Sec Form 13D Filing - Activist Investing LLC filing for SCHMITT INDUSTRIES INC (SMIT) - 2021-11-19

Insider filing report for Changes in Beneficial Ownership

  • Schedule 13G & 13D forms are used to report a party's ownership of stock which exceeds 5% of a company's total stock issue.
  • Schedule 13G is a shorter version of Schedule 13D with fewer reporting requirements.
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UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

SCHEDULE 13D

(Rule 13d-101)

 

INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT

TO § 240.13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO

§ 240.13d-2(a)

 

(Amendment No.    )1

 

Schmitt Industries, Inc.

(Name of Issuer)

 

Common Stock, no par value

(Title of Class of Securities)

 

806870200

(CUSIP Number)

 

DAVID E. LAZAR

C/O ACTIVIST INVESTING LLC

1185 Avenue of the Americas, Third Floor

New York, New York 10036

(646) 768-8417

(Name, Address and Telephone Number of Person

Authorized to Receive Notices and Communications)

 

November 9, 2021

(Date of Event Which Requires Filing of This Statement)

 

If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this Schedule because of §§ 240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box .

 

Note: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See § 240.13d-7 for other parties to whom copies are to be sent.

 

 

1The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page.

 

The information required on the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).

 

 

 

 

 

 

1

NAME OF REPORTING PERSONS

 

DAVID E. LAZAR

2

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*

(a) ☐

(b) ☐

3

SEC USE ONLY

 

 

4

SOURCE OF FUNDS

 

OO, PF

5

CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e) ☐

 

 

6

CITIZENSHIP OR PLACE OF ORGANIZATION

 

USA, Israel

NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH 7

SOLE VOTING POWER

 

172,642

8

SHARED VOTING POWER

 

205,250

9

SOLE DISPOSITIVE POWER

 

172,642

10

SHARED DISPOSITIVE POWER

 

205,250

11

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

377,892

12

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES ☐

 

 

13

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)

 

9.9%

14

TYPE OF REPORTING PERSON

 

IN

 

2

 

 

1

NAME OF REPORTING PERSONS

 

ACTIVIST INVESTING LLC

2

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*

(a) ☐

(b) ☐

3

SEC USE ONLY

 

 

4

SOURCE OF FUNDS

 

WC

5

CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e) ☐

 

 

6

CITIZENSHIP OR PLACE OF ORGANIZATION

 

New York

NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH 7

SOLE VOTING POWER

 

- 0 -

8

SHARED VOTING POWER

 

126,558

9

SOLE DISPOSITIVE POWER

 

- 0 -

10

SHARED DISPOSITIVE POWER

 

126,558

11

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

126,558

12

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES ☐

 

 

13

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)

 

3.3%

14

TYPE OF REPORTING PERSON

 

OO

 

3

 

 

1

NAME OF REPORTING PERSONS

 

CUSTODIAN VENTURES LLC

2

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*

(a) ☐

(b) ☐

3

SEC USE ONLY

 

 

4

SOURCE OF FUNDS

 

WC

5

CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e) ☐

 

 

6

CITIZENSHIP OR PLACE OF ORGANIZATION

 

Wyoming

NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH 7

SOLE VOTING POWER

 

- 0 -

8

SHARED VOTING POWER

 

78,692

9

SOLE DISPOSITIVE POWER

 

- 0 -

10

SHARED DISPOSITIVE POWER

 

78,692

11

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

78,692

12

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES ☐

 

 

13

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)

 

2.1%

14

TYPE OF REPORTING PERSON

 

OO

 

4

 

 

The following constitutes the Schedule 13D filed by the undersigned (the “Schedule 13D”).

 

Item 1.Security and Issuer.

 

This statement relates to the Common Stock, no par value (the “Shares”), of Schmitt Industries, Inc., an Oregon corporation (the “Issuer”). The address of the principal executive offices of the Issuer is 2765 N.W. Nicolai Street, Portland, Oregon 97210.

 

Item 2.Identity and Background.

 

(a) This statement is filed by:

 

(i)Activist Investing LLC, a New York limited liability company (“Activist Investing”);

 

(ii)Custodian Ventures LLC, a Wyoming limited liability company (“Custodian Ventures”); and

 

(iii)David Elliot Lazar, as the sole member and Chief Executive Officer of each of Activist Investing and Custodian Ventures.

 

Each of the foregoing is referred to as a “Reporting Person” and collectively as the “Reporting Persons.” Each of the Reporting Persons is party to that certain Joint Filing Agreement, as further described in Item 6. Accordingly, the Reporting Persons are hereby filing a joint Schedule 13D.

 

(b) The principal business address of each of Activist Investing, Custodian Ventures and Mr. Lazar is 1185 Avenue of the Americas, 3rd Floor, New York, New York 10036.

 

(c) The principal business of Activist Investing is actively investing in distressed public companies. The principal business of Custodian Ventures is assisting and providing custodial services to distressed public companies in securities and engaging in all related activities and transactions. The principal occupation of Mr. Lazar is serving as the sole member and Chief Executive Officer of each of Activist Investing and Custodian Ventures.

 

(d) No Reporting Person has, during the last five years, been convicted in a criminal proceeding (excluding traffic violations or similar misdemeanors).

 

(e) No Reporting Person has, during the last five years, been party to a civil proceeding of a judicial or administrative body of competent jurisdiction and as a result of such proceeding was or is subject to a judgment, decree or final order enjoining future violations of, or prohibiting or mandating activities subject to, federal or state securities laws or finding any violation with respect to such laws.

 

(f) Mr. Lazar is a citizen of the United States of America and Israel.

 

Item 3.Source and Amount of Funds or Other Consideration.

 

The Shares purchased by each of Activist Investing and Custodian Ventures were purchased with working capital (which may, at any given time, include margin loans made by brokerage firms in the ordinary course of business) in the open market, except as otherwise noted. The aggregate purchase price of the 126,558 Shares directly beneficially owned by Activist Investing is approximately $756,613, excluding brokerage commissions. The aggregate purchase price of the 78,692 Shares directly beneficially owned by Custodian Ventures is approximately $321,063, excluding brokerage commissions. The Shares purchased by Mr. Lazar were purchased with personal funds (which may, at any given time, include margin loans made by brokerage firms in the ordinary course of business) in the open market, except as otherwise noted. The aggregate purchase price of the 172,642 Shares directly beneficially owned by Mr. Lazar is approximately $891,670, excluding brokerage commissions

 

5

 

 

Item 4.Purpose of Transaction.

 

The Reporting Persons purchased the Shares based on the Reporting Persons’ belief that the Shares, when purchased, were undervalued and represented an attractive investment opportunity. Depending upon overall market conditions, other investment opportunities available to the Reporting Persons, and the availability of Shares at prices that would make the purchase or sale of Shares desirable, the Reporting Persons may endeavor to increase or decrease their position in the Issuer through, among other things, the purchase or sale of Shares on the open market or in private transactions or otherwise, on such terms and at such times as the Reporting Persons may deem advisable.

 

On November 19, 2021, Custodian Ventures issued a press release (the “Press Release”) announcing its ownership interest in the Issuer. The full text of the Press Release is attached hereto as Exhibit 99.1 and is incorporated herein by reference.

 

No Reporting Person has any present plan or proposal which would relate to or result in any of the matters set forth in subparagraphs (a) - (j) of Item 4 of Schedule 13D except as set forth herein or such as would occur upon or in connection with completion of, or following, any of the actions discussed herein. The Reporting Persons intend to review their investment in the Issuer on a continuing basis. Depending on various factors including, without limitation, the Issuer’s financial position and investment strategy, the price levels of the Shares, conditions in the securities markets and general economic and industry conditions, the Reporting Persons may in the future take such actions with respect to their investment in the Issuer as they deem appropriate including, without limitation, engaging in additional communications with management and the Board of Directors of the Issuer, engaging in discussions with stockholders of the Issuer or other third parties about the Issuer and the Reporting Persons’ investment, including potential business combinations or dispositions involving the Issuer or certain of its businesses, making recommendations or proposals to the Issuer concerning changes to the capitalization, ownership structure, board structure (including board composition), potential business combinations or dispositions involving the Issuer or certain of its businesses, or suggestions for improving the Issuer’s financial and/or operational performance, purchasing additional Shares, selling some or all of their Shares, engaging in short selling of or any hedging or similar transaction with respect to the Shares, including swaps and other derivative instruments, or changing their intention with respect to any and all matters referred to in Item 4.

 

Item 5.Interest in Securities of the Issuer.

 

The aggregate percentage of Shares reported owned by each person named herein is based upon 3,808,068 Shares outstanding, which is the total number of Shares outstanding as of October 25, 2021, as reported in the Issuer’s Definitive Proxy Statement on Schedule 14A filed with the Securities and Exchange Commission on November 9, 2021.

 

A.Activist Investing

 

(a)As of the close of business on November 18, 2021, Activist Investing directly beneficially owned 126,558 Shares.

 

Percentage: Approximately 3.3%

 

(b)1. Sole power to vote or direct vote: 0
2. Shared power to vote or direct vote: 126,558
3. Sole power to dispose or direct the disposition: 0
4. Shared power to dispose or direct the disposition: 126,558

 

6

 

 

B.Custodian Ventures

 

(a)As of the close of business on November 18, 2021, Custodian Ventures directly beneficially owned 78,692 Shares.

 

Percentage: Approximately 2.1%

 

(b)1. Sole power to vote or direct vote: 0
2. Shared power to vote or direct vote: 78,692
3. Sole power to dispose or direct the disposition: 0
4. Shared power to dispose or direct the disposition: 78,692

 

C.Mr. Lazar

 

(a)As of the close of business on November 18, 2021, Mr. Lazar directly beneficially owned 172,642 Shares. Mr. Lazar, as the sole member and Chief Executive Officer of Activist Investing and Custodian Ventures, may be deemed the beneficial owner of the (i) 126,558 Shares owned by Activist Investing and (ii) 78,692 Shares owned by Custodian Ventures.

 

Percentage: Approximately 9.9%

 

(b) 1. Sole power to vote or direct vote: 172,642
2. Shared power to vote or direct vote: 205,250
3. Sole power to dispose or direct the disposition: 172,642
4. Shared power to dispose or direct the disposition: 205,250

 

(c)The transactions in the Shares by the Reporting Persons during the past sixty days are set forth in Schedule A and are incorporated herein by reference. All of such transactions were effected in the open market unless otherwise noted.

 

The filing of this Schedule 13D shall not be deemed an admission that the Reporting Persons are, for purposes of Section 13(d) of the Securities Exchange Act of 1934, as amended, the beneficial owners of any securities of the Issuer that he or it does not directly own. Each of the Reporting Persons specifically disclaims beneficial ownership of the securities reported herein that he or it does not directly own.

 

(d)No person other than the Reporting Persons is known to have the right to receive, or the power to direct the receipt of dividends from, or proceeds from the sale of, the Shares.

 

(e)Not applicable.

 

Item 6.Contracts, Arrangements, Understandings or Relationships With Respect to Securities of the Issuer.

 

On November 19, 2021, the Reporting Persons entered into a Joint Filing Agreement in which the Reporting Persons agreed to the joint filing on behalf of each of them of statements on Schedule 13D with respect to the securities of the Issuer to the extent required by applicable law. The Joint Filing Agreement is attached hereto as Exhibit 99.1 and is incorporated herein by reference.

 

Other than as described herein, there are no contracts, arrangements, understandings or relationships among the Reporting Persons, or between the Reporting Persons and any other person, with respect to the securities of the Issuer.

 

7

 

 

Item 7.Material to be Filed as Exhibits.

 

99.1Press Release, dated November 19, 2021.
   
99.2Joint Filing Agreement, dated November 19, 2021.

 

8

 

 

SIGNATURES

 

After reasonable inquiry and to the best of his knowledge and belief, the undersigned certifies that the information set forth in this statement is true, complete and correct.

 

Dated:November 19, 2021

 

  ACTIVIST INVESTING LLC
   
  By:

/s/ David E. Lazar

    Name: David E. Lazar
    Title: Chief Executive Officer

 

  CUSTODIAN VENTURES LLC
   
  By:

/s/ David E. Lazar

    Name: David E. Lazar
    Title: Chief Executive Officer

 

  /s/ David E. Lazar
  DAVID E. LAZAR

 

9

 

 

SCHEDULE A

 

Transaction in the Shares During the Past Sixty Days

 

Nature of Transaction  

Common Stock

Purchased

 

Price Per

Share($)

 

Date of

Purchase

 

ACTIVIST INVESTING LLC

 

Purchase of Common Stock   44,839   5.9525   11/16/2021
Purchase of Common Stock   27,497   5.9418   11/17/2021
Purchase of Common Stock   54,222   5.9120   11/18/2021

 

CUSTODIAN VENTURES LLC

 

Purchase of Common Stock   1,850   4.0000   10/15/2021
Purchase of Common Stock   150   4.0000   10/15/2021
Purchase of Common Stock   100   4.0000   10/15/2021
Purchase of Common Stock   900   4.0000   10/15/2021
Purchase of Common Stock   200   4.0000   10/18/2021
Purchase of Common Stock   150   4.0000   10/18/2021
Purchase of Common Stock   150   4.0000   10/18/2021
Purchase of Common Stock   100   4.0000   10/18/2021
Purchase of Common Stock   100   3.9900   10/18/2021
Purchase of Common Stock   300   4.0000   10/18/2021
Purchase of Common Stock   5,798   3.8999   10/19/2021
Purchase of Common Stock   1   3.8900   10/19/2021
Purchase of Common Stock   100   3.8900   10/19/2021
Purchase of Common Stock   100   3.8900   10/19/2021
Purchase of Common Stock   1   3.8500   10/19/2021
Purchase of Common Stock   6,000   3.8921   10/19/2021
Purchase of Common Stock   47   3.8999   10/19/2021
Purchase of Common Stock   100   3.8999   10/19/2021
Purchase of Common Stock   2,353   3.8999   10/19/2021
Purchase of Common Stock   897   3.9000   10/19/2021
Purchase of Common Stock   3   3.9000   10/19/2021
Purchase of Common Stock   100   3.8900   10/19/2021
Purchase of Common Stock   3   3.8550   10/19/2021
Purchase of Common Stock   94   3.8765   10/19/2021
Purchase of Common Stock   100   3.8550   10/19/2021
Purchase of Common Stock   600   3.8765   10/19/2021
Purchase of Common Stock   100   3.8765   10/19/2021
Purchase of Common Stock   3   3.8765   10/19/2021
Purchase of Common Stock   100   3.8765   10/19/2021
Purchase of Common Stock   1,000   3.8366   10/19/2021
Purchase of Common Stock   1,000   3.8987   10/19/2021
Purchase of Common Stock   1,000   3.9222   10/20/2021
Purchase of Common Stock   1,000   3.8800   10/20/2021
Purchase of Common Stock   200   3.8470   10/21/2021
Purchase of Common Stock   200   3.8470   10/21/2021
Purchase of Common Stock   100   3.8400   10/21/2021
Purchase of Common Stock   100   3.8400   10/21/2021

 

Sch. A-1

 

 

Purchase of Common Stock   100   3.8400   10/21/2021
Purchase of Common Stock   200   3.8700   10/21/2021
Purchase of Common Stock   200   3.8600   10/21/2021
Purchase of Common Stock   100   3.8600   10/21/2021
Purchase of Common Stock   1,800   3.8700   10/21/2021
Purchase of Common Stock   100   3.8600   10/21/2021
Purchase of Common Stock   100   3.8600   10/21/2021
Purchase of Common Stock   100   3.8600   10/21/2021
Purchase of Common Stock   100   3.8600   10/21/2021
Purchase of Common Stock   100   3.8600   10/21/2021
Purchase of Common Stock   100   3.8700   10/21/2021
Purchase of Common Stock   100   3.8600   10/21/2021
Purchase of Common Stock   1,000   3.8100   10/21/2021
Purchase of Common Stock   2,000   3.8299   10/21/2021
Purchase of Common Stock   2,000   3.8299   10/21/2021
Purchase of Common Stock   50   3.8798   10/21/2021
Purchase of Common Stock   100   3.8550   10/21/2021
Purchase of Common Stock   200   3.8500   10/21/2021
Purchase of Common Stock   400   3.8500   10/21/2021
Purchase of Common Stock   100   3.8550   10/21/2021
Purchase of Common Stock   100   3.8500   10/21/2021
Purchase of Common Stock   50   3.8500   10/21/2021
Purchase of Common Stock   100   3.8470   10/21/2021
Purchase of Common Stock   100   3.8470   10/21/2021
Purchase of Common Stock   611   3.8000   10/22/2021
Purchase of Common Stock   100   3.8000   10/22/2021
Purchase of Common Stock   814   3.8000   10/22/2021
Purchase of Common Stock   16   3.8000   10/22/2021
Purchase of Common Stock   44   3.8000   10/22/2021
Purchase of Common Stock   1,025   3.8000   10/22/2021
Purchase of Common Stock   200   3.7900   10/22/2021
Purchase of Common Stock   1,590   3.7900   10/22/2021
Purchase of Common Stock   400   3.7900   10/22/2021
Purchase of Common Stock   200   3.7900   10/22/2021
Purchase of Common Stock   100   3.8000   10/25/2021
Purchase of Common Stock   100   3.8000   10/25/2021
Purchase of Common Stock   100   3.8000   10/25/2021
Purchase of Common Stock   100   3.7900   10/25/2021
Purchase of Common Stock   891   3.8000   10/25/2021
Purchase of Common Stock   379   3.8000   10/25/2021
Purchase of Common Stock   350   3.8000   10/25/2021
Purchase of Common Stock   12   3.8000   10/25/2021
Purchase of Common Stock   18   3.8000   10/25/2021
Purchase of Common Stock   6   3.8000   10/25/2021
Purchase of Common Stock   96   3.8000   10/25/2021
Purchase of Common Stock   48   3.8000   10/25/2021
Purchase of Common Stock   100   3.8000   10/25/2021
Purchase of Common Stock   100   3.8000   10/25/2021
Purchase of Common Stock   2,000   3.8000   10/25/2021
Purchase of Common Stock   1,291   3.8500   10/26/2021
Purchase of Common Stock   183   3.8500   10/26/2021
Purchase of Common Stock   148   3.9000   10/28/2021

 

Sch. A-2

 

 

Purchase of Common Stock   42   3.9000   10/28/2021
Purchase of Common Stock   500   3.9000   10/28/2021
Purchase of Common Stock   40   3.9000   10/28/2021
Purchase of Common Stock   200   3.9000   10/28/2021
Purchase of Common Stock   90   3.9000   10/28/2021
Purchase of Common Stock   570   3.9000   10/28/2021
Purchase of Common Stock   300   3.9000   10/28/2021
Purchase of Common Stock   300   3.9000   10/28/2021
Purchase of Common Stock   22   3.9000   10/28/2021
Purchase of Common Stock   100   3.9000   10/28/2021
Purchase of Common Stock   100   3.9000   10/28/2021
Purchase of Common Stock   488   3.9000   10/28/2021
Purchase of Common Stock   100   3.9000   10/28/2021
Purchase of Common Stock   199   4.3650   11/01/2021
Purchase of Common Stock   3,700   4.3600   11/01/2021
Purchase of Common Stock   100   4.3499   11/01/2021
Purchase of Common Stock   100   4.3499   11/01/2021
Purchase of Common Stock   100   4.3499   11/01/2021
Purchase of Common Stock   1   4.3499   11/01/2021
Purchase of Common Stock   100   4.3499   11/01/2021
Purchase of Common Stock   200   4.3499   11/01/2021
Purchase of Common Stock   100   4.3499   11/01/2021
Purchase of Common Stock   100   4.3499   11/01/2021
Purchase of Common Stock   100   4.3499   11/01/2021
Purchase of Common Stock   100   4.3499   11/01/2021
Purchase of Common Stock   100   4.3499   11/01/2021
Purchase of Common Stock   96   4.4400   11/01/2021
Purchase of Common Stock   200   4.4400   11/01/2021
Purchase of Common Stock   3,099   4.4391   11/01/2021
Purchase of Common Stock   400   4.4400   11/01/2021
Purchase of Common Stock   700   4.4400   11/01/2021
Purchase of Common Stock   100   4.4300   11/01/2021
Purchase of Common Stock   4   4.4290   11/01/2021
Purchase of Common Stock   100   4.4200   11/01/2021
Purchase of Common Stock   1   4.4200   11/01/2021
Purchase of Common Stock   100   4.4190   11/01/2021
Purchase of Common Stock   200   4.4200   11/01/2021
Purchase of Common Stock   600   4.4000   11/01/2021
Purchase of Common Stock   1,154   4.4000   11/01/2021
Purchase of Common Stock   100   4.4000   11/01/2021
Purchase of Common Stock   100   4.4000   11/01/2021
Purchase of Common Stock   646   4.4000   11/01/2021
Purchase of Common Stock   100   4.4000   11/01/2021
Purchase of Common Stock   300   4.4000   11/01/2021
Purchase of Common Stock   700   4.4000   11/01/2021
Purchase of Common Stock   100   4.3800   11/01/2021
Purchase of Common Stock   200   4.3900   11/01/2021
Purchase of Common Stock   900   4.3800   11/01/2021
Purchase of Common Stock   100   4.3700   11/01/2021
Purchase of Common Stock   200   4.4590   11/01/2021
Purchase of Common Stock   100   4.4500   11/01/2021
Purchase of Common Stock   100   4.4600   11/01/2021

 

Sch. A-3

 

 

Purchase of Common Stock   3,400   4.4150   11/01/2021
Purchase of Common Stock   100   4.4500   11/01/2021
Purchase of Common Stock   100   4.4600   11/01/2021
Purchase of Common Stock   100   4.4500   11/01/2021
Purchase of Common Stock   100   4.4150   11/01/2021
Purchase of Common Stock   100   4.4500   11/01/2021
Purchase of Common Stock   100   4.4500   11/01/2021
Purchase of Common Stock   100   4.4660   11/01/2021
Purchase of Common Stock   100   4.4500   11/01/2021
Purchase of Common Stock   100   4.4500   11/01/2021
Purchase of Common Stock   100   4.4680   11/01/2021
Purchase of Common Stock   100   4.4600   11/01/2021
Purchase of Common Stock   100   4.4150   11/01/2021
Purchase of Common Stock   90   4.5000   11/01/2021
Purchase of Common Stock   1,035   4.5000   11/01/2021
Purchase of Common Stock   5,390   4.5000   11/01/2021
Purchase of Common Stock   4   4.5000   11/01/2021
Purchase of Common Stock   1   4.5000   11/01/2021
Purchase of Common Stock   80   4.5000   11/01/2021
Purchase of Common Stock   100   4.4800   11/01/2021
Purchase of Common Stock   100   4.4900   11/01/2021
Purchase of Common Stock   100   4.4900   11/01/2021
Purchase of Common Stock   100   4.4880   11/01/2021
Purchase of Common Stock   300   4.4175   11/01/2021
Purchase of Common Stock   100   4.4175   11/01/2021
Purchase of Common Stock   50   4.4175   11/01/2021
Purchase of Common Stock   200   4.4175   11/01/2021
Purchase of Common Stock   400   4.4175   11/01/2021
Purchase of Common Stock   40   4.4175   11/01/2021
Purchase of Common Stock   140   4.4175   11/01/2021
Purchase of Common Stock   140   4.4175   11/01/2021
Purchase of Common Stock   140   4.4175   11/01/2021
Purchase of Common Stock   8   4.4175   11/01/2021
Purchase of Common Stock   20   4.4175   11/01/2021
Purchase of Common Stock   3   4.4175   11/01/2021
Purchase of Common Stock   1   4.4175   11/01/2021
Purchase of Common Stock   1   4.4175   11/01/2021
Purchase of Common Stock   3   4.4175   11/01/2021
Purchase of Common Stock   100   4.3999   11/01/2021
Purchase of Common Stock   435   4.5000   11/02/2021
Purchase of Common Stock   100   4.5000   11/02/2021
Purchase of Common Stock   103   4.5000   11/02/2021
Purchase of Common Stock   104   4.5000   11/02/2021
Purchase of Common Stock   300   4.4900   11/02/2021
Purchase of Common Stock   29   4.4700   11/02/2021
Purchase of Common Stock   200   4.4499   11/02/2021
Purchase of Common Stock   1   4.4400   11/02/2021

 

Sch. A-4

 

 

DAVID E. LAZAR

 

Purchase of Common Stock   2,400   4.0033   10/13/2021
Purchase of Common Stock   4,000   3.9749   10/14/2021
Purchase of Common Stock   4,200   3.9481   10/15/2021
Purchase of Common Stock   1,300   3.8862   10/18/2021
Purchase of Common Stock   500   3.7000   10/25/2021
Purchase of Common Stock   12,534   4.7564   11/02/2021
Purchase of Common Stock   19,426   4.9609   11/03/2021
Purchase of Common Stock   12,299   4.9260   11/04/2021
Purchase of Common Stock   17,260   4.9733   11/05/2021
Purchase of Common Stock   25,133   5.2252   11/08/2021
Purchase of Common Stock   15,072   5.2120   11/09/2021
Purchase of Common Stock   8,855   5.3145   11/10/2021
Purchase of Common Stock   14,900   5.4869   11/11/2021
Purchase of Common Stock   14,763   5.4707   11/12/2021
Purchase of Common Stock   20,000   5.7561   11/15/2021

 

Sch. A-5