FREIDHEIM STEPHEN C

SEC source: 0000902664-23-003535 · ownership.xml · derivative · entry 3

CYRUS CAPITAL PARTNERS, L.P. · CIK 0001166564 · 10% owner

FREIDHEIM STEPHEN C · CIK 0001251783 · 10% owner

CYRUS CAPITAL PARTNERS GP, LLC · CIK 0001166774 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnotes

Disclosed balance after: 0

Underlying: Common Stock · 23,636,315 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.

F2 · derivative.exercise_price: The Series A Preferred Stock automatically converted pursuant to the amendment and restatement of the certificate of designations for the Series A Preferred Stock. Each share of Series A Preferred Stock automatically converted into one (1) fully-paid, non-assessable share of common stock.

F2 · kind: The Series A Preferred Stock automatically converted pursuant to the amendment and restatement of the certificate of designations for the Series A Preferred Stock. Each share of Series A Preferred Stock automatically converted into one (1) fully-paid, non-assessable share of common stock.

F2 · derivative.exercise_date: The Series A Preferred Stock automatically converted pursuant to the amendment and restatement of the certificate of designations for the Series A Preferred Stock. Each share of Series A Preferred Stock automatically converted into one (1) fully-paid, non-assessable share of common stock.

F2 · derivative.expiration_date: The Series A Preferred Stock automatically converted pursuant to the amendment and restatement of the certificate of designations for the Series A Preferred Stock. Each share of Series A Preferred Stock automatically converted into one (1) fully-paid, non-assessable share of common stock.

F3 · ownership.nature: This amount includes 2,467,131 shares of common stock, which the Reporting Persons expect the Cyrus Funds to receive on or about June 20, 2023, following the conversion as payment of accrued interest on the Series A Preferred Stock as disclosed in the Issuer's Current Report on Form 8-K filed with the Securities and Exchange Commission on June 2, 2023. The Reporting Persons will file an amendment to this Form 4 to the extent the actual amount of shares of common stock received in payment of accrued interest differs in any material respect.

F4 · ownership.nature: These securities of the Company are beneficially owned by (i) Cyrus Capital Partners, L.P. ("Cyrus Capital Partners"), as a result of being the investment manager of certain private investment funds that directly hold the securities, including Cyrus 1740 Master Fund, L.P., Canary SC Master Fund, L.P., Cyrus Opportunities Master Fund II, Ltd., Crescent 1, L.P., CRS Master Fund, L.P., Cyrus Select Opportunities Master Fund, Ltd., Cyrus Select Opportunities Master Fund II, L.P., PC Investors III LLC, and Peterson Capital Investors LLC (the "Cyrus Funds"), (ii) Cyrus Capital Partners GP, L.L.C. ("Cyrus Capital GP"), as a result of being the sole general partner of Cyrus Capital Partners, and (iii) Stephen C. Freidheim, as a result of being the Chief Investment Officer of Cyrus Capital Partners and the sole member and manager of Cyrus Capital GP (collectively, the "Reporting Persons").

SEC source: 0000902664-23-003535 · ownership.xml · nonDerivative · entry 2

CYRUS CAPITAL PARTNERS, L.P. · CIK 0001166564 · 10% owner

FREIDHEIM STEPHEN C · CIK 0001251783 · 10% owner

CYRUS CAPITAL PARTNERS GP, LLC · CIK 0001166774 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnotes

Disclosed balance after: 34,888,600

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 Series A Preferred Stock automatically converted pursuant to the amendment and restatement of the certificate of designations for the Series A Preferred Stock. Each share of Series A Preferred Stock automatically converted into one (1) fully-paid, non-assessable share of common stock.

F2 · price: The Series A Preferred Stock automatically converted pursuant to the amendment and restatement of the certificate of designations for the Series A Preferred Stock. Each share of Series A Preferred Stock automatically converted into one (1) fully-paid, non-assessable share of common stock.

F3 · balance_after: This amount includes 2,467,131 shares of common stock, which the Reporting Persons expect the Cyrus Funds to receive on or about June 20, 2023, following the conversion as payment of accrued interest on the Series A Preferred Stock as disclosed in the Issuer's Current Report on Form 8-K filed with the Securities and Exchange Commission on June 2, 2023. The Reporting Persons will file an amendment to this Form 4 to the extent the actual amount of shares of common stock received in payment of accrued interest differs in any material respect.

F4 · ownership.nature: These securities of the Company are beneficially owned by (i) Cyrus Capital Partners, L.P. ("Cyrus Capital Partners"), as a result of being the investment manager of certain private investment funds that directly hold the securities, including Cyrus 1740 Master Fund, L.P., Canary SC Master Fund, L.P., Cyrus Opportunities Master Fund II, Ltd., Crescent 1, L.P., CRS Master Fund, L.P., Cyrus Select Opportunities Master Fund, Ltd., Cyrus Select Opportunities Master Fund II, L.P., PC Investors III LLC, and Peterson Capital Investors LLC (the "Cyrus Funds"), (ii) Cyrus Capital Partners GP, L.L.C. ("Cyrus Capital GP"), as a result of being the sole general partner of Cyrus Capital Partners, and (iii) Stephen C. Freidheim, as a result of being the Chief Investment Officer of Cyrus Capital Partners and the sole member and manager of Cyrus Capital GP (collectively, the "Reporting Persons").

F5 · ownership.nature: (Continued from footnote 4) Each of the Reporting Persons disclaims beneficial ownership of any securities reported by any person except to the extent of their pecuniary interest therein.

SEC source: 0000902664-23-003535 · ownership.xml · nonDerivative · entry 1

CYRUS CAPITAL PARTNERS, L.P. · CIK 0001166564 · 10% owner

FREIDHEIM STEPHEN C · CIK 0001251783 · 10% owner

CYRUS CAPITAL PARTNERS GP, LLC · CIK 0001166774 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnotes

Disclosed balance after: 8,785,154

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $8.20 to $8.245, inclusive. The Reporting Persons undertake 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 range set forth herein.

F4 · ownership.nature: These securities of the Company are beneficially owned by (i) Cyrus Capital Partners, L.P. ("Cyrus Capital Partners"), as a result of being the investment manager of certain private investment funds that directly hold the securities, including Cyrus 1740 Master Fund, L.P., Canary SC Master Fund, L.P., Cyrus Opportunities Master Fund II, Ltd., Crescent 1, L.P., CRS Master Fund, L.P., Cyrus Select Opportunities Master Fund, Ltd., Cyrus Select Opportunities Master Fund II, L.P., PC Investors III LLC, and Peterson Capital Investors LLC (the "Cyrus Funds"), (ii) Cyrus Capital Partners GP, L.L.C. ("Cyrus Capital GP"), as a result of being the sole general partner of Cyrus Capital Partners, and (iii) Stephen C. Freidheim, as a result of being the Chief Investment Officer of Cyrus Capital Partners and the sole member and manager of Cyrus Capital GP (collectively, the "Reporting Persons").

F5 · ownership.nature: (Continued from footnote 4) Each of the Reporting Persons disclaims beneficial ownership of any securities reported by any person except to the extent of their pecuniary interest therein.

SEC source: 0000899243-23-011460 · doc4.xml · nonDerivative · entry 2

CYRUS CAPITAL PARTNERS, L.P. · CIK 0001166564 · 10% owner

CYRUS CAPITAL PARTNERS GP, LLC · CIK 0001166774 · 10% owner

FREIDHEIM STEPHEN C · CIK 0001251783 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 9,871,626

F2 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prces ranging from $7.90 to $8.12.

F3 · ownership.nature: The securities reported herein are beneficially owned by (i) Cyrus Capital Partners, L.P. ("Cyrus Capital Partners"), as a result of being the investment manager of certain private investment funds that directly hold the securities, including Cyrus 1740 Master Fund, L.P., Canary SC Master Fund, L.P., Cyrus Opportunities Master Fund II, Ltd., Crescent 1, L.P., CRS Master Fund, L.P., Cyrus Select Opportunities Master Fund, Ltd., Cyrus Select Opportunities Master Fund II, L.P., PJ A Capital LLC, and Peterson Capital Investors LLC, (ii) Cyrus Capital Partners GP, L.L.C. ("Cyrus Capital GP"), as a result of being the sole general partner of Cyrus Capital Partners, and (iii) Stephen C. Freidheim, as a result of being the Chief Investment Officer of Cyrus Capital Partners and the sole member and manager of Cyrus Capital GP (collectively, the "Reporting Persons").

F4 · ownership.nature: (Continued from footnote 3) Each of the Reporting Persons disclaims beneficial ownership of any securities reported by any person except to the extent of their pecuniary interest therein.

SEC source: 0000899243-23-011460 · doc4.xml · nonDerivative · entry 1

CYRUS CAPITAL PARTNERS, L.P. · CIK 0001166564 · 10% owner

CYRUS CAPITAL PARTNERS GP, LLC · CIK 0001166774 · 10% owner

FREIDHEIM STEPHEN C · CIK 0001251783 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 9,946,538

F1 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prces ranging from $8.05 to $8.335.

F3 · ownership.nature: The securities reported herein are beneficially owned by (i) Cyrus Capital Partners, L.P. ("Cyrus Capital Partners"), as a result of being the investment manager of certain private investment funds that directly hold the securities, including Cyrus 1740 Master Fund, L.P., Canary SC Master Fund, L.P., Cyrus Opportunities Master Fund II, Ltd., Crescent 1, L.P., CRS Master Fund, L.P., Cyrus Select Opportunities Master Fund, Ltd., Cyrus Select Opportunities Master Fund II, L.P., PJ A Capital LLC, and Peterson Capital Investors LLC, (ii) Cyrus Capital Partners GP, L.L.C. ("Cyrus Capital GP"), as a result of being the sole general partner of Cyrus Capital Partners, and (iii) Stephen C. Freidheim, as a result of being the Chief Investment Officer of Cyrus Capital Partners and the sole member and manager of Cyrus Capital GP (collectively, the "Reporting Persons").

F4 · ownership.nature: (Continued from footnote 3) Each of the Reporting Persons disclaims beneficial ownership of any securities reported by any person except to the extent of their pecuniary interest therein.

SEC source: 0000899243-23-011318 · doc4.xml · nonDerivative · entry 2

CYRUS CAPITAL PARTNERS, L.P. · CIK 0001166564 · 10% owner

CYRUS CAPITAL PARTNERS GP, LLC · CIK 0001166774 · 10% owner

FREIDHEIM STEPHEN C · CIK 0001251783 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 10,056,642

F1 · ownership.nature: The securities reported herein are beneficially owned by (i) Cyrus Capital Partners, L.P. ("Cyrus Capital Partners"), as a result of being the investment manager of certain private investment funds that directly hold the securities, including Cyrus 1740 Master Fund, L.P., Canary SC Master Fund, L.P., Cyrus Opportunities Master Fund II, Ltd., Crescent 1, L.P., CRS Master Fund, L.P., Cyrus Select Opportunities Master Fund, Ltd., Cyrus Select Opportunities Master Fund II, L.P., PJ A Capital LLC, and Peterson Capital Investors LLC, (ii) Cyrus Capital Partners GP, L.L.C. ("Cyrus Capital GP"), as a result of being the sole general partner of Cyrus Capital Partners, and (iii) Stephen C. Freidheim, as a result of being the Chief Investment Officer of Cyrus Capital Partners and the sole member and manager of Cyrus Capital GP (collectively, the "Reporting Persons").

F2 · ownership.nature: (Continued from footnote 1) Each of the Reporting Persons disclaims beneficial ownership of any securities reported by any person except to the extent of their pecuniary interest therein.

SEC source: 0000899243-23-011318 · doc4.xml · nonDerivative · entry 1

CYRUS CAPITAL PARTNERS, L.P. · CIK 0001166564 · 10% owner

CYRUS CAPITAL PARTNERS GP, LLC · CIK 0001166774 · 10% owner

FREIDHEIM STEPHEN C · CIK 0001251783 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 10,111,836

F1 · ownership.nature: The securities reported herein are beneficially owned by (i) Cyrus Capital Partners, L.P. ("Cyrus Capital Partners"), as a result of being the investment manager of certain private investment funds that directly hold the securities, including Cyrus 1740 Master Fund, L.P., Canary SC Master Fund, L.P., Cyrus Opportunities Master Fund II, Ltd., Crescent 1, L.P., CRS Master Fund, L.P., Cyrus Select Opportunities Master Fund, Ltd., Cyrus Select Opportunities Master Fund II, L.P., PJ A Capital LLC, and Peterson Capital Investors LLC, (ii) Cyrus Capital Partners GP, L.L.C. ("Cyrus Capital GP"), as a result of being the sole general partner of Cyrus Capital Partners, and (iii) Stephen C. Freidheim, as a result of being the Chief Investment Officer of Cyrus Capital Partners and the sole member and manager of Cyrus Capital GP (collectively, the "Reporting Persons").

F2 · ownership.nature: (Continued from footnote 1) Each of the Reporting Persons disclaims beneficial ownership of any securities reported by any person except to the extent of their pecuniary interest therein.

SEC source: 0000902664-22-005207 · ownership.xml · nonDerivative · entry 1

CYRUS CAPITAL PARTNERS, L.P. · CIK 0001166564 · 10% owner

FREIDHEIM STEPHEN C · CIK 0001251783 · 10% owner

CYRUS CAPITAL PARTNERS GP, LLC · CIK 0001166774 · 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: 10,868,710

F1 · ownership.nature: The securities reported herein are held directly by: (i) Cyrus Polaris LLC, (ii) Cyrus Polaris II LLC, (iii) CYR Fund, L.P., (iv) Crescent 1, L.P., (v) Cyrus 1740 Fund, L.P. and (vi) Canary SC Fund, L.P. (collectively, the "Cyrus Funds"). Cyrus Capital Partners, L.P ("CCP") serves as the investment manager to the Cyrus Funds. Cyrus Capital Partners GP, L.L.C. ("CCPGP") serves as the general partner of CCP. Stephen C. Freidheim serves as the principal of both CCP and CCPGP. All discretion over the investment activities of the Cyrus Funds has been delegated to CCP. Each of the Reporting Persons disclaims beneficial ownership of the reported securities except to the extent of its or his pecuniary interest therein, if any.

SEC source: 0000902664-22-004911 · ownership.xml · nonDerivative · entry 1

CYRUS CAPITAL PARTNERS, L.P. · CIK 0001166564 · 10% owner

FREIDHEIM STEPHEN C · CIK 0001251783 · 10% owner

CYRUS CAPITAL PARTNERS GP, LLC · CIK 0001166774 · 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: 11,218,710

F1 · ownership.nature: The securities reported herein are held directly by: (i) Cyrus Polaris LLC, (ii) Cyrus Polaris II LLC, (iii) CYR Fund, L.P., (iv) Crescent 1, L.P. and (v) Cyrus Canary Fund, L.P (collectively, the "Cyrus Funds"). Cyrus Capital Partners, L.P ("CCP") serves as the investment manager to the Cyrus Funds. Cyrus Capital Partners GP, L.L.C. ("CCPGP") serves as the general partner of CCP. Stephen C. Freidheim serves as the principal of both CCP and CCPGP. All discretion over the investment activities of the Cyrus Funds has been delegated to CCP. Each of the Reporting Persons disclaims beneficial ownership of the reported securities except to the extent of its or his pecuniary interest therein, if any.

SEC source: 0000902664-22-002822 · ownership.xml · nonDerivative · entry 1

CYRUS CAPITAL PARTNERS, L.P. · CIK 0001166564 · 10% owner

FREIDHEIM STEPHEN C · CIK 0001251783 · 10% owner

CYRUS CAPITAL PARTNERS GP, LLC · CIK 0001166774 · 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: 1,253,976

F1 · ownership.nature: The securities reported herein are held directly by: (i) Cyrus Opportunities Master Fund II, Ltd., (ii) CRS Master Fund, L.P., (iii) Crescent 1, L.P., and (iv) Cyrus Select Opportunities Master Fund, Ltd. (collectively, the "Cyrus Funds"). Cyrus Capital Partners LP ("CCP") serves as the investment manager to the Cyrus Funds. Cyrus Capital Partners GP, L.L.C. ("CCPGP") serves as the general partner of CCP. Stephen C. Freidheim serves as the principal of both CCP and CCPGP. All discretion over the investment activities of the Cyrus Funds has been delegated to CCP. Each of the Reporting Persons disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein, if any.

SEC source: 0000902664-22-002456 · ownership.xml · nonDerivative · entry 1

CYRUS CAPITAL PARTNERS, L.P. · CIK 0001166564 · 10% owner

FREIDHEIM STEPHEN C · CIK 0001251783 · 10% owner

CYRUS CAPITAL PARTNERS GP, LLC · CIK 0001166774 · 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: 16,218,710

F1 · ownership.nature: The securities reported herein are held directly by: (i) Cyrus Polaris LLC, (ii) Cyrus Polaris II LLC, (iii) CYR Fund, L.P., (iv) Crescent 1, L.P. and (v) Cyrus Canary Fund, L.P (collectively, the "Cyrus Funds"). Cyrus Capital Partners, L.P ("CCP") serves as the investment manager to the Cyrus Funds. Cyrus Capital Partners GP, L.L.C. ("CCPGP") serves as the general partner of CCP. Stephen C. Freidheim serves as the principal of both CCP and CCPGP. All discretion over the investment activities of the Cyrus Funds has been delegated to CCP. Each of the Reporting Persons disclaims beneficial ownership of the reported securities except to the extent of its or his pecuniary interest therein, if any.

SEC source: 0000902664-22-002402 · ownership.xml · nonDerivative · entry 3

CYRUS CAPITAL PARTNERS, L.P. · CIK 0001166564 · 10% owner

FREIDHEIM STEPHEN C · CIK 0001251783 · 10% owner

CYRUS CAPITAL PARTNERS GP, LLC · CIK 0001166774 · 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: 16,265,323

F1 · ownership.nature: The securities reported herein are held directly by: (i) Cyrus Polaris LLC, (ii) Cyrus Polaris II LLC, (iii) CYR Fund, L.P., (iv) Crescent 1, L.P. and (v) Cyrus Canary Fund, L.P (collectively, the "Cyrus Funds"). Cyrus Capital Partners, L.P ("CCP") serves as the investment manager to the Cyrus Funds. Cyrus Capital Partners GP, L.L.C. ("CCPGP") serves as the general partner of CCP. Stephen C. Freidheim serves as the principal of both CCP and CCPGP. All discretion over the investment activities of the Cyrus Funds has been delegated to CCP. Each of the Reporting Persons disclaims beneficial ownership of the reported securities except to the extent of its or his pecuniary interest therein, if any.

SEC source: 0000902664-22-002402 · ownership.xml · nonDerivative · entry 2

CYRUS CAPITAL PARTNERS, L.P. · CIK 0001166564 · 10% owner

FREIDHEIM STEPHEN C · CIK 0001251783 · 10% owner

CYRUS CAPITAL PARTNERS GP, LLC · CIK 0001166774 · 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: 16,428,656

F1 · ownership.nature: The securities reported herein are held directly by: (i) Cyrus Polaris LLC, (ii) Cyrus Polaris II LLC, (iii) CYR Fund, L.P., (iv) Crescent 1, L.P. and (v) Cyrus Canary Fund, L.P (collectively, the "Cyrus Funds"). Cyrus Capital Partners, L.P ("CCP") serves as the investment manager to the Cyrus Funds. Cyrus Capital Partners GP, L.L.C. ("CCPGP") serves as the general partner of CCP. Stephen C. Freidheim serves as the principal of both CCP and CCPGP. All discretion over the investment activities of the Cyrus Funds has been delegated to CCP. Each of the Reporting Persons disclaims beneficial ownership of the reported securities except to the extent of its or his pecuniary interest therein, if any.

SEC source: 0000902664-22-002402 · ownership.xml · nonDerivative · entry 1

CYRUS CAPITAL PARTNERS, L.P. · CIK 0001166564 · 10% owner

FREIDHEIM STEPHEN C · CIK 0001251783 · 10% owner

CYRUS CAPITAL PARTNERS GP, LLC · CIK 0001166774 · 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: 16,495,356

F1 · ownership.nature: The securities reported herein are held directly by: (i) Cyrus Polaris LLC, (ii) Cyrus Polaris II LLC, (iii) CYR Fund, L.P., (iv) Crescent 1, L.P. and (v) Cyrus Canary Fund, L.P (collectively, the "Cyrus Funds"). Cyrus Capital Partners, L.P ("CCP") serves as the investment manager to the Cyrus Funds. Cyrus Capital Partners GP, L.L.C. ("CCPGP") serves as the general partner of CCP. Stephen C. Freidheim serves as the principal of both CCP and CCPGP. All discretion over the investment activities of the Cyrus Funds has been delegated to CCP. Each of the Reporting Persons disclaims beneficial ownership of the reported securities except to the extent of its or his pecuniary interest therein, if any.

SEC source: 0000902664-22-002359 · ownership.xml · nonDerivative · entry 2

CYRUS CAPITAL PARTNERS, L.P. · CIK 0001166564 · 10% owner

FREIDHEIM STEPHEN C · CIK 0001251783 · 10% owner

CYRUS CAPITAL PARTNERS GP, LLC · CIK 0001166774 · 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: 16,645,556

F1 · ownership.nature: The securities reported herein are held directly by: (i) Cyrus Polaris LLC, (ii) Cyrus Polaris II LLC, (iii) CYR Fund, L.P., (iv) Crescent 1, L.P. and (v) Cyrus Canary Fund, L.P (collectively, the "Cyrus Funds"). Cyrus Capital Partners, L.P ("CCP") serves as the investment manager to the Cyrus Funds. Cyrus Capital Partners GP, L.L.C. ("CCPGP") serves as the general partner of CCP. Stephen C. Freidheim serves as the principal of both CCP and CCPGP. All discretion over the investment activities of the Cyrus Funds has been delegated to CCP. Each of the Reporting Persons disclaims beneficial ownership of the reported securities except to the extent of its or his pecuniary interest therein, if any.

SEC source: 0000902664-22-002359 · ownership.xml · nonDerivative · entry 1

CYRUS CAPITAL PARTNERS, L.P. · CIK 0001166564 · 10% owner

FREIDHEIM STEPHEN C · CIK 0001251783 · 10% owner

CYRUS CAPITAL PARTNERS GP, LLC · CIK 0001166774 · 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: 16,667,738

F1 · ownership.nature: The securities reported herein are held directly by: (i) Cyrus Polaris LLC, (ii) Cyrus Polaris II LLC, (iii) CYR Fund, L.P., (iv) Crescent 1, L.P. and (v) Cyrus Canary Fund, L.P (collectively, the "Cyrus Funds"). Cyrus Capital Partners, L.P ("CCP") serves as the investment manager to the Cyrus Funds. Cyrus Capital Partners GP, L.L.C. ("CCPGP") serves as the general partner of CCP. Stephen C. Freidheim serves as the principal of both CCP and CCPGP. All discretion over the investment activities of the Cyrus Funds has been delegated to CCP. Each of the Reporting Persons disclaims beneficial ownership of the reported securities except to the extent of its or his pecuniary interest therein, if any.

SEC source: 0000902664-22-002307 · ownership.xml · nonDerivative · entry 3

CYRUS CAPITAL PARTNERS, L.P. · CIK 0001166564 · 10% owner

FREIDHEIM STEPHEN C · CIK 0001251783 · 10% owner

CYRUS CAPITAL PARTNERS GP, LLC · CIK 0001166774 · 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: 16,715,879

F1 · ownership.nature: The securities reported herein are held directly by: (i) Cyrus Polaris LLC, (ii) Cyrus Polaris II LLC, (iii) CYR Fund, L.P., (iv) Crescent 1, L.P. and (v) Cyrus Canary Fund, L.P (collectively, the "Cyrus Funds"). Cyrus Capital Partners, L.P ("CCP") serves as the investment manager to the Cyrus Funds. Cyrus Capital Partners GP, L.L.C. ("CCPGP") serves as the general partner of CCP. Stephen C. Freidheim serves as the principal of both CCP and CCPGP. All discretion over the investment activities of the Cyrus Funds has been delegated to CCP. Each of the Reporting Persons disclaims beneficial ownership of the reported securities except to the extent of its or his pecuniary interest therein, if any.

SEC source: 0000902664-22-002307 · ownership.xml · nonDerivative · entry 2

CYRUS CAPITAL PARTNERS, L.P. · CIK 0001166564 · 10% owner

FREIDHEIM STEPHEN C · CIK 0001251783 · 10% owner

CYRUS CAPITAL PARTNERS GP, LLC · CIK 0001166774 · 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: 16,922,954

F1 · ownership.nature: The securities reported herein are held directly by: (i) Cyrus Polaris LLC, (ii) Cyrus Polaris II LLC, (iii) CYR Fund, L.P., (iv) Crescent 1, L.P. and (v) Cyrus Canary Fund, L.P (collectively, the "Cyrus Funds"). Cyrus Capital Partners, L.P ("CCP") serves as the investment manager to the Cyrus Funds. Cyrus Capital Partners GP, L.L.C. ("CCPGP") serves as the general partner of CCP. Stephen C. Freidheim serves as the principal of both CCP and CCPGP. All discretion over the investment activities of the Cyrus Funds has been delegated to CCP. Each of the Reporting Persons disclaims beneficial ownership of the reported securities except to the extent of its or his pecuniary interest therein, if any.

SEC source: 0000902664-22-002307 · ownership.xml · nonDerivative · entry 1

CYRUS CAPITAL PARTNERS, L.P. · CIK 0001166564 · 10% owner

FREIDHEIM STEPHEN C · CIK 0001251783 · 10% owner

CYRUS CAPITAL PARTNERS GP, LLC · CIK 0001166774 · 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: 16,943,679

F1 · ownership.nature: The securities reported herein are held directly by: (i) Cyrus Polaris LLC, (ii) Cyrus Polaris II LLC, (iii) CYR Fund, L.P., (iv) Crescent 1, L.P. and (v) Cyrus Canary Fund, L.P (collectively, the "Cyrus Funds"). Cyrus Capital Partners, L.P ("CCP") serves as the investment manager to the Cyrus Funds. Cyrus Capital Partners GP, L.L.C. ("CCPGP") serves as the general partner of CCP. Stephen C. Freidheim serves as the principal of both CCP and CCPGP. All discretion over the investment activities of the Cyrus Funds has been delegated to CCP. Each of the Reporting Persons disclaims beneficial ownership of the reported securities except to the extent of its or his pecuniary interest therein, if any.

SEC source: 0000902664-22-002273 · ownership.xml · nonDerivative · entry 2

CYRUS CAPITAL PARTNERS, L.P. · CIK 0001166564 · 10% owner

FREIDHEIM STEPHEN C · CIK 0001251783 · 10% owner

CYRUS CAPITAL PARTNERS GP, LLC · CIK 0001166774 · 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: 17,398,453

F1 · ownership.nature: The securities reported herein are held directly by: (i) Cyrus Polaris LLC, (ii) Cyrus Polaris II LLC, (iii) CYR Fund, L.P., (iv) Crescent 1, L.P. and (v) Cyrus Canary Fund, L.P (collectively, the "Cyrus Funds"). Cyrus Capital Partners, L.P ("CCP") serves as the investment manager to the Cyrus Funds. Cyrus Capital Partners GP, L.L.C. ("CCPGP") serves as the general partner of CCP. Stephen C. Freidheim serves as the principal of both CCP and CCPGP. All discretion over the investment activities of the Cyrus Funds has been delegated to CCP. Each of the Reporting Persons disclaims beneficial ownership of the reported securities except to the extent of its or his pecuniary interest therein, if any.

SEC source: 0000902664-22-002273 · ownership.xml · nonDerivative · entry 1

CYRUS CAPITAL PARTNERS, L.P. · CIK 0001166564 · 10% owner

FREIDHEIM STEPHEN C · CIK 0001251783 · 10% owner

CYRUS CAPITAL PARTNERS GP, LLC · CIK 0001166774 · 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: 17,602,223

F1 · ownership.nature: The securities reported herein are held directly by: (i) Cyrus Polaris LLC, (ii) Cyrus Polaris II LLC, (iii) CYR Fund, L.P., (iv) Crescent 1, L.P. and (v) Cyrus Canary Fund, L.P (collectively, the "Cyrus Funds"). Cyrus Capital Partners, L.P ("CCP") serves as the investment manager to the Cyrus Funds. Cyrus Capital Partners GP, L.L.C. ("CCPGP") serves as the general partner of CCP. Stephen C. Freidheim serves as the principal of both CCP and CCPGP. All discretion over the investment activities of the Cyrus Funds has been delegated to CCP. Each of the Reporting Persons disclaims beneficial ownership of the reported securities except to the extent of its or his pecuniary interest therein, if any.

SEC source: 0000902664-22-002239 · ownership.xml · nonDerivative · entry 2

CYRUS CAPITAL PARTNERS, L.P. · CIK 0001166564 · 10% owner

FREIDHEIM STEPHEN C · CIK 0001251783 · 10% owner

CYRUS CAPITAL PARTNERS GP, LLC · CIK 0001166774 · 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: 17,905,619

F1 · ownership.nature: The securities reported herein are held directly by: (i) Cyrus Polaris LLC, (ii) Cyrus Polaris II LLC, (iii) CYR Fund, L.P., (iv) Crescent 1, L.P. and (v) Cyrus Canary Fund, L.P (collectively, the "Cyrus Funds"). Cyrus Capital Partners, L.P ("CCP") serves as the investment manager to the Cyrus Funds. Cyrus Capital Partners GP, L.L.C. ("CCPGP") serves as the general partner of CCP. Stephen C. Freidheim serves as the principal of both CCP and CCPGP. All discretion over the investment activities of the Cyrus Funds has been delegated to CCP. Each of the Reporting Persons disclaims beneficial ownership of the reported securities except to the extent of its or his pecuniary interest therein, if any.

SEC source: 0000902664-22-002239 · ownership.xml · nonDerivative · entry 1

CYRUS CAPITAL PARTNERS, L.P. · CIK 0001166564 · 10% owner

FREIDHEIM STEPHEN C · CIK 0001251783 · 10% owner

CYRUS CAPITAL PARTNERS GP, LLC · CIK 0001166774 · 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: 17,940,341

F1 · ownership.nature: The securities reported herein are held directly by: (i) Cyrus Polaris LLC, (ii) Cyrus Polaris II LLC, (iii) CYR Fund, L.P., (iv) Crescent 1, L.P. and (v) Cyrus Canary Fund, L.P (collectively, the "Cyrus Funds"). Cyrus Capital Partners, L.P ("CCP") serves as the investment manager to the Cyrus Funds. Cyrus Capital Partners GP, L.L.C. ("CCPGP") serves as the general partner of CCP. Stephen C. Freidheim serves as the principal of both CCP and CCPGP. All discretion over the investment activities of the Cyrus Funds has been delegated to CCP. Each of the Reporting Persons disclaims beneficial ownership of the reported securities except to the extent of its or his pecuniary interest therein, if any.

SEC source: 0000902664-21-004051 · ownership.xml · nonDerivative · entry 1

CYRUS CAPITAL PARTNERS, L.P. · CIK 0001166564 · 10% owner

FREIDHEIM STEPHEN C · CIK 0001251783 · 10% owner

CYRUS CAPITAL PARTNERS GP, LLC · CIK 0001166774 · 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: 3,418,976

F1 · ownership.nature: The securities reported herein are held directly by: (i) Cyrus Opportunities Master Fund II, Ltd., (ii) CRS Master Fund, L.P., (iii) Crescent 1, L.P., and (iv) Cyrus Select Opportunities Master Fund, Ltd. (collectively, the "Cyrus Funds"). Cyrus Capital Partners LP ("CCP") serves as the investment manager to the Cyrus Funds. Cyrus Capital Partners GP, L.L.C. ("CCPGP") serves as the general partner of CCP. Stephen C. Freidheim serves as the principal of both CCP and CCPGP. All discretion over the investment activities of the Cyrus Funds has been delegated to CCP. Each of the Reporting Persons disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein, if any.

SEC source: 0000899243-21-019173 · doc4.xml · derivative · entry 1

CYRUS CAPITAL PARTNERS, L.P. · CIK 0001166564 · 10% owner

CYRUS CAPITAL PARTNERS GP, LLC · CIK 0001166774 · 10% owner

FREIDHEIM STEPHEN C · CIK 0001251783 · 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: 23,636,315

Underlying: Common Stock · 664,051 shares

Expires not disclosed

F1 · derivative.exercise_price: Represents the amount of Common Stock initially issuable upon conversion of the Series A Preferred Stock on the date of event requiring this report. Shares of Series A Preferred Stock are convertible, at the holder's election, at the conversion rate (as defined in the Company's certificate of designation of Series A Preferred Stock), which initially is 1:1. The shares of Series A Preferred Stock have no expiration date.

F1 · derivative.exercise_date: Represents the amount of Common Stock initially issuable upon conversion of the Series A Preferred Stock on the date of event requiring this report. Shares of Series A Preferred Stock are convertible, at the holder's election, at the conversion rate (as defined in the Company's certificate of designation of Series A Preferred Stock), which initially is 1:1. The shares of Series A Preferred Stock have no expiration date.

F1 · derivative.expiration_date: Represents the amount of Common Stock initially issuable upon conversion of the Series A Preferred Stock on the date of event requiring this report. Shares of Series A Preferred Stock are convertible, at the holder's election, at the conversion rate (as defined in the Company's certificate of designation of Series A Preferred Stock), which initially is 1:1. The shares of Series A Preferred Stock have no expiration date.

F1 · derivative.underlying_shares: Represents the amount of Common Stock initially issuable upon conversion of the Series A Preferred Stock on the date of event requiring this report. Shares of Series A Preferred Stock are convertible, at the holder's election, at the conversion rate (as defined in the Company's certificate of designation of Series A Preferred Stock), which initially is 1:1. The shares of Series A Preferred Stock have no expiration date.

F2 · ownership.nature: These securities of Garrett Motion Inc. (the "Company") are beneficially owned by (i) Cyrus Capital Partners, L.P. ("Cyrus Capital Partners"), as a result of being the investment manager of certain private investment funds that directly hold the securities, including Cyrus 1740 Master Fund, L.P., Canary SC Master Fund, L.P., Cyrus Opportunities Master Fund II, Ltd., Crescent 1, L.P., CRS Master Fund, L.P., Cyrus Select Opportunities Master Fund, Ltd., Cyrus Select Opportunities Master Fund II, L.P., PC Investors III LLC, and Peterson Capital Investors LLC, (ii) Cyrus Capital Partners GP, L.L.C. ("Cyrus Capital GP"), as a result of being the sole general partner of Cyrus Capital Partners, and (iii) Stephen C. Freidheim, as a result of being the Chief Investment Officer of Cyrus Capital Partners and the sole member and manager of Cyrus Capital GP (collectively, the "Reporting Persons").

F3 · ownership.nature: (Continued from footnote 2) Each of the Reporting Persons disclaims beneficial ownership of any securities reported by any person except to the extent of their pecuniary interest therein.

SEC source: 0000899243-21-017879 · doc4.xml · nonDerivative · entry 1

CYRUS CAPITAL PARTNERS, L.P. · CIK 0001166564 · 10% owner

CYRUS CAPITAL PARTNERS GP, LLC · CIK 0001166774 · 10% owner

FREIDHEIM STEPHEN C · CIK 0001251783 · 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

F1 · kind: On September 20, 2020, Garrett Motion Inc. (the "Issuer") and certain of its subsidiaries (collectively, the "Debtors") each filed a voluntary petition for relief under chapter 11 of title 11 of the United States Code (the "Bankruptcy Code") in the United States Bankruptcy Court for the Southern District of New York (the "Bankruptcy Court"). On April 26, 2021, the Debtors filed an amended Chapter 11 plan of reorganization (the "Plan") and on April 9, 2021, the Issuer filed a supplement to the Plan (as amended on April 20, 2021 and April 22, 2021, the "Plan Supplement") with the Bankruptcy Court. On April 26, 2021, the Bankruptcy Court entered an order confirming the Plan (the "Confirmation Order") and, on April 30, 2021 (the "Effective Date") the conditions to effectiveness of the Plan were satisfied or waived and the Issuer emerged from bankruptcy.

F2 · kind: (Continued from footnote 1) On the Effective Date, all outstanding shares of the Issuer's common stock outstanding prior to the Effective Date were canceled, released, and extinguished, and of no further force or effect and without any need for a holder of such common stock to take further action with respect thereto. Accordingly, this Form 4 shall constitute an exit filing for the Reporting Persons with respect to the Issuer.

F1 · price: On September 20, 2020, Garrett Motion Inc. (the "Issuer") and certain of its subsidiaries (collectively, the "Debtors") each filed a voluntary petition for relief under chapter 11 of title 11 of the United States Code (the "Bankruptcy Code") in the United States Bankruptcy Court for the Southern District of New York (the "Bankruptcy Court"). On April 26, 2021, the Debtors filed an amended Chapter 11 plan of reorganization (the "Plan") and on April 9, 2021, the Issuer filed a supplement to the Plan (as amended on April 20, 2021 and April 22, 2021, the "Plan Supplement") with the Bankruptcy Court. On April 26, 2021, the Bankruptcy Court entered an order confirming the Plan (the "Confirmation Order") and, on April 30, 2021 (the "Effective Date") the conditions to effectiveness of the Plan were satisfied or waived and the Issuer emerged from bankruptcy.

F2 · price: (Continued from footnote 1) On the Effective Date, all outstanding shares of the Issuer's common stock outstanding prior to the Effective Date were canceled, released, and extinguished, and of no further force or effect and without any need for a holder of such common stock to take further action with respect thereto. Accordingly, this Form 4 shall constitute an exit filing for the Reporting Persons with respect to the Issuer.

F3 · ownership.nature: These securities of the Issuer are beneficially owned by (i) Cyrus Capital Partners, L.P. ("Cyrus Capital Partners"), as a result of being the investment manager of certain private investment funds that directly hold common stock of the Issuer, including Cyrus 1740 Master Fund, L.P., Canary SC Master Fund, L.P., Cyrus Opportunities Master Fund II, Ltd., Crescent 1, L.P., CRS Master Fund, L.P., Cyrus Select Opportunities Master Fund, Ltd., Cyrus Select Opportunities Master Fund II, L.P., PC Investors III LLC, and Peterson Capital Investors LLC, (ii) Cyrus Capital Partners GP, L.L.C. ("Cyrus Capital GP"), as a result of being the sole general partner of Cyrus Capital Partners, and (iii) Stephen C. Freidheim, as a result of being the Chief Investment Officer of Cyrus Capital Partners and the sole member and manager of Cyrus Capital GP.

SEC source: 0000899243-20-027684 · doc4.xml · nonDerivative · entry 1

CYRUS CAPITAL PARTNERS, L.P. · CIK 0001166564 · 10% owner

CYRUS CAPITAL PARTNERS GP, LLC · CIK 0001166774 · 10% owner

FREIDHEIM STEPHEN C · CIK 0001251783 · 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: 10,220,254

F1 · ownership.nature: These shares of common stock, $0.001 par value per share (the "Shares"), of Garrett Motion Inc. are beneficially owned by (i) Cyrus Capital Partners, L.P. ("Cyrus Capital Partners"), as a result of being the investment manager of certain private investment funds that directly hold Shares, including Cyrus 1740 Master Fund, L.P., Canary SC Master Fund, L.P., Cyrus Opportunities Master Fund II, Ltd., Crescent 1, L.P., CRS Master Fund, L.P., Cyrus Select Opportunities Master Fund, Ltd., Cyrus Select Opportunities Master Fund II, L.P., PC Investors III LLC, and Peterson Capital Investors LLC, (ii) Cyrus Capital Partners GP, L.L.C. ("Cyrus Capital GP"), as a result of being the sole general partner of Cyrus Capital Partners, and (iii) Stephen C. Freidheim, as a result of being the Chief Investment Officer of Cyrus Capital Partners and the sole member and manager of Cyrus Capital GP.

SEC source: 0000902664-20-002553 · ownership.xml · nonDerivative · entry 1

CYRUS CAPITAL PARTNERS, L.P. · CIK 0001166564 · Director · 10% owner · See Remarks

FREIDHEIM STEPHEN C · CIK 0001251783 · 10% owner

CYRUS CAPITAL PARTNERS GP, LLC · CIK 0001166774 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,791

F1 · shares: These 6,230 shares of restricted Common Stock were granted to Cyrus Capital Partners LP ("CCP") by the Issuer on June 26, 2020 pursuant to the Issuer's Non-Employee Director Incentive Compensation Plan and vest on the earlier of (i) June 22, 2021 and (ii) the date of the annual meeting of stockholders in 2021. Mr. Joseph Kronsberg is an employee of CCP and sits on the board of directors of the Issuer as a representative of CCP. The grant was made directly to CCP because pursuant to agreements between CCP and Mr. Kronsberg, CCP is required to receive all compensation in connection with Mr. Kronsberg's directorship.

SEC source: 0000902664-20-002253 · ownership.xml · nonDerivative · entry 1

CYRUS CAPITAL PARTNERS, L.P. · CIK 0001166564 · Director · 10% owner · See Remarks

FREIDHEIM STEPHEN C · CIK 0001251783 · Director · 10% owner · See Remarks

CYRUS CAPITAL PARTNERS GP, LLC · CIK 0001166774 · Director · 10% owner · See Remarks

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 187,918

F1 · shares: These 37,800 shares of restricted Class A Common Stock were granted to Cyrus Capital Partners LP ("CCP") by the Issuer on May 28, 2020 pursuant to the Issuer's Non-Employee Director Incentive Compensation Plan and vest on May 28, 2021. Mr. Joseph Kronsberg is an employee of CCP and sits on the board of directors of the Issuer as a representative of CCP. The grant was made directly to CCP because pursuant to agreements between CCP and Mr. Kronsberg, CCP is required to receive all compensation in connection with Mr. Kronsberg's directorship.

SEC source: 0000899243-19-026685 · doc4.xml · derivative · entry 3

FREIDHEIM STEPHEN C · CIK 0001251783 · Director · 10% owner

CYRUS CAPITAL PARTNERS GP, LLC · CIK 0001166774 · Director · 10% owner

CYRUS CAPITAL PARTNERS, L.P. · CIK 0001166564 · Director · 10% owner

SBTS, LLC · CIK 0001755606 · Director · 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 · 25,000 shares

Expires 2029-04-05

F1 · kind: At 12:01 a.m. Boise, Idaho time on November 1, 2019 (the "Effective Time"), the previously announced Mergers (as defined below) contemplated by the Agreement and Plan of Merger, dated as of June 23, 2019 (the "Merger Agreement"), by and among US Ecology Holdings, Inc. ("Predecessor US Ecology"), US Ecology, Inc. ("Successor US Ecology"), Rooster Merger Sub, Inc. ("NRCG Merger Sub"), ECOL Merger Sub, Inc. ("ECOL Merger Sub"), and NRC Group Holdings Corp. (the "Issuer"), were consummated. At the Effective Time, each share of the Issuer's common stock issued and outstanding immediately prior to the Effective Time (other than cancelled shares) was automatically converted into (1) 0.196 (the "NRCG Exchange Ratio") of a share of Successor US Ecology common stock, (2) any cash in lieu of fractional shares of Successor US Ecology common stock payable pursuant to the Merger Agreement and

F2 · kind: (Continued from footnote 1) (3) any dividends or other distributions to which the holder thereof became entitled to upon the surrender of such shares of Issuer common stock in accordance with the Merger Agreement. At the Effective Time, each share of the Issuer's 7.00% Series A Convertible Cumulative Preferred Stock ("Series A Preferred Stock") issued and outstanding immediately prior to the Effective Time (other than Cancelled Series A Preferred Shares and Dissenting Shares (each as defined in the Merger Agreement)) was automatically converted into (1) a whole number of shares of Successor US Ecology common stock equal to the product of (a) the number of shares of Issuer common stock that such share of Series A Preferred Stock could be converted into at the Effective Time (including Fundamental Change Additional Shares and Accumulated Dividends (each as defined in the Certificate of Designations of the Series A Preferred Stock)) multiplied by (b) the NRCG Exchange Ratio,

F3 · kind: (Continued from footnote 2) (2) any cash in lieu of fractional shares of Successor US Ecology common stock payable pursuant to the Merger Agreement and (3) any dividends or other distributions to which the holder thereof became entitled to upon the surrender of such shares of Series A Preferred Stock in accordance with the Merger Agreement. As a result of the consummation of the Mergers, the reporting persons received: (i) 286,829 shares of Successor US Ecology common stock pursuant to the conversion of 1,463,415 shares of Issuer common stock and (ii) 927,818 shares of Successor US Ecology common stock pursuant to the conversion of 530,000 shares of Series A Preferred Stock. At the Effective Time, outstanding equity awards of the Issuer, including the options to purchase 25,000 shares of Issuer common stock that were granted to John Rapaport for service on the Issuer's Board of Directors (the "Board"),

F4 · kind: (Continued from footnote 3) were automatically assumed by Successor US Ecology and converted into equity awards of Successor US Ecology pursuant to the terms of the Merger Agreement. The options to purchase 25,000 shares of Issuer common stock were replaced with options to purchase 4,900 shares of Successor US Ecology common stock at an exercise price of $52.30 per share. Such options were subject to accelerated vesting and became immediately vested and exercisable at the Effective Time. Mr. Rapaport had served on the Issuer's Board as a representative of SBTS, LLC ("SBTS") and its affiliates and resigned his Board position immediately prior to the Effective Time. Mr. Rapaport held the options for the benefit of SBTS. Because Mr. Rapaport served on the Board as a representative of SBTS and its affiliates,

F5 · kind: (Continued from footnote 4) Mr. Rapaport did not have a right to any economic interest in securities of the Issuer granted to him by the Issuer in respect of his Board position. SBTS was entitled to receive all of the economic interest in securities granted to Mr. Rapaport by the Issuer in respect of Mr. Rapaport's Board position. Mr. Rapaport disclaimed any direct beneficial ownership of the Issuer's securities to which this report relates and at no time did Mr. Rapaport have any economic interest in such securities except any indirect economic interest through SBTS and its affiliates.

F1 · price: At 12:01 a.m. Boise, Idaho time on November 1, 2019 (the "Effective Time"), the previously announced Mergers (as defined below) contemplated by the Agreement and Plan of Merger, dated as of June 23, 2019 (the "Merger Agreement"), by and among US Ecology Holdings, Inc. ("Predecessor US Ecology"), US Ecology, Inc. ("Successor US Ecology"), Rooster Merger Sub, Inc. ("NRCG Merger Sub"), ECOL Merger Sub, Inc. ("ECOL Merger Sub"), and NRC Group Holdings Corp. (the "Issuer"), were consummated. At the Effective Time, each share of the Issuer's common stock issued and outstanding immediately prior to the Effective Time (other than cancelled shares) was automatically converted into (1) 0.196 (the "NRCG Exchange Ratio") of a share of Successor US Ecology common stock, (2) any cash in lieu of fractional shares of Successor US Ecology common stock payable pursuant to the Merger Agreement and

F2 · price: (Continued from footnote 1) (3) any dividends or other distributions to which the holder thereof became entitled to upon the surrender of such shares of Issuer common stock in accordance with the Merger Agreement. At the Effective Time, each share of the Issuer's 7.00% Series A Convertible Cumulative Preferred Stock ("Series A Preferred Stock") issued and outstanding immediately prior to the Effective Time (other than Cancelled Series A Preferred Shares and Dissenting Shares (each as defined in the Merger Agreement)) was automatically converted into (1) a whole number of shares of Successor US Ecology common stock equal to the product of (a) the number of shares of Issuer common stock that such share of Series A Preferred Stock could be converted into at the Effective Time (including Fundamental Change Additional Shares and Accumulated Dividends (each as defined in the Certificate of Designations of the Series A Preferred Stock)) multiplied by (b) the NRCG Exchange Ratio,

F3 · price: (Continued from footnote 2) (2) any cash in lieu of fractional shares of Successor US Ecology common stock payable pursuant to the Merger Agreement and (3) any dividends or other distributions to which the holder thereof became entitled to upon the surrender of such shares of Series A Preferred Stock in accordance with the Merger Agreement. As a result of the consummation of the Mergers, the reporting persons received: (i) 286,829 shares of Successor US Ecology common stock pursuant to the conversion of 1,463,415 shares of Issuer common stock and (ii) 927,818 shares of Successor US Ecology common stock pursuant to the conversion of 530,000 shares of Series A Preferred Stock. At the Effective Time, outstanding equity awards of the Issuer, including the options to purchase 25,000 shares of Issuer common stock that were granted to John Rapaport for service on the Issuer's Board of Directors (the "Board"),

F4 · price: (Continued from footnote 3) were automatically assumed by Successor US Ecology and converted into equity awards of Successor US Ecology pursuant to the terms of the Merger Agreement. The options to purchase 25,000 shares of Issuer common stock were replaced with options to purchase 4,900 shares of Successor US Ecology common stock at an exercise price of $52.30 per share. Such options were subject to accelerated vesting and became immediately vested and exercisable at the Effective Time. Mr. Rapaport had served on the Issuer's Board as a representative of SBTS, LLC ("SBTS") and its affiliates and resigned his Board position immediately prior to the Effective Time. Mr. Rapaport held the options for the benefit of SBTS. Because Mr. Rapaport served on the Board as a representative of SBTS and its affiliates,

F5 · price: (Continued from footnote 4) Mr. Rapaport did not have a right to any economic interest in securities of the Issuer granted to him by the Issuer in respect of his Board position. SBTS was entitled to receive all of the economic interest in securities granted to Mr. Rapaport by the Issuer in respect of Mr. Rapaport's Board position. Mr. Rapaport disclaimed any direct beneficial ownership of the Issuer's securities to which this report relates and at no time did Mr. Rapaport have any economic interest in such securities except any indirect economic interest through SBTS and its affiliates.

F9 · derivative.exercise_date: The reported stock options vested in substantially equal installments on each of the first three anniversaries of October 17, 2018.

F6 · ownership.nature: Securities of the Issuer that were held directly by SBTS. Stephen C. Freidheim may have been deemed to have indirectly beneficially owned the securities that were directly held by SBTS because Mr. Freidheim may have been deemed to have had voting and investment power over such securities as the sole member and manager of Cyrus Capital Partners GP, L.L.C. ("Cyrus Capital GP") and the Chief Investment Officer of Cyrus Capital Partners, L.P. ("Cyrus Capital Partners"). Cyrus Capital GP is the general partner of Cyrus Capital Partners and Cyrus Capital Partners is the Manager of SBTS. Cyrus Capital Partners, Cyrus Capital GP and Mr. Freidheim may have been deemed to have had a pecuniary interest in a portion of the securities that were held directly by SBTS due to Cyrus Capital Partners' right to a right to receive performance-based allocations.

F7 · ownership.nature: (Continued from footnote 6) Each of Stephen C. Freidheim, Cyrus Capital GP and Cyrus Capital Partners disclaimed beneficial ownership of the securities of the Issuer reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed an admission that any of Mr. Freidheim, Cyrus Capital GP or Cyrus Capital Partners was the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0000899243-19-026685 · doc4.xml · derivative · entry 2

FREIDHEIM STEPHEN C · CIK 0001251783 · Director · 10% owner

CYRUS CAPITAL PARTNERS GP, LLC · CIK 0001166774 · Director · 10% owner

CYRUS CAPITAL PARTNERS, L.P. · CIK 0001166564 · Director · 10% owner

SBTS, LLC · CIK 0001755606 · Director · 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 · 4,240,000 shares

Expires not disclosed

F8 · derivative.exercise_price: The shares of Series A Preferred Stock were immediately convertible into shares of the Issuer's common stock and did not expire. Each share of Series A Preferred Stock was convertible into shares of the Issuer's common stock at a conversion rate equal to the quotient of (i) a Liquidation Preference of $100, divided by (ii) the Base Conversion Price of $12.50 (subject to adjustment as provided in the Certificate of Designations of the Series A Preferred Stock).

F1 · kind: At 12:01 a.m. Boise, Idaho time on November 1, 2019 (the "Effective Time"), the previously announced Mergers (as defined below) contemplated by the Agreement and Plan of Merger, dated as of June 23, 2019 (the "Merger Agreement"), by and among US Ecology Holdings, Inc. ("Predecessor US Ecology"), US Ecology, Inc. ("Successor US Ecology"), Rooster Merger Sub, Inc. ("NRCG Merger Sub"), ECOL Merger Sub, Inc. ("ECOL Merger Sub"), and NRC Group Holdings Corp. (the "Issuer"), were consummated. At the Effective Time, each share of the Issuer's common stock issued and outstanding immediately prior to the Effective Time (other than cancelled shares) was automatically converted into (1) 0.196 (the "NRCG Exchange Ratio") of a share of Successor US Ecology common stock, (2) any cash in lieu of fractional shares of Successor US Ecology common stock payable pursuant to the Merger Agreement and

F2 · kind: (Continued from footnote 1) (3) any dividends or other distributions to which the holder thereof became entitled to upon the surrender of such shares of Issuer common stock in accordance with the Merger Agreement. At the Effective Time, each share of the Issuer's 7.00% Series A Convertible Cumulative Preferred Stock ("Series A Preferred Stock") issued and outstanding immediately prior to the Effective Time (other than Cancelled Series A Preferred Shares and Dissenting Shares (each as defined in the Merger Agreement)) was automatically converted into (1) a whole number of shares of Successor US Ecology common stock equal to the product of (a) the number of shares of Issuer common stock that such share of Series A Preferred Stock could be converted into at the Effective Time (including Fundamental Change Additional Shares and Accumulated Dividends (each as defined in the Certificate of Designations of the Series A Preferred Stock)) multiplied by (b) the NRCG Exchange Ratio,

F3 · kind: (Continued from footnote 2) (2) any cash in lieu of fractional shares of Successor US Ecology common stock payable pursuant to the Merger Agreement and (3) any dividends or other distributions to which the holder thereof became entitled to upon the surrender of such shares of Series A Preferred Stock in accordance with the Merger Agreement. As a result of the consummation of the Mergers, the reporting persons received: (i) 286,829 shares of Successor US Ecology common stock pursuant to the conversion of 1,463,415 shares of Issuer common stock and (ii) 927,818 shares of Successor US Ecology common stock pursuant to the conversion of 530,000 shares of Series A Preferred Stock. At the Effective Time, outstanding equity awards of the Issuer, including the options to purchase 25,000 shares of Issuer common stock that were granted to John Rapaport for service on the Issuer's Board of Directors (the "Board"),

F4 · kind: (Continued from footnote 3) were automatically assumed by Successor US Ecology and converted into equity awards of Successor US Ecology pursuant to the terms of the Merger Agreement. The options to purchase 25,000 shares of Issuer common stock were replaced with options to purchase 4,900 shares of Successor US Ecology common stock at an exercise price of $52.30 per share. Such options were subject to accelerated vesting and became immediately vested and exercisable at the Effective Time. Mr. Rapaport had served on the Issuer's Board as a representative of SBTS, LLC ("SBTS") and its affiliates and resigned his Board position immediately prior to the Effective Time. Mr. Rapaport held the options for the benefit of SBTS. Because Mr. Rapaport served on the Board as a representative of SBTS and its affiliates,

F5 · kind: (Continued from footnote 4) Mr. Rapaport did not have a right to any economic interest in securities of the Issuer granted to him by the Issuer in respect of his Board position. SBTS was entitled to receive all of the economic interest in securities granted to Mr. Rapaport by the Issuer in respect of Mr. Rapaport's Board position. Mr. Rapaport disclaimed any direct beneficial ownership of the Issuer's securities to which this report relates and at no time did Mr. Rapaport have any economic interest in such securities except any indirect economic interest through SBTS and its affiliates.

F1 · price: At 12:01 a.m. Boise, Idaho time on November 1, 2019 (the "Effective Time"), the previously announced Mergers (as defined below) contemplated by the Agreement and Plan of Merger, dated as of June 23, 2019 (the "Merger Agreement"), by and among US Ecology Holdings, Inc. ("Predecessor US Ecology"), US Ecology, Inc. ("Successor US Ecology"), Rooster Merger Sub, Inc. ("NRCG Merger Sub"), ECOL Merger Sub, Inc. ("ECOL Merger Sub"), and NRC Group Holdings Corp. (the "Issuer"), were consummated. At the Effective Time, each share of the Issuer's common stock issued and outstanding immediately prior to the Effective Time (other than cancelled shares) was automatically converted into (1) 0.196 (the "NRCG Exchange Ratio") of a share of Successor US Ecology common stock, (2) any cash in lieu of fractional shares of Successor US Ecology common stock payable pursuant to the Merger Agreement and

F2 · price: (Continued from footnote 1) (3) any dividends or other distributions to which the holder thereof became entitled to upon the surrender of such shares of Issuer common stock in accordance with the Merger Agreement. At the Effective Time, each share of the Issuer's 7.00% Series A Convertible Cumulative Preferred Stock ("Series A Preferred Stock") issued and outstanding immediately prior to the Effective Time (other than Cancelled Series A Preferred Shares and Dissenting Shares (each as defined in the Merger Agreement)) was automatically converted into (1) a whole number of shares of Successor US Ecology common stock equal to the product of (a) the number of shares of Issuer common stock that such share of Series A Preferred Stock could be converted into at the Effective Time (including Fundamental Change Additional Shares and Accumulated Dividends (each as defined in the Certificate of Designations of the Series A Preferred Stock)) multiplied by (b) the NRCG Exchange Ratio,

F3 · price: (Continued from footnote 2) (2) any cash in lieu of fractional shares of Successor US Ecology common stock payable pursuant to the Merger Agreement and (3) any dividends or other distributions to which the holder thereof became entitled to upon the surrender of such shares of Series A Preferred Stock in accordance with the Merger Agreement. As a result of the consummation of the Mergers, the reporting persons received: (i) 286,829 shares of Successor US Ecology common stock pursuant to the conversion of 1,463,415 shares of Issuer common stock and (ii) 927,818 shares of Successor US Ecology common stock pursuant to the conversion of 530,000 shares of Series A Preferred Stock. At the Effective Time, outstanding equity awards of the Issuer, including the options to purchase 25,000 shares of Issuer common stock that were granted to John Rapaport for service on the Issuer's Board of Directors (the "Board"),

F4 · price: (Continued from footnote 3) were automatically assumed by Successor US Ecology and converted into equity awards of Successor US Ecology pursuant to the terms of the Merger Agreement. The options to purchase 25,000 shares of Issuer common stock were replaced with options to purchase 4,900 shares of Successor US Ecology common stock at an exercise price of $52.30 per share. Such options were subject to accelerated vesting and became immediately vested and exercisable at the Effective Time. Mr. Rapaport had served on the Issuer's Board as a representative of SBTS, LLC ("SBTS") and its affiliates and resigned his Board position immediately prior to the Effective Time. Mr. Rapaport held the options for the benefit of SBTS. Because Mr. Rapaport served on the Board as a representative of SBTS and its affiliates,

F5 · price: (Continued from footnote 4) Mr. Rapaport did not have a right to any economic interest in securities of the Issuer granted to him by the Issuer in respect of his Board position. SBTS was entitled to receive all of the economic interest in securities granted to Mr. Rapaport by the Issuer in respect of Mr. Rapaport's Board position. Mr. Rapaport disclaimed any direct beneficial ownership of the Issuer's securities to which this report relates and at no time did Mr. Rapaport have any economic interest in such securities except any indirect economic interest through SBTS and its affiliates.

F8 · derivative.exercise_date: The shares of Series A Preferred Stock were immediately convertible into shares of the Issuer's common stock and did not expire. Each share of Series A Preferred Stock was convertible into shares of the Issuer's common stock at a conversion rate equal to the quotient of (i) a Liquidation Preference of $100, divided by (ii) the Base Conversion Price of $12.50 (subject to adjustment as provided in the Certificate of Designations of the Series A Preferred Stock).

F8 · derivative.expiration_date: The shares of Series A Preferred Stock were immediately convertible into shares of the Issuer's common stock and did not expire. Each share of Series A Preferred Stock was convertible into shares of the Issuer's common stock at a conversion rate equal to the quotient of (i) a Liquidation Preference of $100, divided by (ii) the Base Conversion Price of $12.50 (subject to adjustment as provided in the Certificate of Designations of the Series A Preferred Stock).

F6 · ownership.nature: Securities of the Issuer that were held directly by SBTS. Stephen C. Freidheim may have been deemed to have indirectly beneficially owned the securities that were directly held by SBTS because Mr. Freidheim may have been deemed to have had voting and investment power over such securities as the sole member and manager of Cyrus Capital Partners GP, L.L.C. ("Cyrus Capital GP") and the Chief Investment Officer of Cyrus Capital Partners, L.P. ("Cyrus Capital Partners"). Cyrus Capital GP is the general partner of Cyrus Capital Partners and Cyrus Capital Partners is the Manager of SBTS. Cyrus Capital Partners, Cyrus Capital GP and Mr. Freidheim may have been deemed to have had a pecuniary interest in a portion of the securities that were held directly by SBTS due to Cyrus Capital Partners' right to a right to receive performance-based allocations.

F7 · ownership.nature: (Continued from footnote 6) Each of Stephen C. Freidheim, Cyrus Capital GP and Cyrus Capital Partners disclaimed beneficial ownership of the securities of the Issuer reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed an admission that any of Mr. Freidheim, Cyrus Capital GP or Cyrus Capital Partners was the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0000899243-19-026685 · doc4.xml · nonDerivative · entry 1

FREIDHEIM STEPHEN C · CIK 0001251783 · Director · 10% owner

CYRUS CAPITAL PARTNERS GP, LLC · CIK 0001166774 · Director · 10% owner

CYRUS CAPITAL PARTNERS, L.P. · CIK 0001166564 · Director · 10% owner

SBTS, LLC · CIK 0001755606 · Director · 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

F1 · kind: At 12:01 a.m. Boise, Idaho time on November 1, 2019 (the "Effective Time"), the previously announced Mergers (as defined below) contemplated by the Agreement and Plan of Merger, dated as of June 23, 2019 (the "Merger Agreement"), by and among US Ecology Holdings, Inc. ("Predecessor US Ecology"), US Ecology, Inc. ("Successor US Ecology"), Rooster Merger Sub, Inc. ("NRCG Merger Sub"), ECOL Merger Sub, Inc. ("ECOL Merger Sub"), and NRC Group Holdings Corp. (the "Issuer"), were consummated. At the Effective Time, each share of the Issuer's common stock issued and outstanding immediately prior to the Effective Time (other than cancelled shares) was automatically converted into (1) 0.196 (the "NRCG Exchange Ratio") of a share of Successor US Ecology common stock, (2) any cash in lieu of fractional shares of Successor US Ecology common stock payable pursuant to the Merger Agreement and

F2 · kind: (Continued from footnote 1) (3) any dividends or other distributions to which the holder thereof became entitled to upon the surrender of such shares of Issuer common stock in accordance with the Merger Agreement. At the Effective Time, each share of the Issuer's 7.00% Series A Convertible Cumulative Preferred Stock ("Series A Preferred Stock") issued and outstanding immediately prior to the Effective Time (other than Cancelled Series A Preferred Shares and Dissenting Shares (each as defined in the Merger Agreement)) was automatically converted into (1) a whole number of shares of Successor US Ecology common stock equal to the product of (a) the number of shares of Issuer common stock that such share of Series A Preferred Stock could be converted into at the Effective Time (including Fundamental Change Additional Shares and Accumulated Dividends (each as defined in the Certificate of Designations of the Series A Preferred Stock)) multiplied by (b) the NRCG Exchange Ratio,

F3 · kind: (Continued from footnote 2) (2) any cash in lieu of fractional shares of Successor US Ecology common stock payable pursuant to the Merger Agreement and (3) any dividends or other distributions to which the holder thereof became entitled to upon the surrender of such shares of Series A Preferred Stock in accordance with the Merger Agreement. As a result of the consummation of the Mergers, the reporting persons received: (i) 286,829 shares of Successor US Ecology common stock pursuant to the conversion of 1,463,415 shares of Issuer common stock and (ii) 927,818 shares of Successor US Ecology common stock pursuant to the conversion of 530,000 shares of Series A Preferred Stock. At the Effective Time, outstanding equity awards of the Issuer, including the options to purchase 25,000 shares of Issuer common stock that were granted to John Rapaport for service on the Issuer's Board of Directors (the "Board"),

F4 · kind: (Continued from footnote 3) were automatically assumed by Successor US Ecology and converted into equity awards of Successor US Ecology pursuant to the terms of the Merger Agreement. The options to purchase 25,000 shares of Issuer common stock were replaced with options to purchase 4,900 shares of Successor US Ecology common stock at an exercise price of $52.30 per share. Such options were subject to accelerated vesting and became immediately vested and exercisable at the Effective Time. Mr. Rapaport had served on the Issuer's Board as a representative of SBTS, LLC ("SBTS") and its affiliates and resigned his Board position immediately prior to the Effective Time. Mr. Rapaport held the options for the benefit of SBTS. Because Mr. Rapaport served on the Board as a representative of SBTS and its affiliates,

F5 · kind: (Continued from footnote 4) Mr. Rapaport did not have a right to any economic interest in securities of the Issuer granted to him by the Issuer in respect of his Board position. SBTS was entitled to receive all of the economic interest in securities granted to Mr. Rapaport by the Issuer in respect of Mr. Rapaport's Board position. Mr. Rapaport disclaimed any direct beneficial ownership of the Issuer's securities to which this report relates and at no time did Mr. Rapaport have any economic interest in such securities except any indirect economic interest through SBTS and its affiliates.

F1 · price: At 12:01 a.m. Boise, Idaho time on November 1, 2019 (the "Effective Time"), the previously announced Mergers (as defined below) contemplated by the Agreement and Plan of Merger, dated as of June 23, 2019 (the "Merger Agreement"), by and among US Ecology Holdings, Inc. ("Predecessor US Ecology"), US Ecology, Inc. ("Successor US Ecology"), Rooster Merger Sub, Inc. ("NRCG Merger Sub"), ECOL Merger Sub, Inc. ("ECOL Merger Sub"), and NRC Group Holdings Corp. (the "Issuer"), were consummated. At the Effective Time, each share of the Issuer's common stock issued and outstanding immediately prior to the Effective Time (other than cancelled shares) was automatically converted into (1) 0.196 (the "NRCG Exchange Ratio") of a share of Successor US Ecology common stock, (2) any cash in lieu of fractional shares of Successor US Ecology common stock payable pursuant to the Merger Agreement and

F2 · price: (Continued from footnote 1) (3) any dividends or other distributions to which the holder thereof became entitled to upon the surrender of such shares of Issuer common stock in accordance with the Merger Agreement. At the Effective Time, each share of the Issuer's 7.00% Series A Convertible Cumulative Preferred Stock ("Series A Preferred Stock") issued and outstanding immediately prior to the Effective Time (other than Cancelled Series A Preferred Shares and Dissenting Shares (each as defined in the Merger Agreement)) was automatically converted into (1) a whole number of shares of Successor US Ecology common stock equal to the product of (a) the number of shares of Issuer common stock that such share of Series A Preferred Stock could be converted into at the Effective Time (including Fundamental Change Additional Shares and Accumulated Dividends (each as defined in the Certificate of Designations of the Series A Preferred Stock)) multiplied by (b) the NRCG Exchange Ratio,

F3 · price: (Continued from footnote 2) (2) any cash in lieu of fractional shares of Successor US Ecology common stock payable pursuant to the Merger Agreement and (3) any dividends or other distributions to which the holder thereof became entitled to upon the surrender of such shares of Series A Preferred Stock in accordance with the Merger Agreement. As a result of the consummation of the Mergers, the reporting persons received: (i) 286,829 shares of Successor US Ecology common stock pursuant to the conversion of 1,463,415 shares of Issuer common stock and (ii) 927,818 shares of Successor US Ecology common stock pursuant to the conversion of 530,000 shares of Series A Preferred Stock. At the Effective Time, outstanding equity awards of the Issuer, including the options to purchase 25,000 shares of Issuer common stock that were granted to John Rapaport for service on the Issuer's Board of Directors (the "Board"),

F4 · price: (Continued from footnote 3) were automatically assumed by Successor US Ecology and converted into equity awards of Successor US Ecology pursuant to the terms of the Merger Agreement. The options to purchase 25,000 shares of Issuer common stock were replaced with options to purchase 4,900 shares of Successor US Ecology common stock at an exercise price of $52.30 per share. Such options were subject to accelerated vesting and became immediately vested and exercisable at the Effective Time. Mr. Rapaport had served on the Issuer's Board as a representative of SBTS, LLC ("SBTS") and its affiliates and resigned his Board position immediately prior to the Effective Time. Mr. Rapaport held the options for the benefit of SBTS. Because Mr. Rapaport served on the Board as a representative of SBTS and its affiliates,

F5 · price: (Continued from footnote 4) Mr. Rapaport did not have a right to any economic interest in securities of the Issuer granted to him by the Issuer in respect of his Board position. SBTS was entitled to receive all of the economic interest in securities granted to Mr. Rapaport by the Issuer in respect of Mr. Rapaport's Board position. Mr. Rapaport disclaimed any direct beneficial ownership of the Issuer's securities to which this report relates and at no time did Mr. Rapaport have any economic interest in such securities except any indirect economic interest through SBTS and its affiliates.

F6 · ownership.nature: Securities of the Issuer that were held directly by SBTS. Stephen C. Freidheim may have been deemed to have indirectly beneficially owned the securities that were directly held by SBTS because Mr. Freidheim may have been deemed to have had voting and investment power over such securities as the sole member and manager of Cyrus Capital Partners GP, L.L.C. ("Cyrus Capital GP") and the Chief Investment Officer of Cyrus Capital Partners, L.P. ("Cyrus Capital Partners"). Cyrus Capital GP is the general partner of Cyrus Capital Partners and Cyrus Capital Partners is the Manager of SBTS. Cyrus Capital Partners, Cyrus Capital GP and Mr. Freidheim may have been deemed to have had a pecuniary interest in a portion of the securities that were held directly by SBTS due to Cyrus Capital Partners' right to a right to receive performance-based allocations.

F7 · ownership.nature: (Continued from footnote 6) Each of Stephen C. Freidheim, Cyrus Capital GP and Cyrus Capital Partners disclaimed beneficial ownership of the securities of the Issuer reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed an admission that any of Mr. Freidheim, Cyrus Capital GP or Cyrus Capital Partners was the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0000902664-19-002707 · ownership.xml · nonDerivative · entry 1

CYRUS CAPITAL PARTNERS, L.P. · CIK 0001166564 · Director · 10% owner · See Remarks

FREIDHEIM STEPHEN C · CIK 0001251783 · Director · 10% owner · See Remarks

CYRUS CAPITAL PARTNERS GP, LLC · CIK 0001166774 · Director · 10% owner · See Remarks

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,561

F1 · shares: These 5,555 shares of restricted Common Stock were granted to Cyrus Capital Partners LP ("CCP") by the Issuer on June 6, 2019 pursuant to the Issuer's Non-Employee Director Incentive Compensation Plan and vest on the earlier of (i) June 6, 2020 and (ii) the date of the annual meeting of stockholders in 2020. Mr. Joseph Kronsberg is an employee of CCP and sits on the board of directors of the Issuer as a representative of CCP. The grant was made directly to CCP because pursuant to agreements between CCP and Mr. Kronsberg, CCP is required to receive all compensation in connection with Mr. Kronsberg's directorship.

SEC source: 0000902664-19-002585 · ownership.xml · nonDerivative · entry 1

CYRUS CAPITAL PARTNERS, L.P. · CIK 0001166564 · Director · 10% owner · See Remarks

FREIDHEIM STEPHEN C · CIK 0001251783 · Director · 10% owner · See Remarks

CYRUS CAPITAL PARTNERS GP, LLC · CIK 0001166774 · Director · 10% owner · See Remarks

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,118

F1 · shares: These 47,753 shares of restricted Class A Common Stock were granted to Cyrus Capital Partners LP ("CCP") by the Issuer on May 30, 2019 pursuant to the Issuer's Non-Employee Director Incentive Compensation Plan and vest on May 30, 2020. Mr. Joseph Kronsberg is an employee of CCP and sits on the board of directors of the Issuer as a representative of CCP. The grant was made directly to CCP because pursuant to agreements between CCP and Mr. Kronsberg, CCP is required to receive all compensation in connection with Mr. Kronsberg's directorship.

SEC source: 0001144204-19-027076 · tv521975_4.xml · nonDerivative · entry 1

CYRUS CAPITAL PARTNERS, L.P. · CIK 0001166564 · 10% owner

CYRUS CAPITAL PARTNERS GP, LLC · CIK 0001166774 · 10% owner

FREIDHEIM STEPHEN C · CIK 0001251783 · 10% owner

FBC HOLDINGS S.A.R.L. · CIK 0001530547 · 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: 145,301

F1 · shares: The Common Shares of Sphere 3D Corp. (the "Issuer") were directly owned, and sold, by FBC Holdings S.a r.l. ("FBC").

F2 · price: The price per share reported in Column 4 is a weighted average price. These Common Shares were sold in multiple transactions at prices ranging US$2.05 to US$2.29, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the Staff of the Securities Exchange Commission, upon request, full information regarding the number of Common Shares sold at each separate price within the range set forth in this footnote.

F3 · ownership.nature: This statement is being filed by Cyrus Capital Partners, L.P. ("Cyrus"), FBC, Cyrus Capital Partners GP, L.L.C. ("Cyrus GP"), and Stephen C. Freidheim (each of Cyrus, FBC, Cyrus GP, and Mr. Freidheim, collectively the "Reporting Persons"). FBC, is a wholly owned subsidiary of certain funds advised and managed by Cyrus, each of which are private investment funds engaged in the business of acquiring, holding and disposing of investments in various companies.

F4 · ownership.nature: Cyrus is the manager of FBC and the investment manager of each private fund holding an interest in FBC. Cyrus GP is the general partner of Cyrus. Mr. Freidheim is the sole member/manager of Cyrus GP. Mr. Freidheim is also the Chief Investment Officer of Cyrus.

F5 · ownership.nature: Pursuant to Rule 16a-1(a)(4) under the Exchange Act, this filing shall not be deemed an admission that each Reporting Person was, for the purposes of Section 16 of the Exchange Act or otherwise, the beneficial owner of any securities of the Issuer held by the Reporting Persons, and such beneficial ownership was and is expressly disclaimed by the Reporting Persons except to the extent of their pecuniary interest.

SEC source: 0001144204-19-027310 · tv522032_4a.xml · nonDerivative · entry 1

CYRUS CAPITAL PARTNERS, L.P. · CIK 0001166564 · 10% owner

CYRUS CAPITAL PARTNERS GP, LLC · CIK 0001166774 · 10% owner

FREIDHEIM STEPHEN C · CIK 0001251783 · 10% owner

FBC HOLDINGS S.A.R.L. · CIK 0001530547 · 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: 145,301

F1 · shares: The Common Shares of Sphere 3D Corp. (the "Issuer") were directly owned, and sold, by FBC Holdings S.a r.l. ("FBC").

F2 · price: The price per share reported in Column 4 is a weighted average price. These Common Shares were sold in multiple transactions at prices ranging US$2.05 to US$2.29, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the Staff of the Securities Exchange Commission, upon request, full information regarding the number of Common Shares sold at each separate price within the range set forth in this footnote.

F3 · ownership.nature: This statement is being filed by Cyrus Capital Partners, L.P. ("Cyrus"), FBC, Cyrus Capital Partners GP, L.L.C. ("Cyrus GP"), and Stephen C. Freidheim (each of Cyrus, FBC, Cyrus GP, and Mr. Freidheim, collectively the "Reporting Persons"). FBC, is a wholly owned subsidiary of certain funds advised and managed by Cyrus, each of which are private investment funds engaged in the business of acquiring, holding and disposing of investments in various companies.

F4 · ownership.nature: Cyrus is the manager of FBC and the investment manager of each private fund holding an interest in FBC. Cyrus GP is the general partner of Cyrus. Mr. Freidheim is the sole member/manager of Cyrus GP. Mr. Freidheim is also the Chief Investment Officer of Cyrus.

F5 · ownership.nature: Pursuant to Rule 16a-1(a)(4) under the Exchange Act, this filing shall not be deemed an admission that each Reporting Person was, for the purposes of Section 16 of the Exchange Act or otherwise, the beneficial owner of any securities of the Issuer held by the Reporting Persons, and such beneficial ownership was and is expressly disclaimed by the Reporting Persons except to the extent of their pecuniary interest.

SEC source: 0000899243-19-010256 · doc4.xml · derivative · entry 1

FREIDHEIM STEPHEN C · CIK 0001251783 · Director · 10% owner

CYRUS CAPITAL PARTNERS GP, LLC · CIK 0001166774 · Director · 10% owner

CYRUS CAPITAL PARTNERS, L.P. · CIK 0001166564 · Director · 10% owner

SBTS, LLC · CIK 0001755606 · Director · 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: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2029-04-05

F1 · kind: On April 5, 2019, NRC Group Holdings Corp. (the "Issuer") granted these reported options to purchase 25,000 shares of the Issuer's common stock to John Rapaport, a member of the Issuer's Board of Directors (the "Board") in respect of his service on the Board. Mr. Rapaport holds these options for the benefit of SBTS, LLC ("SBTS"). Because Mr. Rapaport serves on the Board as a representative of SBTS and its affiliates, Mr. Rapaport does not have a right to any economic interest in securities of the Issuer granted to him by the Issuer in respect of his Board position. SBTS is entitled to receive all of the economic interest in securities granted to Mr. Rapaport by the Issuer in respect of Mr. Rapaport's Board position. Mr. Rapaport disclaims any direct beneficial ownership of the Issuer's securities to which this report relates and at no time has Mr. Rapaport had any economic interest in such securities except any indirect economic interest through SBTS and its affiliates.

F2 · derivative.exercise_date: The reported stock options vest in substantially equal installments on each of the first three anniversaries of October 17, 2018.

F3 · ownership.nature: Stephen C. Freidheim may be deemed to indirectly beneficially own the securities beneficially owned by SBTS because Mr. Freidheim may be deemed to have voting and investment power over such securities as the sole member and manager of Cyrus Capital Partners GP, L.L.C. ("Cyrus Capital GP") and the Chief Investment Officer of Cyrus Capital Partners, L.P. ("Cyrus Capital Partners"). Cyrus Capital GP is the general partner of Cyrus Capital Partners and Cyrus Capital Partners is the Manager of SBTS. Cyrus Capital Partners, Cyrus Capital GP and Mr. Freidheim may be deemed to have a pecuniary interest in a portion of the securities beneficially owned by SBTS due to Cyrus Capital Partners' right to a right to receive performance-based allocations.

F4 · ownership.nature: (Continued from footnote 3) Each of Stephen C. Freidheim, Cyrus Capital GP and Cyrus Capital Partners disclaims beneficial ownership of the securities of the Issuer reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed an admission that any of Mr. Freidheim, Cyrus Capital GP or Cyrus Capital Partners is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0000902664-19-001568 · ownership.xml · nonDerivative · entry 1

CYRUS CAPITAL PARTNERS, L.P. · CIK 0001166564 · Director · 10% owner · See Remarks

FREIDHEIM STEPHEN C · CIK 0001251783 · Director · 10% owner · See Remarks

CYRUS CAPITAL PARTNERS GP, LLC · CIK 0001166774 · Director · 10% owner · See Remarks

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 17,965,341

F1 · ownership.nature: The securities reported herein are held directly by certain funds (the "Cyrus Funds") to which Cyrus Capital Partners, L.P ("CCP") serves as the investment manager. Cyrus Capital Partners GP, L.L.C. ("CCPGP") serves as the general partner of CCP. Stephen C. Freidheim serves as the principal of both CCP and CCPGP. All discretion over the investment activities of the Cyrus Funds has been delegated to CCP.

F2 · ownership.nature: Each of the Reporting Persons disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein, if any.

SEC source: 0000899243-18-029011 · doc4.xml · derivative · entry 3

CYRUS CAPITAL PARTNERS, L.P. · CIK 0001166564 · 10% owner

CYRUS CAPITAL PARTNERS GP, LLC · CIK 0001166774 · 10% owner

FREIDHEIM STEPHEN C · CIK 0001251783 · 10% owner

FBC HOLDINGS S.A.R.L. · CIK 0001530547 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 2,500,000

Underlying: Series A Preferred Shares · 2,500,000 shares

Expires 2019-11-13

F5 · derivative.exercise_price: On November 13, 2018, simultaneously with entering into the Conversion Agreement, the Issuer entered into a Share Exchange and Buy Out Agreement (the "Exchange Agreement") with FBC, Silicon Valley Technology Partners, Inc. ("SVTP") and MF Ventures, LLC ("MFV"). Under the terms of the Exchange Agreement, (i) the Issuer granted FBC the right to exchange up to 2,500,000 Series A Preferred Shares held by FBC for up to 1,879,699 shares of Series A Preferred Stock of SVTP ("SVTP Shares") held by the Issuer (the "Exchange Right"), with such Exchange Right expiring two years after the date of the Exchange Agreement, and (ii) MFV and SVTP have the right to purchase up to 2,120,301 of the SVTP Shares held by FBC plus (b) either (i) 2,500,000 Series A Preferred Shares held by FBC or (ii) if FBC has exercised its Exchange Right prior to the buy-out date,

F6 · derivative.exercise_price: (Continued from footnote 5) the SVTP Shares that have been exchanged for such Series A Preferred Shares by FBC pursuant to the Exchange Right (the "Buy-out Right"), for the purchase price of an amount equal to 105% of the original issue price for such shares plus all unpaid dividends accrued, with such Buy-out Right expiring within one year after the date of the Exchange Agreement.

F5 · kind: On November 13, 2018, simultaneously with entering into the Conversion Agreement, the Issuer entered into a Share Exchange and Buy Out Agreement (the "Exchange Agreement") with FBC, Silicon Valley Technology Partners, Inc. ("SVTP") and MF Ventures, LLC ("MFV"). Under the terms of the Exchange Agreement, (i) the Issuer granted FBC the right to exchange up to 2,500,000 Series A Preferred Shares held by FBC for up to 1,879,699 shares of Series A Preferred Stock of SVTP ("SVTP Shares") held by the Issuer (the "Exchange Right"), with such Exchange Right expiring two years after the date of the Exchange Agreement, and (ii) MFV and SVTP have the right to purchase up to 2,120,301 of the SVTP Shares held by FBC plus (b) either (i) 2,500,000 Series A Preferred Shares held by FBC or (ii) if FBC has exercised its Exchange Right prior to the buy-out date,

F6 · kind: (Continued from footnote 5) the SVTP Shares that have been exchanged for such Series A Preferred Shares by FBC pursuant to the Exchange Right (the "Buy-out Right"), for the purchase price of an amount equal to 105% of the original issue price for such shares plus all unpaid dividends accrued, with such Buy-out Right expiring within one year after the date of the Exchange Agreement.

F5 · price: On November 13, 2018, simultaneously with entering into the Conversion Agreement, the Issuer entered into a Share Exchange and Buy Out Agreement (the "Exchange Agreement") with FBC, Silicon Valley Technology Partners, Inc. ("SVTP") and MF Ventures, LLC ("MFV"). Under the terms of the Exchange Agreement, (i) the Issuer granted FBC the right to exchange up to 2,500,000 Series A Preferred Shares held by FBC for up to 1,879,699 shares of Series A Preferred Stock of SVTP ("SVTP Shares") held by the Issuer (the "Exchange Right"), with such Exchange Right expiring two years after the date of the Exchange Agreement, and (ii) MFV and SVTP have the right to purchase up to 2,120,301 of the SVTP Shares held by FBC plus (b) either (i) 2,500,000 Series A Preferred Shares held by FBC or (ii) if FBC has exercised its Exchange Right prior to the buy-out date,

F6 · price: (Continued from footnote 5) the SVTP Shares that have been exchanged for such Series A Preferred Shares by FBC pursuant to the Exchange Right (the "Buy-out Right"), for the purchase price of an amount equal to 105% of the original issue price for such shares plus all unpaid dividends accrued, with such Buy-out Right expiring within one year after the date of the Exchange Agreement.

F3 · ownership.nature: This statement is being filed by Cyrus Capital Partners, L.P. ("Cyrus"), FBC, Cyrus Capital Partners GP, L.L.C. ("Cyrus GP"), and Stephen C. Freidheim. FBC is a wholly owned subsidiary of certain funds advised and managed by Cyrus, each of which are private investment funds engaged in the business of acquiring, holding and disposing of investments in various companies. Cyrus is a manager of FBC and the investment manager of each private fund holding an interest in FBC. Cyrus GP is the general partner of Cyrus. Mr. Freidheim is the sole member and manager of Cyrus GP and Chief Investment Officer of Cyrus. Cyrus, Cyrus GP and Mr. Freidheim may be deemed to have a pecuniary interest in a portion of the securities held directly by FBC due to Cyrus' right to receive performance-based allocations.

F4 · ownership.nature: (Continued from footnote 3) Each of Mr. Freidheim, Cyrus GP and Cyrus disclaims beneficial ownership of the securities of the Issuer reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed an admission that any of Mr. Freidheim, Cyrus GP or Cyrus is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0000899243-18-029011 · doc4.xml · derivative · entry 2

CYRUS CAPITAL PARTNERS, L.P. · CIK 0001166564 · 10% owner

CYRUS CAPITAL PARTNERS GP, LLC · CIK 0001166774 · 10% owner

FREIDHEIM STEPHEN C · CIK 0001251783 · 10% owner

FBC HOLDINGS S.A.R.L. · CIK 0001530547 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 2,500,000

Underlying: Series A Preferred Shares · 2,500,000 shares

Expires 2020-11-13

F5 · derivative.exercise_price: On November 13, 2018, simultaneously with entering into the Conversion Agreement, the Issuer entered into a Share Exchange and Buy Out Agreement (the "Exchange Agreement") with FBC, Silicon Valley Technology Partners, Inc. ("SVTP") and MF Ventures, LLC ("MFV"). Under the terms of the Exchange Agreement, (i) the Issuer granted FBC the right to exchange up to 2,500,000 Series A Preferred Shares held by FBC for up to 1,879,699 shares of Series A Preferred Stock of SVTP ("SVTP Shares") held by the Issuer (the "Exchange Right"), with such Exchange Right expiring two years after the date of the Exchange Agreement, and (ii) MFV and SVTP have the right to purchase up to 2,120,301 of the SVTP Shares held by FBC plus (b) either (i) 2,500,000 Series A Preferred Shares held by FBC or (ii) if FBC has exercised its Exchange Right prior to the buy-out date,

F6 · derivative.exercise_price: (Continued from footnote 5) the SVTP Shares that have been exchanged for such Series A Preferred Shares by FBC pursuant to the Exchange Right (the "Buy-out Right"), for the purchase price of an amount equal to 105% of the original issue price for such shares plus all unpaid dividends accrued, with such Buy-out Right expiring within one year after the date of the Exchange Agreement.

F5 · kind: On November 13, 2018, simultaneously with entering into the Conversion Agreement, the Issuer entered into a Share Exchange and Buy Out Agreement (the "Exchange Agreement") with FBC, Silicon Valley Technology Partners, Inc. ("SVTP") and MF Ventures, LLC ("MFV"). Under the terms of the Exchange Agreement, (i) the Issuer granted FBC the right to exchange up to 2,500,000 Series A Preferred Shares held by FBC for up to 1,879,699 shares of Series A Preferred Stock of SVTP ("SVTP Shares") held by the Issuer (the "Exchange Right"), with such Exchange Right expiring two years after the date of the Exchange Agreement, and (ii) MFV and SVTP have the right to purchase up to 2,120,301 of the SVTP Shares held by FBC plus (b) either (i) 2,500,000 Series A Preferred Shares held by FBC or (ii) if FBC has exercised its Exchange Right prior to the buy-out date,

F6 · kind: (Continued from footnote 5) the SVTP Shares that have been exchanged for such Series A Preferred Shares by FBC pursuant to the Exchange Right (the "Buy-out Right"), for the purchase price of an amount equal to 105% of the original issue price for such shares plus all unpaid dividends accrued, with such Buy-out Right expiring within one year after the date of the Exchange Agreement.

F5 · price: On November 13, 2018, simultaneously with entering into the Conversion Agreement, the Issuer entered into a Share Exchange and Buy Out Agreement (the "Exchange Agreement") with FBC, Silicon Valley Technology Partners, Inc. ("SVTP") and MF Ventures, LLC ("MFV"). Under the terms of the Exchange Agreement, (i) the Issuer granted FBC the right to exchange up to 2,500,000 Series A Preferred Shares held by FBC for up to 1,879,699 shares of Series A Preferred Stock of SVTP ("SVTP Shares") held by the Issuer (the "Exchange Right"), with such Exchange Right expiring two years after the date of the Exchange Agreement, and (ii) MFV and SVTP have the right to purchase up to 2,120,301 of the SVTP Shares held by FBC plus (b) either (i) 2,500,000 Series A Preferred Shares held by FBC or (ii) if FBC has exercised its Exchange Right prior to the buy-out date,

F6 · price: (Continued from footnote 5) the SVTP Shares that have been exchanged for such Series A Preferred Shares by FBC pursuant to the Exchange Right (the "Buy-out Right"), for the purchase price of an amount equal to 105% of the original issue price for such shares plus all unpaid dividends accrued, with such Buy-out Right expiring within one year after the date of the Exchange Agreement.

F3 · ownership.nature: This statement is being filed by Cyrus Capital Partners, L.P. ("Cyrus"), FBC, Cyrus Capital Partners GP, L.L.C. ("Cyrus GP"), and Stephen C. Freidheim. FBC is a wholly owned subsidiary of certain funds advised and managed by Cyrus, each of which are private investment funds engaged in the business of acquiring, holding and disposing of investments in various companies. Cyrus is a manager of FBC and the investment manager of each private fund holding an interest in FBC. Cyrus GP is the general partner of Cyrus. Mr. Freidheim is the sole member and manager of Cyrus GP and Chief Investment Officer of Cyrus. Cyrus, Cyrus GP and Mr. Freidheim may be deemed to have a pecuniary interest in a portion of the securities held directly by FBC due to Cyrus' right to receive performance-based allocations.

F4 · ownership.nature: (Continued from footnote 3) Each of Mr. Freidheim, Cyrus GP and Cyrus disclaims beneficial ownership of the securities of the Issuer reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed an admission that any of Mr. Freidheim, Cyrus GP or Cyrus is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0000899243-18-029011 · doc4.xml · nonDerivative · entry 1

CYRUS CAPITAL PARTNERS, L.P. · CIK 0001166564 · 10% owner

CYRUS CAPITAL PARTNERS GP, LLC · CIK 0001166774 · 10% owner

FREIDHEIM STEPHEN C · CIK 0001251783 · 10% owner

FBC HOLDINGS S.A.R.L. · CIK 0001530547 · 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: 6,500,000

F1 · kind: On November 13, 2018, Sphere 3D Corp. (the "Issuer") entered into a Conversion Agreement (the "Conversion Agreement") with FBC Holdings S.a r.l. ("FBC") pursuant to which FBC received 6,500,000 Series A Preferred Shares of the Issuer ("Series A Preferred Shares") through the exchange of $6.5 million of a debenture by and between the Issuer and FBC. The Series A Preferred Shares, subject to prior approval by the holders of outstanding common shares of the Issuer (which may only be sought by the Issuer after the six-month anniversary of the initial issue date of the Series A Preferred Shares), are convertible into the Issuer's common shares, at a conversion rate equal to $1.00 per share, plus accrued and unpaid dividends, divided by an amount equal to 0.85 multiplied by a 15 trading day volume weighted average price per common share prior to the date that the conversion notice is provided (the "Conversion Rate"),

F2 · kind: (Continued from footnote 1) subject to a conversion price floor of $0.80 as required by NASDAQ rules. The Series A Preferred Shares carry a cumulative preferred dividend at a rate of 8% of the subscription price per Series A Preferred Share, are subject to mandatory redemption for cash after a two-year period, and carry a liquidation preference equal to the subscription price per Series A Preferred Share plus any accrued and unpaid dividends.

F1 · price: On November 13, 2018, Sphere 3D Corp. (the "Issuer") entered into a Conversion Agreement (the "Conversion Agreement") with FBC Holdings S.a r.l. ("FBC") pursuant to which FBC received 6,500,000 Series A Preferred Shares of the Issuer ("Series A Preferred Shares") through the exchange of $6.5 million of a debenture by and between the Issuer and FBC. The Series A Preferred Shares, subject to prior approval by the holders of outstanding common shares of the Issuer (which may only be sought by the Issuer after the six-month anniversary of the initial issue date of the Series A Preferred Shares), are convertible into the Issuer's common shares, at a conversion rate equal to $1.00 per share, plus accrued and unpaid dividends, divided by an amount equal to 0.85 multiplied by a 15 trading day volume weighted average price per common share prior to the date that the conversion notice is provided (the "Conversion Rate"),

F2 · price: (Continued from footnote 1) subject to a conversion price floor of $0.80 as required by NASDAQ rules. The Series A Preferred Shares carry a cumulative preferred dividend at a rate of 8% of the subscription price per Series A Preferred Share, are subject to mandatory redemption for cash after a two-year period, and carry a liquidation preference equal to the subscription price per Series A Preferred Share plus any accrued and unpaid dividends.

F3 · ownership.nature: This statement is being filed by Cyrus Capital Partners, L.P. ("Cyrus"), FBC, Cyrus Capital Partners GP, L.L.C. ("Cyrus GP"), and Stephen C. Freidheim. FBC is a wholly owned subsidiary of certain funds advised and managed by Cyrus, each of which are private investment funds engaged in the business of acquiring, holding and disposing of investments in various companies. Cyrus is a manager of FBC and the investment manager of each private fund holding an interest in FBC. Cyrus GP is the general partner of Cyrus. Mr. Freidheim is the sole member and manager of Cyrus GP and Chief Investment Officer of Cyrus. Cyrus, Cyrus GP and Mr. Freidheim may be deemed to have a pecuniary interest in a portion of the securities held directly by FBC due to Cyrus' right to receive performance-based allocations.

F4 · ownership.nature: (Continued from footnote 3) Each of Mr. Freidheim, Cyrus GP and Cyrus disclaims beneficial ownership of the securities of the Issuer reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed an admission that any of Mr. Freidheim, Cyrus GP or Cyrus is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0000902664-18-002537 · p18-1301form4.xml · nonDerivative · entry 1

CYRUS CAPITAL PARTNERS, L.P. · CIK 0001166564 · Director · 10% owner · See Remarks

FREIDHEIM STEPHEN C · CIK 0001251783 · Director · 10% owner · See Remarks

CYRUS CAPITAL PARTNERS GP, LLC · CIK 0001166774 · Director · 10% owner · See Remarks

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 102,365

F1 · shares: These 23,300 shares of restricted Class A Common Stock were granted to Cyrus Capital Partners LP ("CCP") by the Issuer on June 6, 2018 pursuant to the Issuer's Non-Employee Director Incentive Compensation Plan and vest on June 6, 2019. Mr. Joseph Kronsberg is an employee of CCP and sits on the board of directors of the Issuer as a representative of CCP. The grant was made directly to CCP because pursuant to agreements between CCP and Mr. Kronsberg, CCP is required to receive all compensation in connection with Mr. Kronsberg's directorship.

SEC source: 0000902664-18-002420 · p18-1245form4.xml · nonDerivative · entry 1

CYRUS CAPITAL PARTNERS, L.P. · CIK 0001166564 · 10% owner · See Remarks

FREIDHEIM STEPHEN C · CIK 0001251783 · 10% owner · See Remarks

CYRUS CAPITAL PARTNERS GP, LLC · CIK 0001166774 · 10% owner · See Remarks

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,006

F1 · shares: These 5,370 shares of restricted Common Stock were granted to Cyrus Capital Partners LP ("CCP") by the Issuer on May 25, 2018 pursuant to the Issuer's Non-Employee Director Incentive Compensation Plan and vest on the earlier of (i) May 24, 2019 and (ii) the date of the annual meeting of stockholders in 2019. Mr. Joseph Kronsberg is an employee of CCP and sits on the board of directors of the Issuer as a representative of CCP. The grant was made directly to CCP because pursuant to agreements between CCP and Mr. Kronsberg, CCP is required to receive all compensation in connection with Mr. Kronsberg's directorship.

SEC source: 0001382963-18-000085 · edgar.xml · nonDerivative · entry 2

CYRUS CAPITAL PARTNERS, L.P. · CIK 0001166564 · 10% owner

CYRUS CAPITAL PARTNERS GP, LLC · CIK 0001166774 · 10% owner

FREIDHEIM STEPHEN C · CIK 0001251783 · 10% owner

FBC HOLDINGS S.A.R.L. · CIK 0001530547 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 2,164,940

F6 · kind: Common Shares reported herein were acquired in consideration for the partial payment of the fourth installment payment of $183,750 owed by the Issuer to FBC, as previously reported, for FBC, among other things, extending the maturity date of the Debenture. The remaining balance of the fourth installment payment was settled by the Issuer in cash.

F2 · balance_after: The Common Shares are directly owned by FBC.

F3 · ownership.nature: This statement is being filed by Cyrus Capital Partners, L.P. ("Cyrus"), FBC, Cyrus Capital Partners GP, L.L.C. ("Cyrus GP"), and Stephen C. Freidheim (each of Cyrus, FBC, Cyrus GP, and Mr. Freidheim, collectively the "Reporting Persons"). FBC, is a wholly owned subsidiary of certain funds advised and managed by Cyrus, each of which are private investment funds engaged in the business of acquiring, holding and disposing of investments in various companies.

F4 · ownership.nature: Cyrus is the manager of FBC and the investment manager of each private fund holding an interest in FBC. Cyrus GP is the general partner of Cyrus. Mr. Freidheim is the manager of Cyrus GP. Mr. Freidheim is also the Chief Investment Officer of Cyrus.

F5 · ownership.nature: Pursuant to Rule 16a-1(a)(4) under the Exchange Act, this filing shall not be deemed an admission that each Reporting Person was, for the purposes of Section 16 of the Exchange Act or otherwise, the beneficial owner of any securities of the Issuer held by the Reporting Persons, and such beneficial ownership was and is expressly disclaimed by the Reporting Persons except to the extent of their pecuniary interest.

SEC source: 0001382963-18-000085 · edgar.xml · nonDerivative · entry 1

CYRUS CAPITAL PARTNERS, L.P. · CIK 0001166564 · 10% owner

CYRUS CAPITAL PARTNERS GP, LLC · CIK 0001166774 · 10% owner

FREIDHEIM STEPHEN C · CIK 0001251783 · 10% owner

FBC HOLDINGS S.A.R.L. · CIK 0001530547 · 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: 1,905,700

F1 · kind: Shares of Issuer common stock ("Common Shares") reported herein were acquired in lieu of Interest owed to FBC Holdings S.a r.l. ("FBC") by the Issuer under that certain 8% Senior Secured Convertible Debenture by and among FBC, the Issuer and certain subsidiaries and guarantors of the Issuer (the "Debenture").

F2 · balance_after: The Common Shares are directly owned by FBC.

F3 · ownership.nature: This statement is being filed by Cyrus Capital Partners, L.P. ("Cyrus"), FBC, Cyrus Capital Partners GP, L.L.C. ("Cyrus GP"), and Stephen C. Freidheim (each of Cyrus, FBC, Cyrus GP, and Mr. Freidheim, collectively the "Reporting Persons"). FBC, is a wholly owned subsidiary of certain funds advised and managed by Cyrus, each of which are private investment funds engaged in the business of acquiring, holding and disposing of investments in various companies.

F4 · ownership.nature: Cyrus is the manager of FBC and the investment manager of each private fund holding an interest in FBC. Cyrus GP is the general partner of Cyrus. Mr. Freidheim is the manager of Cyrus GP. Mr. Freidheim is also the Chief Investment Officer of Cyrus.

F5 · ownership.nature: Pursuant to Rule 16a-1(a)(4) under the Exchange Act, this filing shall not be deemed an admission that each Reporting Person was, for the purposes of Section 16 of the Exchange Act or otherwise, the beneficial owner of any securities of the Issuer held by the Reporting Persons, and such beneficial ownership was and is expressly disclaimed by the Reporting Persons except to the extent of their pecuniary interest.

SEC source: 0001382963-18-000077 · edgar.xml · nonDerivative · entry 2

CYRUS CAPITAL PARTNERS, L.P. · CIK 0001166564 · 10% owner

CYRUS CAPITAL PARTNERS GP, LLC · CIK 0001166774 · 10% owner

FREIDHEIM STEPHEN C · CIK 0001251783 · 10% owner

FBC HOLDINGS S.A.R.L. · CIK 0001530547 · 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: 1,705,519

F6 · kind: Common Shares reported herein were acquired in consideration for the third installment payment of $183,750 owed by the Issuer to FBC, as previously reported, for FBC, among other things, extending the maturity date of the Debenture.

F2 · balance_after: The Common Shares are directly owned by FBC.

F3 · ownership.nature: This statement is being filed by Cyrus Capital Partners, L.P. ("Cyrus"), FBC, Cyrus Capital Partners GP, L.L.C. ("Cyrus GP"), and Stephen C. Freidheim (each of Cyrus, FBC, Cyrus GP, and Mr. Freidheim, collectively the "Reporting Persons"). FBC, is a wholly owned subsidiary of certain funds advised and managed by Cyrus, each of which are private investment funds engaged in the business of acquiring, holding and disposing of investments in various companies.

F4 · ownership.nature: Cyrus is the manager of FBC and the investment manager of each private fund holding an interest in FBC. Cyrus GP is the general partner of Cyrus. Mr. Freidheim is the manager of Cyrus GP. Mr. Freidheim is also the Chief Investment Officer of Cyrus.

F5 · ownership.nature: Pursuant to Rule 16a-1(a)(4) under the Exchange Act, this filing shall not be deemed an admission that each Reporting Person was, for the purposes of Section 16 of the Exchange Act or otherwise, the beneficial owner of any securities of the Issuer held by the Reporting Persons, and such beneficial ownership was and is expressly disclaimed by the Reporting Persons except to the extent of their pecuniary interest.

SEC source: 0001382963-18-000077 · edgar.xml · nonDerivative · entry 1

CYRUS CAPITAL PARTNERS, L.P. · CIK 0001166564 · 10% owner

CYRUS CAPITAL PARTNERS GP, LLC · CIK 0001166774 · 10% owner

FREIDHEIM STEPHEN C · CIK 0001251783 · 10% owner

FBC HOLDINGS S.A.R.L. · CIK 0001530547 · 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: 1,358,821

F1 · kind: Shares of Issuer common stock ("Common Shares") reported herein were acquired in lieu of Interest owed to FBC Holdings S.a r.l. ("FBC") by the Issuer under that certain 8% Senior Secured Convertible Debenture by and among FBC, the Issuer and certain subsidiaries and guarantors of the Issuer (the "Debenture").

F2 · balance_after: The Common Shares are directly owned by FBC.

F3 · ownership.nature: This statement is being filed by Cyrus Capital Partners, L.P. ("Cyrus"), FBC, Cyrus Capital Partners GP, L.L.C. ("Cyrus GP"), and Stephen C. Freidheim (each of Cyrus, FBC, Cyrus GP, and Mr. Freidheim, collectively the "Reporting Persons"). FBC, is a wholly owned subsidiary of certain funds advised and managed by Cyrus, each of which are private investment funds engaged in the business of acquiring, holding and disposing of investments in various companies.

F4 · ownership.nature: Cyrus is the manager of FBC and the investment manager of each private fund holding an interest in FBC. Cyrus GP is the general partner of Cyrus. Mr. Freidheim is the manager of Cyrus GP. Mr. Freidheim is also the Chief Investment Officer of Cyrus.

F5 · ownership.nature: Pursuant to Rule 16a-1(a)(4) under the Exchange Act, this filing shall not be deemed an admission that each Reporting Person was, for the purposes of Section 16 of the Exchange Act or otherwise, the beneficial owner of any securities of the Issuer held by the Reporting Persons, and such beneficial ownership was and is expressly disclaimed by the Reporting Persons except to the extent of their pecuniary interest.

SEC source: 0001382963-18-000073 · edgar.xml · nonDerivative · entry 3

CYRUS CAPITAL PARTNERS, L.P. · CIK 0001166564 · 10% owner

CYRUS CAPITAL PARTNERS GP, LLC · CIK 0001166774 · 10% owner

FREIDHEIM STEPHEN C · CIK 0001251783 · 10% owner

FBC HOLDINGS S.A.R.L. · CIK 0001530547 · 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: 1,216,976

F7 · kind: Common Shares reported herein were acquired in consideration for the second installment payment of $183,750 owed by the Issuer to FBC, as previously reported, for FBC, among other things, extending the maturity date of the Debenture.

F2 · balance_after: The Common Shares are directly owned by FBC.

F3 · ownership.nature: This statement is being filed by Cyrus Capital Partners, L.P. ("Cyrus"), FBC , Cyrus Capital Partners GP, L.L.C. ("Cyrus GP"), and Stephen C. Freidheim (each of Cyrus, FBC, Cyrus GP, and Mr. Freidheim, collectively the "Reporting Persons"). FBC, is a wholly owned subsidiary of certain funds advised and managed by Cyrus, each of which are private investment funds engaged in the business of acquiring, holding and disposing of investments in various companies.

F4 · ownership.nature: Cyrus is the manager of FBC and the investment manager of each private fund holding an interest in FBC. Cyrus GP is the general partner of Cyrus. Mr. Freidheim is the manager of Cyrus GP. Mr. Freidheim is also the Chief Investment Officer of Cyrus.

F5 · ownership.nature: Pursuant to Rule 16a-1(a)(4) under the Exchange Act, this filing shall not be deemed an admission that each Reporting Person was, for the purposes of Section 16 of the Exchange Act or otherwise, the beneficial owner of any securities of the Issuer held by the Reporting Persons, and such beneficial ownership was and is expressly disclaimed by the Reporting Persons except to the extent of their pecuniary interest.

SEC source: 0001382963-18-000073 · edgar.xml · nonDerivative · entry 2

CYRUS CAPITAL PARTNERS, L.P. · CIK 0001166564 · 10% owner

CYRUS CAPITAL PARTNERS GP, LLC · CIK 0001166774 · 10% owner

FREIDHEIM STEPHEN C · CIK 0001251783 · 10% owner

FBC HOLDINGS S.A.R.L. · CIK 0001530547 · 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: 991,516

F6 · kind: Common Shares reported herein were acquired in consideration for the first installment payment of $183,750 owed by the Issuer to FBC, as previously reported, for FBC, among other things, extending the maturity date of the Debenture.

F2 · balance_after: The Common Shares are directly owned by FBC.

F3 · ownership.nature: This statement is being filed by Cyrus Capital Partners, L.P. ("Cyrus"), FBC , Cyrus Capital Partners GP, L.L.C. ("Cyrus GP"), and Stephen C. Freidheim (each of Cyrus, FBC, Cyrus GP, and Mr. Freidheim, collectively the "Reporting Persons"). FBC, is a wholly owned subsidiary of certain funds advised and managed by Cyrus, each of which are private investment funds engaged in the business of acquiring, holding and disposing of investments in various companies.

F4 · ownership.nature: Cyrus is the manager of FBC and the investment manager of each private fund holding an interest in FBC. Cyrus GP is the general partner of Cyrus. Mr. Freidheim is the manager of Cyrus GP. Mr. Freidheim is also the Chief Investment Officer of Cyrus.

F5 · ownership.nature: Pursuant to Rule 16a-1(a)(4) under the Exchange Act, this filing shall not be deemed an admission that each Reporting Person was, for the purposes of Section 16 of the Exchange Act or otherwise, the beneficial owner of any securities of the Issuer held by the Reporting Persons, and such beneficial ownership was and is expressly disclaimed by the Reporting Persons except to the extent of their pecuniary interest.

SEC source: 0001382963-18-000073 · edgar.xml · nonDerivative · entry 1

CYRUS CAPITAL PARTNERS, L.P. · CIK 0001166564 · 10% owner

CYRUS CAPITAL PARTNERS GP, LLC · CIK 0001166774 · 10% owner

FREIDHEIM STEPHEN C · CIK 0001251783 · 10% owner

FBC HOLDINGS S.A.R.L. · CIK 0001530547 · 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: 860,360

F1 · kind: Shares of Issuer common stock ("Common Shares") reported herein were acquired in lieu of Interest owed to FBC Holdings S.a r.l. ("FBC") by the Issuer under that certain 8% Senior Secured Convertible Debenture by and among FBC, the Issuer and certain subsidiaries and guarantors of the Issuer (the "Debenture").

F2 · balance_after: The Common Shares are directly owned by FBC.

F3 · ownership.nature: This statement is being filed by Cyrus Capital Partners, L.P. ("Cyrus"), FBC , Cyrus Capital Partners GP, L.L.C. ("Cyrus GP"), and Stephen C. Freidheim (each of Cyrus, FBC, Cyrus GP, and Mr. Freidheim, collectively the "Reporting Persons"). FBC, is a wholly owned subsidiary of certain funds advised and managed by Cyrus, each of which are private investment funds engaged in the business of acquiring, holding and disposing of investments in various companies.

F4 · ownership.nature: Cyrus is the manager of FBC and the investment manager of each private fund holding an interest in FBC. Cyrus GP is the general partner of Cyrus. Mr. Freidheim is the manager of Cyrus GP. Mr. Freidheim is also the Chief Investment Officer of Cyrus.

F5 · ownership.nature: Pursuant to Rule 16a-1(a)(4) under the Exchange Act, this filing shall not be deemed an admission that each Reporting Person was, for the purposes of Section 16 of the Exchange Act or otherwise, the beneficial owner of any securities of the Issuer held by the Reporting Persons, and such beneficial ownership was and is expressly disclaimed by the Reporting Persons except to the extent of their pecuniary interest.