non-derivative	Indirectby Sphinx Trading	17,693	Reported balance Holding disclosure · report date 2021-02-11 · row 2 Holding and transaction disclosures are not merged. 1 source row Row 2 · Balance 17,693 F2: Oakmont investments, LLC is the General partner of Sphinx Trading, LP and Daniel Asher is deemed to control Oakmont Investments. Mr Asher disclaims beneficial interest in the shares held by Sphinx Trading, LP except to the extent of any pecuniary therein.
Common StockSEC Table I · non-derivative	Indirectby Castle Creek	458,256	Reported balance Holding disclosure · report date 2021-02-11 · row 3 Holding and transaction disclosures are not merged. 1 source row Row 3 · Balance 458,256 F3: Mr Asher is the principal of the general partner of Castle Creek Fund, LP and a limited partner in the fund. Mr Asher disclaims beneficial interest in the shares held by the fund except to the extent of any pecuniary interest therein.

Filing footnotes · ownership attribution and instrument terms

F1: AFO Blackberry, LLC is the managing member of AFOB FIP MS, LLC and Daniel Asher is deemed to control AFOB Blackberry, LLC. Mr Asher disclaims beneficial interest in the shares held by AFOB FIP MS, LLC except to the extent of any pecuniary interest therein.

F2: Oakmont investments, LLC is the General partner of Sphinx Trading, LP and Daniel Asher is deemed to control Oakmont Investments. Mr Asher disclaims beneficial interest in the shares held by Sphinx Trading, LP except to the extent of any pecuniary therein.

F3: Mr Asher is the principal of the general partner of Castle Creek Fund, LP and a limited partner in the fund. Mr Asher disclaims beneficial interest in the shares held by the fund except to the extent of any pecuniary interest therein.

BRC Group Holdings, Inc.

Report date May 20, 2022 · Filed May 27, 2022 · Amendment

Amendment: balances below belong to this corrected disclosure, not necessarily a complete replacement of earlier positions.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Indirectthru Sphinx Trading	1,369,693	Reported balance After 2022-05-20 transaction · row 1 Amendment: may correct only part of an earlier disclosure. 1 source row Row 1 · 2022-05-20 · Other · Disposed 1,100 · Balance 1,369,693 F3: This amendment is being made to correct the item 3 transaction code from S to X for the items set forth in table 1. These transactions were assignments on short call positions that were entered by Daniel Asher prior to the May, 13, 2022. In addition the price of the disposal (d) in item4 with respect to the 1,700 assigned shares held through Equitec Proprietary Markets has been corrected to $45
Common StockSEC Table I · non-derivative	Indirectthru Equitec Proprietary Markers, LLC	1,245,293	Last balance in matching sequence After 2022-05-20 transaction · row 3 Source-order balances reconcile. Account continuity and personal attribution are not independently verified. 2 source rows Row 2 · 2022-05-20 · Other · Disposed 122,700 · Balance 1,246,993 F3: This amendment is being made to correct the item 3 transaction code from S to X for the items set forth in table 1. These transactions were assignments on short call positions that were entered by Daniel Asher prior to the May, 13, 2022. In addition the price of the disposal (d) in item4 with respect to the 1,700 assigned shares held through Equitec Proprietary Markets has been corrected to $45 F1: the reporting person controls 50% of the membership interest in Equitec Proprietary Markets, LLC Row 3 · 2022-05-20 · Other · Disposed 1,700 · Balance 1,245,293 F3: This amendment is being made to correct the item 3 transaction code from S to X for the items set forth in table 1. These transactions were assignments on short call positions that were entered by Daniel Asher prior to the May, 13, 2022. In addition the price of the disposal (d) in item4 with respect to the 1,700 assigned shares held through Equitec Proprietary Markets has been corrected to $45 F1: the reporting person controls 50% of the membership interest in Equitec Proprietary Markets, LLC
Common StockSEC Table I · non-derivative	IndirectThru AFOB FIP RILY, LLC	730,800	Reported balance Holding disclosure · report date 2022-05-20 · row 4 Amendment: may correct only part of an earlier disclosure. 1 source row Row 4 · Balance 730,800 F4: This amendment also corrects the amount of securities beneficially owned (Item 5) through AFOB FIP RILY, LLC. F2: AFO Blackberry, LLC is the managing member of AFOB FIP RILY, LLC and Daniel Asher is deemed to control AFO Blackberry, LLC

Filing footnotes · ownership attribution and instrument terms

F1: the reporting person controls 50% of the membership interest in Equitec Proprietary Markets, LLC

F2: AFO Blackberry, LLC is the managing member of AFOB FIP RILY, LLC and Daniel Asher is deemed to control AFO Blackberry, LLC

F3: This amendment is being made to correct the item 3 transaction code from S to X for the items set forth in table 1. These transactions were assignments on short call positions that were entered by Daniel Asher prior to the May, 13, 2022. In addition the price of the disposal (d) in item4 with respect to the 1,700 assigned shares held through Equitec Proprietary Markets has been corrected to $45

F4: This amendment also corrects the amount of securities beneficially owned (Item 5) through AFOB FIP RILY, LLC.

ChronoScale Holdings Corp

Report date February 19, 2026 · Filed February 20, 2026

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Indirectby DBA Trading, LLC	270,432	Reported balance After 2026-02-19 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 1 · 2026-02-19 · Purchase · Acquired 15,540 · Balance 270,432 F1: Daniel Asher is the beneficial owner of DBA Trading, LLC and deemed to control share voting and dispositive power over the shares held by them.
Common StockSEC Table I · non-derivative	Direct	165,000	Reported balance Holding disclosure · report date 2026-02-19 · row 2 Holding and transaction disclosures are not merged. 1 source row Row 2 · Balance 165,000
Convertible Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $8.22	IndirectBy Daniel Asher Descendants Trust	2,926	Reported balance Holding disclosure · report date 2026-02-19 · row 3 Instrument identity requires review; Table II rows are not merged. 1 source row Row 3 · Balance 2,926 F3: None F2: Daniel Asher is the grantor of Daniel Asher Descendants Trust and deemed to control share voting and dispositive power over the shares held by them.

Filing footnotes · ownership attribution and instrument terms

F1: Daniel Asher is the beneficial owner of DBA Trading, LLC and deemed to control share voting and dispositive power over the shares held by them.

F2: Daniel Asher is the grantor of Daniel Asher Descendants Trust and deemed to control share voting and dispositive power over the shares held by them.

F3: None

NATIONAL HOLDINGS CORP

Report date December 24, 2020 · Filed December 29, 2020

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectThru Equitec Proprietary Markets, LLC	1,729,809	Last balance in matching sequence After 2020-12-29 transaction · row 3 Source-order balances reconcile. Account continuity and personal attribution are not independently verified. 3 source rows Row 1 · 2020-12-24 · Purchase · Acquired 5,400 · Balance 1,716,751 F1: The reporting person controls 50% of the of the membership interest in Equitec Proprietary Markets LLc Row 2 · 2020-12-28 · Purchase · Acquired 12,837 · Balance 1,729,588 F1: The reporting person controls 50% of the of the membership interest in Equitec Proprietary Markets LLc Row 3 · 2020-12-29 · Purchase · Acquired 221 · Balance 1,729,809 F1: The reporting person controls 50% of the of the membership interest in Equitec Proprietary Markets LLc
Common StockSEC Table I · non-derivative	IndirectThru Sphinx Trading, LP	1,298,032	Reported balance Holding disclosure · report date 2020-12-24 · row 4 Holding and transaction disclosures are not merged. 1 source row Row 4 · Balance 1,298,032 F2: The reporting person is a member and president of Oakmont Investments, LLC and a general partner of Sphinx Trading, L.P.

Filing footnotes · ownership attribution and instrument terms

F1: The reporting person controls 50% of the of the membership interest in Equitec Proprietary Markets LLc

F2: The reporting person is a member and president of Oakmont Investments, LLC and a general partner of Sphinx Trading, L.P.

SEQUANS COMMUNICATIONS

Report date January 26, 2026 · Filed January 28, 2026

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Indirectby DBA Trading, LLC	140,011,100	Reported balance After 2026-01-26 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 1 · 2026-01-26 · Purchase · Acquired 12,300 · Balance 140,011,100 F1: Daniel Asher is the beneficial owner of DBA Trading, LLC and is deemed to control share voting and dispositive power over the shares held by them.
Common StockSEC Table I · non-derivative	IndirectBy AFOB FIP MS, LLC	51,344,400	Reported balance Holding disclosure · report date 2026-01-26 · row 2 Holding and transaction disclosures are not merged. 1 source row Row 2 · Balance 51,344,400 F2: AFO Blackberry, LLC is the managing member of AFOB FIP MS, LLC and Danien Asher is deemed to control share voting and dispositive power over the shares held by them.

Filing footnotes · ownership attribution and instrument terms

F1: Daniel Asher is the beneficial owner of DBA Trading, LLC and is deemed to control share voting and dispositive power over the shares held by them.

F2: AFO Blackberry, LLC is the managing member of AFOB FIP MS, LLC and Danien Asher is deemed to control share voting and dispositive power over the shares held by them.

Vivaldi Opportunities Fund

Report date June 21, 2019 · Filed June 17, 2020 · Amendment

Amendment: balances below belong to this corrected disclosure, not necessarily a complete replacement of earlier positions.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectBy Sphinx Trading LP	28,210	Reported balance After 2019-06-21 transaction · row 1 Amendment: may correct only part of an earlier disclosure. 1 source row Row 1 · 2019-06-21 · Sale · Disposed 1,580 · Balance 28,210 F1: Oakmont Investments, LLC is the general partner of Sphinx Trading LP, and Daniel Asher is deemed to control Oakmont Investments. Mr. Asher disclaims beneficial interest in the shares held by Sphinx Trading LP except to the extent of any pecuniary interest therein.
Common StockSEC Table I · non-derivative	IndirectBy AFOB FIP MS , LLC	1,663,355	Reported balance Holding disclosure · report date 2019-06-21 · row 2 Amendment: may correct only part of an earlier disclosure. 1 source row Row 2 · Balance 1,663,355 F2: AFO Blackberry LLC is the managing member of AFOB FIP MS, LLC, and Daniel Asher is deemed to control AFO Blackberry LLC. Mr. Asher disclaims beneficial interest in the shares held by AFOB FIP MS, LLC except to the extent of any pecuniary interest therein.
Common StockSEC Table I · non-derivative	IndirectBy Castle Creek Fund, LP	708,267	Reported balance Holding disclosure · report date 2019-06-21 · row 3 Amendment: may correct only part of an earlier disclosure. 1 source row Row 3 · Balance 708,267 F3: Mr. Asher is the principal of the general partner of Castle Creek Fund, LP, and a limited partner in the Fund. Mr. Asher disclaims beneficial interest in shares held by the Fund except to the extent of any pecuniary interest therein.

Filing footnotes · ownership attribution and instrument terms

F1: Oakmont Investments, LLC is the general partner of Sphinx Trading LP, and Daniel Asher is deemed to control Oakmont Investments. Mr. Asher disclaims beneficial interest in the shares held by Sphinx Trading LP except to the extent of any pecuniary interest therein.

F2: AFO Blackberry LLC is the managing member of AFOB FIP MS, LLC, and Daniel Asher is deemed to control AFO Blackberry LLC. Mr. Asher disclaims beneficial interest in the shares held by AFOB FIP MS, LLC except to the extent of any pecuniary interest therein.

F3: Mr. Asher is the principal of the general partner of Castle Creek Fund, LP, and a limited partner in the Fund. Mr. Asher disclaims beneficial interest in shares held by the Fund except to the extent of any pecuniary interest therein.

Transaction history

JSON API

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

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

Transaction date	Company	Activity / security	Shares / units	Reported price	Reported value	Details
September 01, 2020 Filed Sep 3, 2020 16:49 UTC	NATIONAL HOLDINGS CORP NHLD · Entity 142239	PurchaseCommon Stock	400	$2.19	$876.00	Disclosure SEC source: 0001251859-20-000008 · primary_doc.xml · nonDerivative · entry 2 ASHER DANIEL · CIK 0001251859 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Thru Equitec Proprietary Markets, LLC Disclosed balance after: 1,355,788 F1 · ownership.nature: The reporting person controls 50% of the membership interest in Equitec Proprietary Markets, LLC. Read SEC document
September 01, 2020 Filed Sep 3, 2020 16:49 UTC	NATIONAL HOLDINGS CORP NHLD · Entity 142239	PurchaseCommon Stock	2,112	$2.19	$4,625.28	Disclosure SEC source: 0001251859-20-000008 · primary_doc.xml · nonDerivative · entry 1 ASHER DANIEL · CIK 0001251859 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Thru Equitec Proprietary Markets, LLC Disclosed balance after: 1,355,388 F1 · ownership.nature: The reporting person controls 50% of the membership interest in Equitec Proprietary Markets, LLC. Read SEC document
August 31, 2020 Filed Aug 31, 2020 16:47 UTC	NATIONAL HOLDINGS CORP NHLD · Entity 142239	PurchaseCommon Stock	3,755	$2.19	$8,223.45	Disclosure SEC source: 0001251859-20-000007 · primary_doc.xml · nonDerivative · entry 3 ASHER DANIEL · CIK 0001251859 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Thru Equitec Proprietary Markets, LLC Disclosed balance after: 1,353,276 F1 · ownership.nature: The reporting person controls 50% of the membership interest in Equitec Proprietary Markets, LLC Read SEC document
August 28, 2020 Filed Aug 31, 2020 16:47 UTC	NATIONAL HOLDINGS CORP NHLD · Entity 142239	PurchaseCommon Stock	5,997	$2.29	$13,712.14	Disclosure SEC source: 0001251859-20-000007 · primary_doc.xml · nonDerivative · entry 2 ASHER DANIEL · CIK 0001251859 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Thru Equitec Proprietary Markets, LLC Disclosed balance after: 1,349,521 F1 · ownership.nature: The reporting person controls 50% of the membership interest in Equitec Proprietary Markets, LLC Read SEC document
August 27, 2020 Filed Aug 31, 2020 16:47 UTC	NATIONAL HOLDINGS CORP NHLD · Entity 142239	PurchaseCommon Stock	48,467	$2.30	$111,270.54	Disclosure SEC source: 0001251859-20-000007 · primary_doc.xml · nonDerivative · entry 1 ASHER DANIEL · CIK 0001251859 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Thru Equitec Proprietary Markets, LLC Disclosed balance after: 1,343,524 F1 · ownership.nature: The reporting person controls 50% of the membership interest in Equitec Proprietary Markets, LLC Read SEC document
June 30, 2020 Filed Jul 2, 2020 17:14 UTC	NATIONAL HOLDINGS CORP NHLD · Entity 142239	PurchaseCommon Stock	148	$2.00	$296.00	Disclosure SEC source: 0001251859-20-000006 · primary_doc.xml · nonDerivative · entry 3 ASHER DANIEL · CIK 0001251859 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Thru Equitec Proprietary Markets, LLC Disclosed balance after: 1,295,057 F1 · ownership.nature: The reporting person controls 50% of the membership interest in Equitec Proprietary Markets, LLC Read SEC document
June 30, 2020 Filed Jul 2, 2020 17:14 UTC	NATIONAL HOLDINGS CORP NHLD · Entity 142239	PurchaseCommon Stock	2	$2.00	$4.00	Disclosure SEC source: 0001251859-20-000006 · primary_doc.xml · nonDerivative · entry 2 ASHER DANIEL · CIK 0001251859 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Thru Equitec Proprietary Markets, LLC Disclosed balance after: 1,294,909 F1 · ownership.nature: The reporting person controls 50% of the membership interest in Equitec Proprietary Markets, LLC Read SEC document
June 30, 2020 Filed Jul 2, 2020 21:01 UTC	Angel Oak Financial Strategies Income Term Trust FINS · Entity 5597	SaleCommon Stock	1,753	$16.93	$29,678.99	Disclosure SEC source: 0001251859-20-000005 · primary_doc.xml · nonDerivative · entry 1 ASHER DANIEL · CIK 0001251859 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · by AFOB FIP MS, LLC Disclosed balance after: 1,079,454 F1 · ownership.nature: AFO Blackberry LLC is the managing member of AFOB FIP MS, LLC and Daniel Asher is deemed to control AFO Black Berry LLC. Mr Asher disclaims beneficial interest in the shares held by AFOB FIP MS, LLC except to the extent of any pecuniary interest therein. Read SEC document
June 29, 2020 Filed Jul 2, 2020 17:14 UTC	NATIONAL HOLDINGS CORP NHLD · Entity 142239	PurchaseCommon Stock	215	$2.00	$430.00	Disclosure SEC source: 0001251859-20-000006 · primary_doc.xml · nonDerivative · entry 1 ASHER DANIEL · CIK 0001251859 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Thru Equitec Proprietary Markets, LLC Disclosed balance after: 1,294,907 F1 · ownership.nature: The reporting person controls 50% of the membership interest in Equitec Proprietary Markets, LLC Read SEC document
June 22, 2020 Filed Jun 23, 2020 15:41 UTC	NATIONAL HOLDINGS CORP NHLD · Entity 142239	PurchaseCommon Stock	10	$1.98	$19.80	Disclosure SEC source: 0001251859-20-000004 · primary_doc.xml · nonDerivative · entry 2 ASHER DANIEL · CIK 0001251859 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Thru Equitec Proprietary Markets, LLC Disclosed balance after: 1,294,692 F1 · ownership.nature: The Reporting Person controls 50% of the membership interest in Equitec Proprietary Markets, LLC Read SEC document
June 19, 2020 Filed Jun 23, 2020 15:41 UTC	NATIONAL HOLDINGS CORP NHLD · Entity 142239	PurchaseCommon Stock	8,297	$2.04	$16,897.67	Disclosure SEC source: 0001251859-20-000004 · primary_doc.xml · nonDerivative · entry 1 ASHER DANIEL · CIK 0001251859 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Thru Equitec Proprietary Markets, LLC Disclosed balance after: 1,294,682 F1 · ownership.nature: The Reporting Person controls 50% of the membership interest in Equitec Proprietary Markets, LLC Read SEC document
June 19, 2020 Filed Jun 23, 2020 19:24 UTC	Angel Oak Financial Strategies Income Term Trust FINS · Entity 5597	SaleCommon Stock	559	$17.11	$9,564.49	Disclosure SEC source: 0001251859-20-000003 · primary_doc.xml · nonDerivative · entry 1 ASHER DANIEL · CIK 0001251859 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · by Sphinx Trading Disclosed balance after: 17,693 F1 · ownership.nature: Oakmont Investments, LLC is the general partner of Sphinx Trading, LP, and Daniel Asher is deemed to control Oakmont Investments. Mr Asher disclaims beneficial interest in the shares held by Sphinx Trading LP except to the extent of any pecuniary interest therein. Read SEC document
June 09, 2020 Filed Jun 12, 2020 14:23 UTC	Angel Oak Financial Strategies Income Term Trust FINS · Entity 5597	OtherCommon Shares of Beneficial Interest	18,252	Not disclosed	Not disclosed	Disclosure SEC source: 0001567619-20-012055 · doc1.xml · nonDerivative · entry 3 ASHER DANIEL · CIK 0001251859 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Sphinx Trading LP Disclosed balance after: 18,252 F1 · price: Received pursuant to merger between the issuer and Vivaldi Opportunities Fund ("Vivaldi"). The exchange ratio at which common shares of Vivaldi converted to common shares of the issuer is 0.64701%. So, the reporting person received 0.64701 shares of the combined entity for each common share of Vivaldi that the reporting person held. F4 · ownership.nature: Oakmont Investments, LLC is the general partner of Sphinx Trading LP, and Daniel Asher is deemed to control Oakmont Investments. Mr. Asher disclaims beneficial interest in the shares held by Sphinx Trading LP except to the extent of any pecuniary interest therein. Read SEC document
June 09, 2020 Filed Jun 12, 2020 14:23 UTC	Angel Oak Financial Strategies Income Term Trust FINS · Entity 5597	OtherCommon Shares of Beneficial Interest	458,256	Not disclosed	Not disclosed	Disclosure SEC source: 0001567619-20-012055 · doc1.xml · nonDerivative · entry 2 ASHER DANIEL · CIK 0001251859 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Castle Creek Fund, LP Disclosed balance after: 458,256 F1 · price: Received pursuant to merger between the issuer and Vivaldi Opportunities Fund ("Vivaldi"). The exchange ratio at which common shares of Vivaldi converted to common shares of the issuer is 0.64701%. So, the reporting person received 0.64701 shares of the combined entity for each common share of Vivaldi that the reporting person held. F3 · ownership.nature: Mr. Asher is the principal of the general partner of Castle Creek Fund, LP and a limited partner in the Fund. Mr. Asher disclaims beneficial interest in the shares held by the Fund except to the extent of any pecuniary interest therein. Read SEC document
June 09, 2020 Filed Jun 12, 2020 14:23 UTC	Angel Oak Financial Strategies Income Term Trust FINS · Entity 5597	OtherCommon Shares of Beneficial Interest	1,076,207	Not disclosed	Not disclosed	Disclosure SEC source: 0001567619-20-012055 · doc1.xml · nonDerivative · entry 1 ASHER DANIEL · CIK 0001251859 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By AFOB FIP MS, LLC Disclosed balance after: 1,081,207 F1 · price: Received pursuant to merger between the issuer and Vivaldi Opportunities Fund ("Vivaldi"). The exchange ratio at which common shares of Vivaldi converted to common shares of the issuer is 0.64701%. So, the reporting person received 0.64701 shares of the combined entity for each common share of Vivaldi that the reporting person held. F2 · ownership.nature: AFO Blackberry LLC is the managing member of AFOB FIP MS, LLC, and Daniel Asher is deemed to control AFO Blackberry LLC. Mr. Asher disclaims beneficial interest in the shares held by AFOB FIP MS, LLC except to the extent of any pecuniary interest therein. Read SEC document
May 06, 2020 Filed May 6, 2020 16:41 UTC	NATIONAL HOLDINGS CORP NHLD · Entity 142239	PurchaseCommon Stock	3,300	$1.89	$6,237.00	Disclosure SEC source: 0001251859-20-000002 · primary_doc.xml · nonDerivative · entry 6 ASHER DANIEL · CIK 0001251859 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Thru Equitec Proprietary Markets, LLC Disclosed balance after: 1,286,385 F1 · ownership.nature: The Reporting person controls 50% of the membership interest in Equitec Proprietary Markets, LLC Read SEC document
May 06, 2020 Filed May 6, 2020 16:41 UTC	NATIONAL HOLDINGS CORP NHLD · Entity 142239	PurchaseCommon Stock	2,100	$1.88	$3,948.00	Disclosure SEC source: 0001251859-20-000002 · primary_doc.xml · nonDerivative · entry 5 ASHER DANIEL · CIK 0001251859 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Thru Equitec Proprietayr Markets, LLC Disclosed balance after: 1,283,085 F1 · ownership.nature: The Reporting person controls 50% of the membership interest in Equitec Proprietary Markets, LLC Read SEC document
May 06, 2020 Filed May 6, 2020 16:41 UTC	NATIONAL HOLDINGS CORP NHLD · Entity 142239	PurchaseCommon Stock	1,080	$1.87	$2,019.60	Disclosure SEC source: 0001251859-20-000002 · primary_doc.xml · nonDerivative · entry 4 ASHER DANIEL · CIK 0001251859 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Thru Equitec Proprietary Markets, LLC Disclosed balance after: 1,280,985 F1 · ownership.nature: The Reporting person controls 50% of the membership interest in Equitec Proprietary Markets, LLC Read SEC document
May 06, 2020 Filed May 6, 2020 16:41 UTC	NATIONAL HOLDINGS CORP NHLD · Entity 142239	PurchaseCommon Stock	100	$1.86	$186.00	Disclosure SEC source: 0001251859-20-000002 · primary_doc.xml · nonDerivative · entry 3 ASHER DANIEL · CIK 0001251859 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Thru Equitec Proprietary Markets, LLC Disclosed balance after: 1,279,905 F1 · ownership.nature: The Reporting person controls 50% of the membership interest in Equitec Proprietary Markets, LLC Read SEC document
May 05, 2020 Filed May 6, 2020 16:41 UTC	NATIONAL HOLDINGS CORP NHLD · Entity 142239	PurchaseCommon Stock	9,400	$1.78	$16,732.00	Disclosure SEC source: 0001251859-20-000002 · primary_doc.xml · nonDerivative · entry 2 ASHER DANIEL · CIK 0001251859 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Thru Equitec Proprietary Markets, LLC Disclosed balance after: 1,279,805 F1 · ownership.nature: The Reporting person controls 50% of the membership interest in Equitec Proprietary Markets, LLC Read SEC document
May 05, 2020 Filed May 6, 2020 16:41 UTC	NATIONAL HOLDINGS CORP NHLD · Entity 142239	PurchaseCommon Stock	61,931	$1.80	$111,475.80	Disclosure SEC source: 0001251859-20-000002 · primary_doc.xml · nonDerivative · entry 1 ASHER DANIEL · CIK 0001251859 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Thru Equitec Proprietary Markets, LLC Disclosed balance after: 1,270,405 F1 · ownership.nature: The Reporting person controls 50% of the membership interest in Equitec Proprietary Markets, LLC Read SEC document
May 04, 2020 Filed May 5, 2020 15:08 UTC	NATIONAL HOLDINGS CORP NHLD · Entity 142239	PurchaseCommon Stock	21,600	$1.75	$37,800.00	Disclosure SEC source: 0001251859-20-000001 · primary_doc.xml · nonDerivative · entry 1 ASHER DANIEL · CIK 0001251859 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Thru Equitec Proprietary Markets, LLC Disclosed balance after: 1,208,474 F1 · ownership.nature: The reporting person controls 50% of the membership interests in Equitec Proprietary Markets, LLC Read SEC document
June 21, 2019 Filed Jun 25, 2019 15:44 UTC	Vivaldi Opportunities Fund VAM · Entity 148386	SaleCommon Stock	1,580	$14.19	$22,420.99	Disclosure SEC source: 0001251859-19-000014 · primary_doc.xml · nonDerivative · entry 1 ASHER DANIEL · CIK 0001251859 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By AFOB FIP MS, LLC Disclosed balance after: 557,885.412 F1 · ownership.nature: The shares previously held by the Danial Asher Revocable Trust were transferred to AFOB FIP MS, LLC in a transaction exempt from reporting under rule 16a-13. Read SEC document
June 21, 2019 Filed Jun 17, 2020 18:13 UTC Amendment	Vivaldi Opportunities Fund VAM · Entity 148386	SaleCommon Stock	1,580	$14.19	$22,420.99	Disclosure SEC source: 0001567619-20-012326 · doc1.xml · nonDerivative · entry 1 ASHER DANIEL · CIK 0001251859 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Sphinx Trading LP Disclosed balance after: 28,210 F1 · ownership.nature: Oakmont Investments, LLC is the general partner of Sphinx Trading LP, and Daniel Asher is deemed to control Oakmont Investments. Mr. Asher disclaims beneficial interest in the shares held by Sphinx Trading LP except to the extent of any pecuniary interest therein. Read SEC document
June 19, 2019 Filed Jun 20, 2019 17:04 UTC	Vivaldi Opportunities Fund VAM · Entity 148386	SaleCommon Stock	2,886	$14.15	$40,836.90	Disclosure SEC source: 0001251859-19-000013 · primary_doc.xml · nonDerivative · entry 1 ASHER DANIEL · CIK 0001251859 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By AFOB FIP MS, LLC Disclosed balance after: 559,465.412 F1 · ownership.nature: The Shares previously held by the Danial Asher Revocable Trust were transferred to AFOB FIP MS, LLC in a transfer exempt from reporting under rule 16a-13 Read SEC document
June 19, 2019 Filed Jun 17, 2020 18:04 UTC Amendment	Vivaldi Opportunities Fund VAM · Entity 148386	SaleCommon Stock	2,886	$14.15	$40,836.90	Disclosure SEC source: 0001567619-20-012324 · doc1.xml · nonDerivative · entry 1 ASHER DANIEL · CIK 0001251859 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Sphinx Trading LP Disclosed balance after: 29,790 F1 · ownership.nature: Oakmont Investments, LLC is the general partner of Sphinx Trading LP, and Daniel Asher is deemed to control Oakmont Investments. Mr. Asher disclaims beneficial interest in the shares held by Sphinx Trading LP except to the extent of any pecuniary interest therein. Read SEC document
June 18, 2019 Filed Jun 19, 2019 16:49 UTC	Vivaldi Opportunities Fund VAM · Entity 148386	SaleCommon Stock	200	$14.15	$2,830.00	Disclosure SEC source: 0001251859-19-000012 · primary_doc.xml · nonDerivative · entry 1 ASHER DANIEL · CIK 0001251859 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By AFOB FIP MS, LLC Disclosed balance after: 562,351.412 F1 · ownership.nature: The Shares previously by the Danial Asher Revocable Trust were transferred to AFOB MS, LLC in a transaction exempt from reporting under rule 16a-13 Read SEC document
June 18, 2019 Filed Jun 17, 2020 18:00 UTC Amendment	Vivaldi Opportunities Fund VAM · Entity 148386	SaleCommon Stock	200	$14.15	$2,830.00	Disclosure SEC source: 0001567619-20-012322 · doc1.xml · nonDerivative · entry 1 ASHER DANIEL · CIK 0001251859 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Sphinx Trading LP Disclosed balance after: 32,676 F1 · ownership.nature: Oakmont Investments, LLC is the general partner of Sphinx Trading LP, and Daniel Asher is deemed to control Oakmont Investments. Mr. Asher disclaims beneficial interest in the shares held by Sphinx Trading LP except to the extent of any pecuniary interest therein. Read SEC document
June 14, 2019 Filed Jun 17, 2019 16:02 UTC	Vivaldi Opportunities Fund vam · Entity 148386	SaleCommon Stock	200	$14.20	$2,840.00	Disclosure SEC source: 0001251859-19-000011 · primary_doc.xml · nonDerivative · entry 2 ASHER DANIEL · CIK 0001251859 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By AFOB FIP MS, LLC Disclosed balance after: 562,551.412 F1 · ownership.nature: The shares previously held by the Danial Asher Revocable Trust were transferred to AFOB MS, LLC in a transaction Exempt from reporting under rule 16a-13 Read SEC document
June 14, 2019 Filed Jun 17, 2020 17:58 UTC Amendment	Vivaldi Opportunities Fund VAM · Entity 148386	SaleCommon Stock	200	$14.20	$2,840.00	Disclosure SEC source: 0001567619-20-012320 · doc1.xml · nonDerivative · entry 4 ASHER DANIEL · CIK 0001251859 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Sphinx Trading LP Disclosed balance after: 32,876 F2 · ownership.nature: The 562,951 shares previously held by the Daniel Asher Revocable Trust were transferred in a transaction exempt from reporting under rule 16a-13, with 529,675 shares transferred to AFOB FIP MS, LLC and 33,276 shares transferred to Sphinx Trading LP. Oakmont Investments, LLC is the general partner of Sphinx Trading LP, and Daniel Asher is deemed to control Oakmont Investments. Mr. Asher disclaims beneficial interest in the shares held by Sphinx Trading LP except to the extent of any pecuniary interest therein. Read SEC document
June 13, 2019 Filed Jun 17, 2019 16:02 UTC	Vivaldi Opportunities Fund vam · Entity 148386	SaleCommon Stock	200	$14.20	$2,840.00	Disclosure SEC source: 0001251859-19-000011 · primary_doc.xml · nonDerivative · entry 1 ASHER DANIEL · CIK 0001251859 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By AFOB FIP MS, LLC Disclosed balance after: 562,751.412 F1 · ownership.nature: The shares previously held by the Danial Asher Revocable Trust were transferred to AFOB MS, LLC in a transaction Exempt from reporting under rule 16a-13 Read SEC document
June 13, 2019 Filed Jun 17, 2020 17:58 UTC Amendment	Vivaldi Opportunities Fund VAM · Entity 148386	SaleCommon Stock	200	$14.20	$2,840.00	Disclosure SEC source: 0001567619-20-012320 · doc1.xml · nonDerivative · entry 3 ASHER DANIEL · CIK 0001251859 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Sphinx Trading LP Disclosed balance after: 33,076 F2 · ownership.nature: The 562,951 shares previously held by the Daniel Asher Revocable Trust were transferred in a transaction exempt from reporting under rule 16a-13, with 529,675 shares transferred to AFOB FIP MS, LLC and 33,276 shares transferred to Sphinx Trading LP. Oakmont Investments, LLC is the general partner of Sphinx Trading LP, and Daniel Asher is deemed to control Oakmont Investments. Mr. Asher disclaims beneficial interest in the shares held by Sphinx Trading LP except to the extent of any pecuniary interest therein. Read SEC document
February 12, 2019 Filed Feb 14, 2019 18:25 UTC	NATIONAL HOLDINGS CORP NHLD · Entity 142239	PurchaseCommon Stock	527,932	$3.25	$1,715,779.00	Disclosure SEC source: 0000895813-19-000006 · ownership.xml · nonDerivative · entry 3 ASHER DANIEL · CIK 0001251859 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Through Sphinx Trading, LP Disclosed balance after: 2,464,806 F6 · date: The right and obligation to acquire these shares was assigned to Sphinx Trading, LP from NHC Holdings, LLC on February 11, 2019. F7 · ownership.nature: The reporting person is a member and the president of Oakmont Investments, LLC, the general partner of Sphinx Trading, LP. Read SEC document
February 12, 2019 Filed Feb 14, 2019 18:25 UTC	NATIONAL HOLDINGS CORP NHLD · Entity 142239	PurchaseCommon Stock	350,000	$3.25	$1,137,500.00	Disclosure SEC source: 0000895813-19-000006 · ownership.xml · nonDerivative · entry 2 ASHER DANIEL · CIK 0001251859 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Through Equitec Specialists, LLC Disclosed balance after: 1,936,874 F3 · date: The right and obligation to acquire these shares was assigned to Equitec Specialists, LLC from NHC Holdings, LLC on February 11, 2019. F4 · balance_after: As reported on a Form 4 filed on February 6, 2019, the reporting person owned 1,586,874 shares of common stock following the last transaction the reporting person made in NHLD common stock on February 4, 2019. F5 · ownership.nature: The reporting person controls 50% of the voting membership interests in Equitec Specialists, LLC. Read SEC document
February 04, 2019 Filed Feb 6, 2019 16:19 UTC	NATIONAL HOLDINGS CORP NHLD · Entity 142239	PurchaseCommon Stock	600	$3.20	$1,920.00	Disclosure SEC source: 0001251859-19-000010 · primary_doc.xml · nonDerivative · entry 2 ASHER DANIEL · CIK 0001251859 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,586,874 Read SEC document
February 01, 2019 Filed Feb 14, 2019 18:25 UTC	NATIONAL HOLDINGS CORP NHLD · Entity 142239	PurchaseCommon Stock	1,000	$3.23	$3,230.00	Disclosure SEC source: 0000895813-19-000006 · ownership.xml · nonDerivative · entry 1 ASHER DANIEL · CIK 0001251859 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Through Intracoastal Capital LLC Disclosed balance after: 1,586,274 F1 · balance_after: This purchase transaction closed a short position created by Intracoastal Capital LLC before the reporting person became subject to Section 16 of the Securities Exchange Act of 1934 and had no impact on the amount of securities beneficially owned by the reporting person following the transaction. As reported on a Form 4 filed on February 6, 2019, the reporting person owned 1,586,274 shares of common stock following the last transaction the reporting person made in NHLD common stock on January 30, 2019. F2 · ownership.nature: The reporting person is a member of the board of managers of Intracoastal Capital LLC. Read SEC document
February 01, 2019 Filed Jun 17, 2020 17:58 UTC Amendment	Vivaldi Opportunities Fund VAM · Entity 148386	GiftCommon Stock	67,456	$0.00	$0.00	Disclosure SEC source: 0001567619-20-012320 · doc1.xml · nonDerivative · entry 2 ASHER DANIEL · CIK 0001251859 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By AFOB FIP MS , LLC Disclosed balance after: 1,663,355 F1 · ownership.nature: The 562,951 shares previously held by the Daniel Asher Revocable Trust were transferred in a transaction exempt from reporting under rule 16a-13, with 529,675 shares transferred to AFOB FIP MS, LLC and 33,276 shares transferred to Sphinx Trading LP. AFO Blackberry LLC is the managing member of AFOB FIP MS, LLC, and Daniel Asher is deemed to control AFO Blackberry LLC. Mr. Asher disclaims beneficial interest in the shares held by AFOB FIP MS, LLC except to the extent of any pecuniary interest therein. Read SEC document
January 31, 2019 Filed Jun 17, 2020 17:58 UTC Amendment	Vivaldi Opportunities Fund VAM · Entity 148386	GiftCommon Stock	1,066,223	$0.00	$0.00	Disclosure SEC source: 0001567619-20-012320 · doc1.xml · nonDerivative · entry 1 ASHER DANIEL · CIK 0001251859 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By AFOB FIP MS , LLC Disclosed balance after: 1,066,223 F1 · ownership.nature: The 562,951 shares previously held by the Daniel Asher Revocable Trust were transferred in a transaction exempt from reporting under rule 16a-13, with 529,675 shares transferred to AFOB FIP MS, LLC and 33,276 shares transferred to Sphinx Trading LP. AFO Blackberry LLC is the managing member of AFOB FIP MS, LLC, and Daniel Asher is deemed to control AFO Blackberry LLC. Mr. Asher disclaims beneficial interest in the shares held by AFOB FIP MS, LLC except to the extent of any pecuniary interest therein. Read SEC document
January 30, 2019 Filed Feb 6, 2019 16:19 UTC	NATIONAL HOLDINGS CORP NHLD · Entity 142239	PurchaseCommon Stock	1,580	$3.14	$4,960.25	Disclosure SEC source: 0001251859-19-000010 · primary_doc.xml · nonDerivative · entry 1 ASHER DANIEL · CIK 0001251859 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,586,274 Read SEC document
January 29, 2019 Filed Jan 30, 2019 16:41 UTC	NATIONAL HOLDINGS CORP NHLD · Entity 142239	PurchaseCommon Stock	200	$3.11	$622.00	Disclosure SEC source: 0001251859-19-000009 · primary_doc.xml · nonDerivative · entry 1 ASHER DANIEL · CIK 0001251859 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,584,694 Read SEC document
January 28, 2019 Filed Jan 29, 2019 17:04 UTC	NATIONAL HOLDINGS CORP NHLD · Entity 142239	PurchaseCommon Stock	600	$3.11	$1,866.00	Disclosure SEC source: 0001251859-19-000008 · primary_doc.xml · nonDerivative · entry 2 ASHER DANIEL · CIK 0001251859 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,584,494 Read SEC document
January 28, 2019 Filed Jan 29, 2019 17:04 UTC	NATIONAL HOLDINGS CORP NHLD · Entity 142239	PurchaseCommon Stock	812	$3.10	$2,521.18	Disclosure SEC source: 0001251859-19-000008 · primary_doc.xml · nonDerivative · entry 1 ASHER DANIEL · CIK 0001251859 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,583,894 Read SEC document
January 24, 2019 Filed Jan 25, 2019 16:49 UTC	NATIONAL HOLDINGS CORP NHLD · Entity 142239	PurchaseCommon Stock	1,800	$3.10	$5,574.06	Disclosure SEC source: 0001251859-19-000007 · primary_doc.xml · nonDerivative · entry 1 ASHER DANIEL · CIK 0001251859 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,583,261 Read SEC document
January 18, 2019 Filed Jan 22, 2019 16:23 UTC	NATIONAL HOLDINGS CORP NHLD · Entity 142239	PurchaseCommon Stock	3,421	$3.25	$11,118.25	Disclosure SEC source: 0001251859-19-000006 · primary_doc.xml · nonDerivative · entry 1 ASHER DANIEL · CIK 0001251859 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,581,282 Read SEC document
January 16, 2019 Filed Jan 17, 2019 16:25 UTC	NATIONAL HOLDINGS CORP NHLD · Entity 142239	PurchaseCommon Stock	3,204	$3.25	$10,413.00	Disclosure SEC source: 0001251859-19-000005 · primary_doc.xml · nonDerivative · entry 3 ASHER DANIEL · CIK 0001251859 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,577,861 Read SEC document
January 15, 2019 Filed Jan 17, 2019 16:25 UTC	NATIONAL HOLDINGS CORP NHLD · Entity 142239	SaleCommon Stock	200	$3.27	$654.00	Disclosure SEC source: 0001251859-19-000005 · primary_doc.xml · nonDerivative · entry 2 ASHER DANIEL · CIK 0001251859 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,574,657 F1 · kind: The reporting person will pay to the issuer the full amount of short-swing profits realized on the sale in accordance with Section 16(b) of the Securities Exchange Act of 1934, as amended. Read SEC document
January 14, 2019 Filed Jan 17, 2019 16:25 UTC	NATIONAL HOLDINGS CORP NHLD · Entity 142239	PurchaseCommon Stock	11,835	$3.23	$38,208.11	Disclosure SEC source: 0001251859-19-000005 · primary_doc.xml · nonDerivative · entry 1 ASHER DANIEL · CIK 0001251859 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,574,857 Read SEC document
January 07, 2019 Filed Jan 8, 2019 17:18 UTC	Vivaldi Opportunities Fund VAM · Entity 148386	SaleCommon Stock	100	$14.15	$1,415.00	Disclosure SEC source: 0001251859-19-000003 · primary_doc.xml · nonDerivative · entry 1 ASHER DANIEL · CIK 0001251859 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Daniel Asher Revocable Trust Disclosed balance after: 562,951.412 F1 · ownership.nature: Mr Asher is the grantor and trustee of the Daniel Asher Revocable Trust, and the beneficiaries are Mr. Asher, his wife and his descendants. Read SEC document
January 03, 2019 Filed Jan 4, 2019 16:54 UTC	Vivaldi Opportunities Fund VAM · Entity 148386	SaleCommon Stock	400	$14.15	$5,658.00	Disclosure SEC source: 0001251859-19-000002 · primary_doc.xml · nonDerivative · entry 1 ASHER DANIEL · CIK 0001251859 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Daniel Asher Revocable Trust Disclosed balance after: 563,051.412 F1 · ownership.nature: Mr. Asher is the grantor and trustee of the Daniel Asher Revocable Trust, and the beneficiaries are Mr. Asher, his wife and his descendants. Read SEC document
December 31, 2018 Filed Jan 3, 2019 16:42 UTC	Vivaldi Opportunities Fund VAM · Entity 148386	SaleCommon Stock	2,600	$14.21	$36,949.12	Disclosure SEC source: 0001251859-19-000001 · primary_doc.xml · nonDerivative · entry 1 ASHER DANIEL · CIK 0001251859 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Daniel Asher Revocable Trust Disclosed balance after: 563,451.412 F1 · ownership.nature: Mr. Asher is the grantor and trustee of the Daniel Asher Revocable Trust, and the beneficiaries are Mr. Asher, his wife and his descendants. Read SEC document

Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.