|
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(
e.g.
, puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security
(Instr. 3)
|
2. Conversion or Exercise Price of Derivative Security
|
3. Transaction Date (MM/DD/YY)
|
3A. Deemed Execution Date, if any (MM/DD/YY)
|
4. Transaction Code
(Instr. 8)
|
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4, and 5)
|
6. Date Exercisable and Expiration Date
(MM/DD/YY)
|
7. Title and Amount of Underlying Securities
(Instr. 3 and 4)
|
8. Price of Derivative Security
(Instr. 5)
|
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 4)
|
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 4)
|
11. Nature of Indirect Beneficial Ownership
(Instr. 4)
|
Code
|
V
|
(A)
|
(D)
|
Date Exercisable
|
Expiration Date
|
Title
|
Amount or Number of Shares
|
Series A Convertible Preferred Stock |
(
1
) |
07/25/2018 |
|
C |
|
|
1,788,457 (
1
) |
(
1
) |
(
1
) |
Common Stock |
1,877,878 (
1
) |
(
1
) |
0 |
I |
By BSP Berry Credit Alpha 1 L.L.C. (
3
) (
4
) |
Series A Convertible Preferred Stock |
(
1
) |
07/25/2018 |
|
C |
|
|
1,268,735 (
1
) |
(
1
) |
(
1
) |
Common Stock |
1,332,171 (
1
) |
(
1
) |
0 |
I |
By BSP Berry Credit Alpha 2 L.L.C. (
3
) (
4
) |
Series A Convertible Preferred Stock |
(
1
) |
07/25/2018 |
|
C |
|
|
1,997,277 (
1
) |
(
1
) |
(
1
) |
Common Stock |
2,097,140 (
1
) |
(
1
) |
0 |
I |
By Providence Debt Fund III L.P. (
3
) (
4
) |
Series A Convertible Preferred Stock |
(
1
) |
07/25/2018 |
|
C |
|
|
1,063,624 (
1
) |
(
1
) |
(
1
) |
Common Stock |
1,116,805 (
1
) |
(
1
) |
0 |
I |
By BSP Berry DF3 3 LLC (
3
) (
4
) |
Series A Convertible Preferred Stock |
(
1
) |
07/25/2018 |
|
C |
|
|
277,872 (
1
) |
(
1
) |
(
1
) |
Common Stock |
291,765 (
1
) |
(
1
) |
0 |
I |
By SEI Institutional Investments Trust - High Yield Bond Fund (
3
) (
4
) |
Series A Convertible Preferred Stock |
(
1
) |
07/25/2018 |
|
C |
|
|
206,704 (
1
) |
(
1
) |
(
1
) |
Common Stock |
217,040 (
1
) |
(
1
) |
0 |
I |
By SEI Institutional Managed Trust - High Yield Bond Fund (
3
) (
4
) |
Series A Convertible Preferred Stock |
(
1
) |
07/25/2018 |
|
C |
|
|
104,918 (
1
) |
(
1
) |
(
1
) |
Common Stock |
110,163 (
1
) |
(
1
) |
0 |
I |
By SEI Global Master Fund plc - The SEI High Yield Fixed Income Fund (
3
) (
4
) |
Series A Convertible Preferred Stock |
(
1
) |
07/25/2018 |
|
C |
|
|
48,297 (
1
) |
(
1
) |
(
1
) |
Common Stock |
50,711 (
1
) |
(
1
) |
0 |
I |
By U.S. High Yield Bond Fund (
3
) (
4
) |
Series A Convertible Preferred Stock |
(
1
) |
07/25/2018 |
|
C |
|
|
1,297,111 (
1
) |
(
1
) |
(
1
) |
Common Stock |
1,361,965 (
1
) |
(
1
) |
0 |
I |
By BSP Berry Special Situations 3 LLC (
3
) (
4
) |
Series A Convertible Preferred Stock |
(
1
) |
07/25/2018 |
|
C |
|
|
1,205,603 (
1
) |
(
1
) |
(
1
) |
Common Stock |
1,265,882 (
1
) |
(
1
) |
0 |
I |
By BSP Berry SEI 2 LLC (
3
) (
4
) |
Series A Convertible Preferred Stock |
(
1
) |
07/25/2018 |
|
C |
|
|
51,305 (
1
) |
(
1
) |
(
1
) |
Common Stock |
53,869 (
1
) |
(
1
) |
0 |
I |
By Blackrock Strategic Funds (
3
) (
4
) |
Series A Convertible Preferred Stock |
(
1
) |
07/25/2018 |
|
C |
|
|
1,962,079 (
1
) |
(
1
) |
(
1
) |
Common Stock |
2,060,182 (
1
) |
(
1
) |
0 |
I |
By BSP Berry PECM LLC (
3
) (
4
) |
Series A Convertible Preferred Stock |
(
1
) |
03/06/2018 |
|
P |
|
|
73,998 |
(
1
) |
(
1
) |
Common Stock |
77,697 |
$
10.83 |
389,701 |
I |
By BSP Special Situations Master A L.P. (
3
) (
4
) |
Series A Convertible Preferred Stock |
(
1
) |
07/25/2018 |
|
C |
|
|
389,701 (
1
) |
(
1
) |
(
1
) |
Common Stock |
409,186 (
1
) |
(
1
) |
0 |
I |
By BSP Special Situations Master A L.P. (
3
) (
4
) |
Series A Convertible Preferred Stock |
(
1
) |
05/30/2018 |
|
P |
|
|
300,000 |
(
1
) |
(
1
) |
Common Stock |
315,000 |
$
14.25 |
300,000 |
I |
By Hampshire Credit Alpha Master Fund LP (
3
) (
4
) |
Series A Convertible Preferred Stock |
(
1
) |
07/25/2018 |
|
C |
|
|
300,000 (
1
) |
(
1
) |
(
1
) |
Common Stock |
315,000 (
1
) |
(
1
) |
0 |
I |
By Hampshire Credit Alpha Master Fund LP (
3
) (
4
) |
Series A Convertible Preferred Stock |
(
1
) |
02/01/2018 |
|
S |
|
|
45,723 |
(
1
) |
(
1
) |
Common Stock |
48,009 |
$
11.65 |
0 |
I |
By Schroder GAIA fund (
5
) |
|