|
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 J Preferred Stock, par value $0.01 per share |
$
0.7 (
4
) |
12/18/2020(
4
) |
|
C(
4
) |
|
|
15,250 (
4
) |
12/18/2020(
4
) |
(
4
) |
Common Stock, par value $0.01 per share |
21,785,714 (
4
) |
$
0 (
4
) |
0 (
4
) |
I |
By B. Riley Principal Investments, LLC (
1
) (
2
) (
3
) (
4
) |
| Series J Preferred Stock, par value $0.01 per share |
$
0.7 (
4
) |
12/18/2020(
4
) |
|
C(
4
) |
|
|
1,246 (
4
) |
12/18/2020(
4
) |
(
4
) |
Common Stock, par value $0.01 per share |
1,780,000 (
4
) |
$
0 (
4
) |
0 (
4
) |
I |
By BRC Partners Opportunity Fund, LP (
1
) (
2
) (
3
) (
4
) |
| 12% Senior Secured Subordinated Convertible Debentures |
$
0.4 (
6
) |
12/30/2020(
5
)(
6
) |
|
C(
5
)(
6
) |
|
|
|
12/18/2020(
5
)(
6
) |
12/31/2020 |
Common Stock, par value $0.01 per share |
285,000 (
5
) (
6
) |
$
0 (
5
) (
6
) |
0 (
5
) (
6
) |
I |
By B. Riley Principal Investments, LLC (
1
) (
2
) (
3
) (
5
) (
6
) |
| Conversion Right - Interest Payable in Common Stock |
$
0.4 (
6
) |
12/30/2020(
6
) |
|
J(
6
) |
|
|
|
12/31/2020(
6
) |
12/31/2020(
6
) |
Common Stock, par value $0.01 per share |
66,207 (
6
) (
8
) |
$
0 (
6
) |
$
26,482.72 (
6
) (
8
) |
I |
By B. Riley Principal Investments, LLC (
1
) (
2
) (
3
) (
6
) (
8
) |
| Conversion of Interest Payable in Common Stock |
$
0.4 (
6
) |
12/31/2020(
6
)(
8
) |
|
C(
6
)(
8
) |
|
|
|
12/31/2020(
6
) |
12/31/2020(
6
) |
Common Stock, par value $0.01 per share |
66,207 (
6
) (
8
) |
$
0 (
6
) |
0 (
6
) |
I |
By B. Riley Principal Investments, LLC (
1
) (
2
) (
3
) (
6
) (
8
) |
| 12% Senior Secured Subordinated Convertible Debentures |
$
0.33 (
6
) |
12/30/2020(
5
)(
6
) |
|
C(
5
)(
6
) |
|
|
|
12/18/2020(
5
)(
6
) |
12/31/2020 |
Common Stock, par value $0.01 per share |
29,929,714 (
5
) (
6
) |
$
0 (
5
) (
6
) |
0 (
5
) (
6
) |
I |
By B. Riley Principal Investments, LLC (
1
) (
2
) (
3
) (
5
) (
6
) |
| Conversion Right - Interest Payable in Common Stock |
$
0.33 (
6
) |
12/30/2020(
6
) |
|
J(
6
) |
|
|
|
12/31/2020(
6
) |
12/31/2020(
6
) |
Common Stock, par value $0.01 per share |
8,095,169 (
6
) (
9
) |
$
0 (
6
) |
$
2,671,405.75 (
6
) (
9
) |
I |
By B. Riley Principal Investments, LLC (
1
) (
2
) (
3
) (
6
) (
9
) |
| Conversion of Interest Payable in Common Stock |
$
0.33 (
6
) |
12/31/2020(
6
)(
9
) |
|
C(
6
)(
9
) |
|
|
|
12/31/2020(
6
) |
12/31/2020(
6
) |
Common Stock, par value $0.01 per share |
8,095,169 (
6
) (
9
) |
$
0 (
6
) |
0 (
6
) |
I |
By B. Riley Principal Investments, LLC (
1
) (
2
) (
3
) (
6
) (
9
) |
| 12% Senior Secured Subordinated Convertible Debentures |
$
0.33 (
6
) |
12/30/2020(
5
)(
6
) |
|
C(
5
)(
6
) |
|
|
|
12/18/2020(
5
)(
6
) |
12/31/2020 |
Common Stock, par value $0.01 per share |
4,590,067 (
5
) (
6
) |
$
0 (
5
) (
6
) |
$
0 (
5
) (
6
) |
I |
By BRC Partners Opportunity Fund, LP (
1
) (
2
) (
3
) (
5
) (
6
) |
| Conversion Right - Interest Payable in Common Stock |
$
0.33 (
6
) |
12/30/2020(
6
) |
|
J(
6
) |
|
|
|
12/31/2020(
6
) |
12/31/2020(
6
) |
Common Stock, par value $0
.01 per share |
1,241,488 (
6
) (
10
) |
$
0 (
6
) |
$
409,690.93 (
6
) (
10
) |
I |
By BRC Partners Opportunity Fund, LP (
1
) (
2
) (
3
) (
6
) (
10
) |
| Conversion of Interest Payable in Common Stock |
$
0.33 (
6
) |
12/31/2020(
6
)(
10
) |
|
C(
6
)(
10
) |
|
|
|
12/31/2020(
6
) |
12/31/2020(
6
) |
Common Stock, par value $0.01 per share |
1,241,488 (
6
) (
10
) |
$
0 (
6
) |
0 (
6
) |
I |
By BRC Partners Opportunity Fund, LP (
1
) (
2
) (
3
) (
6
) (
10
) |
| Series K Preferred Stock, par value $0.01 per share |
$
0.4 (
7
) |
12/18/2020(
7
) |
|
C(
7
) |
|
|
3,367 (
7
) |
12/18/2020(
7
) |
(
7
) |
Common Stock, par value $0.01 per share |
8,417,500 (
7
) |
$
0 (
7
) |
0 (
7
) |
I |
By BRF Finance Co., LLC (
1
) (
2
) (
3
) (
7
) |
|
|