person · Reporting owner

TAMER ANTHONY

Disclosed activity across 6 companies

Tapewire entity: 90453
SEC CIK: 0001050045

Reported relationships

Latest disclosed role at each company.

Company	Last reported as	Report date	Published
Clarus Therapeutics Holdings, Inc.CRXT · Entity 126356	10% owner	September 09, 2021	October 04, 2021
EXAGEN INC.XGN · Entity 935	10% owner	September 23, 2019	September 23, 2019
WhiteHorse Finance, Inc.WHF · Entity 6515	10% owner	May 29, 2024	May 30, 2024
eHealth, Inc.EHTH · Entity 497	10% owner	September 10, 2021	March 25, 2022

Disclosed balances

About these balances

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

Clarus Therapeutics Holdings, Inc.

Report date September 09, 2021 · Filed October 04, 2021

Jointly reported with H.I.G. Ventures - Clarus, LLC, H.I.G. Bio-Clarus II, L.P., H.I.G. Bio-Clarus I, L.P., H.I.G.-GPII, Inc., MNAYMNEH SAMI

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectSee Footnote	490,531	Reported balance After 2021-09-09 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2021-09-09 · Grant · Acquired 490,531 · Balance 490,531 F1: Received pursuant to the Agreement and Plan of Merger, dated as of April 27, 2021 by and among Blue Water Acquisition Corp. (n/k/a Clarus Therapeutics Holdings, Inc.) (the "Issuer"), Blue Water Merger Sub Corp. and Clarus Therapeutics, Inc. ("Legacy Clarus") (the "Merger Agreement") pursuant to which, through a merger, Legacy Clarus became a direct, wholly-owned subsidiary of the Issuer. F2: The shares reported are held of record by H.I.G. Bio -- Clarus I, L.P ("Clarus I"). H.I.G.-GPII, Inc. ("H.I.G. GP") is the general partner of Clarus I and has sole voting and investment control over the shares owned by Clarus I. Anthony Tamer and Sami Mnaymneh are the sole shareholders of H.I.G. GP and may be deemed to share beneficial ownership of the shares held by Clarus I. Each of Mr. Tamer and Mr. Mnaymneh disclaims beneficial ownership of the shares reported herein except to the extent of their pecuniary interest, if any.
Common StockSEC Table I · non-derivative	IndirectSee Footnote	2,731,094	Reported balance After 2021-09-09 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 2 · 2021-09-09 · Grant · Acquired 2,731,094 · Balance 2,731,094 F1: Received pursuant to the Agreement and Plan of Merger, dated as of April 27, 2021 by and among Blue Water Acquisition Corp. (n/k/a Clarus Therapeutics Holdings, Inc.) (the "Issuer"), Blue Water Merger Sub Corp. and Clarus Therapeutics, Inc. ("Legacy Clarus") (the "Merger Agreement") pursuant to which, through a merger, Legacy Clarus became a direct, wholly-owned subsidiary of the Issuer. F3: The shares reported are held of record by H.I.G. Ventures - Clarus, LLC ("H.I.G. Ventures"). H.I.G. GP is the manager of H.I.G. Ventures and has sole voting and investment control over the shares owned by H.I.G. Ventures. Mr. Tamer and Mr. Mnaymneh are the sole shareholders of H.I.G. GP and may be deemed to share beneficial ownership of the shares held by H.I.G. Ventures. Each of Mr. Tamer and Mr. Mnaymneh disclaims beneficial ownership of the shares reported herein except to the extent of their pecuniary interest, if any.
Common StockSEC Table I · non-derivative	IndirectSee Footnote	2,470,756	Reported balance After 2021-09-09 transaction · row 3 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 3 · 2021-09-09 · Grant · Acquired 2,470,756 · Balance 2,470,756 F1: Received pursuant to the Agreement and Plan of Merger, dated as of April 27, 2021 by and among Blue Water Acquisition Corp. (n/k/a Clarus Therapeutics Holdings, Inc.) (the "Issuer"), Blue Water Merger Sub Corp. and Clarus Therapeutics, Inc. ("Legacy Clarus") (the "Merger Agreement") pursuant to which, through a merger, Legacy Clarus became a direct, wholly-owned subsidiary of the Issuer. F4: The shares reported are held of record by H.I.G. Bio -- Clarus II, L.P ("Clarus II"). H.I.G. GP is the general partner of Clarus II and has sole voting and investment control over the shares owned by Clarus II. Mr. Tamer and Mr. Mnaymneh are the sole shareholders of H.I.G. GP and may be deemed to share beneficial ownership of the shares held by Clarus II. Each of Mr. Tamer and Mr. Mnaymneh disclaims beneficial ownership of the shares reported herein except to the extent of their pecuniary interest, if any.

Filing footnotes · ownership attribution and instrument terms

F1: Received pursuant to the Agreement and Plan of Merger, dated as of April 27, 2021 by and among Blue Water Acquisition Corp. (n/k/a Clarus Therapeutics Holdings, Inc.) (the "Issuer"), Blue Water Merger Sub Corp. and Clarus Therapeutics, Inc. ("Legacy Clarus") (the "Merger Agreement") pursuant to which, through a merger, Legacy Clarus became a direct, wholly-owned subsidiary of the Issuer.

F2: The shares reported are held of record by H.I.G. Bio -- Clarus I, L.P ("Clarus I"). H.I.G.-GPII, Inc. ("H.I.G. GP") is the general partner of Clarus I and has sole voting and investment control over the shares owned by Clarus I. Anthony Tamer and Sami Mnaymneh are the sole shareholders of H.I.G. GP and may be deemed to share beneficial ownership of the shares held by Clarus I. Each of Mr. Tamer and Mr. Mnaymneh disclaims beneficial ownership of the shares reported herein except to the extent of their pecuniary interest, if any.

F3: The shares reported are held of record by H.I.G. Ventures - Clarus, LLC ("H.I.G. Ventures"). H.I.G. GP is the manager of H.I.G. Ventures and has sole voting and investment control over the shares owned by H.I.G. Ventures. Mr. Tamer and Mr. Mnaymneh are the sole shareholders of H.I.G. GP and may be deemed to share beneficial ownership of the shares held by H.I.G. Ventures. Each of Mr. Tamer and Mr. Mnaymneh disclaims beneficial ownership of the shares reported herein except to the extent of their pecuniary interest, if any.

F4: The shares reported are held of record by H.I.G. Bio -- Clarus II, L.P ("Clarus II"). H.I.G. GP is the general partner of Clarus II and has sole voting and investment control over the shares owned by Clarus II. Mr. Tamer and Mr. Mnaymneh are the sole shareholders of H.I.G. GP and may be deemed to share beneficial ownership of the shares held by Clarus II. Each of Mr. Tamer and Mr. Mnaymneh disclaims beneficial ownership of the shares reported herein except to the extent of their pecuniary interest, if any.

EXAGEN INC.

Report date September 23, 2019 · Filed September 23, 2019

Jointly reported with H.I.G. Bio-Exagen, L.P., H.I.G.-GPII, Inc., MNAYMNEH SAMI

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectSee footnote	1,696,252	Last balance in matching sequence After 2019-09-23 transaction · row 2 Source-order balances reconcile. Account continuity and personal attribution are not independently verified. 2 source rows Row 1 · 2019-09-23 · Conversion · Acquired 1,271,252 · Balance 1,271,252 F1: The shares reported on this form are held of record by H.I.G. Bio-Exagen, L.P. ("H.I.G."). H.I.G.-GPII, Inc. ("H.I.G. GP") is the general partner of H.I.G. and has sole voting and investment control over the shares owned by H.I.G. Anthony Tamer and Sami Mnaymneh are the sole shareholders of H.I.G. GP and may be deemed to share beneficial ownership of the shares held by H.I.G. Bio-Exagen, L.P. Each of Mr. Tamer and Mr. Mnaymneh disclaims beneficial ownership of the shares reported herein except to the extent of their pecuniary interest, if any. Row 2 · 2019-09-23 · Purchase · Acquired 425,000 · Balance 1,696,252 F1: The shares reported on this form are held of record by H.I.G. Bio-Exagen, L.P. ("H.I.G."). H.I.G.-GPII, Inc. ("H.I.G. GP") is the general partner of H.I.G. and has sole voting and investment control over the shares owned by H.I.G. Anthony Tamer and Sami Mnaymneh are the sole shareholders of H.I.G. GP and may be deemed to share beneficial ownership of the shares held by H.I.G. Bio-Exagen, L.P. Each of Mr. Tamer and Mr. Mnaymneh disclaims beneficial ownership of the shares reported herein except to the extent of their pecuniary interest, if any.
Series H Redeemable Convertible Preferred StockSEC Table II · derivative / convertible security	IndirectSee footnote	0	Reported balance After 2019-09-23 transaction · row 3 Instrument identity requires review; Table II rows are not merged. 1 source row Row 3 · 2019-09-23 · Conversion · Disposed 233,446,519 · Balance 0 F2: The Series H Redeemable Convertible Preferred Stock ("Series H") is convertible into the Issuer's Common Stock on a 183.635-for-one basis at the holder's election and has no expiration date. The Series H automatically converted into Common Stock upon the closing of the Issuer's initial public offering. F1: The shares reported on this form are held of record by H.I.G. Bio-Exagen, L.P. ("H.I.G."). H.I.G.-GPII, Inc. ("H.I.G. GP") is the general partner of H.I.G. and has sole voting and investment control over the shares owned by H.I.G. Anthony Tamer and Sami Mnaymneh are the sole shareholders of H.I.G. GP and may be deemed to share beneficial ownership of the shares held by H.I.G. Bio-Exagen, L.P. Each of Mr. Tamer and Mr. Mnaymneh disclaims beneficial ownership of the shares reported herein except to the extent of their pecuniary interest, if any.

Filing footnotes · ownership attribution and instrument terms

F1: The shares reported on this form are held of record by H.I.G. Bio-Exagen, L.P. ("H.I.G."). H.I.G.-GPII, Inc. ("H.I.G. GP") is the general partner of H.I.G. and has sole voting and investment control over the shares owned by H.I.G. Anthony Tamer and Sami Mnaymneh are the sole shareholders of H.I.G. GP and may be deemed to share beneficial ownership of the shares held by H.I.G. Bio-Exagen, L.P. Each of Mr. Tamer and Mr. Mnaymneh disclaims beneficial ownership of the shares reported herein except to the extent of their pecuniary interest, if any.

F2: The Series H Redeemable Convertible Preferred Stock ("Series H") is convertible into the Issuer's Common Stock on a 183.635-for-one basis at the holder's election and has no expiration date. The Series H automatically converted into Common Stock upon the closing of the Issuer's initial public offering.

WhiteHorse Finance, Inc.

Report date May 29, 2024 · Filed May 30, 2024

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common Stock, par value $0.001 per shareSEC Table I · non-derivative	IndirectSee Footnote	3,976,258	Reported balance After 2024-05-29 transaction · row 1 Holding and transaction disclosures are not merged. 1 source row Row 1 · 2024-05-29 · Sale · Disposed 1,000,000 · Balance 3,976,258 F1: Mr. Tamer is a control person of H.I.G.-GPII, Inc., which is the manager of the general partner of H.I.G. Bayside Loan Opportunity Fund IV, L.P. (the "Bayside Fund"). Therefore, Mr. Tamer may be viewed as having investment power over all of the shares owned by the Bayside Fund. Mr. Tamer disclaims beneficial ownership of shares of common stock held by the Bayside Fund, except to the extent of his direct pecuniary interest therein. F2: On May 29, 2024, the Bayside Fund sold to an institutional investor an aggregate of 1,000,000 shares of common stock, $0.001 par value per share, of WhiteHorse Finance, Inc. (the "Common Stock"), at a price of $12.15 per share in a block trade. After the sale, the Bayside Fund holds 3,976,258 shares of Common Stock.
Common Stock, par value $0.001 per shareSEC Table I · non-derivative	IndirectSee Footnote	450,439	Reported balance Holding disclosure · report date 2024-05-29 · row 2 Holding and transaction disclosures are not merged. 1 source row Row 2 · Balance 450,439 F3: Due to his control of THM Selector, LLC, Mr. Tamer may be viewed as having investment power over 450,439 shares of common stock owned by such entity. Mr. Tamer disclaims beneficial ownership of shares of common stock held by THM Selector, LLC, except to the extent of his direct pecuniary interest therein.
Common Stock, par value $0.001 per shareSEC Table I · non-derivative	Direct	10,977	Reported balance Holding disclosure · report date 2024-05-29 · row 3 Holding and transaction disclosures are not merged. 1 source row Row 3 · Balance 10,977

Filing footnotes · ownership attribution and instrument terms

F1: Mr. Tamer is a control person of H.I.G.-GPII, Inc., which is the manager of the general partner of H.I.G. Bayside Loan Opportunity Fund IV, L.P. (the "Bayside Fund"). Therefore, Mr. Tamer may be viewed as having investment power over all of the shares owned by the Bayside Fund. Mr. Tamer disclaims beneficial ownership of shares of common stock held by the Bayside Fund, except to the extent of his direct pecuniary interest therein.

F2: On May 29, 2024, the Bayside Fund sold to an institutional investor an aggregate of 1,000,000 shares of common stock, $0.001 par value per share, of WhiteHorse Finance, Inc. (the "Common Stock"), at a price of $12.15 per share in a block trade. After the sale, the Bayside Fund holds 3,976,258 shares of Common Stock.

F3: Due to his control of THM Selector, LLC, Mr. Tamer may be viewed as having investment power over 450,439 shares of common stock owned by such entity. Mr. Tamer disclaims beneficial ownership of shares of common stock held by THM Selector, LLC, except to the extent of his direct pecuniary interest therein.

eHealth, Inc.

Report date September 10, 2021 · Filed March 25, 2022

Jointly reported with H.I.G.-GPII, Inc., Echelon Health SPV, LP, Echelon Health SPV GP, LLC, H.I.G. Echelon, LP, H.I.G. Middle Market LBO Fund III, L.P., H.I.G. Middle Market Advisors III, LLC, MNAYMNEH SAMI

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Series A Preferred StockSEC Table II · derivative / convertible security	IndirectSee Notes	Not disclosed	Reported balance Holding disclosure · report date 2021-09-10 · row 1 Instrument identity requires review; Table II rows are not merged. 1 source row Row 1 · Balance Not disclosed F1: The Reporting Persons beneficially own 2,250,000 shares of the Issuer's Series A Preferred Stock (the "Series A Preferred Stock"). The Series A Preferred Stock provides for paid-in-kind ("PIK") dividends at an annual rate of 8%, which accrue daily and compound semi-annually. The Series A Preferred Stock became convertible into shares of the Issuer's common stock (the "Common Stock") on June 1, 2021. The number of shares of Common Stock issuable upon conversion of a share of Series A Preferred Stock equals (A) $100 plus PIK dividends calculated up to the most recent semi-annual dividend payment date plus PIK dividends accrued since the most recent semi-annual dividend payment date divided by (B) the conversion price of $79.5861, which is subject to adjustment upon the occurrence of certain specified events. F2: As of September 10, 2021, the Series A Preferred Stock beneficially owned by the Reporting Persons was convertible into 2,910,708.48 shares of Common Stock. As of March 25, 2022, the Series A Preferred Stock beneficially owned by the Reporting Persons was convertible into 3,035,822.97 shares of Common Stock. F3: The securities reported herein are held directly by Echelon Health SPV, LP ("Echelon LP"), Echelon Health SPV GP, LLC, a Delaware limited liability company ("Echelon GP"), is the general partner of Echelon LP. H.I.G. Echelon, LP, a Delaware limited partnership ("Holdco"), is the sole member of Echelon LP. H.I.G. Middle Market LBO Fund III, L.P., a Delaware limited partnership ("Middle Market LBO III"), is the controlling interest holder of Holdco and Echelon GP. H.I.G. Middle Market Advisors III, LLC, a Delaware limited liability company ("Middle Market Advisors III"), is the general partner of Middle Market LBO III and the manager of Echelon GP. H.I.G.-GPII, Inc., a Delaware corporation ("GPII" and together with Echelon LP, Echelon GP, Holdco, Middle Market LBO III and Middle Market Advisors III, the "HIG Funds"), is the general partner of Holdco and the manager of Middle Market Advisors III. F4: Sami W. Mnaymneh and Anthony A. Tamer are the sole shareholders of GPII. As a result of the foregoing relationships, each of the HIG Funds and Messrs. Mnaymneh and Tamer may be deemed to beneficially own the Series A Preferred Stock held by Echelon LP. Messrs. Mnaymneh and Tamer disclaim beneficial ownership of the shares held by the HIG Funds except to the extent of their pecuniary interest therein.

Filing footnotes · ownership attribution and instrument terms

F1: The Reporting Persons beneficially own 2,250,000 shares of the Issuer's Series A Preferred Stock (the "Series A Preferred Stock"). The Series A Preferred Stock provides for paid-in-kind ("PIK") dividends at an annual rate of 8%, which accrue daily and compound semi-annually. The Series A Preferred Stock became convertible into shares of the Issuer's common stock (the "Common Stock") on June 1, 2021. The number of shares of Common Stock issuable upon conversion of a share of Series A Preferred Stock equals (A) $100 plus PIK dividends calculated up to the most recent semi-annual dividend payment date plus PIK dividends accrued since the most recent semi-annual dividend payment date divided by (B) the conversion price of $79.5861, which is subject to adjustment upon the occurrence of certain specified events.

F2: As of September 10, 2021, the Series A Preferred Stock beneficially owned by the Reporting Persons was convertible into 2,910,708.48 shares of Common Stock. As of March 25, 2022, the Series A Preferred Stock beneficially owned by the Reporting Persons was convertible into 3,035,822.97 shares of Common Stock.

F3: The securities reported herein are held directly by Echelon Health SPV, LP ("Echelon LP"), Echelon Health SPV GP, LLC, a Delaware limited liability company ("Echelon GP"), is the general partner of Echelon LP. H.I.G. Echelon, LP, a Delaware limited partnership ("Holdco"), is the sole member of Echelon LP. H.I.G. Middle Market LBO Fund III, L.P., a Delaware limited partnership ("Middle Market LBO III"), is the controlling interest holder of Holdco and Echelon GP. H.I.G. Middle Market Advisors III, LLC, a Delaware limited liability company ("Middle Market Advisors III"), is the general partner of Middle Market LBO III and the manager of Echelon GP. H.I.G.-GPII, Inc., a Delaware corporation ("GPII" and together with Echelon LP, Echelon GP, Holdco, Middle Market LBO III and Middle Market Advisors III, the "HIG Funds"), is the general partner of Holdco and the manager of Middle Market Advisors III.

F4: Sami W. Mnaymneh and Anthony A. Tamer are the sole shareholders of GPII. As a result of the foregoing relationships, each of the HIG Funds and Messrs. Mnaymneh and Tamer may be deemed to beneficially own the Series A Preferred Stock held by Echelon LP. Messrs. Mnaymneh and Tamer disclaim beneficial ownership of the shares held by the HIG Funds except to the extent of their pecuniary interest therein.

Past disclosures · reporting ended (2)

No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.

ADVANCED ENVIRONMENTAL RECYCLING TECHNOLOGIES INC

Report date May 01, 2017 · Filed May 02, 2017

Jointly reported with H.I.G. AERT, LLC, H.I.G. Capital Partners IV, L.P., BAYSIDE OPPORTUNITY FUND, LP, H.I.G. Advisors IV, L.L.C., BAYSIDE OPPORTUNITY ADVISORS, LLC, HIG GP II INC, MNAYMNEH SAMI

Section 16 reporting ended · disclosed 2017-05-02. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Class A Common StockSEC Table I · non-derivative	Direct	0	Reported balance After 2017-05-01 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2017-05-01 · Other · Disposed 15,289,890 · Balance 0 F1: Disposed of pursuant to the Agreement and Plan of Merger by and among Oldcastle Architectural, Inc. ("Parent"), Oldcastle Ascent Merger Sub, Inc., a wholly-owned subsidiary of Parent, and Issuer, dated as of March 16, 2017 (the "Merger Agreement"), whereby each share of Issuer Class A common stock ("Common Stock") was cancelled and converted into the right to receive $0.135936 in cash without interest and subject to any applicable withholding taxes, and each share of Issuer Series E Convertible Preferred Stock ("Preferred Stock") was cancelled and converted into the right to receive $2,603.483278 in cash without interest and subject to any applicable withholding taxes. F5: This Form 4 is being filed by H.I.G. AERT, LLC as the direct beneficial owner of the shares of Common Stock and the shares of Preferred Stock. F6: Each of the other Reporting Persons may be deemed to be indirect beneficial owners of the shares of Common Stock and Preferred Stock, as follows: (i) H.I.G. Capital Partners IV, L.P. and Bayside Opportunity Fund, L.P., each in their capacity as the holders of 56.8% and 29.9%, respectively, of the equity interests of H.I.G. AERT, LLC; (ii) H.I.G. Advisors IV, LLC, in its capacity as the general partner of H.I.G. Capital Partners IV, L.P.; (iii) Bayside Opportunity Advisors, LLC, in its capacity as the general partner of Bayside Opportunity Fund, L.P..; (iv) H.I.G.- GPII, Inc., in its capacity as the manager of each of H.I.G. Advisors IV, LLC and Bayside Opportunity Advisors, LLC; and (v) Sami W. Mnaymneh and Anthony A. Tamer, each in their capacity as co-presidents and directors of H.I.G.- GPII, Inc. F7: Information with respect to each Reporting Person is given solely by such Reporting Person, and no such Reporting Person assumes responsibility for the accuracy or completeness of information supplied by any other Reporting Person. F8: Pursuant to Rule 16a-1(a)(4) of the Exchange Act, each of the Reporting Persons, other than H.I.G. AERT, LLC, herein states that this filing shall not be deemed to be an admission that it or he is a beneficial owner of any shares of Common Stock or Preferred Stock covered by this Statement of Changes in Beneficial Ownership of Securities on Form 4. Each of the Reporting Persons, other than H.I.G. AERT, LLC, disclaims beneficial ownership of the shares, except to the extent of its or his pecuniary interest in the shares.
Series E Convertible Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.08	Direct	0	Reported balance After 2017-05-01 transaction · row 2 Instrument identity requires review; Table II rows are not merged. 1 source row Row 2 · 2017-05-01 · Other · Disposed 20,524.149 · Balance 0 F1: Disposed of pursuant to the Agreement and Plan of Merger by and among Oldcastle Architectural, Inc. ("Parent"), Oldcastle Ascent Merger Sub, Inc., a wholly-owned subsidiary of Parent, and Issuer, dated as of March 16, 2017 (the "Merger Agreement"), whereby each share of Issuer Class A common stock ("Common Stock") was cancelled and converted into the right to receive $0.135936 in cash without interest and subject to any applicable withholding taxes, and each share of Issuer Series E Convertible Preferred Stock ("Preferred Stock") was cancelled and converted into the right to receive $2,603.483278 in cash without interest and subject to any applicable withholding taxes. F2: At the holder's election and for no additional consideration, each share of Preferred Stock was convertible into shares of Common Stock at any time. F3: The shares of Preferred Stock had no expiration date. F4: 393,084,089 shares of Common Stock were issuable upon conversion of the 20,524.149 shares of Preferred Stock at the fixed rate of 19,152.27 shares of Common Stock for each share of Preferred Stock, the "Conversion Rate" for the Preferred Stock pursuant to the Issuer's Certificate of Designations, Preferences and Rights of the Series E Convertible Preferred Stock in the event a fundamental transaction (which includes the merger pursuant to the Merger Agreement) occurred prior to August 1, 2017. F5: This Form 4 is being filed by H.I.G. AERT, LLC as the direct beneficial owner of the shares of Common Stock and the shares of Preferred Stock. F6: Each of the other Reporting Persons may be deemed to be indirect beneficial owners of the shares of Common Stock and Preferred Stock, as follows: (i) H.I.G. Capital Partners IV, L.P. and Bayside Opportunity Fund, L.P., each in their capacity as the holders of 56.8% and 29.9%, respectively, of the equity interests of H.I.G. AERT, LLC; (ii) H.I.G. Advisors IV, LLC, in its capacity as the general partner of H.I.G. Capital Partners IV, L.P.; (iii) Bayside Opportunity Advisors, LLC, in its capacity as the general partner of Bayside Opportunity Fund, L.P..; (iv) H.I.G.- GPII, Inc., in its capacity as the manager of each of H.I.G. Advisors IV, LLC and Bayside Opportunity Advisors, LLC; and (v) Sami W. Mnaymneh and Anthony A. Tamer, each in their capacity as co-presidents and directors of H.I.G.- GPII, Inc. F7: Information with respect to each Reporting Person is given solely by such Reporting Person, and no such Reporting Person assumes responsibility for the accuracy or completeness of information supplied by any other Reporting Person. F8: Pursuant to Rule 16a-1(a)(4) of the Exchange Act, each of the Reporting Persons, other than H.I.G. AERT, LLC, herein states that this filing shall not be deemed to be an admission that it or he is a beneficial owner of any shares of Common Stock or Preferred Stock covered by this Statement of Changes in Beneficial Ownership of Securities on Form 4. Each of the Reporting Persons, other than H.I.G. AERT, LLC, disclaims beneficial ownership of the shares, except to the extent of its or his pecuniary interest in the shares.

Filing footnotes · ownership attribution and instrument terms

F1: Disposed of pursuant to the Agreement and Plan of Merger by and among Oldcastle Architectural, Inc. ("Parent"), Oldcastle Ascent Merger Sub, Inc., a wholly-owned subsidiary of Parent, and Issuer, dated as of March 16, 2017 (the "Merger Agreement"), whereby each share of Issuer Class A common stock ("Common Stock") was cancelled and converted into the right to receive $0.135936 in cash without interest and subject to any applicable withholding taxes, and each share of Issuer Series E Convertible Preferred Stock ("Preferred Stock") was cancelled and converted into the right to receive $2,603.483278 in cash without interest and subject to any applicable withholding taxes.

F2: At the holder's election and for no additional consideration, each share of Preferred Stock was convertible into shares of Common Stock at any time.

F3: The shares of Preferred Stock had no expiration date.

F4: 393,084,089 shares of Common Stock were issuable upon conversion of the 20,524.149 shares of Preferred Stock at the fixed rate of 19,152.27 shares of Common Stock for each share of Preferred Stock, the "Conversion Rate" for the Preferred Stock pursuant to the Issuer's Certificate of Designations, Preferences and Rights of the Series E Convertible Preferred Stock in the event a fundamental transaction (which includes the merger pursuant to the Merger Agreement) occurred prior to August 1, 2017.

F5: This Form 4 is being filed by H.I.G. AERT, LLC as the direct beneficial owner of the shares of Common Stock and the shares of Preferred Stock.

F6: Each of the other Reporting Persons may be deemed to be indirect beneficial owners of the shares of Common Stock and Preferred Stock, as follows: (i) H.I.G. Capital Partners IV, L.P. and Bayside Opportunity Fund, L.P., each in their capacity as the holders of 56.8% and 29.9%, respectively, of the equity interests of H.I.G. AERT, LLC; (ii) H.I.G. Advisors IV, LLC, in its capacity as the general partner of H.I.G. Capital Partners IV, L.P.; (iii) Bayside Opportunity Advisors, LLC, in its capacity as the general partner of Bayside Opportunity Fund, L.P..; (iv) H.I.G.- GPII, Inc., in its capacity as the manager of each of H.I.G. Advisors IV, LLC and Bayside Opportunity Advisors, LLC; and (v) Sami W. Mnaymneh and Anthony A. Tamer, each in their capacity as co-presidents and directors of H.I.G.- GPII, Inc.

F7: Information with respect to each Reporting Person is given solely by such Reporting Person, and no such Reporting Person assumes responsibility for the accuracy or completeness of information supplied by any other Reporting Person.

F8: Pursuant to Rule 16a-1(a)(4) of the Exchange Act, each of the Reporting Persons, other than H.I.G. AERT, LLC, herein states that this filing shall not be deemed to be an admission that it or he is a beneficial owner of any shares of Common Stock or Preferred Stock covered by this Statement of Changes in Beneficial Ownership of Securities on Form 4. Each of the Reporting Persons, other than H.I.G. AERT, LLC, disclaims beneficial ownership of the shares, except to the extent of its or his pecuniary interest in the shares.

Surgery Partners, Inc.

Report date August 31, 2017 · Filed September 05, 2017

Jointly reported with H.I.G. Surgery Centers, LLC, HIG GP II INC, MNAYMNEH SAMI

Section 16 reporting ended · disclosed 2017-09-05. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	0	Reported balance After 2017-08-31 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2017-08-31 · Sale · Disposed 26,455,651 · Balance 0 F1: The Common Stock directly beneficially owned by H.I.G. Surgery Centers, LLC may be deemed to be indirectly beneficially owned by H.I.G.-GPII, Inc., Sami W. Mnaymneh and Anthony A. Tamer. H.I.G.-GPII, Inc. is the manager of H.I.G. Surgery Centers, LLC, and Messrs. Mnaymneh and Tamer are co-presidents, directors and the sole shareholders of H.I.G.-GPII, Inc. Each of the Reporting Persons has shared voting and dispositive power over these securities, however each of them disclaims beneficial ownership of such securities except to the extent of their respective pecuniary interests therein.

Filing footnotes · ownership attribution and instrument terms

F1: The Common Stock directly beneficially owned by H.I.G. Surgery Centers, LLC may be deemed to be indirectly beneficially owned by H.I.G.-GPII, Inc., Sami W. Mnaymneh and Anthony A. Tamer. H.I.G.-GPII, Inc. is the manager of H.I.G. Surgery Centers, LLC, and Messrs. Mnaymneh and Tamer are co-presidents, directors and the sole shareholders of H.I.G.-GPII, Inc. Each of the Reporting Persons has shared voting and dispositive power over these securities, however each of them disclaims beneficial ownership of such securities except to the extent of their respective pecuniary interests therein.

Transaction history

JSON API

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

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

Transaction date	Company	Activity / security	Shares / units	Reported price	Reported value	Details
May 29, 2024 Filed May 30, 2024 21:55 UTC	WhiteHorse Finance, Inc. WHF · Entity 6515	SaleCommon Stock, par value $0.001 per share	1,000,000	$12.15	$12,150,000.00	Disclosure SEC source: 0001104659-24-066810 · tm2416043-1_4seq1.xml · nonDerivative · entry 1 TAMER ANTHONY · CIK 0001050045 · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 3,976,258 F1 · ownership.nature: Mr. Tamer is a control person of H.I.G.-GPII, Inc., which is the manager of the general partner of H.I.G. Bayside Loan Opportunity Fund IV, L.P. (the "Bayside Fund"). Therefore, Mr. Tamer may be viewed as having investment power over all of the shares owned by the Bayside Fund. Mr. Tamer disclaims beneficial ownership of shares of common stock held by the Bayside Fund, except to the extent of his direct pecuniary interest therein. F2 · ownership.nature: On May 29, 2024, the Bayside Fund sold to an institutional investor an aggregate of 1,000,000 shares of common stock, $0.001 par value per share, of WhiteHorse Finance, Inc. (the "Common Stock"), at a price of $12.15 per share in a block trade. After the sale, the Bayside Fund holds 3,976,258 shares of Common Stock. Read SEC document
September 09, 2021 Filed Oct 4, 2021 16:09 UTC	Clarus Therapeutics Holdings, Inc. CRXT · Entity 126356	GrantCommon Stock	2,470,756	$0.00	$0.00	Disclosure SEC source: 0001013762-21-000025 · ownership.xml · nonDerivative · entry 3 H.I.G. Ventures - Clarus, LLC · CIK 0001512060 · 10% owner H.I.G. Bio-Clarus II, L.P. · CIK 0001885010 · 10% owner H.I.G. Bio-Clarus I, L.P. · CIK 0001884997 · 10% owner H.I.G.-GPII, Inc. · CIK 0001788482 · 10% owner TAMER ANTHONY · CIK 0001050045 · 10% owner MNAYMNEH SAMI · CIK 0001050046 · 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: 2,470,756 F1 · kind: Received pursuant to the Agreement and Plan of Merger, dated as of April 27, 2021 by and among Blue Water Acquisition Corp. (n/k/a Clarus Therapeutics Holdings, Inc.) (the "Issuer"), Blue Water Merger Sub Corp. and Clarus Therapeutics, Inc. ("Legacy Clarus") (the "Merger Agreement") pursuant to which, through a merger, Legacy Clarus became a direct, wholly-owned subsidiary of the Issuer. F4 · ownership.nature: The shares reported are held of record by H.I.G. Bio -- Clarus II, L.P ("Clarus II"). H.I.G. GP is the general partner of Clarus II and has sole voting and investment control over the shares owned by Clarus II. Mr. Tamer and Mr. Mnaymneh are the sole shareholders of H.I.G. GP and may be deemed to share beneficial ownership of the shares held by Clarus II. Each of Mr. Tamer and Mr. Mnaymneh disclaims beneficial ownership of the shares reported herein except to the extent of their pecuniary interest, if any. Read SEC document
September 09, 2021 Filed Oct 4, 2021 16:09 UTC	Clarus Therapeutics Holdings, Inc. CRXT · Entity 126356	GrantCommon Stock	2,731,094	$0.00	$0.00	Disclosure SEC source: 0001013762-21-000025 · ownership.xml · nonDerivative · entry 2 H.I.G. Ventures - Clarus, LLC · CIK 0001512060 · 10% owner H.I.G. Bio-Clarus II, L.P. · CIK 0001885010 · 10% owner H.I.G. Bio-Clarus I, L.P. · CIK 0001884997 · 10% owner H.I.G.-GPII, Inc. · CIK 0001788482 · 10% owner TAMER ANTHONY · CIK 0001050045 · 10% owner MNAYMNEH SAMI · CIK 0001050046 · 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: 2,731,094 F1 · kind: Received pursuant to the Agreement and Plan of Merger, dated as of April 27, 2021 by and among Blue Water Acquisition Corp. (n/k/a Clarus Therapeutics Holdings, Inc.) (the "Issuer"), Blue Water Merger Sub Corp. and Clarus Therapeutics, Inc. ("Legacy Clarus") (the "Merger Agreement") pursuant to which, through a merger, Legacy Clarus became a direct, wholly-owned subsidiary of the Issuer. F3 · ownership.nature: The shares reported are held of record by H.I.G. Ventures - Clarus, LLC ("H.I.G. Ventures"). H.I.G. GP is the manager of H.I.G. Ventures and has sole voting and investment control over the shares owned by H.I.G. Ventures. Mr. Tamer and Mr. Mnaymneh are the sole shareholders of H.I.G. GP and may be deemed to share beneficial ownership of the shares held by H.I.G. Ventures. Each of Mr. Tamer and Mr. Mnaymneh disclaims beneficial ownership of the shares reported herein except to the extent of their pecuniary interest, if any. Read SEC document
September 09, 2021 Filed Oct 4, 2021 16:09 UTC	Clarus Therapeutics Holdings, Inc. CRXT · Entity 126356	GrantCommon Stock	490,531	$0.00	$0.00	Disclosure SEC source: 0001013762-21-000025 · ownership.xml · nonDerivative · entry 1 H.I.G. Ventures - Clarus, LLC · CIK 0001512060 · 10% owner H.I.G. Bio-Clarus II, L.P. · CIK 0001885010 · 10% owner H.I.G. Bio-Clarus I, L.P. · CIK 0001884997 · 10% owner H.I.G.-GPII, Inc. · CIK 0001788482 · 10% owner TAMER ANTHONY · CIK 0001050045 · 10% owner MNAYMNEH SAMI · CIK 0001050046 · 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: 490,531 F1 · kind: Received pursuant to the Agreement and Plan of Merger, dated as of April 27, 2021 by and among Blue Water Acquisition Corp. (n/k/a Clarus Therapeutics Holdings, Inc.) (the "Issuer"), Blue Water Merger Sub Corp. and Clarus Therapeutics, Inc. ("Legacy Clarus") (the "Merger Agreement") pursuant to which, through a merger, Legacy Clarus became a direct, wholly-owned subsidiary of the Issuer. F2 · ownership.nature: The shares reported are held of record by H.I.G. Bio -- Clarus I, L.P ("Clarus I"). H.I.G.-GPII, Inc. ("H.I.G. GP") is the general partner of Clarus I and has sole voting and investment control over the shares owned by Clarus I. Anthony Tamer and Sami Mnaymneh are the sole shareholders of H.I.G. GP and may be deemed to share beneficial ownership of the shares held by Clarus I. Each of Mr. Tamer and Mr. Mnaymneh disclaims beneficial ownership of the shares reported herein except to the extent of their pecuniary interest, if any. Read SEC document
December 20, 2019 Filed Dec 26, 2019 17:05 UTC	WhiteHorse Finance, Inc. WHF · Entity 6515	SaleCommon Stock, par value $0.001 per share	500,000	$13.40	$6,700,000.00	Disclosure SEC source: 0001104659-19-076205 · tm1927384d4_form4.xml · nonDerivative · entry 1 TAMER ANTHONY · CIK 0001050045 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 4,863,172 F1 · ownership.nature: Due to his ownership interest in the General Partner of H.I.G. Bayside Debt & LBO Fund II, L.P. and H.I.G. Bayside Loan Opportunity Fund II, L.P. (together, the "Bayside Funds"), Mr. Tamer may be viewed as having investment power over all of the shares owned by each entity. Mr. Tamer disclaims beneficial ownership of shares of common stock held by the Bayside Funds, except to the extent of his direct pecuniary interest therein. F2 · ownership.nature: On December 20, 2019, the Bayside Funds sold to an institutional investor an aggregate of 500,000 shares of common stock, $0.001 par value per share, of WhiteHorse Finance, Inc. (the "Common Stock"), at a price of $13.40 per share in a block trade. After the sale (which settled on December 24, 2019), the Bayside Funds collectively hold 4,863,172 shares of Common Stock, either directly or through one or more of their direct or indirect subsidiaries. Read SEC document
December 13, 2019 Filed Dec 13, 2019 17:10 UTC	WhiteHorse Finance, Inc. WHF · Entity 6515	SaleCommon Stock, par value $0.001 per share	337,500	$13.83	$4,667,625.00	Disclosure SEC source: 0001104659-19-072633 · tm1925164-1_4.xml · nonDerivative · entry 1 TAMER ANTHONY · CIK 0001050045 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 5,363,172 F1 · ownership.nature: Due to his ownership interest in the General Partner of H.I.G. Bayside Debt & LBO Fund II, L.P. and H.I.G. Bayside Loan Opportunity Fund II, L.P. (together, the "Bayside Funds"), Mr. Tamer may be viewed as having investment power over all of the shares owned by each entity. Mr. Tamer disclaims beneficial ownership of shares of common stock held by the Bayside Funds, except to the extent of his direct pecuniary interest therein. F2 · ownership.nature: Reflects the sale of 337,500 shares of common stock by the Bayside Funds pursuant to the exercise of the overallotment option granted to the underwriters to purchase additional shares in connection with an underwritten secondary offering of common stock of WhiteHorse Finance, Inc. Read SEC document
December 05, 2019 Filed Dec 9, 2019 18:36 UTC	WhiteHorse Finance, Inc. WHF · Entity 6515	SaleCommon Stock, par value $0.001 per share	2,250,000	$13.83	$31,117,500.00	Disclosure SEC source: 0001104659-19-071093 · tm1924832-1_4.xml · nonDerivative · entry 1 TAMER ANTHONY · CIK 0001050045 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 5,700,672 F1 · ownership.nature: Due to his ownership interest in the General Partner of H.I.G. Bayside Debt & LBO Fund II, L.P. and H.I.G. Bayside Loan Opportunity Fund II, L.P. (together, the "Bayside Funds"), Mr. Tamer may be viewed as having investment power over all of the shares owned by each entity. Mr. Tamer disclaims beneficial ownership of shares of common stock held by the Bayside Funds, except to the extent of his direct pecuniary interest therein. F2 · ownership.nature: Reflects the sale of 2,250,000 shares of common stock by the Bayside Funds pursuant to an underwritten secondary offering of common stock of WhiteHorse Finance, Inc. that priced on December 5, 2019 and closed on December 9, 2019. Read SEC document
September 23, 2019 Filed Sep 23, 2019 21:43 UTC	EXAGEN INC. XGN · Entity 935	ConversionSeries H Redeemable Convertible Preferred Stock · Derivative	233,446,519	Not disclosed	Not disclosed	Disclosure SEC source: 0000899243-19-024078 · doc4.xml · derivative · entry 3 H.I.G. Bio-Exagen, L.P. · CIK 0001788396 · 10% owner H.I.G.-GPII, Inc. · CIK 0001788482 · 10% owner TAMER ANTHONY · CIK 0001050045 · 10% owner MNAYMNEH SAMI · CIK 0001050046 · 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 · 1,271,252 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 H Redeemable Convertible Preferred Stock ("Series H") is convertible into the Issuer's Common Stock on a 183.635-for-one basis at the holder's election and has no expiration date. The Series H automatically converted into Common Stock upon the closing of the Issuer's initial public offering. F2 · price: The Series H Redeemable Convertible Preferred Stock ("Series H") is convertible into the Issuer's Common Stock on a 183.635-for-one basis at the holder's election and has no expiration date. The Series H automatically converted into Common Stock upon the closing of the Issuer's initial public offering. F2 · derivative.exercise_date: The Series H Redeemable Convertible Preferred Stock ("Series H") is convertible into the Issuer's Common Stock on a 183.635-for-one basis at the holder's election and has no expiration date. The Series H automatically converted into Common Stock upon the closing of the Issuer's initial public offering. F2 · derivative.expiration_date: The Series H Redeemable Convertible Preferred Stock ("Series H") is convertible into the Issuer's Common Stock on a 183.635-for-one basis at the holder's election and has no expiration date. The Series H automatically converted into Common Stock upon the closing of the Issuer's initial public offering. F1 · ownership.nature: The shares reported on this form are held of record by H.I.G. Bio-Exagen, L.P. ("H.I.G."). H.I.G.-GPII, Inc. ("H.I.G. GP") is the general partner of H.I.G. and has sole voting and investment control over the shares owned by H.I.G. Anthony Tamer and Sami Mnaymneh are the sole shareholders of H.I.G. GP and may be deemed to share beneficial ownership of the shares held by H.I.G. Bio-Exagen, L.P. Each of Mr. Tamer and Mr. Mnaymneh disclaims beneficial ownership of the shares reported herein except to the extent of their pecuniary interest, if any. Read SEC document
September 23, 2019 Filed Sep 23, 2019 21:43 UTC	EXAGEN INC. XGN · Entity 935	PurchaseCommon Stock	425,000	$14.00	$5,950,000.00	Disclosure SEC source: 0000899243-19-024078 · doc4.xml · nonDerivative · entry 2 H.I.G. Bio-Exagen, L.P. · CIK 0001788396 · 10% owner H.I.G.-GPII, Inc. · CIK 0001788482 · 10% owner TAMER ANTHONY · CIK 0001050045 · 10% owner MNAYMNEH SAMI · CIK 0001050046 · 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: 1,696,252 F1 · ownership.nature: The shares reported on this form are held of record by H.I.G. Bio-Exagen, L.P. ("H.I.G."). H.I.G.-GPII, Inc. ("H.I.G. GP") is the general partner of H.I.G. and has sole voting and investment control over the shares owned by H.I.G. Anthony Tamer and Sami Mnaymneh are the sole shareholders of H.I.G. GP and may be deemed to share beneficial ownership of the shares held by H.I.G. Bio-Exagen, L.P. Each of Mr. Tamer and Mr. Mnaymneh disclaims beneficial ownership of the shares reported herein except to the extent of their pecuniary interest, if any. Read SEC document
September 23, 2019 Filed Sep 23, 2019 21:43 UTC	EXAGEN INC. XGN · Entity 935	ConversionCommon Stock	1,271,252	$0.00	$0.00	Disclosure SEC source: 0000899243-19-024078 · doc4.xml · nonDerivative · entry 1 H.I.G. Bio-Exagen, L.P. · CIK 0001788396 · 10% owner H.I.G.-GPII, Inc. · CIK 0001788482 · 10% owner TAMER ANTHONY · CIK 0001050045 · 10% owner MNAYMNEH SAMI · CIK 0001050046 · 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: 1,271,252 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · ownership.nature: The shares reported on this form are held of record by H.I.G. Bio-Exagen, L.P. ("H.I.G."). H.I.G.-GPII, Inc. ("H.I.G. GP") is the general partner of H.I.G. and has sole voting and investment control over the shares owned by H.I.G. Anthony Tamer and Sami Mnaymneh are the sole shareholders of H.I.G. GP and may be deemed to share beneficial ownership of the shares held by H.I.G. Bio-Exagen, L.P. Each of Mr. Tamer and Mr. Mnaymneh disclaims beneficial ownership of the shares reported herein except to the extent of their pecuniary interest, if any. Read SEC document
June 27, 2019 Filed Jun 27, 2019 18:16 UTC	WhiteHorse Finance, Inc. WHF · Entity 6515	SaleCommon Stock, par value $0.001 per share	229,328	$14.00	$3,210,592.00	Disclosure SEC source: 0001144204-19-032792 · tv524455_form4.xml · nonDerivative · entry 1 TAMER ANTHONY · CIK 0001050045 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 7,950,672 F1 · ownership.nature: Due to his ownership interest in the General Partner of H.I.G. Bayside Debt & LBO Fund II, L.P. and H.I.G. Bayside Loan Opportunity Fund II, L.P. (the "Bayside Funds"), Mr. Tamer may be viewed as having investment power over all of the shares owned by each entity. Mr. Tamer disclaims beneficial ownership of shares of common stock held by the Bayside Funds, except to the extent of his direct pecuniary interest therein. F2 · ownership.nature: Reflects the sale of 229,328 shares of common stock by the Bayside Funds pursuant to the exercise of the overallotment option granted to the underwriters to purchase additional shares in connection with an underwritten secondary offering of common stock of WhiteHorse Finance, Inc. Read SEC document
June 14, 2019 Filed Jun 17, 2019 19:09 UTC	WhiteHorse Finance, Inc. WHF · Entity 6515	SaleCommon Stock, par value $0.001 per share	2,350,000	$14.00	$32,900,000.00	Disclosure SEC source: 0001144204-19-031229 · tv523568_4.xml · nonDerivative · entry 1 TAMER ANTHONY · CIK 0001050045 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 8,180,000 F1 · ownership.nature: Due to his ownership interest in the General Partner of H.I.G. Bayside Debt & LBO Fund II, L.P. and H.I.G. Bayside Loan Opportunity Fund II, L.P. (the "Bayside Funds"), Mr. Tamer may be viewed as having investment power over all of the shares owned by each entity. Mr. Tamer disclaims beneficial ownership of shares of common stock held by the Bayside Funds, except to the extent of his direct pecuniary interest therein. F2 · ownership.nature: Reflects the sale of 2,350,000 shares of common stock by the Bayside Funds pursuant to an underwritten secondary offering of common stock of WhiteHorse Finance, Inc. that priced on June 14, 2019 and is expected to close on June 18, 2019. Read SEC document
August 29, 2018 Filed Aug 31, 2018 17:31 UTC	WhiteHorse Finance, Inc. WHF · Entity 6515	SaleCommon Stock, par value $0.001 per share	972,622	$13.88	$13,499,993.36	Disclosure SEC source: 0001144204-18-047634 · tv502168_4.xml · nonDerivative · entry 1 TAMER ANTHONY · CIK 0001050045 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 10,530,000 F1 · ownership.nature: Due to his ownership interest in the General Partner of H.I.G. Bayside Debt & LBO Fund II, L.P. and H.I.G. Bayside Loan Opportunity Fund II, L.P. (the "Bayside Funds"), Mr. Tamer may be viewed as having investment power over all of the shares owned by each entity. Mr. Tamer disclaims beneficial ownership of shares of common stock held by the Bayside Funds, except to the extent of his direct pecuniary interest therein. F2 · ownership.nature: On August 29, 2018, the Bayside Funds agreed to sell in a block trade, through one or more of their direct or indirect subsidiaries, to a large institutional investor, an aggregate of 972,622 shares of Common Stock at a price of $13.88 per share. After the sale, the Bayside Funds collectively hold 10,530,000 shares of Common Stock, either directly or through one or more of their direct or indirect subsidiaries. Read SEC document
August 31, 2017 Filed Sep 5, 2017 15:34 UTC	Surgery Partners, Inc. SGRY · Entity 4534	SaleCommon Stock	26,455,651	$19.00	$502,657,369.00	Disclosure SEC source: 0000904454-17-000597 · edgar.xml · nonDerivative · entry 1 H.I.G. Surgery Centers, LLC · CIK 0001510299 · 10% owner HIG GP II INC · CIK 0001173671 · 10% owner MNAYMNEH SAMI · CIK 0001050046 · 10% owner TAMER ANTHONY · CIK 0001050045 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · ownership.direct: The Common Stock directly beneficially owned by H.I.G. Surgery Centers, LLC may be deemed to be indirectly beneficially owned by H.I.G.-GPII, Inc., Sami W. Mnaymneh and Anthony A. Tamer. H.I.G.-GPII, Inc. is the manager of H.I.G. Surgery Centers, LLC, and Messrs. Mnaymneh and Tamer are co-presidents, directors and the sole shareholders of H.I.G.-GPII, Inc. Each of the Reporting Persons has shared voting and dispositive power over these securities, however each of them disclaims beneficial ownership of such securities except to the extent of their respective pecuniary interests therein. Read SEC document
May 01, 2017 Filed May 2, 2017 17:12 UTC	ADVANCED ENVIRONMENTAL RECYCLING TECHNOLOGIES INC AERT · Entity 176548	OtherSeries E Convertible Preferred Stock · Derivative	20,524.149	$2,603.48 Strike: $0.08	$53,434,279.17	Disclosure SEC source: 0000899243-17-011449 · doc4.xml · derivative · entry 2 H.I.G. AERT, LLC · CIK 0001514282 · 10% owner H.I.G. Capital Partners IV, L.P. · CIK 0001476299 · 10% owner BAYSIDE OPPORTUNITY FUND, LP · CIK 0001411104 · 10% owner H.I.G. Advisors IV, L.L.C. · CIK 0001476298 · 10% owner BAYSIDE OPPORTUNITY ADVISORS, LLC · CIK 0001411105 · 10% owner HIG GP II INC · CIK 0001173671 · 10% owner MNAYMNEH SAMI · CIK 0001050046 · 10% owner TAMER ANTHONY · CIK 0001050045 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class A Common Stock · 393,084,089 shares Expires not disclosed F1 · kind: Disposed of pursuant to the Agreement and Plan of Merger by and among Oldcastle Architectural, Inc. ("Parent"), Oldcastle Ascent Merger Sub, Inc., a wholly-owned subsidiary of Parent, and Issuer, dated as of March 16, 2017 (the "Merger Agreement"), whereby each share of Issuer Class A common stock ("Common Stock") was cancelled and converted into the right to receive $0.135936 in cash without interest and subject to any applicable withholding taxes, and each share of Issuer Series E Convertible Preferred Stock ("Preferred Stock") was cancelled and converted into the right to receive $2,603.483278 in cash without interest and subject to any applicable withholding taxes. F1 · price: Disposed of pursuant to the Agreement and Plan of Merger by and among Oldcastle Architectural, Inc. ("Parent"), Oldcastle Ascent Merger Sub, Inc., a wholly-owned subsidiary of Parent, and Issuer, dated as of March 16, 2017 (the "Merger Agreement"), whereby each share of Issuer Class A common stock ("Common Stock") was cancelled and converted into the right to receive $0.135936 in cash without interest and subject to any applicable withholding taxes, and each share of Issuer Series E Convertible Preferred Stock ("Preferred Stock") was cancelled and converted into the right to receive $2,603.483278 in cash without interest and subject to any applicable withholding taxes. F2 · derivative.exercise_date: At the holder's election and for no additional consideration, each share of Preferred Stock was convertible into shares of Common Stock at any time. F3 · derivative.expiration_date: The shares of Preferred Stock had no expiration date. F4 · derivative.underlying_shares: 393,084,089 shares of Common Stock were issuable upon conversion of the 20,524.149 shares of Preferred Stock at the fixed rate of 19,152.27 shares of Common Stock for each share of Preferred Stock, the "Conversion Rate" for the Preferred Stock pursuant to the Issuer's Certificate of Designations, Preferences and Rights of the Series E Convertible Preferred Stock in the event a fundamental transaction (which includes the merger pursuant to the Merger Agreement) occurred prior to August 1, 2017. F5 · ownership.direct: This Form 4 is being filed by H.I.G. AERT, LLC as the direct beneficial owner of the shares of Common Stock and the shares of Preferred Stock. F6 · ownership.direct: Each of the other Reporting Persons may be deemed to be indirect beneficial owners of the shares of Common Stock and Preferred Stock, as follows: (i) H.I.G. Capital Partners IV, L.P. and Bayside Opportunity Fund, L.P., each in their capacity as the holders of 56.8% and 29.9%, respectively, of the equity interests of H.I.G. AERT, LLC; (ii) H.I.G. Advisors IV, LLC, in its capacity as the general partner of H.I.G. Capital Partners IV, L.P.; (iii) Bayside Opportunity Advisors, LLC, in its capacity as the general partner of Bayside Opportunity Fund, L.P..; (iv) H.I.G.- GPII, Inc., in its capacity as the manager of each of H.I.G. Advisors IV, LLC and Bayside Opportunity Advisors, LLC; and (v) Sami W. Mnaymneh and Anthony A. Tamer, each in their capacity as co-presidents and directors of H.I.G.- GPII, Inc. F7 · ownership.direct: Information with respect to each Reporting Person is given solely by such Reporting Person, and no such Reporting Person assumes responsibility for the accuracy or completeness of information supplied by any other Reporting Person. F8 · ownership.direct: Pursuant to Rule 16a-1(a)(4) of the Exchange Act, each of the Reporting Persons, other than H.I.G. AERT, LLC, herein states that this filing shall not be deemed to be an admission that it or he is a beneficial owner of any shares of Common Stock or Preferred Stock covered by this Statement of Changes in Beneficial Ownership of Securities on Form 4. Each of the Reporting Persons, other than H.I.G. AERT, LLC, disclaims beneficial ownership of the shares, except to the extent of its or his pecuniary interest in the shares. Read SEC document
May 01, 2017 Filed May 2, 2017 17:12 UTC	ADVANCED ENVIRONMENTAL RECYCLING TECHNOLOGIES INC AERT · Entity 176548	OtherClass A Common Stock	15,289,890	$0.14	$2,077,896.05	Disclosure SEC source: 0000899243-17-011449 · doc4.xml · nonDerivative · entry 1 H.I.G. AERT, LLC · CIK 0001514282 · 10% owner H.I.G. Capital Partners IV, L.P. · CIK 0001476299 · 10% owner BAYSIDE OPPORTUNITY FUND, LP · CIK 0001411104 · 10% owner H.I.G. Advisors IV, L.L.C. · CIK 0001476298 · 10% owner BAYSIDE OPPORTUNITY ADVISORS, LLC · CIK 0001411105 · 10% owner HIG GP II INC · CIK 0001173671 · 10% owner MNAYMNEH SAMI · CIK 0001050046 · 10% owner TAMER ANTHONY · CIK 0001050045 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · kind: Disposed of pursuant to the Agreement and Plan of Merger by and among Oldcastle Architectural, Inc. ("Parent"), Oldcastle Ascent Merger Sub, Inc., a wholly-owned subsidiary of Parent, and Issuer, dated as of March 16, 2017 (the "Merger Agreement"), whereby each share of Issuer Class A common stock ("Common Stock") was cancelled and converted into the right to receive $0.135936 in cash without interest and subject to any applicable withholding taxes, and each share of Issuer Series E Convertible Preferred Stock ("Preferred Stock") was cancelled and converted into the right to receive $2,603.483278 in cash without interest and subject to any applicable withholding taxes. F5 · ownership.direct: This Form 4 is being filed by H.I.G. AERT, LLC as the direct beneficial owner of the shares of Common Stock and the shares of Preferred Stock. F6 · ownership.direct: Each of the other Reporting Persons may be deemed to be indirect beneficial owners of the shares of Common Stock and Preferred Stock, as follows: (i) H.I.G. Capital Partners IV, L.P. and Bayside Opportunity Fund, L.P., each in their capacity as the holders of 56.8% and 29.9%, respectively, of the equity interests of H.I.G. AERT, LLC; (ii) H.I.G. Advisors IV, LLC, in its capacity as the general partner of H.I.G. Capital Partners IV, L.P.; (iii) Bayside Opportunity Advisors, LLC, in its capacity as the general partner of Bayside Opportunity Fund, L.P..; (iv) H.I.G.- GPII, Inc., in its capacity as the manager of each of H.I.G. Advisors IV, LLC and Bayside Opportunity Advisors, LLC; and (v) Sami W. Mnaymneh and Anthony A. Tamer, each in their capacity as co-presidents and directors of H.I.G.- GPII, Inc. F7 · ownership.direct: Information with respect to each Reporting Person is given solely by such Reporting Person, and no such Reporting Person assumes responsibility for the accuracy or completeness of information supplied by any other Reporting Person. F8 · ownership.direct: Pursuant to Rule 16a-1(a)(4) of the Exchange Act, each of the Reporting Persons, other than H.I.G. AERT, LLC, herein states that this filing shall not be deemed to be an admission that it or he is a beneficial owner of any shares of Common Stock or Preferred Stock covered by this Statement of Changes in Beneficial Ownership of Securities on Form 4. Each of the Reporting Persons, other than H.I.G. AERT, LLC, disclaims beneficial ownership of the shares, except to the extent of its or his pecuniary interest in the shares. Read SEC document

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