(3)
As of December 31, 2022, as reported on Schedule 13G. The business address of Bay Pond Partners, L.P. is c/o Wellington Management Company LLP, 280 Congress Street, Boston, MA 02210.
(4)
As of December 31, 2022, as reported on Schedule 13G. The business address for Almitas Capital LLC is 1460 4th Street, Suite 300 Santa Monica, California 90401.
(5)
As of December 31, 2022, as reported on Schedule 13G. BlackRock, Inc. is a parent holding company. The business address for BlackRock, Inc. is 55 East 52nd Street, New York, New York 10055.
(6)
As of December 31, 2022, as reported on Schedule 13G. The address of Ithan Creek Master Investors (Cayman) L.P. is c/o Wellington Management Company LLP, 280 Congress Street, Boston, Massachusetts 02210.
(7)
Includes 690 shares owned by or for the benefit of his spouse and child who live in his home.
(8)
Includes 16,061 shares owned by Flanders Street Capital Partners I., L.P. which is managed by Flanders Street Capital Management which is wholly owned by Mr. Mendelsohn. Mr. Mendelsohn disclaims beneficial ownership of the securities held by Flanders Street Capital Partners I., L.P. except to the extent of his pecuniary interest therein.
(9)
Includes 14,953 shares owned by the Mendelsohn Family Limited Partnership, which is managed by Mr. Mendelsohn and certain members of his family which are partners of Mendelsohn Family Limited Partnership. Mr. Mendelsohn disclaims beneficial ownership of the securities held by Mendelsohn Family Limited Partnership, except to the extent of his pecuniary interest therein.
(10)
Includes 4,742 and 1,088 shares owned by RPM Capital LLC and AIM Capital LLC respectively, which are managed by Mr. Mendelson.
(11)
Includes 127,315 shares owned by our Manager and 415 shares owned by Aspen Yo LLC (“Aspen”). Aspen is an affiliate of our Manager and the indirect parent of the Servicer. Mr. Mendelsohn controls 50% of the manager of Aspen and has certain economic and/or management rights with respect to 9.2% of the interests in Aspen; Steven Rosenberg, the President of Gregory and the founder of Aspen Capital, controls the other 50% of the manager of Aspen and he or his affiliates own 24.7% of the interests in Aspen. The business address of Aspen is 13190 SW 68th Parkway, Suite 110, Tigard, Oregon 97223. Mr. Mendelsohn disclaims beneficial ownership of the securities held by our Manager and the Servicer except to the extent of his pecuniary interest therein.
(12)
Includes 69,184 shares owned through Aspen Uranus LLC but does not include 8,000 of our convertible notes owned through Aspen Uranus LLC. The notes have a stated principal amount of $25.00 per note and are convertible, under certain circumstances, into shares of our common stock at a rate of 1.7405 shares per note as of April 10, 2023.
(13)
Share amount agrees to the individual’s most recent Form 4 filed with the SEC.
(14)
Includes 1,386 shares owned by or for the benefit of his spouse and children who live in his home.
(15)
Includes 4,685 shares owned by Shackleton RBS3 LLC, which is managed by Mr. Schaub.
(16)
Share amount predates the shares distributed on August 31, 2022, November 29, 2022 and March 31, 2023, through the Company’s dividend reinvestment plan, in which Mr. Schaub, his spouse and children participate. Also, share amount predates shares distributed to Shackleton RBS3 LLC on August 23, 2022 and November 16, 2022.
(17)
In addition to the shares shown here, Mr. Handley also owns 10,000 of our convertible notes. The notes have a stated principal amount of $25.00 per note and are convertible, under certain circumstances, into shares of our common stock at a rate of 1.7405 shares per note as of April 10, 2023.
(18)
In addition to the shares shown here, Mr. Ogren also owns 1,500 of our convertible notes. The notes have a stated principal amount of $25.00 per note and are convertible, under certain circumstances, into shares of our common stock at a rate of 1.7405 shares per note as of April 10, 2023.
(19)
In addition to the shares shown here, Mr. Friedman also owns 800 of our convertible notes. The notes have a stated principal amount of $25.00 per note and are convertible, under certain circumstances, into shares of our common stock at a rate of 1.7405 shares per note as of April 10, 2023.
(20)
Mr. Begleiter is a Managing Director of Flexpoint Ford, LLC, the manager of the investment fund that owns Flexpoint Great Ajax Holdings LLC. However, Mr. Begleiter does not have voting or dispositive power over the shares of common stock owned by Flexpoint Great Ajax Holdings LLC.
(21)
See notes (7), (8), (9), (10), (11), (12), (13), (14), (15), (16), (17), (18), (19) and (20).