601388 [190033] 2018 1-9 1 2018 1-9 2017 2016 2015 476,634.73 538,404.01 376,684.48 349,038.89 10,669.75 38,707.68 1,199.88 2,638.76 7,809.06 32,293.19 2,584.84 975.03 8,531.56 26,542.36 -1,033.23 -3,347.06 2015 2017 349,038.89 376,684.48 538,404.01 975.03 2,584.84 32,293.19 -3,347.06 -1,033.23 26,542.36 1 2015 2016 7 2015 12 31 53,300.00 10 19 101,270.00 2015 10 9 47,970.00 2016 2 2016 2016 2,584.84 2 13,478.26 2016 -7,056.03 535.01 2012 37 3 [2013]43 2016 2016 3 2017 2018 5 2017 12 31 202,540.00 10 0.3 6,076.20 2017 2018 7 2018 1,457.51 0.72% 3,099.54 2017 2016 2015 6,076.20 - - 3,099.54 - - 9,175.74 - - 32,293.19 2,584.84 975.03 / 18.82% - - / 28.41% - - 76.78% 2018 5 6,076.20 2018 3 3,099.54 2018 7 1,457.51 0.72% 3,099.54 2015 2016 2017 6,076.20 3 [2012]37 3 [2013]43 4 2/3 1 80% 2 40% 3 20% 5 1 2 70% 3 1 2015 2015 2015 975.03 2015 Metalico 2015 Metalico 6 2015 2015 2016 2015 3 2 2016 2016 2016 2016 2,584.84 2016 2016 2016 3 3 2017 2018 5 2017 12 31 202,540.00 10 0.3 6,076.20 18.82% 2017 32,293.19 2015 -2016 2017 2017 20% 7 2017 2018 5 8 2017 2018 7 1,457.51 0.72% 3,099.54 2017 2018 7 9,175.74 2017 28.41% 20% 3 3 3 8 2018 1-9 2017 2016 2015 476,634.73 538,404.01 376,684.48 349,038.89 431,509.15 475,921.80 346,314.25 326,102.03 45,125.58 62,482.22 30,370.23 22,936.87 3,921.22 5,405.64 3,559.15 3,776.71 16,443.10 22,902.99 16,091.81 10,357.80 158.80 288.80 830.35 1,074.72 9,675.06 -1,287.50 8,219.44 5,663.33 10,669.75 38,707.68 1,199.88 2,638.76 7,809.06 32,293.19 2,584.84 975.03 -722.50 5,750.83 3,618.07 4,322.09 8,531.56 26,542.36 -1,033.23 -3,347.06 -3,347.06 -1,033.23 26,542.36 8,531.56 2016 Metalico 9 AL0 LME 2014 2016 2015 2016 2016 2018 2016 10 2016 2017 2017 2016 2018 10 2018 1-9 2017 2016 2015 11.05% 13.12% 9.14% 7.30% 9.14% 10.20% 6.00% 1.77% -11.98% 8.02% -2.96% -4.21% 77.15% 162.53% 24.99% 32.37% 9.47% 11.61% 8.06% 6.57% 1 7.30% 9.14% 13.12% 11.05% / 2018 1-9 2017 2016 2015 13,335.43 5.10% 12,687.95 10.36% 11,496.65 -7.37% 12,410.79 11,862.18 7.61% 11,023.18 5.53% 10,445.93 -9.20% 11,504.42 1,473.24 -11.50% 1,664.77 58.44% 1,050.71 15.93% 906.37 11.05% -2.07% 13.12% 3.98% 9.14% 1.84% 7.30% 1 2015 2014 2016 2015 2016 11 2016 2017 2017 2018 1-9 2017 2018 2017 7 2 12,410.79 / 11,496.65 / 12,687.95 / 13,335.43 / LME 3 2018 1-9 2017 2016 2015 230,089.83 88.45% 252,434.49 89.43% 230,285.83 88.08% 276,750.56 92.18% 30,054.91 11.55% 29,823.49 10.57% 31,165.05 11.92% 23,468.35 7.82% 260,144.74 100.00% 282,257.98 100.00% 261,450.88 100.00% 300,218.91 100.00% 2016 2015 2016 2016 3 12 / 2018 1-9 2017 2016 2015 13,335.43 12,687.95 11,496.65 12,410.79 10,491.73 9,858.47 9,200.77 10,605.11 2,843.70 2,829.48 2,295.87 1,805.68 21.32% 22.30% 19.97% 14.55% 1,370.46 1,164.71 1,245.16 899.31 2016 2018 9 20% 2015 2014 2015 2014 2015 2 1.77% 6.00% 10.20% 9.14% 2015 2016 Metalico 2017 Metalico Metalico 2016 7 Metalico 2016 7 Metalico 2016 Metalico 2016 Metalico 2017 2018 1-9 Metalico 6,866.86 5,805.19 1 2015 2018 9 3,776.71 3,559.15 5,405.64 3,921.22 1.08% 0.94% 1.00% 0.82% 13 2 2015 2018 9 10,357.80 16,091.81 22,902.99 16,443.10 2.97% 4.27% 4.25% 3.45% 2016 Metalico 3 2015 2018 9 5,663.33 8,219.44 -1,287.50 9,675.06 2017 4 2015 2018 9 -743.33 1,648.99 2,308.17 -4,091.27 4,974.63 1,283.81 4,210.51 3,681.70 2018 1-9 2017 2016 2015 11.05% 13.12% 9.14% 7.30% 14 6.99% 6.94% 6.75% 5.52% 7.65% 5.98% 1 2 3 15 16 / 17 2018 1-9 2017 2016 2015 66.85 1,816.68 382.33 -75.04 63.02 127.81 517.00 165.75 1,362.42 1,093.41 604.34 - -1,771.99 3,425.26 2,387.09 4,231.30 -43.91 50.86 74.52 30.38 -398.90 763.19 -347.20 -30.30 - - - - -722.50 5,750.83 3,618.07 4,322.09 7,809.06 32,293.19 2,584.84 975.03 -9.25% 17.81% 139.97% 443.28% 1 2015 2 16,070.59 6.22% / A 18 / 3 2017 25% 2,000 4 —— 16 22 18 1 22 2016 604.34 2017 2018 1-9 1,093.41 1,362.42 2 22 2018 1-9 2017 2016 2015 122.43 380.86 394.00 231.23 2,196.86 736.23 344.10 2,185.25 - 702.36 -215.38 - -4,097.94 1,605.81 1,864.37 -743.33 - - - 2,558.15 19 -1,771.99 3,425.26 2,387.09 4,231.30 22 22 22 22 2015 20 2018 1-9 2017 2016 2015 -722.50 5,750.83 3,618.07 4,322.09 7,809.06 32,293.19 2,584.84 975.03 -9.25% 17.81% 139.97% 443.28% 4,322.09 3,618.07 5,750.83 -722.50 443.28% 139.97% 17.81% -9.25% 2018 1-9 10% 2015 2016 2015 2016 2017 2018 1-9 2018 1-9 2017 2016 2015 6,314.76 6,987.78 5,072.81 3,612.12 363.17 3,511.57 1,434.39 2,483.66 -2,865.79 5,667.96 -3,720.46 -3,847.27 857.69 904.25 860.57 687.60 9,675.06 -1,287.50 8,219.44 5,663.33 YCPG YCTL 21 2015-2016 2015 2016 2017 2017 2018 1-3 4 2018 1-9 2016 Metalico 2017 2,483.66 1,434.39 3,511.57 363.17 2012 3.05 3 5 2015 2017 2015 2017 2017 2018 22 -743.33 1,648.99 2,308.17 -4,091.27 2018 1-9 2017 2016 2015 -4,091.27 2,308.17 1,864.37 -503.23 - - - - - - -215.38 -240.11 - - - - -4,091.27 2,308.17 1,648.99 -743.33 A 4,974.63 1,283.81 4,210.51 3,681.70 2017 2018 1-9 2017 2016 2015 - 2,000.00 -58.62 0.00 23 2018 1-9 2017 2016 2015 122.43 380.86 394.00 231.23 2,196.86 736.23 344.10 2,185.25 1,362.42 1,093.41 604.34 2,558.15 3,681.70 4,210.51 1,283.81 4,974.63 1 A 2 2016 Metalico Hypercat ACP, LLC Allison Main, LLC Adriana Eleven, LLC 2017 2,000.00 2018 2017 2016 2015 1-9 1 7,809.07 32,293.17 2,584.85 970.62 3,144.05 1,829.74 3,394.69 3,512.54 7,661.90 12,054.84 10,877.12 5,318.06 332.89 440.49 427.83 325.48 126.94 288.13 360.74 417.84 -66.85 138.73 -440.95 75.04 “ ” “ ” 25.28 44.59 0.00 0.00 “ ” 4,091.27 -2,308.17 -1,648.99 743.33 “ ” 9,180.55 1,319.82 8,793.27 7,459.39 24 “ ” -3,681.70 -4,210.51 -1,283.81 -4,974.63 “ ” -885.05 -3,899.96 -2,745.87 -679.50 “ ” -737.12 5,755.14 781.35 510.12 “ ” -11,634.31 -51,985.59 -6,513.88 24,792.25 “ ” 2,505.39 5,666.80 -17,762.27 9,080.83 “ ” -10,122.61 1,420.41 8,072.22 -18,082.68 7,749.72 -1,152.37 4,896.30 29,468.68 2015 2016 2016 7 Metalico 2016 10 2017 2017 2018 2018 9 2018 2018 1-9 2017 2016 2015 7,749.71 -1,152.37 4,896.30 29,468.68 40,962.32 7,809.07 32,293.17 2,584.85 970.62 43,657.71 99.24% -3.57% 189.42% 3,036.07% 93.83% 1 2 25 2015 2018 9 40,962.32 93.83% 2018 1-9 2017 2016 2015 1 22.50 30.00 30.00 30.00 2 12.03 16.04 16.04 6.01 11.16 15.84 15.13 19.88 10.72 9.89 9.69 5.31 49.60% 52.80% 50.43% 66.27% 89.11% 61.66% 60.41% 88.35% 30.00 26.98 1 YCPG YCTL YCPG 5.10 2015 YCTL 21.88 10.94 YCTL 2015 11 2015 2018 2018 YCTL 2 1 26 2017 7 2018 3 2% 1% 2 3 2015 2018 9 2018 1-9 2017 2016 2015 218,808.59 257,232.44 248,215.93 251,809.44 219,305.93 256,058.51 250,289.64 260,959.60 100.23% 99.53% 100.80% 115.57% 2015 2016 2017 2018 1-9 115.57% 100.80% 99.53% 100.23% 27 1 2016 Metalico 2 3 4 5 6 7 8 28 2016 Metalico 100% 2016 Metalico100% Metalico Metalico 1 1997 8 Metalico Metalico Delaware Corporation Dankris Holdings, LLC Cornette Trust Finlayson Levine Drury 1997 966 1999 Delaware Colorado Metalico 2 2005 3 Metalico 2004 12 20 Metalico 2005 3 15 AMEX Metalico Metalico MEA Metalico 4,000 0.001 1,665 0.001 3 2015 9 Metalico 2015 6 15 Metalico TML TM Merger Sub Corp TML 100% 2015 9 11 Metalico TM Merger Sub Corp 2015 9 11 TML Metalico TM Merger Sub Corp Metalico Metalico TM Merger Sub Corp Metalico TML 1,000 29 4 2015 11 Metalico 2015 11 30 Metalico TML Metalico 974.62 Metalico Metalico 5 2016 1 Metalico 2016 1 11 TML 3 Metalico 42.70% N3100201501104 Metalico 1 TML 573 57.30% 2 427 42.70% 1,000 100.00% Metalico Metalico Metalico Metalico 1 Metalico 2014 2015 Metalico 2 Metalico 2014 2015 3 Metalico 2014 2015 Metalico Metalico 2015 1-9 /9 2014 / 72,534.87 136,497.98 16,785.22 61,402.96 30 55,749.65 75,095.02 135,421.94 292,434.42 -53,831.93 -24,590.99 Metalico 100% 2016 2014 Metalico100.00% 2015 9 30 Metalico 100% 67,840.82 69,514.60 Metalico 100% 67,840.82 2015 9 30 6.3613 10,664.62 Metalico100.00% 10,700.00 Metalico Metalico TML TM Merger Sub Corp TM Merger Sub Corp Metalico Metalico 0.6 Metalico 73,692,936 99,485 4,427.55 TML Metalico PNC Bank National Association TPG Specialty Lending,Inc First Niagara Hudson Bay Corre&Oaktree 5,008.04 9,435.58 2016 1 Metalico 31 9,435.58 2015 11 30 974.62 168.50 45. 00 33.50 28.93 4,427.55 5,008.04 9,435.58 TML 974.62 168.50 45.00 33.50 28.93 2.92 10,689.05 10,700.00 TML 9,435.58 1,264.42 Metalico TML TML Metalico100.00% TML TML 1 1 100 1-3 1 312 2011 12 14 2000.00 310104000506952 32 310104586834562 2 10.00 2011 12 7 10.00 2016 2 23 2,000.00 1 2,000.00 100.00 2,000.00 100.00 3 31010919500401**** 140 43 401 4 2014 300.23 2014 5,645.81 95.70 5 2 TML 1 TOTAL MERCHANT LIMITED Offshore Chambers, P.O. Box 217, Apia, Samoa 2014 9 19 33 100.00 65998 Metalico 2 2014 9 19 TML Off Shore Incorporations (SAMOA) Limited 100.00 65998 Off Shore Incorporations (SAMOA) Limited TML 100.00% 2014 10 15 Off Shore Incorporations (SAMOA) Limited TML 50.00% 50.00% 3 2014 TML 100.00 2014 TML 4 TML TML TML TML 100.00% 1 2016 1 5 Metalico100% 39,267,015 Metalico85.5% TML 1,550 Metalico14.5% 2016 34 4 3 2016 1 15 Metalico100% 19,633,508 Metalico42.70% TML 6,125 Metalico 57.30% 2 2016 3 30 Metalico100% 3 Metalico42.70% TML 6,125 Metalico57.30% Metalico 100% Metalico 2016 Metalico100.00% Metalico 35 1 1 2016 1 5 TML 2016 1 15 2 2016 3 30 Metalico 100.00% 2016 3 30 TML 2016 4 21 2016 2016 6 21 Metalico 100% Metalico 100% 2016 7 1 TML 36 2016 2016 4 12 N3200201600358 2016 5 5 35310000201605051410 2016 5 9 [2016]488 K&L Metalico Metalico CFIUS Metalico100.00% 2 1 24 28,096.00 2 2016 3 30 24 28,096.00 Metalico 2016 4 21 2016 24 28,096.00 37 Metalico Metalico 2016 Metalico100% 1 Metalico 2016 Metalico100% Metalico 2 2016 Metalico100% 3 2016 Metalico100% Metalico 4 2016 Metalico100% Metalico Metalico 38 Metalico Metalico 2018 9 30 Kingsferry Capital Management Group Limited 3,439.60 Kingsferry Capital Management Group Limited 39 30 60 60 2018 1-9 1 30,284.93 6.35% 2 24,634.37 5.17% 3 17,226.52 3.61% 500 4 16,356.00 3.43% 5 11,931.07 2.50% 100,432.89 26.75% - 2017 1 29,184.74 5.42% 2 27,801.75 5.16% 3 23,142.62 4.30% 40 4 12,140.59 2.25% 5 11,900.71 2.21% 104,170.41 20.52% - 2016 1 26,594.70 7.06% 2 18,723.83 4.97% 3 15,610.40 4.14% 4 8,649.57 2.30% 5 7,802.06 2.07% 77,380.56 20.54% - 2015 1 35,157.06 10.07% 2 30,333.25 8.69% 3 12,653.10 3.63% 4 11,716.09 3.36% 5 9,511.19 2.72% 99,370.69 28.47% 500 30 60 60 41 500 10 1 1% 10 6 5% 6 1 50% 1-2 80% 2 100% 500 2 5% 1-2 50% 2-3 80% 3 100% 1 2 6 10 1% 10 -6 5% 10 1% 10 -6 60 1 5% 3 6 6 1 50% 1-2 80% 2 100% 60 1 5% 1-2 50% 2-3 80% 3 100% 6 42 2018 9 30 55,593.00 76.91% 1 16,685.12 23.08% 10 7,305.99 10.11% 10 -6 8,455.11 11.70% 6 -1 924.03 1.28% 1-2 4.40 0.01% 2 - - 72,282.52 100.00% 2018 9 30 76.91% 10 6 2018 9 30 453.95 2018 9 30 0.63% 2018 9 9,229.98 12.76% 92.30 5,992.37 8.28% 28.82 3,973.15 5.49% 65.07 2,963.86 4.10% 29.39 2,190.74 3.03% 17.30 24,350.11 33.66% 232.87 34,631.05 64,537.39 43 70,409.89 72,341.56 200.84 225.72 175.18 452.91 0.58% 0.35% 0.25% 0.63% 165.24 100.33 2017 41.47 2017 PM RECOVERY, INC. 11.81 2017 RIO BATTERY COMPANY 11.62 2017 165.24 - - - 337.98 524.45 475.29 1,021.97 0.98% 0.81% 0.68% 1.41% 44 2018-09-30 2017-12-31 2016-12-31 2015-12-31 140,228.23 87.56% 119,852.61 80.25% 76,053.95 77.60% 72,447.11 90.99% 19,922.16 12.44% 28,270.79 18.93% 21,891.87 22.34% 7,174.36 9.01% - - 1,220.99 0.82% 66.58 0.07% - - 160,150.39 100.00% 149,344.39 100.00% 98,012.41 100.00% 79,621.47 100.00% 1 45 2018 9 6 3 3-6 6-12 123,273.78 12,002.64 2,648.47 3,873.31 134,811.61 4.84% 18,289.46 948.13 779.31 329.14 20,346.05 5.45% 141,563.24 12,950.77 3,427.79 4,202.44 162,144.25 4.71% 2018 9 6 95.29% 6 4.71% 3.48 / 3.85 / 3.82 / 3.68 / 2018 1-9 2017 2016 2015 - 13.10 12.17 10.86 8.98 8.76 8.36 8.82 3.68 3.82 3.85 3.48 1 46 Metalico 2018 9 58,244.44 40.49% 2 Metalico 2018 9 2017 2016 2015 1,569.97 1.54% 1,017.44 0.88% 507.92 0.70% 1,493.21 2.09% 423.89 2.08% 148.10 0.52% 3.57 0.02% 117.79 1.64% - - - - 0.44 0.01% - - 1,993.86 1.24% 1,165.54 0.78% 511.93 0.52% 1,611.00 2.02% 1 47 2 2018 9 18,825.44 1,369.34 18,844.15 76.87 17,397.94 1,427.50 8,403.11 - 7,939.84 103.09 7,836.75 566.36 27,228.55 1,369.34 26,783.99 179.96 25,234.69 1,993.86 48 2016 7 Metalico 2016 2018 9 7.92% 42.93% 21.17% 2015 2018 9 138,550.65 135,162.09 159,262.71 153,075.93 2016 2018 9 -2.45% 17.83% -3.88% 2015 2018 9 91.86% 72.04% 71.38% 77.27% 2018 9 2017 2016 2015 174,328.64 162,785.71 149,028.64 126,848.63 12,878.46 14,437.65 17,533.63 11,730.85 242,280.34 248,297.78 231,210.61 150,858.44 77.27% 71.38% 72.04% 91.86% 49 2018 9 2017 2016 2015 476,634.73 538,404.01 376,684.48 349,038.89 242,280.34 248,297.78 231,210.61 150,858.44 44,183.44 58,288.72 75,326.07 115,331.91 40,690.00 35,638.00 30,367.60 10,217.00 + 35.03% 37.83% 45.71% 83.22% / 3 2018 9 30 50 2018 9 30 12,630.99 2018 9 30 2018 9 30 2018 9 30 Kingsferry Capital Management Group Limited 3,439.60 2018 9 30 40,690.00 3 16,070.59 6.22% 30% 6 6 6 4,029.40 2018 9 30 1.56% 51 6 1 2 16,070.59 6.22% 30% 3 6 4,029.40 6 4 52 2016 8 2,000.00 333.33 25.00% 1 Hydrogenics 91110108339798197D 5 9 685 807 2015 4 22 1,000.00 99.00% 1.00% 2016-08-07 2015-12-31 564.17 189.55 1,080.89 195.02 241.60 183.34 1,000.00 100.00 53 839.30 11.67 2 2016 7 8 2016 8 1 2 3 4 2016 7 19 2016-7-20 2016-062 2016-7-22 54 1 2016-063 2 2016 8 15 2016-8-17 2016-069 1 2016-8-18 2 2016-070 / 2016-8-19/ 2016-8-23 2016 8 22 2016-071/072 2016-11-8 2016-081 2016 12 25% 4,000 1 1 91310115579173735G 2250 2 B151 2011 7 15 500.00 2 55 2016 11 30 88.35 -72.24 -123.37 3 2017 1 26 3 2016 11 2016 8 2016 12 4,000.00 25.00% 2,000.00 2017 2017 6.20% 1 2016 12 2 2016 2016 5 56 2017 2017 6.20% 4 2017 1 26 5 7 2017 3 1 2017 3 17 2017 25% 6 25.00% 2017-1-14 2017-006 4,000 .00 / / 2017-1-17/ 2017-1-21/ 2017-1-26 2017-007/008/009 2017 1 57 25 1 / < 2017 > 2017-3-2 2017-011/012/013 2 2017 2017 2017-3-18 25% 2017-014 7 2017 1 25 2017 0106 2016 12 16 4,000 2015 1.11% 1.90% 2015 361,867.44 211,009.70 9.2 10.00% 2016 2,000.00 2015 10.00 100.00 2015 975.03 9.2 2017 1 14 2017-006 9.3 9.6 2015 0.02 0.05 2016 6 10 58 2017 3 2 2017 3 17 2017 25% 2017 3 17 2,000.00 2017 2016 2017 32,293.17 2017 6.20% 2017 10 59 2.1 2.5 2.6 2.11 1 2016 8 17 8 15 2,000 25% 2016 2017 5,000 2018 1 3 2 500 2 2017 1 14 4,000 25% 2,000 2016 12 16 2015 975 2,000 2015 10% 100 9.3 2017 1 14 60 1 2017 2 2019 4 18 2019-012 61 1 2 3 36 4 30 1 2 3 United Creation Management Limited 4 5 Total Merchant Limited 6 Yc Global Llc 62 7 Grand Crown Inc 8 TOP ENERGY LIMITED 9 10 2018 12 12 A 63 1 2017 4 2018 2 232 2018 3 10% 2018 4 [2018]13 2018 4 2 25% 2 1 2017 7 2018 3 - GB16487.7-2017 1% 64 2 2018 2018 3 2018 12 8 2019 7 1 1 YCTL 2 1 2 [2018]13 25% 65 3 1 2017 2018 1-9 2018 1-9 2017 105,562.25 22.15% 152,841.22 28.39% 102,539.01 21.51% 79,203.87 14.71% 23,167.63 4.86% 17,497.10 3.25% 85,685.32 17.98% 100,753.06 18.71% 4,471.86 0.94% 7,211.49 1.34% 155,019.64 32.52% 180,593.53 33.54% 189.02 0.04% 303.75 0.06% 476,634.73 100.00% 538,404.01 100.00% 2017 2018 9 2017 2018 9 2018 1-9 1 30,284.93 6.35% 2 24,634.37 5.17% 3 17,226.52 3.61% 4 16,356.00 3.43% 5 11,931.07 2.50% 66 100,432.89 21.07% 2017 1 31,719.77 5.89% 2 29,184.74 5.42% 3 23,142.62 4.30% 4 13,347.53 2.48% 5 13,157.21 2.44% 110,551.88 20.53% 2 1 2 2019 7 1 2 2017 2018 9 2017 2018 9 2018 1-9 1 17,567.31 4.30% 2 17,495.62 4.28% 3 9,691.61 2.37% 4 8,112.86 1.98% 5 7,221.81 1.77% 60,089.22 14.69% 2017 1 15,312.99 3.26% 2 11,044.75 2.35% 67 3 10,225.05 2.18% 4 10,158.14 2.16% 5 8,596.47 1.83% 55,337.40 11.78% 68 2017 2018 9 69 2018 12 4 2018-040 2017 10 26 2017 56 [2017]0068 1 2016 8 17 8 15 2,000 25% 2016 2017 5,000 2018 1 3 2 500 70 2 2017 1 14 4,000 25% 2,000 2016 12 16 2015 975 2,000 2015 10% 100 9.3 2017 1 14 3 2016 4 29 2015 2016 5 21 2016 6 27 10 19 2015 10 9 2013 2015 8,996 3,009 975 2016 1,544 2015 176.91% 71 1 2 2017 3 2 2017 3 17 2017 3 4 2018 12 4 2018-040 72 2017 10 73