X0306 4 2017-08-11 1 0001162283 MORGAN GROUP HOLDING CO MGHL 0001598881 Carucci Claudia B 17 EAGLE ISLAND PLACE SHELDON SC 29941-3017 0 0 1 1 See Remarks 0001599476 Uncle Mills Partners, LLC 17 EAGLE ISLAND PLACE SHELDON SC 29941-3017 0 0 1 1 See Remarks Common Stock, $0.01 Par Value 2017-08-11 4 S 0 18900 5292 D 177999 I See FN Common Stock, $0.01 Par Value 2017-08-11 4 S 0 18099 4382.96 D 159900 D Common Stock, $0.01 Par Value 2017-08-15 4 S 0 259 46.36 D 159641 D Common Stock, $0.01 Par Value 2017-08-21 4 S 0 1106 235.58 D 158535 D Common Stock, $0.01 Par Value 2017-09-06 4 S 0 1000 187 D 157535 D Common Stock, $0.01 Par Value 2017-09-11 4 S 0 5000 1060 D 152535 D Shares owned by Uncle Mills Partners, LLC, of which Ms. Carucci is the Manager. Subsequent to the sale, Uncle Mills Partners, LLC no longer owns any Common Stock of the Issuer. Prior to Sept. 25, 2017, the Reporting Persons were part of a group with Bernard Zimmerman & Company, Inc., which group was a 10% Owner of the Securities. On Sept. 25, 2017, the group was terminated (see Exhibit 99.3); therefore, the Reporting Persons are no longer considered a 10% Owner of the Securities. Beth N. Lowson, as Attorney-in-fact for Claudia B. Carucci 2017-10-02 Beth N. Lowson, as Attorney-in-fact for Uncle Mills Partners, LLC 2017-10-02