Barnes Michael Gene

SEC source: 0001393726-19-000040 · wf-form4_155319322575010.xml · nonDerivative · entry 13

Barnes Michael Gene · CIK 0001498811 · Director · Executive Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,461,317

F1 · kind: Purchases pursuant to a Rule 10b5-1 trading plan.

SEC source: 0001393726-19-000040 · wf-form4_155319322575010.xml · nonDerivative · entry 12

Barnes Michael Gene · CIK 0001498811 · Director · Executive Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,461,117

F1 · kind: Purchases pursuant to a Rule 10b5-1 trading plan.

SEC source: 0001393726-19-000040 · wf-form4_155319322575010.xml · nonDerivative · entry 11

Barnes Michael Gene · CIK 0001498811 · Director · Executive Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,451,818

F1 · kind: Purchases pursuant to a Rule 10b5-1 trading plan.

SEC source: 0001393726-19-000040 · wf-form4_155319322575010.xml · nonDerivative · entry 10

Barnes Michael Gene · CIK 0001498811 · Director · Executive Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,438,869

F1 · kind: Purchases pursuant to a Rule 10b5-1 trading plan.

SEC source: 0001393726-19-000040 · wf-form4_155319322575010.xml · nonDerivative · entry 9

Barnes Michael Gene · CIK 0001498811 · Director · Executive Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,438,817

F1 · kind: Purchases pursuant to a Rule 10b5-1 trading plan.

SEC source: 0001393726-19-000040 · wf-form4_155319322575010.xml · nonDerivative · entry 8

Barnes Michael Gene · CIK 0001498811 · Director · Executive Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,438,806

F1 · kind: Purchases pursuant to a Rule 10b5-1 trading plan.

SEC source: 0001393726-19-000040 · wf-form4_155319322575010.xml · nonDerivative · entry 7

Barnes Michael Gene · CIK 0001498811 · Director · Executive Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,436,748

F1 · kind: Purchases pursuant to a Rule 10b5-1 trading plan.

SEC source: 0001393726-19-000040 · wf-form4_155319322575010.xml · nonDerivative · entry 6

Barnes Michael Gene · CIK 0001498811 · Director · Executive Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,434,348

F1 · kind: Purchases pursuant to a Rule 10b5-1 trading plan.

SEC source: 0001393726-19-000040 · wf-form4_155319322575010.xml · nonDerivative · entry 5

Barnes Michael Gene · CIK 0001498811 · Director · Executive Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,426,553

F1 · kind: Purchases pursuant to a Rule 10b5-1 trading plan.

SEC source: 0001393726-19-000040 · wf-form4_155319322575010.xml · nonDerivative · entry 4

Barnes Michael Gene · CIK 0001498811 · Director · Executive Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,418,079

F1 · kind: Purchases pursuant to a Rule 10b5-1 trading plan.

SEC source: 0001393726-19-000040 · wf-form4_155319322575010.xml · nonDerivative · entry 3

Barnes Michael Gene · CIK 0001498811 · Director · Executive Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,415,406

F1 · kind: Purchases pursuant to a Rule 10b5-1 trading plan.

SEC source: 0001393726-19-000040 · wf-form4_155319322575010.xml · nonDerivative · entry 2

Barnes Michael Gene · CIK 0001498811 · Director · Executive Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,415,386

F1 · kind: Purchases pursuant to a Rule 10b5-1 trading plan.

SEC source: 0001393726-19-000040 · wf-form4_155319322575010.xml · nonDerivative · entry 1

Barnes Michael Gene · CIK 0001498811 · Director · Executive Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,415,104

F1 · kind: Purchases pursuant to a Rule 10b5-1 trading plan.

SEC source: 0001393726-19-000029 · wf-form4_155137779098410.xml · derivative · entry 3

Barnes Michael Gene · CIK 0001498811 · Director · Executive Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 90,326

Underlying: Common Stock · 90,326 shares

Expires not disclosed

F3 · security: On February 26, 2019, the Reporting Person was granted non-qualified stock options to purchase 90,326 shares of common stock of the Registrant, subject to the terms of a Stock Option Agreement between the Registrant and the Reporting person (the "Stock Option Agreement").

F4 · derivative.exercise_date: Exercise of the Stock Option is subject to both (1) a time-based vesting requirement with one-third vesting each of February 26, 2022, 2023 and 2024 and (2) a performance-based vesting requirement that, at any time during the option term, achievement of a 20-day volume weighted average stock price of Registrant's Common Stock, that exceeds the per share book value on an as exchanged basis as of December 31, 2018 (as reported in the Registrant's filings with the Securities and Exchange Commission).

F5 · derivative.expiration_date: The Stock Option will expire on the earlier of (1) February 26, 2029 and (2) the date of the termination of Michael Barnes' service with the Registrant for Cause (as defined in the Stock Option Agreement) or Michael Barnes' voluntary termination of service with the Registrant.

SEC source: 0001393726-19-000029 · wf-form4_155137779098410.xml · nonDerivative · entry 1

Barnes Michael Gene · CIK 0001498811 · Director · Executive Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,412,919

F1 · shares: The Reporting Person was granted restricted stock units, which represent the right to receive shares of the Issuer's Common Stock, pursuant to the Issuer's Equity Plan. The restricted stock units will cliff vest on February 15, 2022 upon Mr. Barnes' continuous employment from the grant date until such date, subject to certain terms contained in the award agreement.

SEC source: 0001498811-18-000001 · wf-form4_152356297639097.xml · derivative · entry 5

Barnes Michael Gene · CIK 0001498811 · Director · Executive Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 893,612

Underlying: Class A Common Stock · 893,612 shares

Expires 2022-06-30

F1 · kind: On 4/10/18, Tiptree Inc. ("Tiptree") merged with its subsidiary, Tiptree Financial Partners, L.P. ("TFP") with Tiptree as the surviving company (the "Merger"). Prior to the Merger, Tiptree owned 84% of TFP with the remainder owned by limited partners, one of whom was Mr. Barnes. In the Merger, each limited partner of TFP received for its TFP units (the "LP Units"), (i) the number of Tiptree Class A common stock ("Tiptree Shares") that they were entitled to exchange into using the existing rate of 2.798 Tiptree Shares per LP Unit (ii) a warrant, expiring 9/30/18, to purchase Tiptree Shares ("2018 Warrant") and (iii) warrants to acquire Tiptree Shares on the same economic terms as their existing warrants to acquire LP Units ("2022 Warrant"). Mr. Barnes received (i) 2,462,248 Tiptree Shares for his 880,003 LP Units; (ii) the 2018 Warrant exercisable to acquire 37,318 Tiptree Shares; and (iii) the 2022 Warrant exercisable to acquire 893,612 Tiptree Shares.

F1 · price: On 4/10/18, Tiptree Inc. ("Tiptree") merged with its subsidiary, Tiptree Financial Partners, L.P. ("TFP") with Tiptree as the surviving company (the "Merger"). Prior to the Merger, Tiptree owned 84% of TFP with the remainder owned by limited partners, one of whom was Mr. Barnes. In the Merger, each limited partner of TFP received for its TFP units (the "LP Units"), (i) the number of Tiptree Class A common stock ("Tiptree Shares") that they were entitled to exchange into using the existing rate of 2.798 Tiptree Shares per LP Unit (ii) a warrant, expiring 9/30/18, to purchase Tiptree Shares ("2018 Warrant") and (iii) warrants to acquire Tiptree Shares on the same economic terms as their existing warrants to acquire LP Units ("2022 Warrant"). Mr. Barnes received (i) 2,462,248 Tiptree Shares for his 880,003 LP Units; (ii) the 2018 Warrant exercisable to acquire 37,318 Tiptree Shares; and (iii) the 2022 Warrant exercisable to acquire 893,612 Tiptree Shares.

SEC source: 0001498811-18-000001 · wf-form4_152356297639097.xml · derivative · entry 4

Barnes Michael Gene · CIK 0001498811 · Director · Executive Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,318

Underlying: Class A Common Stock · 37,318 shares

Expires 2018-09-30

F3 · kind: In connection with the Reorganization Merger, the original warrant, expiring on September 30, 2018, held by TFP to acquire up to 652,500 Tiptree Shares at an exercise price of $11.33 per share was canceled and converted into the right to receive a pro-rata portion of the 2018 Warrant. Mr. Barnes may acquire 37,318 Tiptree Shares pursuant to the terms of the 2018 Warrant.

F1 · price: On 4/10/18, Tiptree Inc. ("Tiptree") merged with its subsidiary, Tiptree Financial Partners, L.P. ("TFP") with Tiptree as the surviving company (the "Merger"). Prior to the Merger, Tiptree owned 84% of TFP with the remainder owned by limited partners, one of whom was Mr. Barnes. In the Merger, each limited partner of TFP received for its TFP units (the "LP Units"), (i) the number of Tiptree Class A common stock ("Tiptree Shares") that they were entitled to exchange into using the existing rate of 2.798 Tiptree Shares per LP Unit (ii) a warrant, expiring 9/30/18, to purchase Tiptree Shares ("2018 Warrant") and (iii) warrants to acquire Tiptree Shares on the same economic terms as their existing warrants to acquire LP Units ("2022 Warrant"). Mr. Barnes received (i) 2,462,248 Tiptree Shares for his 880,003 LP Units; (ii) the 2018 Warrant exercisable to acquire 37,318 Tiptree Shares; and (iii) the 2022 Warrant exercisable to acquire 893,612 Tiptree Shares.

SEC source: 0001498811-18-000001 · wf-form4_152356297639097.xml · derivative · entry 3

Barnes Michael Gene · CIK 0001498811 · Director · Executive Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Class A Common Stock · 893,612 shares

Expires 2022-06-30

F1 · kind: On 4/10/18, Tiptree Inc. ("Tiptree") merged with its subsidiary, Tiptree Financial Partners, L.P. ("TFP") with Tiptree as the surviving company (the "Merger"). Prior to the Merger, Tiptree owned 84% of TFP with the remainder owned by limited partners, one of whom was Mr. Barnes. In the Merger, each limited partner of TFP received for its TFP units (the "LP Units"), (i) the number of Tiptree Class A common stock ("Tiptree Shares") that they were entitled to exchange into using the existing rate of 2.798 Tiptree Shares per LP Unit (ii) a warrant, expiring 9/30/18, to purchase Tiptree Shares ("2018 Warrant") and (iii) warrants to acquire Tiptree Shares on the same economic terms as their existing warrants to acquire LP Units ("2022 Warrant"). Mr. Barnes received (i) 2,462,248 Tiptree Shares for his 880,003 LP Units; (ii) the 2018 Warrant exercisable to acquire 37,318 Tiptree Shares; and (iii) the 2022 Warrant exercisable to acquire 893,612 Tiptree Shares.

F1 · price: On 4/10/18, Tiptree Inc. ("Tiptree") merged with its subsidiary, Tiptree Financial Partners, L.P. ("TFP") with Tiptree as the surviving company (the "Merger"). Prior to the Merger, Tiptree owned 84% of TFP with the remainder owned by limited partners, one of whom was Mr. Barnes. In the Merger, each limited partner of TFP received for its TFP units (the "LP Units"), (i) the number of Tiptree Class A common stock ("Tiptree Shares") that they were entitled to exchange into using the existing rate of 2.798 Tiptree Shares per LP Unit (ii) a warrant, expiring 9/30/18, to purchase Tiptree Shares ("2018 Warrant") and (iii) warrants to acquire Tiptree Shares on the same economic terms as their existing warrants to acquire LP Units ("2022 Warrant"). Mr. Barnes received (i) 2,462,248 Tiptree Shares for his 880,003 LP Units; (ii) the 2018 Warrant exercisable to acquire 37,318 Tiptree Shares; and (iii) the 2022 Warrant exercisable to acquire 893,612 Tiptree Shares.

SEC source: 0001498811-18-000001 · wf-form4_152356297639097.xml · derivative · entry 2

Barnes Michael Gene · CIK 0001498811 · Director · Executive Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Class A Common Stock · 2,462,248 shares

Expires not disclosed

F2 · derivative.exercise_price: From and after July 1, 2014, the limited partners of TFP have the ability to exchange TFP partnership units for Tiptree Class A common stock at a rate of 2.798 shares of Class A common stock per partnership unit.

F1 · kind: On 4/10/18, Tiptree Inc. ("Tiptree") merged with its subsidiary, Tiptree Financial Partners, L.P. ("TFP") with Tiptree as the surviving company (the "Merger"). Prior to the Merger, Tiptree owned 84% of TFP with the remainder owned by limited partners, one of whom was Mr. Barnes. In the Merger, each limited partner of TFP received for its TFP units (the "LP Units"), (i) the number of Tiptree Class A common stock ("Tiptree Shares") that they were entitled to exchange into using the existing rate of 2.798 Tiptree Shares per LP Unit (ii) a warrant, expiring 9/30/18, to purchase Tiptree Shares ("2018 Warrant") and (iii) warrants to acquire Tiptree Shares on the same economic terms as their existing warrants to acquire LP Units ("2022 Warrant"). Mr. Barnes received (i) 2,462,248 Tiptree Shares for his 880,003 LP Units; (ii) the 2018 Warrant exercisable to acquire 37,318 Tiptree Shares; and (iii) the 2022 Warrant exercisable to acquire 893,612 Tiptree Shares.

F1 · price: On 4/10/18, Tiptree Inc. ("Tiptree") merged with its subsidiary, Tiptree Financial Partners, L.P. ("TFP") with Tiptree as the surviving company (the "Merger"). Prior to the Merger, Tiptree owned 84% of TFP with the remainder owned by limited partners, one of whom was Mr. Barnes. In the Merger, each limited partner of TFP received for its TFP units (the "LP Units"), (i) the number of Tiptree Class A common stock ("Tiptree Shares") that they were entitled to exchange into using the existing rate of 2.798 Tiptree Shares per LP Unit (ii) a warrant, expiring 9/30/18, to purchase Tiptree Shares ("2018 Warrant") and (iii) warrants to acquire Tiptree Shares on the same economic terms as their existing warrants to acquire LP Units ("2022 Warrant"). Mr. Barnes received (i) 2,462,248 Tiptree Shares for his 880,003 LP Units; (ii) the 2018 Warrant exercisable to acquire 37,318 Tiptree Shares; and (iii) the 2022 Warrant exercisable to acquire 893,612 Tiptree Shares.

F2 · derivative.expiration_date: From and after July 1, 2014, the limited partners of TFP have the ability to exchange TFP partnership units for Tiptree Class A common stock at a rate of 2.798 shares of Class A common stock per partnership unit.

SEC source: 0001498811-18-000001 · wf-form4_152356297639097.xml · nonDerivative · entry 1

Barnes Michael Gene · CIK 0001498811 · Director · Executive Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,367,756

F1 · kind: On 4/10/18, Tiptree Inc. ("Tiptree") merged with its subsidiary, Tiptree Financial Partners, L.P. ("TFP") with Tiptree as the surviving company (the "Merger"). Prior to the Merger, Tiptree owned 84% of TFP with the remainder owned by limited partners, one of whom was Mr. Barnes. In the Merger, each limited partner of TFP received for its TFP units (the "LP Units"), (i) the number of Tiptree Class A common stock ("Tiptree Shares") that they were entitled to exchange into using the existing rate of 2.798 Tiptree Shares per LP Unit (ii) a warrant, expiring 9/30/18, to purchase Tiptree Shares ("2018 Warrant") and (iii) warrants to acquire Tiptree Shares on the same economic terms as their existing warrants to acquire LP Units ("2022 Warrant"). Mr. Barnes received (i) 2,462,248 Tiptree Shares for his 880,003 LP Units; (ii) the 2018 Warrant exercisable to acquire 37,318 Tiptree Shares; and (iii) the 2022 Warrant exercisable to acquire 893,612 Tiptree Shares.

F1 · shares: On 4/10/18, Tiptree Inc. ("Tiptree") merged with its subsidiary, Tiptree Financial Partners, L.P. ("TFP") with Tiptree as the surviving company (the "Merger"). Prior to the Merger, Tiptree owned 84% of TFP with the remainder owned by limited partners, one of whom was Mr. Barnes. In the Merger, each limited partner of TFP received for its TFP units (the "LP Units"), (i) the number of Tiptree Class A common stock ("Tiptree Shares") that they were entitled to exchange into using the existing rate of 2.798 Tiptree Shares per LP Unit (ii) a warrant, expiring 9/30/18, to purchase Tiptree Shares ("2018 Warrant") and (iii) warrants to acquire Tiptree Shares on the same economic terms as their existing warrants to acquire LP Units ("2022 Warrant"). Mr. Barnes received (i) 2,462,248 Tiptree Shares for his 880,003 LP Units; (ii) the 2018 Warrant exercisable to acquire 37,318 Tiptree Shares; and (iii) the 2022 Warrant exercisable to acquire 893,612 Tiptree Shares.

F1 · price: On 4/10/18, Tiptree Inc. ("Tiptree") merged with its subsidiary, Tiptree Financial Partners, L.P. ("TFP") with Tiptree as the surviving company (the "Merger"). Prior to the Merger, Tiptree owned 84% of TFP with the remainder owned by limited partners, one of whom was Mr. Barnes. In the Merger, each limited partner of TFP received for its TFP units (the "LP Units"), (i) the number of Tiptree Class A common stock ("Tiptree Shares") that they were entitled to exchange into using the existing rate of 2.798 Tiptree Shares per LP Unit (ii) a warrant, expiring 9/30/18, to purchase Tiptree Shares ("2018 Warrant") and (iii) warrants to acquire Tiptree Shares on the same economic terms as their existing warrants to acquire LP Units ("2022 Warrant"). Mr. Barnes received (i) 2,462,248 Tiptree Shares for his 880,003 LP Units; (ii) the 2018 Warrant exercisable to acquire 37,318 Tiptree Shares; and (iii) the 2022 Warrant exercisable to acquire 893,612 Tiptree Shares.

SEC source: 0001628280-18-002532 · wf-form4_151985675317593.xml · derivative · entry 2

Barnes Michael Gene · CIK 0001498811 · Director · Executive Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 93,332

Underlying: Class A Common · 93,332 shares

Expires not disclosed

F2 · security: The Reporting Person was granted stock options to purchase 93,332 shares of common stock of the Registrant subject to the terms of a Stock Option Agreement among the Registrant and the Reporting Person (the "Stock Option").

F3 · derivative.exercise_date: Exercise of the Stock Option is subject to both (1) a time-based vesting requirement with one-third vesting each of February 26, 2021, 2022 and 2023 and (2) a performance-based vesting requirement that, at any time during the option term, achievement of a 20-day volume weighted average stock price of Registrant's Class A Common Stock, that exceeds the per share book value on an as exchanged basis as of December 31, 2017 (as reported in the Registrant's filings with the Securities and Exchange Commission).

F4 · derivative.expiration_date: The Stock Option will expire on the earlier of (1) February 26, 2028 and (2) the date of the termination of Michael Barnes's service with the Registrant for Cause (as defined in the Stock Option Agreement) or Michael Barnes's voluntary termination of service with the Registrant.

SEC source: 0001628280-18-002532 · wf-form4_151985675317593.xml · nonDerivative · entry 1

Barnes Michael Gene · CIK 0001498811 · Director · Executive Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,905,508

F1 · shares: The Reporting Person was granted restricted stock units, which represent the right to receive shares of the Issuer's Class A Common Stock, pursuant to the Issuer's Equity Plan. The restricted stock units will cliff vest on February 15, 2021 upon continuous employment from the grant date until such date, subject to certain terms contained in the Reporting Person's award agreement.

SEC source: 0001628280-17-012470 · wf-form4_151380580239812.xml · derivative · entry 2

Barnes Michael Gene · CIK 0001498811 · Director · Executive Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 893,612

Underlying: Class A Common Stock · 893,612 shares

Expires 2022-06-30

F2 · kind: The Reporting Person was a member of TFPLP Holdings I LLC and received securities upon the distribution of all of TFPLP Holdings I LLC's assets to its members.

F2 · price: The Reporting Person was a member of TFPLP Holdings I LLC and received securities upon the distribution of all of TFPLP Holdings I LLC's assets to its members.

SEC source: 0001628280-17-012470 · wf-form4_151380580239812.xml · derivative · entry 1

Barnes Michael Gene · CIK 0001498811 · Director · Executive Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,462,248

Underlying: Class A Common Stock · 2,462,248 shares

Expires not disclosed

F1 · derivative.exercise_price: From and after July 1, 2014, the limited partners of Tiptree Financial Partners, L.P. ("TFP") have the ability to exchange TFP partnership units for Tiptree Class A common stock at a rate of 2.798 shares of Class A common stock per partnership unit.

F2 · kind: The Reporting Person was a member of TFPLP Holdings I LLC and received securities upon the distribution of all of TFPLP Holdings I LLC's assets to its members.

F2 · price: The Reporting Person was a member of TFPLP Holdings I LLC and received securities upon the distribution of all of TFPLP Holdings I LLC's assets to its members.

F1 · derivative.expiration_date: From and after July 1, 2014, the limited partners of Tiptree Financial Partners, L.P. ("TFP") have the ability to exchange TFP partnership units for Tiptree Class A common stock at a rate of 2.798 shares of Class A common stock per partnership unit.

SEC source: 0001628280-17-006274 · wf-form4_149686439268675.xml · nonDerivative · entry 1

Barnes Michael Gene · CIK 0001498811 · Director · Executive Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,858,842

F1 · kind: Represents Class A common stock acquired by the reporting person upon the distribution of Class A common stock from the exercise of partnership unit options of Tricadia Capital Management LLC, in which the reporting person is a limited partner.

SEC source: 0001628280-17-006274 · wf-form4_149686439268675.xml · derivative · entry 2

Barnes Michael Gene · CIK 0001498811 · Director · Executive Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By: Tricadia Capital Management, LLC

Disclosed balance after: 0

Underlying: Class A Common Stock · 1,510,920 shares

Expires 2017-06-12

F2 · kind: On June 5, 2017, Tricadia Capital Management, LLC exercised its option to acquire 1,510,920 shares of the issuer's Class A common stock and subsequently distributed such shares to its limited partners. The reporting person is a principal of Tricadia Holdings, L.P., which owns 100% of Tricadia Capital Management, LLC.

F2 · ownership.direct: On June 5, 2017, Tricadia Capital Management, LLC exercised its option to acquire 1,510,920 shares of the issuer's Class A common stock and subsequently distributed such shares to its limited partners. The reporting person is a principal of Tricadia Holdings, L.P., which owns 100% of Tricadia Capital Management, LLC.

SEC source: 0001628280-17-005515 · wf-form4_149485774790791.xml · nonDerivative · entry 5

Barnes Michael Gene · CIK 0001498811 · Director · Executive Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,919,105

F1 · kind: Purchases pursuant to a Rule 10b5-1 trading plan.

SEC source: 0001628280-17-005515 · wf-form4_149485774790791.xml · nonDerivative · entry 4

Barnes Michael Gene · CIK 0001498811 · Director · Executive Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,918,905

F1 · kind: Purchases pursuant to a Rule 10b5-1 trading plan.

SEC source: 0001628280-17-005515 · wf-form4_149485774790791.xml · nonDerivative · entry 3

Barnes Michael Gene · CIK 0001498811 · Director · Executive Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,918,705

F1 · kind: Purchases pursuant to a Rule 10b5-1 trading plan.

SEC source: 0001628280-17-005515 · wf-form4_149485774790791.xml · nonDerivative · entry 2

Barnes Michael Gene · CIK 0001498811 · Director · Executive Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,916,605

F1 · kind: Purchases pursuant to a Rule 10b5-1 trading plan.

SEC source: 0001628280-17-005515 · wf-form4_149485774790791.xml · nonDerivative · entry 1

Barnes Michael Gene · CIK 0001498811 · Director · Executive Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,916,205

F1 · kind: Purchases pursuant to a Rule 10b5-1 trading plan.

SEC source: 0001628280-17-003554 · wf-form4_149202731639025.xml · nonDerivative · entry 1

Barnes Michael Gene · CIK 0001498811 · Director · Executive Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,915,605

F1 · kind: Represents a distribution of shares by TFPLP Holdings I LLC to its members

F1 · price: Represents a distribution of shares by TFPLP Holdings I LLC to its members

SEC source: 0001628280-17-003522 · wf-form4_149186088339994.xml · nonDerivative · entry 2

Barnes Michael Gene · CIK 0001498811 · Director · Executive Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,895,617

F2 · kind: Represents a distribution of shares by Tricadia Holdings, L.P. to limited partners.

SEC source: 0001628280-17-003522 · wf-form4_149186088339994.xml · nonDerivative · entry 1

Barnes Michael Gene · CIK 0001498811 · Director · Executive Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,867,270

F1 · kind: Purchases pursuant to a Rule 10b5-1 trading plan.

SEC source: 0001209191-17-020734 · doc4.xml · nonDerivative · entry 3

Barnes Michael Gene · CIK 0001498811 · Director · Executive Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,867,170

F1 · kind: Purchases pursuant to a Rule 10b5-1 trading plan.

SEC source: 0001209191-17-020734 · doc4.xml · nonDerivative · entry 2

Barnes Michael Gene · CIK 0001498811 · Director · Executive Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,867,130

F1 · kind: Purchases pursuant to a Rule 10b5-1 trading plan.

SEC source: 0001209191-17-020734 · doc4.xml · nonDerivative · entry 1

Barnes Michael Gene · CIK 0001498811 · Director · Executive Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,867,042

F1 · kind: Purchases pursuant to a Rule 10b5-1 trading plan.

SEC source: 0001209191-17-020060 · doc4.xml · nonDerivative · entry 8

Barnes Michael Gene · CIK 0001498811 · Director · Executive Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,864,670

F1 · kind: Purchases pursuant to a Rule 10b5-1 trading plan.

SEC source: 0001209191-17-020060 · doc4.xml · nonDerivative · entry 7

Barnes Michael Gene · CIK 0001498811 · Director · Executive Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,864,623

F1 · kind: Purchases pursuant to a Rule 10b5-1 trading plan.

SEC source: 0001209191-17-020060 · doc4.xml · nonDerivative · entry 6

Barnes Michael Gene · CIK 0001498811 · Director · Executive Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,864,557

F1 · kind: Purchases pursuant to a Rule 10b5-1 trading plan.

SEC source: 0001209191-17-020060 · doc4.xml · nonDerivative · entry 5

Barnes Michael Gene · CIK 0001498811 · Director · Executive Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,864,357

F1 · kind: Purchases pursuant to a Rule 10b5-1 trading plan.

SEC source: 0001209191-17-020060 · doc4.xml · nonDerivative · entry 4

Barnes Michael Gene · CIK 0001498811 · Director · Executive Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,863,457

F1 · kind: Purchases pursuant to a Rule 10b5-1 trading plan.

SEC source: 0001209191-17-020060 · doc4.xml · nonDerivative · entry 3

Barnes Michael Gene · CIK 0001498811 · Director · Executive Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,863,357

F1 · kind: Purchases pursuant to a Rule 10b5-1 trading plan.

SEC source: 0001209191-17-020060 · doc4.xml · nonDerivative · entry 2

Barnes Michael Gene · CIK 0001498811 · Director · Executive Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,863,057

F1 · kind: Purchases pursuant to a Rule 10b5-1 trading plan.

SEC source: 0001209191-17-020060 · doc4.xml · nonDerivative · entry 1

Barnes Michael Gene · CIK 0001498811 · Director · Executive Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,862,557

F1 · kind: Purchases pursuant to a Rule 10b5-1 trading plan.

SEC source: 0001209191-17-019498 · doc4.xml · nonDerivative · entry 3

Barnes Michael Gene · CIK 0001498811 · Director · Executive Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,860,957

F1 · kind: Purchases pursuant to a Rule 10b5-1 trading plan.

SEC source: 0001209191-17-019498 · doc4.xml · nonDerivative · entry 2

Barnes Michael Gene · CIK 0001498811 · Director · Executive Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,860,357

F1 · kind: Purchases pursuant to a Rule 10b5-1 trading plan.

SEC source: 0001209191-17-019498 · doc4.xml · nonDerivative · entry 1

Barnes Michael Gene · CIK 0001498811 · Director · Executive Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,858,457

F1 · kind: Purchases pursuant to a Rule 10b5-1 trading plan.

SEC source: 0001209191-17-015608 · doc4.xml · nonDerivative · entry 2

Barnes Michael Gene · CIK 0001498811 · Director · Executive Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,856,257

F1 · kind: Purchases pursuant to a Rule 10b5-1 trading plan.

SEC source: 0001209191-17-015608 · doc4.xml · nonDerivative · entry 1

Barnes Michael Gene · CIK 0001498811 · Director · Executive Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,855,257

F1 · kind: Purchases pursuant to a Rule 10b5-1 trading plan.