Last 12 months
Inside the activity.
0 purchase rows · 0 sale rows
Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.Monthly counts
| Month | Purchases | Sales |
|---|---|---|
| Nov 2025 | 0 | 0 |
| Dec 2025 | 0 | 0 |
| Jan 2026 | 0 | 0 |
| Feb 2026 | 0 | 0 |
| Mar 2026 | 0 | 0 |
| Apr 2026 | 0 | 0 |
| May 2026 | 0 | 0 |
| Jun 2026 | 0 | 0 |
| Jul 2026 | 0 | 0 |
| Aug 2026 | 0 | 0 |
| Sep 2026 | 0 | 0 |
| Oct 2026 | 0 | 0 |
Latest available
Insider transactions
Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Owner / reported role | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| January 01, 2021 Filed Feb 17, 2021 18:56 UTC Amendment |
FICHTHORN JOHNDirector
|
GrantCommon Stock | 166,667 | $0.00 | $0.00 |
DisclosureSEC source: 0001493152-21-004136 · ownership.xml · nonDerivative · entry 5 FICHTHORN JOHN · CIK 0001411509 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 879,920 Read SEC document |
| January 01, 2021 Filed Feb 17, 2021 18:51 UTC Amendment |
Sims Todd D.Director
|
GrantCommon Stock | 166,667 | $0.00 | $0.00 |
DisclosureSEC source: 0001493152-21-004134 · ownership.xml · nonDerivative · entry 2 Sims Todd D. · CIK 0001685242 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 878,116 Read SEC document |
| December 31, 2020 Filed Jan 5, 2021 02:14 UTC |
BRC Group Holdings, Inc.10% owner
BRC Partners Opportunity Fund, LPSee Remarks
BRC Partners Management GP, LLCSee Remarks
B. RILEY CAPITAL MANAGEMENT, LLCSee Remarks
B. RILEY PRINCIPAL INVESTMENTS, LLC10% owner
BRF Finance Co., LLCSee Remarks
RILEY BRYANT R10% owner
|
ConversionConversion of Interest Payable in Common Stock · Derivative | Not disclosed | $0.00 Strike: $0.33 | $409,690.93 |
DisclosureSEC source: 0001213900-21-000288 · ownership.xml · derivative · entry 20 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · See Remarks BRC Partners Management GP, LLC · CIK 0001749420 · See Remarks B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · See Remarks B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner BRF Finance Co., LLC · CIK 0001835164 · See Remarks RILEY BRYANT R · CIK 0001207269 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By BRC Partners Opportunity Fund, LP Disclosed balance after: 0 Underlying: Common Stock, par value $0.01 per share · 1,241,488 shares Expires 2020-12-31 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F6 · derivative.exercise_price: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. F6 · date: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. F10 · date: Represents $409,690.93 in accrued interest on the 2018 Convertible Debentures previously held of record by BRPLP. Pursuant to the applicable Conversion Notice, such accrued interest was converted into shares of Common Stock at a conversion price equal to $0.33 on December 31, 2020. F6 · kind: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. F10 · kind: Represents $409,690.93 in accrued interest on the 2018 Convertible Debentures previously held of record by BRPLP. Pursuant to the applicable Conversion Notice, such accrued interest was converted into shares of Common Stock at a conversion price equal to $0.33 on December 31, 2020. F6 · reported_value: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. F10 · reported_value: Represents $409,690.93 in accrued interest on the 2018 Convertible Debentures previously held of record by BRPLP. Pursuant to the applicable Conversion Notice, such accrued interest was converted into shares of Common Stock at a conversion price equal to $0.33 on December 31, 2020. F6 · price: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. F6 · derivative.exercise_date: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. F6 · derivative.expiration_date: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. F6 · derivative.underlying_shares: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. F10 · derivative.underlying_shares: Represents $409,690.93 in accrued interest on the 2018 Convertible Debentures previously held of record by BRPLP. Pursuant to the applicable Conversion Notice, such accrued interest was converted into shares of Common Stock at a conversion price equal to $0.33 on December 31, 2020. F6 · balance_after: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. F1 · ownership.nature: This Form 4 is filed jointly by B. Riley Financial, Inc., a Delaware corporation ("BRF"), BRC Partners Opportunity Fund, LP, a Delaware limited partnership ("BRPLP"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI"), BRF Finance Co., LLC, a Delaware limited liability company ("BRF Finance") and Bryant Riley. F2 · ownership.nature: BRPGP is a subsidiary of BRCM, a registered investment advisor, and is the general partner of BRPLP. BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the securities of theMaven, Inc. (the "Issuer") held of record by BRPLP. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the securities of the Issuer held of record by BRPI. BRF Finance is a wholly owned subsidiary of BRF. As a result, BRF may be deemed to indirectly beneficially own the securities of the Issuer held of record by BRF Finance. Each of BRF, BRPGP and BRCM expressly disclaims beneficial ownership of the securities of the Issuer reported herein held indirectly except to the extent of such Reporting Person's pecuniary interest therein. F3 · ownership.nature: Bryant Riley, as Chief Executive Officer of BRCM and Chairman and Co-Chief Executive Officer of BRF, has voting power and dispositive power over the securities of the Issuer held of record by BRPLP, BRPI and BRF Finance. As a result, Bryant Riley may be deemed to indirectly beneficially own the securities of the Issuer held of record by BRPLP, BRPI and BRF Finance. Mr. Riley expressly disclaims beneficial ownership of the securities of the Issuer reported herein held indirectly except to the extent of his pecuniary interest therein. F6 · ownership.nature: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. F10 · ownership.nature: Represents $409,690.93 in accrued interest on the 2018 Convertible Debentures previously held of record by BRPLP. Pursuant to the applicable Conversion Notice, such accrued interest was converted into shares of Common Stock at a conversion price equal to $0.33 on December 31, 2020. Read SEC document |
| December 31, 2020 Filed Jan 5, 2021 02:14 UTC |
BRC Group Holdings, Inc.10% owner
BRC Partners Opportunity Fund, LPSee Remarks
BRC Partners Management GP, LLCSee Remarks
B. RILEY CAPITAL MANAGEMENT, LLCSee Remarks
B. RILEY PRINCIPAL INVESTMENTS, LLC10% owner
BRF Finance Co., LLCSee Remarks
RILEY BRYANT R10% owner
|
ConversionConversion of Interest Payable in Common Stock · Derivative | Not disclosed | $0.00 Strike: $0.33 | $2,671,405.75 |
DisclosureSEC source: 0001213900-21-000288 · ownership.xml · derivative · entry 17 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · See Remarks BRC Partners Management GP, LLC · CIK 0001749420 · See Remarks B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · See Remarks B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner BRF Finance Co., LLC · CIK 0001835164 · See Remarks RILEY BRYANT R · CIK 0001207269 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By B. Riley Principal Investments, LLC Disclosed balance after: 0 Underlying: Common Stock, par value $0.01 per share · 8,095,169 shares Expires 2020-12-31 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F6 · derivative.exercise_price: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. F6 · date: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. F9 · date: Represents $2,671,405.75 in accrued interest on the 2018 Convertible Debentures previously held of record by BRPI. Pursuant to the applicable Conversion Notice, such accrued interest was converted into shares of Common Stock at a conversion price equal to $0.33 on December 31, 2020. F6 · kind: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. F9 · kind: Represents $2,671,405.75 in accrued interest on the 2018 Convertible Debentures previously held of record by BRPI. Pursuant to the applicable Conversion Notice, such accrued interest was converted into shares of Common Stock at a conversion price equal to $0.33 on December 31, 2020. F6 · reported_value: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. F9 · reported_value: Represents $2,671,405.75 in accrued interest on the 2018 Convertible Debentures previously held of record by BRPI. Pursuant to the applicable Conversion Notice, such accrued interest was converted into shares of Common Stock at a conversion price equal to $0.33 on December 31, 2020. F6 · price: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. F6 · derivative.exercise_date: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. F6 · derivative.expiration_date: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. F6 · derivative.underlying_shares: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. F9 · derivative.underlying_shares: Represents $2,671,405.75 in accrued interest on the 2018 Convertible Debentures previously held of record by BRPI. Pursuant to the applicable Conversion Notice, such accrued interest was converted into shares of Common Stock at a conversion price equal to $0.33 on December 31, 2020. F6 · balance_after: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. F1 · ownership.nature: This Form 4 is filed jointly by B. Riley Financial, Inc., a Delaware corporation ("BRF"), BRC Partners Opportunity Fund, LP, a Delaware limited partnership ("BRPLP"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI"), BRF Finance Co., LLC, a Delaware limited liability company ("BRF Finance") and Bryant Riley. F2 · ownership.nature: BRPGP is a subsidiary of BRCM, a registered investment advisor, and is the general partner of BRPLP. BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the securities of theMaven, Inc. (the "Issuer") held of record by BRPLP. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the securities of the Issuer held of record by BRPI. BRF Finance is a wholly owned subsidiary of BRF. As a result, BRF may be deemed to indirectly beneficially own the securities of the Issuer held of record by BRF Finance. Each of BRF, BRPGP and BRCM expressly disclaims beneficial ownership of the securities of the Issuer reported herein held indirectly except to the extent of such Reporting Person's pecuniary interest therein. F3 · ownership.nature: Bryant Riley, as Chief Executive Officer of BRCM and Chairman and Co-Chief Executive Officer of BRF, has voting power and dispositive power over the securities of the Issuer held of record by BRPLP, BRPI and BRF Finance. As a result, Bryant Riley may be deemed to indirectly beneficially own the securities of the Issuer held of record by BRPLP, BRPI and BRF Finance. Mr. Riley expressly disclaims beneficial ownership of the securities of the Issuer reported herein held indirectly except to the extent of his pecuniary interest therein. F6 · ownership.nature: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. F9 · ownership.nature: Represents $2,671,405.75 in accrued interest on the 2018 Convertible Debentures previously held of record by BRPI. Pursuant to the applicable Conversion Notice, such accrued interest was converted into shares of Common Stock at a conversion price equal to $0.33 on December 31, 2020. Read SEC document |
| December 31, 2020 Filed Jan 5, 2021 02:14 UTC |
BRC Group Holdings, Inc.10% owner
BRC Partners Opportunity Fund, LPSee Remarks
BRC Partners Management GP, LLCSee Remarks
B. RILEY CAPITAL MANAGEMENT, LLCSee Remarks
B. RILEY PRINCIPAL INVESTMENTS, LLC10% owner
BRF Finance Co., LLCSee Remarks
RILEY BRYANT R10% owner
|
ConversionConversion of Interest Payable in Common Stock · Derivative | Not disclosed | $0.00 Strike: $0.40 | $26,482.72 |
DisclosureSEC source: 0001213900-21-000288 · ownership.xml · derivative · entry 14 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · See Remarks BRC Partners Management GP, LLC · CIK 0001749420 · See Remarks B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · See Remarks B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner BRF Finance Co., LLC · CIK 0001835164 · See Remarks RILEY BRYANT R · CIK 0001207269 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By B. Riley Principal Investments, LLC Disclosed balance after: 0 Underlying: Common Stock, par value $0.01 per share · 66,207 shares Expires 2020-12-31 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F6 · derivative.exercise_price: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. F6 · date: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. F8 · date: Represents $26,482.72 in accrued interest on the 2019 Convertible Debentures previously held of record by BRPI. Pursuant to the applicable Conversion Notice, such accrued interest was converted into shares of Common Stock at a conversion price equal to $0.40 on December 31, 2020. F6 · kind: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. F8 · kind: Represents $26,482.72 in accrued interest on the 2019 Convertible Debentures previously held of record by BRPI. Pursuant to the applicable Conversion Notice, such accrued interest was converted into shares of Common Stock at a conversion price equal to $0.40 on December 31, 2020. F6 · reported_value: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. F8 · reported_value: Represents $26,482.72 in accrued interest on the 2019 Convertible Debentures previously held of record by BRPI. Pursuant to the applicable Conversion Notice, such accrued interest was converted into shares of Common Stock at a conversion price equal to $0.40 on December 31, 2020. F6 · price: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. F6 · derivative.exercise_date: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. F6 · derivative.expiration_date: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. F6 · derivative.underlying_shares: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. F8 · derivative.underlying_shares: Represents $26,482.72 in accrued interest on the 2019 Convertible Debentures previously held of record by BRPI. Pursuant to the applicable Conversion Notice, such accrued interest was converted into shares of Common Stock at a conversion price equal to $0.40 on December 31, 2020. F6 · balance_after: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. F1 · ownership.nature: This Form 4 is filed jointly by B. Riley Financial, Inc., a Delaware corporation ("BRF"), BRC Partners Opportunity Fund, LP, a Delaware limited partnership ("BRPLP"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI"), BRF Finance Co., LLC, a Delaware limited liability company ("BRF Finance") and Bryant Riley. F2 · ownership.nature: BRPGP is a subsidiary of BRCM, a registered investment advisor, and is the general partner of BRPLP. BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the securities of theMaven, Inc. (the "Issuer") held of record by BRPLP. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the securities of the Issuer held of record by BRPI. BRF Finance is a wholly owned subsidiary of BRF. As a result, BRF may be deemed to indirectly beneficially own the securities of the Issuer held of record by BRF Finance. Each of BRF, BRPGP and BRCM expressly disclaims beneficial ownership of the securities of the Issuer reported herein held indirectly except to the extent of such Reporting Person's pecuniary interest therein. F3 · ownership.nature: Bryant Riley, as Chief Executive Officer of BRCM and Chairman and Co-Chief Executive Officer of BRF, has voting power and dispositive power over the securities of the Issuer held of record by BRPLP, BRPI and BRF Finance. As a result, Bryant Riley may be deemed to indirectly beneficially own the securities of the Issuer held of record by BRPLP, BRPI and BRF Finance. Mr. Riley expressly disclaims beneficial ownership of the securities of the Issuer reported herein held indirectly except to the extent of his pecuniary interest therein. F6 · ownership.nature: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. F8 · ownership.nature: Represents $26,482.72 in accrued interest on the 2019 Convertible Debentures previously held of record by BRPI. Pursuant to the applicable Conversion Notice, such accrued interest was converted into shares of Common Stock at a conversion price equal to $0.40 on December 31, 2020. Read SEC document |
| December 31, 2020 Filed Jan 6, 2021 00:09 UTC |
STROME MARK E10% owner
|
Conversion12% Senior Secured Subordinated Convertible Debenture · Derivative | Not disclosed | $0.00 Strike: $0.33 | $348,456.83 |
DisclosureSEC source: 0000899243-21-000505 · doc4.xml · derivative · entry 5 STROME MARK E · CIK 0000919484 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 1,055,930 shares Expires 2020-12-31 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · kind: The Issuer and the Reporting Persons agreed to the payment in kind of the accrued interest in the amount of $348,456.83 due under the 12% Senior Secured Subordinated Convertible Debenture as of the conversion date at a price of $0.33 per share, which was approved by the issuer's board of directors. F3 · derivative.exercise_date: Subject to the Issuer increasing its authorized shares of common stock, which occurred on December 18, 2020, the reported security was convertible into common stock at the option of the Fund at any time on or prior to the maturity date on December 31, 2020. F1 · ownership.nature: The reported security is owned directly by Strome Mezzanine Fund II, LP (the "Fund"). Strome Investment Management, L.P. ("SIM") is the general partner of the Fund and may be deemed to beneficially own the reported security under Section 13(d) of the Securities Exchange Act of 1934 (the "Exchange Act"). Strome Group Inc. ("SG") is the general partner of SIM and may also be deemed to beneficially own the reported security under Section 13(d) of the Exchange Act. Mark E. Strome is the President and CEO of SG and may also be deemed to beneficially own the reported security under Section 13(d) of the Exchange Act. SIM, SG and Mr. Strome disclaim beneficial ownership of the reported security for purposes of Section 16 of the Exchange Act, except the extent of their respective pecuniary interest in the security. The Fund, SIM, SG and Mr. Strome are hereby referred to as the "Reporting Persons". Read SEC document |
| December 31, 2020 Filed Jan 6, 2021 00:09 UTC |
STROME MARK E10% owner
|
Conversion12% Senior Secured Subordinated Convertible Debenture · Derivative | Not disclosed | $0.00 Strike: $0.40 | $1,500,000.00 |
DisclosureSEC source: 0000899243-21-000505 · doc4.xml · derivative · entry 4 STROME MARK E · CIK 0000919484 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 3,750,000 shares Expires 2020-12-31 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_date: Subject to the Issuer increasing its authorized shares of common stock, which occurred on December 18, 2020, the reported security was convertible into common stock at the option of the Fund at any time on or prior to the maturity date on December 31, 2020. F1 · ownership.nature: The reported security is owned directly by Strome Mezzanine Fund II, LP (the "Fund"). Strome Investment Management, L.P. ("SIM") is the general partner of the Fund and may be deemed to beneficially own the reported security under Section 13(d) of the Securities Exchange Act of 1934 (the "Exchange Act"). Strome Group Inc. ("SG") is the general partner of SIM and may also be deemed to beneficially own the reported security under Section 13(d) of the Exchange Act. Mark E. Strome is the President and CEO of SG and may also be deemed to beneficially own the reported security under Section 13(d) of the Exchange Act. SIM, SG and Mr. Strome disclaim beneficial ownership of the reported security for purposes of Section 16 of the Exchange Act, except the extent of their respective pecuniary interest in the security. The Fund, SIM, SG and Mr. Strome are hereby referred to as the "Reporting Persons". Read SEC document |
| December 31, 2020 Filed Jan 6, 2021 00:09 UTC |
STROME MARK E10% owner
|
Other12% Senior Secured Subordinated Convertible Debenture · Derivative | Not disclosed | Not disclosed Strike: $0.33 | $348,456.83 |
DisclosureSEC source: 0000899243-21-000505 · doc4.xml · derivative · entry 3 STROME MARK E · CIK 0000919484 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: Not disclosed Underlying: Common Stock · 1,055,930 shares Expires 2020-12-31 F2 · kind: The Issuer and the Reporting Persons agreed to the payment in kind of the accrued interest in the amount of $348,456.83 due under the 12% Senior Secured Subordinated Convertible Debenture as of the conversion date at a price of $0.33 per share, which was approved by the issuer's board of directors. F3 · price: Subject to the Issuer increasing its authorized shares of common stock, which occurred on December 18, 2020, the reported security was convertible into common stock at the option of the Fund at any time on or prior to the maturity date on December 31, 2020. F3 · derivative.exercise_date: Subject to the Issuer increasing its authorized shares of common stock, which occurred on December 18, 2020, the reported security was convertible into common stock at the option of the Fund at any time on or prior to the maturity date on December 31, 2020. F1 · ownership.nature: The reported security is owned directly by Strome Mezzanine Fund II, LP (the "Fund"). Strome Investment Management, L.P. ("SIM") is the general partner of the Fund and may be deemed to beneficially own the reported security under Section 13(d) of the Securities Exchange Act of 1934 (the "Exchange Act"). Strome Group Inc. ("SG") is the general partner of SIM and may also be deemed to beneficially own the reported security under Section 13(d) of the Exchange Act. Mark E. Strome is the President and CEO of SG and may also be deemed to beneficially own the reported security under Section 13(d) of the Exchange Act. SIM, SG and Mr. Strome disclaim beneficial ownership of the reported security for purposes of Section 16 of the Exchange Act, except the extent of their respective pecuniary interest in the security. The Fund, SIM, SG and Mr. Strome are hereby referred to as the "Reporting Persons". Read SEC document |
| December 31, 2020 Filed Jan 6, 2021 00:09 UTC |
STROME MARK E10% owner
|
ConversionCommon Stock | 1,055,930 | $0.33 | $348,456.90 |
DisclosureSEC source: 0000899243-21-000505 · doc4.xml · nonDerivative · entry 2 STROME MARK E · CIK 0000919484 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 9,291,198 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · kind: The Issuer and the Reporting Persons agreed to the payment in kind of the accrued interest in the amount of $348,456.83 due under the 12% Senior Secured Subordinated Convertible Debenture as of the conversion date at a price of $0.33 per share, which was approved by the issuer's board of directors. F1 · ownership.nature: The reported security is owned directly by Strome Mezzanine Fund II, LP (the "Fund"). Strome Investment Management, L.P. ("SIM") is the general partner of the Fund and may be deemed to beneficially own the reported security under Section 13(d) of the Securities Exchange Act of 1934 (the "Exchange Act"). Strome Group Inc. ("SG") is the general partner of SIM and may also be deemed to beneficially own the reported security under Section 13(d) of the Exchange Act. Mark E. Strome is the President and CEO of SG and may also be deemed to beneficially own the reported security under Section 13(d) of the Exchange Act. SIM, SG and Mr. Strome disclaim beneficial ownership of the reported security for purposes of Section 16 of the Exchange Act, except the extent of their respective pecuniary interest in the security. The Fund, SIM, SG and Mr. Strome are hereby referred to as the "Reporting Persons". Read SEC document |
| December 31, 2020 Filed Jan 6, 2021 00:09 UTC |
STROME MARK E10% owner
|
ConversionCommon Stock | 3,750,000 | $0.40 | $1,500,000.00 |
DisclosureSEC source: 0000899243-21-000505 · doc4.xml · nonDerivative · entry 1 STROME MARK E · CIK 0000919484 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 8,235,268 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · ownership.nature: The reported security is owned directly by Strome Mezzanine Fund II, LP (the "Fund"). Strome Investment Management, L.P. ("SIM") is the general partner of the Fund and may be deemed to beneficially own the reported security under Section 13(d) of the Securities Exchange Act of 1934 (the "Exchange Act"). Strome Group Inc. ("SG") is the general partner of SIM and may also be deemed to beneficially own the reported security under Section 13(d) of the Exchange Act. Mark E. Strome is the President and CEO of SG and may also be deemed to beneficially own the reported security under Section 13(d) of the Exchange Act. SIM, SG and Mr. Strome disclaim beneficial ownership of the reported security for purposes of Section 16 of the Exchange Act, except the extent of their respective pecuniary interest in the security. The Fund, SIM, SG and Mr. Strome are hereby referred to as the "Reporting Persons". Read SEC document |
| December 31, 2020 Filed Feb 17, 2021 18:56 UTC Amendment |
FICHTHORN JOHNDirector
|
ConversionConvertible Debenture - Conversion · Derivative | Not disclosed | $0.00 | $100,000.00 |
DisclosureSEC source: 0001493152-21-004136 · ownership.xml · derivative · entry 9 FICHTHORN JOHN · CIK 0001411509 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: Not disclosed Underlying: Common Stock · Not disclosed shares Expires 2020-12-31 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F7 · derivative.exercise_price: Convertible Debenture disposition of both principal and interest F7 · derivative.underlying: Convertible Debenture disposition of both principal and interest F7 · derivative.underlying_shares: Convertible Debenture disposition of both principal and interest Read SEC document |
| December 31, 2020 Filed Feb 17, 2021 18:56 UTC Amendment |
FICHTHORN JOHNDirector
|
ConversionCommon Stock | 320,395 | $0.33 | $105,730.35 |
DisclosureSEC source: 0001493152-21-004136 · ownership.xml · nonDerivative · entry 4 FICHTHORN JOHN · CIK 0001411509 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 713,253 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F5 · shares: Acquired as a result of Convertible Debenture conversion of both principal and interest, as agreed by shareholder and Issuer Read SEC document |
| December 31, 2020 Filed Feb 17, 2021 18:51 UTC Amendment |
Sims Todd D.Director
|
ConversionConvertible Debenture - Conversion · Derivative | Not disclosed | $0.00 | $100,000.00 |
DisclosureSEC source: 0001493152-21-004134 · ownership.xml · derivative · entry 4 Sims Todd D. · CIK 0001685242 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: Not disclosed Underlying: Common Stock · Not disclosed shares Expires 2020-12-31 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_price: Convertible Debenture disposition of both principal and interest F3 · derivative.underlying: Convertible Debenture disposition of both principal and interest F3 · derivative.underlying_shares: Convertible Debenture disposition of both principal and interest Read SEC document |
| December 31, 2020 Filed Feb 17, 2021 18:51 UTC Amendment |
Sims Todd D.Director
|
ConversionCommon Stock | 318,591 | $0.33 | $105,135.03 |
DisclosureSEC source: 0001493152-21-004134 · ownership.xml · nonDerivative · entry 1 Sims Todd D. · CIK 0001685242 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 711,449 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · shares: Acquired as a result of Convertible Debenture conversion of both principal and interest, as agreed by shareholder and Issuer Read SEC document |
| December 31, 2020 Filed Mar 29, 2021 19:19 UTC |
Marchisotto JillChief Marketing Officer
|
GrantOptions to purchase · Derivative | 2,000 | $0.00 Strike: $0.60 | $0.00 |
DisclosureSEC source: 0001493152-21-007034 · ownership.xml · derivative · entry 1 Marchisotto Jill · CIK 0001843647 · Chief Marketing Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,000 Underlying: Common Stock · 2,000 shares Expires 2030-12-31 F1 · derivative.exercise_date: One-third of the shares associated with the Option will vest on the one-year anniversary of the date of grant; with the balance of the shares vesting in a series of twenty-four (24) successive equal monthly installments thereafter. Read SEC document |
| December 31, 2020 Filed Jan 21, 2022 22:02 UTC Amendment |
Edmondson Paul TaylorPresident, Platform
|
Disposition to issuerRSU · Derivative | 25,243 | $0.00 | $0.00 |
DisclosureSEC source: 0001493152-22-001972 · ownership.xml · derivative · entry 37 Edmondson Paul Taylor · CIK 0001754097 · President, Platform 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 25,243 Underlying: Common Stock · 25,243 shares Expires not disclosed F40 · derivative.exercise_price: Each RSU represents a contingent right to receive 1 share of the Issuer's common stock. F41 · derivative.exercise_date: RSU shares were forfeit without having vested on 12/31/2020 (pursuant to agreement between the Issuer and shareholder). F41 · derivative.expiration_date: RSU shares were forfeit without having vested on 12/31/2020 (pursuant to agreement between the Issuer and shareholder). F4 · ownership.direct: Holdings of Robin Edmondson, wife Read SEC document |
| December 31, 2020 Filed Jan 21, 2022 22:02 UTC Amendment |
Edmondson Paul TaylorPresident, Platform
|
Disposition to issuerRSU · Derivative | 933,997 | $0.00 | $0.00 |
DisclosureSEC source: 0001493152-22-001972 · ownership.xml · derivative · entry 36 Edmondson Paul Taylor · CIK 0001754097 · President, Platform 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 933,997 Underlying: Common Stock · 933,997 shares Expires not disclosed F40 · derivative.exercise_price: Each RSU represents a contingent right to receive 1 share of the Issuer's common stock. F41 · derivative.exercise_date: RSU shares were forfeit without having vested on 12/31/2020 (pursuant to agreement between the Issuer and shareholder). F41 · derivative.expiration_date: RSU shares were forfeit without having vested on 12/31/2020 (pursuant to agreement between the Issuer and shareholder). Read SEC document |
| December 31, 2020 Filed Jan 21, 2022 22:02 UTC Amendment |
Edmondson Paul TaylorPresident, Platform
|
Disposition to issuerCommon Stock | 4,207 | $0.00 | $0.00 |
DisclosureSEC source: 0001493152-22-001972 · ownership.xml · nonDerivative · entry 12 Edmondson Paul Taylor · CIK 0001754097 · President, Platform 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 15,343 F17 · balance_after: Unvested RSA shares forfeit on 12/31/2020 (pursuant to agreement between the Issuer and shareholder). Remaining shares beneficially owned after transaction are net of both a) this disposition and also b) the earlier relinquishment of shares to company pursuant to tax withholdings applied to earlier vesting of shares F4 · ownership.direct: Holdings of Robin Edmondson, wife Read SEC document |
| December 31, 2020 Filed Jan 21, 2022 22:02 UTC Amendment |
Edmondson Paul TaylorPresident, Platform
|
Disposition to issuerCommon Stock | 155,666 | $0.00 | $0.00 |
DisclosureSEC source: 0001493152-22-001972 · ownership.xml · nonDerivative · entry 11 Edmondson Paul Taylor · CIK 0001754097 · President, Platform 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 387,896 F17 · balance_after: Unvested RSA shares forfeit on 12/31/2020 (pursuant to agreement between the Issuer and shareholder). Remaining shares beneficially owned after transaction are net of both a) this disposition and also b) the earlier relinquishment of shares to company pursuant to tax withholdings applied to earlier vesting of shares Read SEC document |
| December 30, 2020 Filed Jan 5, 2021 02:14 UTC |
BRC Group Holdings, Inc.10% owner
BRC Partners Opportunity Fund, LPSee Remarks
BRC Partners Management GP, LLCSee Remarks
B. RILEY CAPITAL MANAGEMENT, LLCSee Remarks
B. RILEY PRINCIPAL INVESTMENTS, LLC10% owner
BRF Finance Co., LLCSee Remarks
RILEY BRYANT R10% owner
|
OtherConversion Right - Interest Payable in Common Stock · Derivative | Not disclosed | $0.00 Strike: $0.33 | $409,690.93 |
DisclosureSEC source: 0001213900-21-000288 · ownership.xml · derivative · entry 19 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · See Remarks BRC Partners Management GP, LLC · CIK 0001749420 · See Remarks B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · See Remarks B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner BRF Finance Co., LLC · CIK 0001835164 · See Remarks RILEY BRYANT R · CIK 0001207269 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By BRC Partners Opportunity Fund, LP Disclosed balance after: Not disclosed Underlying: Common Stock, par value $0.01 per share · 1,241,488 shares Expires 2020-12-31 F6 · derivative.exercise_price: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. F6 · date: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. F6 · kind: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. F6 · reported_value: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. F10 · reported_value: Represents $409,690.93 in accrued interest on the 2018 Convertible Debentures previously held of record by BRPLP. Pursuant to the applicable Conversion Notice, such accrued interest was converted into shares of Common Stock at a conversion price equal to $0.33 on December 31, 2020. F6 · price: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. F6 · derivative.exercise_date: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. F6 · derivative.expiration_date: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. F6 · derivative.underlying_shares: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. F10 · derivative.underlying_shares: Represents $409,690.93 in accrued interest on the 2018 Convertible Debentures previously held of record by BRPLP. Pursuant to the applicable Conversion Notice, such accrued interest was converted into shares of Common Stock at a conversion price equal to $0.33 on December 31, 2020. F6 · valueOwnedAfter: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. F10 · valueOwnedAfter: Represents $409,690.93 in accrued interest on the 2018 Convertible Debentures previously held of record by BRPLP. Pursuant to the applicable Conversion Notice, such accrued interest was converted into shares of Common Stock at a conversion price equal to $0.33 on December 31, 2020. F1 · ownership.nature: This Form 4 is filed jointly by B. Riley Financial, Inc., a Delaware corporation ("BRF"), BRC Partners Opportunity Fund, LP, a Delaware limited partnership ("BRPLP"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI"), BRF Finance Co., LLC, a Delaware limited liability company ("BRF Finance") and Bryant Riley. F2 · ownership.nature: BRPGP is a subsidiary of BRCM, a registered investment advisor, and is the general partner of BRPLP. BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the securities of theMaven, Inc. (the "Issuer") held of record by BRPLP. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the securities of the Issuer held of record by BRPI. BRF Finance is a wholly owned subsidiary of BRF. As a result, BRF may be deemed to indirectly beneficially own the securities of the Issuer held of record by BRF Finance. Each of BRF, BRPGP and BRCM expressly disclaims beneficial ownership of the securities of the Issuer reported herein held indirectly except to the extent of such Reporting Person's pecuniary interest therein. F3 · ownership.nature: Bryant Riley, as Chief Executive Officer of BRCM and Chairman and Co-Chief Executive Officer of BRF, has voting power and dispositive power over the securities of the Issuer held of record by BRPLP, BRPI and BRF Finance. As a result, Bryant Riley may be deemed to indirectly beneficially own the securities of the Issuer held of record by BRPLP, BRPI and BRF Finance. Mr. Riley expressly disclaims beneficial ownership of the securities of the Issuer reported herein held indirectly except to the extent of his pecuniary interest therein. F6 · ownership.nature: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. F10 · ownership.nature: Represents $409,690.93 in accrued interest on the 2018 Convertible Debentures previously held of record by BRPLP. Pursuant to the applicable Conversion Notice, such accrued interest was converted into shares of Common Stock at a conversion price equal to $0.33 on December 31, 2020. Read SEC document |
| December 30, 2020 Filed Jan 5, 2021 02:14 UTC |
BRC Group Holdings, Inc.10% owner
BRC Partners Opportunity Fund, LPSee Remarks
BRC Partners Management GP, LLCSee Remarks
B. RILEY CAPITAL MANAGEMENT, LLCSee Remarks
B. RILEY PRINCIPAL INVESTMENTS, LLC10% owner
BRF Finance Co., LLCSee Remarks
RILEY BRYANT R10% owner
|
Conversion12% Senior Secured Subordinated Convertible Debentures · Derivative | Not disclosed | $0.00 Strike: $0.33 | $1,514,722.22 |
DisclosureSEC source: 0001213900-21-000288 · ownership.xml · derivative · entry 18 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · See Remarks BRC Partners Management GP, LLC · CIK 0001749420 · See Remarks B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · See Remarks B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner BRF Finance Co., LLC · CIK 0001835164 · See Remarks RILEY BRYANT R · CIK 0001207269 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By BRC Partners Opportunity Fund, LP Disclosed balance after: Not disclosed Underlying: Common Stock, par value $0.01 per share · 4,590,067 shares Expires 2020-12-31 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F6 · derivative.exercise_price: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. F5 · date: Pursuant to the terms of the 12% Senior Secured Subordinated Convertible Debentures of the Issuer (the "Convertible Debentures"), the principal amount of the Convertible Debentures may only be converted into shares of Common Stock in the event the Issuer amends its Certificate of Incorporation to authorize additional shares of Common Stock. On December 18, 2020, the Issuer filed such an amendment with the Delaware Secretary of State, and accordingly, the Convertible Debentures held of record by BRPI and BRPLP became convertible on December 18, 2020. F6 · date: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. F5 · kind: Pursuant to the terms of the 12% Senior Secured Subordinated Convertible Debentures of the Issuer (the "Convertible Debentures"), the principal amount of the Convertible Debentures may only be converted into shares of Common Stock in the event the Issuer amends its Certificate of Incorporation to authorize additional shares of Common Stock. On December 18, 2020, the Issuer filed such an amendment with the Delaware Secretary of State, and accordingly, the Convertible Debentures held of record by BRPI and BRPLP became convertible on December 18, 2020. F6 · kind: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. F5 · reported_value: Pursuant to the terms of the 12% Senior Secured Subordinated Convertible Debentures of the Issuer (the "Convertible Debentures"), the principal amount of the Convertible Debentures may only be converted into shares of Common Stock in the event the Issuer amends its Certificate of Incorporation to authorize additional shares of Common Stock. On December 18, 2020, the Issuer filed such an amendment with the Delaware Secretary of State, and accordingly, the Convertible Debentures held of record by BRPI and BRPLP became convertible on December 18, 2020. F6 · reported_value: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. F5 · price: Pursuant to the terms of the 12% Senior Secured Subordinated Convertible Debentures of the Issuer (the "Convertible Debentures"), the principal amount of the Convertible Debentures may only be converted into shares of Common Stock in the event the Issuer amends its Certificate of Incorporation to authorize additional shares of Common Stock. On December 18, 2020, the Issuer filed such an amendment with the Delaware Secretary of State, and accordingly, the Convertible Debentures held of record by BRPI and BRPLP became convertible on December 18, 2020. F6 · price: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. F5 · derivative.exercise_date: Pursuant to the terms of the 12% Senior Secured Subordinated Convertible Debentures of the Issuer (the "Convertible Debentures"), the principal amount of the Convertible Debentures may only be converted into shares of Common Stock in the event the Issuer amends its Certificate of Incorporation to authorize additional shares of Common Stock. On December 18, 2020, the Issuer filed such an amendment with the Delaware Secretary of State, and accordingly, the Convertible Debentures held of record by BRPI and BRPLP became convertible on December 18, 2020. F6 · derivative.exercise_date: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. F5 · derivative.underlying_shares: Pursuant to the terms of the 12% Senior Secured Subordinated Convertible Debentures of the Issuer (the "Convertible Debentures"), the principal amount of the Convertible Debentures may only be converted into shares of Common Stock in the event the Issuer amends its Certificate of Incorporation to authorize additional shares of Common Stock. On December 18, 2020, the Issuer filed such an amendment with the Delaware Secretary of State, and accordingly, the Convertible Debentures held of record by BRPI and BRPLP became convertible on December 18, 2020. F6 · derivative.underlying_shares: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. F5 · valueOwnedAfter: Pursuant to the terms of the 12% Senior Secured Subordinated Convertible Debentures of the Issuer (the "Convertible Debentures"), the principal amount of the Convertible Debentures may only be converted into shares of Common Stock in the event the Issuer amends its Certificate of Incorporation to authorize additional shares of Common Stock. On December 18, 2020, the Issuer filed such an amendment with the Delaware Secretary of State, and accordingly, the Convertible Debentures held of record by BRPI and BRPLP became convertible on December 18, 2020. F6 · valueOwnedAfter: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. F1 · ownership.nature: This Form 4 is filed jointly by B. Riley Financial, Inc., a Delaware corporation ("BRF"), BRC Partners Opportunity Fund, LP, a Delaware limited partnership ("BRPLP"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI"), BRF Finance Co., LLC, a Delaware limited liability company ("BRF Finance") and Bryant Riley. F2 · ownership.nature: BRPGP is a subsidiary of BRCM, a registered investment advisor, and is the general partner of BRPLP. BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the securities of theMaven, Inc. (the "Issuer") held of record by BRPLP. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the securities of the Issuer held of record by BRPI. BRF Finance is a wholly owned subsidiary of BRF. As a result, BRF may be deemed to indirectly beneficially own the securities of the Issuer held of record by BRF Finance. Each of BRF, BRPGP and BRCM expressly disclaims beneficial ownership of the securities of the Issuer reported herein held indirectly except to the extent of such Reporting Person's pecuniary interest therein. F3 · ownership.nature: Bryant Riley, as Chief Executive Officer of BRCM and Chairman and Co-Chief Executive Officer of BRF, has voting power and dispositive power over the securities of the Issuer held of record by BRPLP, BRPI and BRF Finance. As a result, Bryant Riley may be deemed to indirectly beneficially own the securities of the Issuer held of record by BRPLP, BRPI and BRF Finance. Mr. Riley expressly disclaims beneficial ownership of the securities of the Issuer reported herein held indirectly except to the extent of his pecuniary interest therein. F5 · ownership.nature: Pursuant to the terms of the 12% Senior Secured Subordinated Convertible Debentures of the Issuer (the "Convertible Debentures"), the principal amount of the Convertible Debentures may only be converted into shares of Common Stock in the event the Issuer amends its Certificate of Incorporation to authorize additional shares of Common Stock. On December 18, 2020, the Issuer filed such an amendment with the Delaware Secretary of State, and accordingly, the Convertible Debentures held of record by BRPI and BRPLP became convertible on December 18, 2020. F6 · ownership.nature: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. Read SEC document |
| December 30, 2020 Filed Jan 5, 2021 02:14 UTC |
BRC Group Holdings, Inc.10% owner
BRC Partners Opportunity Fund, LPSee Remarks
BRC Partners Management GP, LLCSee Remarks
B. RILEY CAPITAL MANAGEMENT, LLCSee Remarks
B. RILEY PRINCIPAL INVESTMENTS, LLC10% owner
BRF Finance Co., LLCSee Remarks
RILEY BRYANT R10% owner
|
OtherConversion Right - Interest Payable in Common Stock · Derivative | Not disclosed | $0.00 Strike: $0.33 | $2,671,405.75 |
DisclosureSEC source: 0001213900-21-000288 · ownership.xml · derivative · entry 16 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · See Remarks BRC Partners Management GP, LLC · CIK 0001749420 · See Remarks B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · See Remarks B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner BRF Finance Co., LLC · CIK 0001835164 · See Remarks RILEY BRYANT R · CIK 0001207269 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By B. Riley Principal Investments, LLC Disclosed balance after: Not disclosed Underlying: Common Stock, par value $0.01 per share · 8,095,169 shares Expires 2020-12-31 F6 · derivative.exercise_price: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. F6 · date: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. F6 · kind: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. F6 · reported_value: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. F9 · reported_value: Represents $2,671,405.75 in accrued interest on the 2018 Convertible Debentures previously held of record by BRPI. Pursuant to the applicable Conversion Notice, such accrued interest was converted into shares of Common Stock at a conversion price equal to $0.33 on December 31, 2020. F6 · price: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. F6 · derivative.exercise_date: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. F6 · derivative.expiration_date: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. F6 · derivative.underlying_shares: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. F9 · derivative.underlying_shares: Represents $2,671,405.75 in accrued interest on the 2018 Convertible Debentures previously held of record by BRPI. Pursuant to the applicable Conversion Notice, such accrued interest was converted into shares of Common Stock at a conversion price equal to $0.33 on December 31, 2020. F6 · valueOwnedAfter: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. F9 · valueOwnedAfter: Represents $2,671,405.75 in accrued interest on the 2018 Convertible Debentures previously held of record by BRPI. Pursuant to the applicable Conversion Notice, such accrued interest was converted into shares of Common Stock at a conversion price equal to $0.33 on December 31, 2020. F1 · ownership.nature: This Form 4 is filed jointly by B. Riley Financial, Inc., a Delaware corporation ("BRF"), BRC Partners Opportunity Fund, LP, a Delaware limited partnership ("BRPLP"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI"), BRF Finance Co., LLC, a Delaware limited liability company ("BRF Finance") and Bryant Riley. F2 · ownership.nature: BRPGP is a subsidiary of BRCM, a registered investment advisor, and is the general partner of BRPLP. BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the securities of theMaven, Inc. (the "Issuer") held of record by BRPLP. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the securities of the Issuer held of record by BRPI. BRF Finance is a wholly owned subsidiary of BRF. As a result, BRF may be deemed to indirectly beneficially own the securities of the Issuer held of record by BRF Finance. Each of BRF, BRPGP and BRCM expressly disclaims beneficial ownership of the securities of the Issuer reported herein held indirectly except to the extent of such Reporting Person's pecuniary interest therein. F3 · ownership.nature: Bryant Riley, as Chief Executive Officer of BRCM and Chairman and Co-Chief Executive Officer of BRF, has voting power and dispositive power over the securities of the Issuer held of record by BRPLP, BRPI and BRF Finance. As a result, Bryant Riley may be deemed to indirectly beneficially own the securities of the Issuer held of record by BRPLP, BRPI and BRF Finance. Mr. Riley expressly disclaims beneficial ownership of the securities of the Issuer reported herein held indirectly except to the extent of his pecuniary interest therein. F6 · ownership.nature: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. F9 · ownership.nature: Represents $2,671,405.75 in accrued interest on the 2018 Convertible Debentures previously held of record by BRPI. Pursuant to the applicable Conversion Notice, such accrued interest was converted into shares of Common Stock at a conversion price equal to $0.33 on December 31, 2020. Read SEC document |
| December 30, 2020 Filed Jan 5, 2021 02:14 UTC |
BRC Group Holdings, Inc.10% owner
BRC Partners Opportunity Fund, LPSee Remarks
BRC Partners Management GP, LLCSee Remarks
B. RILEY CAPITAL MANAGEMENT, LLCSee Remarks
B. RILEY PRINCIPAL INVESTMENTS, LLC10% owner
BRF Finance Co., LLCSee Remarks
RILEY BRYANT R10% owner
|
Conversion12% Senior Secured Subordinated Convertible Debentures · Derivative | Not disclosed | $0.00 Strike: $0.33 | $9,876,806.56 |
DisclosureSEC source: 0001213900-21-000288 · ownership.xml · derivative · entry 15 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · See Remarks BRC Partners Management GP, LLC · CIK 0001749420 · See Remarks B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · See Remarks B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner BRF Finance Co., LLC · CIK 0001835164 · See Remarks RILEY BRYANT R · CIK 0001207269 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By B. Riley Principal Investments, LLC Disclosed balance after: 0 Underlying: Common Stock, par value $0.01 per share · 29,929,714 shares Expires 2020-12-31 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F6 · derivative.exercise_price: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. F5 · date: Pursuant to the terms of the 12% Senior Secured Subordinated Convertible Debentures of the Issuer (the "Convertible Debentures"), the principal amount of the Convertible Debentures may only be converted into shares of Common Stock in the event the Issuer amends its Certificate of Incorporation to authorize additional shares of Common Stock. On December 18, 2020, the Issuer filed such an amendment with the Delaware Secretary of State, and accordingly, the Convertible Debentures held of record by BRPI and BRPLP became convertible on December 18, 2020. F6 · date: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. F5 · kind: Pursuant to the terms of the 12% Senior Secured Subordinated Convertible Debentures of the Issuer (the "Convertible Debentures"), the principal amount of the Convertible Debentures may only be converted into shares of Common Stock in the event the Issuer amends its Certificate of Incorporation to authorize additional shares of Common Stock. On December 18, 2020, the Issuer filed such an amendment with the Delaware Secretary of State, and accordingly, the Convertible Debentures held of record by BRPI and BRPLP became convertible on December 18, 2020. F6 · kind: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. F5 · reported_value: Pursuant to the terms of the 12% Senior Secured Subordinated Convertible Debentures of the Issuer (the "Convertible Debentures"), the principal amount of the Convertible Debentures may only be converted into shares of Common Stock in the event the Issuer amends its Certificate of Incorporation to authorize additional shares of Common Stock. On December 18, 2020, the Issuer filed such an amendment with the Delaware Secretary of State, and accordingly, the Convertible Debentures held of record by BRPI and BRPLP became convertible on December 18, 2020. F6 · reported_value: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. F5 · price: Pursuant to the terms of the 12% Senior Secured Subordinated Convertible Debentures of the Issuer (the "Convertible Debentures"), the principal amount of the Convertible Debentures may only be converted into shares of Common Stock in the event the Issuer amends its Certificate of Incorporation to authorize additional shares of Common Stock. On December 18, 2020, the Issuer filed such an amendment with the Delaware Secretary of State, and accordingly, the Convertible Debentures held of record by BRPI and BRPLP became convertible on December 18, 2020. F6 · price: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. F5 · derivative.exercise_date: Pursuant to the terms of the 12% Senior Secured Subordinated Convertible Debentures of the Issuer (the "Convertible Debentures"), the principal amount of the Convertible Debentures may only be converted into shares of Common Stock in the event the Issuer amends its Certificate of Incorporation to authorize additional shares of Common Stock. On December 18, 2020, the Issuer filed such an amendment with the Delaware Secretary of State, and accordingly, the Convertible Debentures held of record by BRPI and BRPLP became convertible on December 18, 2020. F6 · derivative.exercise_date: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. F5 · derivative.underlying_shares: Pursuant to the terms of the 12% Senior Secured Subordinated Convertible Debentures of the Issuer (the "Convertible Debentures"), the principal amount of the Convertible Debentures may only be converted into shares of Common Stock in the event the Issuer amends its Certificate of Incorporation to authorize additional shares of Common Stock. On December 18, 2020, the Issuer filed such an amendment with the Delaware Secretary of State, and accordingly, the Convertible Debentures held of record by BRPI and BRPLP became convertible on December 18, 2020. F6 · derivative.underlying_shares: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. F5 · balance_after: Pursuant to the terms of the 12% Senior Secured Subordinated Convertible Debentures of the Issuer (the "Convertible Debentures"), the principal amount of the Convertible Debentures may only be converted into shares of Common Stock in the event the Issuer amends its Certificate of Incorporation to authorize additional shares of Common Stock. On December 18, 2020, the Issuer filed such an amendment with the Delaware Secretary of State, and accordingly, the Convertible Debentures held of record by BRPI and BRPLP became convertible on December 18, 2020. F6 · balance_after: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. F1 · ownership.nature: This Form 4 is filed jointly by B. Riley Financial, Inc., a Delaware corporation ("BRF"), BRC Partners Opportunity Fund, LP, a Delaware limited partnership ("BRPLP"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI"), BRF Finance Co., LLC, a Delaware limited liability company ("BRF Finance") and Bryant Riley. F2 · ownership.nature: BRPGP is a subsidiary of BRCM, a registered investment advisor, and is the general partner of BRPLP. BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the securities of theMaven, Inc. (the "Issuer") held of record by BRPLP. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the securities of the Issuer held of record by BRPI. BRF Finance is a wholly owned subsidiary of BRF. As a result, BRF may be deemed to indirectly beneficially own the securities of the Issuer held of record by BRF Finance. Each of BRF, BRPGP and BRCM expressly disclaims beneficial ownership of the securities of the Issuer reported herein held indirectly except to the extent of such Reporting Person's pecuniary interest therein. F3 · ownership.nature: Bryant Riley, as Chief Executive Officer of BRCM and Chairman and Co-Chief Executive Officer of BRF, has voting power and dispositive power over the securities of the Issuer held of record by BRPLP, BRPI and BRF Finance. As a result, Bryant Riley may be deemed to indirectly beneficially own the securities of the Issuer held of record by BRPLP, BRPI and BRF Finance. Mr. Riley expressly disclaims beneficial ownership of the securities of the Issuer reported herein held indirectly except to the extent of his pecuniary interest therein. F5 · ownership.nature: Pursuant to the terms of the 12% Senior Secured Subordinated Convertible Debentures of the Issuer (the "Convertible Debentures"), the principal amount of the Convertible Debentures may only be converted into shares of Common Stock in the event the Issuer amends its Certificate of Incorporation to authorize additional shares of Common Stock. On December 18, 2020, the Issuer filed such an amendment with the Delaware Secretary of State, and accordingly, the Convertible Debentures held of record by BRPI and BRPLP became convertible on December 18, 2020. F6 · ownership.nature: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. Read SEC document |
| December 30, 2020 Filed Jan 5, 2021 02:14 UTC |
BRC Group Holdings, Inc.10% owner
BRC Partners Opportunity Fund, LPSee Remarks
BRC Partners Management GP, LLCSee Remarks
B. RILEY CAPITAL MANAGEMENT, LLCSee Remarks
B. RILEY PRINCIPAL INVESTMENTS, LLC10% owner
BRF Finance Co., LLCSee Remarks
RILEY BRYANT R10% owner
|
OtherConversion Right - Interest Payable in Common Stock · Derivative | Not disclosed | $0.00 Strike: $0.40 | $26,482.72 |
DisclosureSEC source: 0001213900-21-000288 · ownership.xml · derivative · entry 13 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · See Remarks BRC Partners Management GP, LLC · CIK 0001749420 · See Remarks B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · See Remarks B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner BRF Finance Co., LLC · CIK 0001835164 · See Remarks RILEY BRYANT R · CIK 0001207269 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By B. Riley Principal Investments, LLC Disclosed balance after: Not disclosed Underlying: Common Stock, par value $0.01 per share · 66,207 shares Expires 2020-12-31 F6 · derivative.exercise_price: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. F6 · date: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. F6 · kind: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. F6 · reported_value: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. F8 · reported_value: Represents $26,482.72 in accrued interest on the 2019 Convertible Debentures previously held of record by BRPI. Pursuant to the applicable Conversion Notice, such accrued interest was converted into shares of Common Stock at a conversion price equal to $0.40 on December 31, 2020. F6 · price: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. F6 · derivative.exercise_date: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. F6 · derivative.expiration_date: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. F6 · derivative.underlying_shares: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. F8 · derivative.underlying_shares: Represents $26,482.72 in accrued interest on the 2019 Convertible Debentures previously held of record by BRPI. Pursuant to the applicable Conversion Notice, such accrued interest was converted into shares of Common Stock at a conversion price equal to $0.40 on December 31, 2020. F6 · valueOwnedAfter: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. F8 · valueOwnedAfter: Represents $26,482.72 in accrued interest on the 2019 Convertible Debentures previously held of record by BRPI. Pursuant to the applicable Conversion Notice, such accrued interest was converted into shares of Common Stock at a conversion price equal to $0.40 on December 31, 2020. F1 · ownership.nature: This Form 4 is filed jointly by B. Riley Financial, Inc., a Delaware corporation ("BRF"), BRC Partners Opportunity Fund, LP, a Delaware limited partnership ("BRPLP"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI"), BRF Finance Co., LLC, a Delaware limited liability company ("BRF Finance") and Bryant Riley. F2 · ownership.nature: BRPGP is a subsidiary of BRCM, a registered investment advisor, and is the general partner of BRPLP. BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the securities of theMaven, Inc. (the "Issuer") held of record by BRPLP. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the securities of the Issuer held of record by BRPI. BRF Finance is a wholly owned subsidiary of BRF. As a result, BRF may be deemed to indirectly beneficially own the securities of the Issuer held of record by BRF Finance. Each of BRF, BRPGP and BRCM expressly disclaims beneficial ownership of the securities of the Issuer reported herein held indirectly except to the extent of such Reporting Person's pecuniary interest therein. F3 · ownership.nature: Bryant Riley, as Chief Executive Officer of BRCM and Chairman and Co-Chief Executive Officer of BRF, has voting power and dispositive power over the securities of the Issuer held of record by BRPLP, BRPI and BRF Finance. As a result, Bryant Riley may be deemed to indirectly beneficially own the securities of the Issuer held of record by BRPLP, BRPI and BRF Finance. Mr. Riley expressly disclaims beneficial ownership of the securities of the Issuer reported herein held indirectly except to the extent of his pecuniary interest therein. F6 · ownership.nature: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. F8 · ownership.nature: Represents $26,482.72 in accrued interest on the 2019 Convertible Debentures previously held of record by BRPI. Pursuant to the applicable Conversion Notice, such accrued interest was converted into shares of Common Stock at a conversion price equal to $0.40 on December 31, 2020. Read SEC document |
| December 30, 2020 Filed Jan 5, 2021 02:14 UTC |
BRC Group Holdings, Inc.10% owner
BRC Partners Opportunity Fund, LPSee Remarks
BRC Partners Management GP, LLCSee Remarks
B. RILEY CAPITAL MANAGEMENT, LLCSee Remarks
B. RILEY PRINCIPAL INVESTMENTS, LLC10% owner
BRF Finance Co., LLCSee Remarks
RILEY BRYANT R10% owner
|
Conversion12% Senior Secured Subordinated Convertible Debentures · Derivative | Not disclosed | $0.00 Strike: $0.40 | $114,000.00 |
DisclosureSEC source: 0001213900-21-000288 · ownership.xml · derivative · entry 12 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · See Remarks BRC Partners Management GP, LLC · CIK 0001749420 · See Remarks B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · See Remarks B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner BRF Finance Co., LLC · CIK 0001835164 · See Remarks RILEY BRYANT R · CIK 0001207269 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By B. Riley Principal Investments, LLC Disclosed balance after: 0 Underlying: Common Stock, par value $0.01 per share · 285,000 shares Expires 2020-12-31 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F6 · derivative.exercise_price: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. F5 · date: Pursuant to the terms of the 12% Senior Secured Subordinated Convertible Debentures of the Issuer (the "Convertible Debentures"), the principal amount of the Convertible Debentures may only be converted into shares of Common Stock in the event the Issuer amends its Certificate of Incorporation to authorize additional shares of Common Stock. On December 18, 2020, the Issuer filed such an amendment with the Delaware Secretary of State, and accordingly, the Convertible Debentures held of record by BRPI and BRPLP became convertible on December 18, 2020. F6 · date: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. F5 · kind: Pursuant to the terms of the 12% Senior Secured Subordinated Convertible Debentures of the Issuer (the "Convertible Debentures"), the principal amount of the Convertible Debentures may only be converted into shares of Common Stock in the event the Issuer amends its Certificate of Incorporation to authorize additional shares of Common Stock. On December 18, 2020, the Issuer filed such an amendment with the Delaware Secretary of State, and accordingly, the Convertible Debentures held of record by BRPI and BRPLP became convertible on December 18, 2020. F6 · kind: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. F5 · reported_value: Pursuant to the terms of the 12% Senior Secured Subordinated Convertible Debentures of the Issuer (the "Convertible Debentures"), the principal amount of the Convertible Debentures may only be converted into shares of Common Stock in the event the Issuer amends its Certificate of Incorporation to authorize additional shares of Common Stock. On December 18, 2020, the Issuer filed such an amendment with the Delaware Secretary of State, and accordingly, the Convertible Debentures held of record by BRPI and BRPLP became convertible on December 18, 2020. F6 · reported_value: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. F5 · price: Pursuant to the terms of the 12% Senior Secured Subordinated Convertible Debentures of the Issuer (the "Convertible Debentures"), the principal amount of the Convertible Debentures may only be converted into shares of Common Stock in the event the Issuer amends its Certificate of Incorporation to authorize additional shares of Common Stock. On December 18, 2020, the Issuer filed such an amendment with the Delaware Secretary of State, and accordingly, the Convertible Debentures held of record by BRPI and BRPLP became convertible on December 18, 2020. F6 · price: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. F5 · derivative.exercise_date: Pursuant to the terms of the 12% Senior Secured Subordinated Convertible Debentures of the Issuer (the "Convertible Debentures"), the principal amount of the Convertible Debentures may only be converted into shares of Common Stock in the event the Issuer amends its Certificate of Incorporation to authorize additional shares of Common Stock. On December 18, 2020, the Issuer filed such an amendment with the Delaware Secretary of State, and accordingly, the Convertible Debentures held of record by BRPI and BRPLP became convertible on December 18, 2020. F6 · derivative.exercise_date: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. F5 · derivative.underlying_shares: Pursuant to the terms of the 12% Senior Secured Subordinated Convertible Debentures of the Issuer (the "Convertible Debentures"), the principal amount of the Convertible Debentures may only be converted into shares of Common Stock in the event the Issuer amends its Certificate of Incorporation to authorize additional shares of Common Stock. On December 18, 2020, the Issuer filed such an amendment with the Delaware Secretary of State, and accordingly, the Convertible Debentures held of record by BRPI and BRPLP became convertible on December 18, 2020. F6 · derivative.underlying_shares: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. F5 · balance_after: Pursuant to the terms of the 12% Senior Secured Subordinated Convertible Debentures of the Issuer (the "Convertible Debentures"), the principal amount of the Convertible Debentures may only be converted into shares of Common Stock in the event the Issuer amends its Certificate of Incorporation to authorize additional shares of Common Stock. On December 18, 2020, the Issuer filed such an amendment with the Delaware Secretary of State, and accordingly, the Convertible Debentures held of record by BRPI and BRPLP became convertible on December 18, 2020. F6 · balance_after: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. F1 · ownership.nature: This Form 4 is filed jointly by B. Riley Financial, Inc., a Delaware corporation ("BRF"), BRC Partners Opportunity Fund, LP, a Delaware limited partnership ("BRPLP"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI"), BRF Finance Co., LLC, a Delaware limited liability company ("BRF Finance") and Bryant Riley. F2 · ownership.nature: BRPGP is a subsidiary of BRCM, a registered investment advisor, and is the general partner of BRPLP. BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the securities of theMaven, Inc. (the "Issuer") held of record by BRPLP. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the securities of the Issuer held of record by BRPI. BRF Finance is a wholly owned subsidiary of BRF. As a result, BRF may be deemed to indirectly beneficially own the securities of the Issuer held of record by BRF Finance. Each of BRF, BRPGP and BRCM expressly disclaims beneficial ownership of the securities of the Issuer reported herein held indirectly except to the extent of such Reporting Person's pecuniary interest therein. F3 · ownership.nature: Bryant Riley, as Chief Executive Officer of BRCM and Chairman and Co-Chief Executive Officer of BRF, has voting power and dispositive power over the securities of the Issuer held of record by BRPLP, BRPI and BRF Finance. As a result, Bryant Riley may be deemed to indirectly beneficially own the securities of the Issuer held of record by BRPLP, BRPI and BRF Finance. Mr. Riley expressly disclaims beneficial ownership of the securities of the Issuer reported herein held indirectly except to the extent of his pecuniary interest therein. F5 · ownership.nature: Pursuant to the terms of the 12% Senior Secured Subordinated Convertible Debentures of the Issuer (the "Convertible Debentures"), the principal amount of the Convertible Debentures may only be converted into shares of Common Stock in the event the Issuer amends its Certificate of Incorporation to authorize additional shares of Common Stock. On December 18, 2020, the Issuer filed such an amendment with the Delaware Secretary of State, and accordingly, the Convertible Debentures held of record by BRPI and BRPLP became convertible on December 18, 2020. F6 · ownership.nature: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. Read SEC document |
| December 30, 2020 Filed Jan 5, 2021 02:14 UTC |
BRC Group Holdings, Inc.10% owner
BRC Partners Opportunity Fund, LPSee Remarks
BRC Partners Management GP, LLCSee Remarks
B. RILEY CAPITAL MANAGEMENT, LLCSee Remarks
B. RILEY PRINCIPAL INVESTMENTS, LLC10% owner
BRF Finance Co., LLCSee Remarks
RILEY BRYANT R10% owner
|
ConversionCommon Stock, par value $0.01 per share | 1,241,488 | $0.33 | $409,691.04 |
DisclosureSEC source: 0001213900-21-000288 · ownership.xml · nonDerivative · entry 8 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · See Remarks BRC Partners Management GP, LLC · CIK 0001749420 · See Remarks B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · See Remarks B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner BRF Finance Co., LLC · CIK 0001835164 · See Remarks RILEY BRYANT R · CIK 0001207269 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By BRC Partners Opportunity Fund, LP Disclosed balance after: 7,611,555 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F6 · date: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. F6 · kind: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. F10 · kind: Represents $409,690.93 in accrued interest on the 2018 Convertible Debentures previously held of record by BRPLP. Pursuant to the applicable Conversion Notice, such accrued interest was converted into shares of Common Stock at a conversion price equal to $0.33 on December 31, 2020. F6 · shares: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. F10 · shares: Represents $409,690.93 in accrued interest on the 2018 Convertible Debentures previously held of record by BRPLP. Pursuant to the applicable Conversion Notice, such accrued interest was converted into shares of Common Stock at a conversion price equal to $0.33 on December 31, 2020. F6 · price: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. F1 · ownership.nature: This Form 4 is filed jointly by B. Riley Financial, Inc., a Delaware corporation ("BRF"), BRC Partners Opportunity Fund, LP, a Delaware limited partnership ("BRPLP"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI"), BRF Finance Co., LLC, a Delaware limited liability company ("BRF Finance") and Bryant Riley. F2 · ownership.nature: BRPGP is a subsidiary of BRCM, a registered investment advisor, and is the general partner of BRPLP. BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the securities of theMaven, Inc. (the "Issuer") held of record by BRPLP. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the securities of the Issuer held of record by BRPI. BRF Finance is a wholly owned subsidiary of BRF. As a result, BRF may be deemed to indirectly beneficially own the securities of the Issuer held of record by BRF Finance. Each of BRF, BRPGP and BRCM expressly disclaims beneficial ownership of the securities of the Issuer reported herein held indirectly except to the extent of such Reporting Person's pecuniary interest therein. F3 · ownership.nature: Bryant Riley, as Chief Executive Officer of BRCM and Chairman and Co-Chief Executive Officer of BRF, has voting power and dispositive power over the securities of the Issuer held of record by BRPLP, BRPI and BRF Finance. As a result, Bryant Riley may be deemed to indirectly beneficially own the securities of the Issuer held of record by BRPLP, BRPI and BRF Finance. Mr. Riley expressly disclaims beneficial ownership of the securities of the Issuer reported herein held indirectly except to the extent of his pecuniary interest therein. F6 · ownership.nature: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. F10 · ownership.nature: Represents $409,690.93 in accrued interest on the 2018 Convertible Debentures previously held of record by BRPLP. Pursuant to the applicable Conversion Notice, such accrued interest was converted into shares of Common Stock at a conversion price equal to $0.33 on December 31, 2020. Read SEC document |
| December 30, 2020 Filed Jan 5, 2021 02:14 UTC |
BRC Group Holdings, Inc.10% owner
BRC Partners Opportunity Fund, LPSee Remarks
BRC Partners Management GP, LLCSee Remarks
B. RILEY CAPITAL MANAGEMENT, LLCSee Remarks
B. RILEY PRINCIPAL INVESTMENTS, LLC10% owner
BRF Finance Co., LLCSee Remarks
RILEY BRYANT R10% owner
|
ConversionCommon Stock, par value $0.01 per share | 4,590,067 | $0.33 | $1,514,722.11 |
DisclosureSEC source: 0001213900-21-000288 · ownership.xml · nonDerivative · entry 7 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · See Remarks BRC Partners Management GP, LLC · CIK 0001749420 · See Remarks B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · See Remarks B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner BRF Finance Co., LLC · CIK 0001835164 · See Remarks RILEY BRYANT R · CIK 0001207269 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By BRC Partners Opportunity Fund, LP Disclosed balance after: 6,370,067 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F5 · date: Pursuant to the terms of the 12% Senior Secured Subordinated Convertible Debentures of the Issuer (the "Convertible Debentures"), the principal amount of the Convertible Debentures may only be converted into shares of Common Stock in the event the Issuer amends its Certificate of Incorporation to authorize additional shares of Common Stock. On December 18, 2020, the Issuer filed such an amendment with the Delaware Secretary of State, and accordingly, the Convertible Debentures held of record by BRPI and BRPLP became convertible on December 18, 2020. F6 · date: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. F5 · kind: Pursuant to the terms of the 12% Senior Secured Subordinated Convertible Debentures of the Issuer (the "Convertible Debentures"), the principal amount of the Convertible Debentures may only be converted into shares of Common Stock in the event the Issuer amends its Certificate of Incorporation to authorize additional shares of Common Stock. On December 18, 2020, the Issuer filed such an amendment with the Delaware Secretary of State, and accordingly, the Convertible Debentures held of record by BRPI and BRPLP became convertible on December 18, 2020. F6 · kind: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. F5 · shares: Pursuant to the terms of the 12% Senior Secured Subordinated Convertible Debentures of the Issuer (the "Convertible Debentures"), the principal amount of the Convertible Debentures may only be converted into shares of Common Stock in the event the Issuer amends its Certificate of Incorporation to authorize additional shares of Common Stock. On December 18, 2020, the Issuer filed such an amendment with the Delaware Secretary of State, and accordingly, the Convertible Debentures held of record by BRPI and BRPLP became convertible on December 18, 2020. F6 · shares: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. F6 · price: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. F1 · ownership.nature: This Form 4 is filed jointly by B. Riley Financial, Inc., a Delaware corporation ("BRF"), BRC Partners Opportunity Fund, LP, a Delaware limited partnership ("BRPLP"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI"), BRF Finance Co., LLC, a Delaware limited liability company ("BRF Finance") and Bryant Riley. F2 · ownership.nature: BRPGP is a subsidiary of BRCM, a registered investment advisor, and is the general partner of BRPLP. BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the securities of theMaven, Inc. (the "Issuer") held of record by BRPLP. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the securities of the Issuer held of record by BRPI. BRF Finance is a wholly owned subsidiary of BRF. As a result, BRF may be deemed to indirectly beneficially own the securities of the Issuer held of record by BRF Finance. Each of BRF, BRPGP and BRCM expressly disclaims beneficial ownership of the securities of the Issuer reported herein held indirectly except to the extent of such Reporting Person's pecuniary interest therein. F3 · ownership.nature: Bryant Riley, as Chief Executive Officer of BRCM and Chairman and Co-Chief Executive Officer of BRF, has voting power and dispositive power over the securities of the Issuer held of record by BRPLP, BRPI and BRF Finance. As a result, Bryant Riley may be deemed to indirectly beneficially own the securities of the Issuer held of record by BRPLP, BRPI and BRF Finance. Mr. Riley expressly disclaims beneficial ownership of the securities of the Issuer reported herein held indirectly except to the extent of his pecuniary interest therein. F5 · ownership.nature: Pursuant to the terms of the 12% Senior Secured Subordinated Convertible Debentures of the Issuer (the "Convertible Debentures"), the principal amount of the Convertible Debentures may only be converted into shares of Common Stock in the event the Issuer amends its Certificate of Incorporation to authorize additional shares of Common Stock. On December 18, 2020, the Issuer filed such an amendment with the Delaware Secretary of State, and accordingly, the Convertible Debentures held of record by BRPI and BRPLP became convertible on December 18, 2020. F6 · ownership.nature: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. Read SEC document |
| December 30, 2020 Filed Jan 5, 2021 02:14 UTC |
BRC Group Holdings, Inc.10% owner
BRC Partners Opportunity Fund, LPSee Remarks
BRC Partners Management GP, LLCSee Remarks
B. RILEY CAPITAL MANAGEMENT, LLCSee Remarks
B. RILEY PRINCIPAL INVESTMENTS, LLC10% owner
BRF Finance Co., LLCSee Remarks
RILEY BRYANT R10% owner
|
ConversionCommon Stock, par value $0.01 per share | 8,095,169 | $0.33 | $2,671,405.77 |
DisclosureSEC source: 0001213900-21-000288 · ownership.xml · nonDerivative · entry 5 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · See Remarks BRC Partners Management GP, LLC · CIK 0001749420 · See Remarks B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · See Remarks B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner BRF Finance Co., LLC · CIK 0001835164 · See Remarks RILEY BRYANT R · CIK 0001207269 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By B. Riley Principal Investments, LLC Disclosed balance after: 60,161,804 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F6 · date: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. F6 · kind: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. F9 · kind: Represents $2,671,405.75 in accrued interest on the 2018 Convertible Debentures previously held of record by BRPI. Pursuant to the applicable Conversion Notice, such accrued interest was converted into shares of Common Stock at a conversion price equal to $0.33 on December 31, 2020. F6 · shares: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. F9 · shares: Represents $2,671,405.75 in accrued interest on the 2018 Convertible Debentures previously held of record by BRPI. Pursuant to the applicable Conversion Notice, such accrued interest was converted into shares of Common Stock at a conversion price equal to $0.33 on December 31, 2020. F6 · price: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. F1 · ownership.nature: This Form 4 is filed jointly by B. Riley Financial, Inc., a Delaware corporation ("BRF"), BRC Partners Opportunity Fund, LP, a Delaware limited partnership ("BRPLP"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI"), BRF Finance Co., LLC, a Delaware limited liability company ("BRF Finance") and Bryant Riley. F2 · ownership.nature: BRPGP is a subsidiary of BRCM, a registered investment advisor, and is the general partner of BRPLP. BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the securities of theMaven, Inc. (the "Issuer") held of record by BRPLP. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the securities of the Issuer held of record by BRPI. BRF Finance is a wholly owned subsidiary of BRF. As a result, BRF may be deemed to indirectly beneficially own the securities of the Issuer held of record by BRF Finance. Each of BRF, BRPGP and BRCM expressly disclaims beneficial ownership of the securities of the Issuer reported herein held indirectly except to the extent of such Reporting Person's pecuniary interest therein. F3 · ownership.nature: Bryant Riley, as Chief Executive Officer of BRCM and Chairman and Co-Chief Executive Officer of BRF, has voting power and dispositive power over the securities of the Issuer held of record by BRPLP, BRPI and BRF Finance. As a result, Bryant Riley may be deemed to indirectly beneficially own the securities of the Issuer held of record by BRPLP, BRPI and BRF Finance. Mr. Riley expressly disclaims beneficial ownership of the securities of the Issuer reported herein held indirectly except to the extent of his pecuniary interest therein. F6 · ownership.nature: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. F9 · ownership.nature: Represents $2,671,405.75 in accrued interest on the 2018 Convertible Debentures previously held of record by BRPI. Pursuant to the applicable Conversion Notice, such accrued interest was converted into shares of Common Stock at a conversion price equal to $0.33 on December 31, 2020. Read SEC document |
| December 30, 2020 Filed Jan 5, 2021 02:14 UTC |
BRC Group Holdings, Inc.10% owner
BRC Partners Opportunity Fund, LPSee Remarks
BRC Partners Management GP, LLCSee Remarks
B. RILEY CAPITAL MANAGEMENT, LLCSee Remarks
B. RILEY PRINCIPAL INVESTMENTS, LLC10% owner
BRF Finance Co., LLCSee Remarks
RILEY BRYANT R10% owner
|
ConversionCommon Stock, par value $0.01 per share | 29,929,714 | $0.33 | $9,876,805.62 |
DisclosureSEC source: 0001213900-21-000288 · ownership.xml · nonDerivative · entry 4 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · See Remarks BRC Partners Management GP, LLC · CIK 0001749420 · See Remarks B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · See Remarks B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner BRF Finance Co., LLC · CIK 0001835164 · See Remarks RILEY BRYANT R · CIK 0001207269 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By B. Riley Principal Investments, LLC Disclosed balance after: 52,066,635 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F5 · date: Pursuant to the terms of the 12% Senior Secured Subordinated Convertible Debentures of the Issuer (the "Convertible Debentures"), the principal amount of the Convertible Debentures may only be converted into shares of Common Stock in the event the Issuer amends its Certificate of Incorporation to authorize additional shares of Common Stock. On December 18, 2020, the Issuer filed such an amendment with the Delaware Secretary of State, and accordingly, the Convertible Debentures held of record by BRPI and BRPLP became convertible on December 18, 2020. F6 · date: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. F5 · kind: Pursuant to the terms of the 12% Senior Secured Subordinated Convertible Debentures of the Issuer (the "Convertible Debentures"), the principal amount of the Convertible Debentures may only be converted into shares of Common Stock in the event the Issuer amends its Certificate of Incorporation to authorize additional shares of Common Stock. On December 18, 2020, the Issuer filed such an amendment with the Delaware Secretary of State, and accordingly, the Convertible Debentures held of record by BRPI and BRPLP became convertible on December 18, 2020. F6 · kind: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. F5 · shares: Pursuant to the terms of the 12% Senior Secured Subordinated Convertible Debentures of the Issuer (the "Convertible Debentures"), the principal amount of the Convertible Debentures may only be converted into shares of Common Stock in the event the Issuer amends its Certificate of Incorporation to authorize additional shares of Common Stock. On December 18, 2020, the Issuer filed such an amendment with the Delaware Secretary of State, and accordingly, the Convertible Debentures held of record by BRPI and BRPLP became convertible on December 18, 2020. F6 · shares: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. F6 · price: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. F1 · ownership.nature: This Form 4 is filed jointly by B. Riley Financial, Inc., a Delaware corporation ("BRF"), BRC Partners Opportunity Fund, LP, a Delaware limited partnership ("BRPLP"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI"), BRF Finance Co., LLC, a Delaware limited liability company ("BRF Finance") and Bryant Riley. F2 · ownership.nature: BRPGP is a subsidiary of BRCM, a registered investment advisor, and is the general partner of BRPLP. BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the securities of theMaven, Inc. (the "Issuer") held of record by BRPLP. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the securities of the Issuer held of record by BRPI. BRF Finance is a wholly owned subsidiary of BRF. As a result, BRF may be deemed to indirectly beneficially own the securities of the Issuer held of record by BRF Finance. Each of BRF, BRPGP and BRCM expressly disclaims beneficial ownership of the securities of the Issuer reported herein held indirectly except to the extent of such Reporting Person's pecuniary interest therein. F3 · ownership.nature: Bryant Riley, as Chief Executive Officer of BRCM and Chairman and Co-Chief Executive Officer of BRF, has voting power and dispositive power over the securities of the Issuer held of record by BRPLP, BRPI and BRF Finance. As a result, Bryant Riley may be deemed to indirectly beneficially own the securities of the Issuer held of record by BRPLP, BRPI and BRF Finance. Mr. Riley expressly disclaims beneficial ownership of the securities of the Issuer reported herein held indirectly except to the extent of his pecuniary interest therein. F5 · ownership.nature: Pursuant to the terms of the 12% Senior Secured Subordinated Convertible Debentures of the Issuer (the "Convertible Debentures"), the principal amount of the Convertible Debentures may only be converted into shares of Common Stock in the event the Issuer amends its Certificate of Incorporation to authorize additional shares of Common Stock. On December 18, 2020, the Issuer filed such an amendment with the Delaware Secretary of State, and accordingly, the Convertible Debentures held of record by BRPI and BRPLP became convertible on December 18, 2020. F6 · ownership.nature: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. Read SEC document |
| December 30, 2020 Filed Jan 5, 2021 02:14 UTC |
BRC Group Holdings, Inc.10% owner
BRC Partners Opportunity Fund, LPSee Remarks
BRC Partners Management GP, LLCSee Remarks
B. RILEY CAPITAL MANAGEMENT, LLCSee Remarks
B. RILEY PRINCIPAL INVESTMENTS, LLC10% owner
BRF Finance Co., LLCSee Remarks
RILEY BRYANT R10% owner
|
ConversionCommon Stock, par value $0.01 per share | 66,207 | $0.40 | $26,482.80 |
DisclosureSEC source: 0001213900-21-000288 · ownership.xml · nonDerivative · entry 3 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · See Remarks BRC Partners Management GP, LLC · CIK 0001749420 · See Remarks B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · See Remarks B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner BRF Finance Co., LLC · CIK 0001835164 · See Remarks RILEY BRYANT R · CIK 0001207269 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By B. Riley Principal Investments, LLC Disclosed balance after: 22,136,921 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F6 · date: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. F6 · kind: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. F8 · kind: Represents $26,482.72 in accrued interest on the 2019 Convertible Debentures previously held of record by BRPI. Pursuant to the applicable Conversion Notice, such accrued interest was converted into shares of Common Stock at a conversion price equal to $0.40 on December 31, 2020. F6 · shares: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. F8 · shares: Represents $26,482.72 in accrued interest on the 2019 Convertible Debentures previously held of record by BRPI. Pursuant to the applicable Conversion Notice, such accrued interest was converted into shares of Common Stock at a conversion price equal to $0.40 on December 31, 2020. F6 · price: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. F1 · ownership.nature: This Form 4 is filed jointly by B. Riley Financial, Inc., a Delaware corporation ("BRF"), BRC Partners Opportunity Fund, LP, a Delaware limited partnership ("BRPLP"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI"), BRF Finance Co., LLC, a Delaware limited liability company ("BRF Finance") and Bryant Riley. F2 · ownership.nature: BRPGP is a subsidiary of BRCM, a registered investment advisor, and is the general partner of BRPLP. BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the securities of theMaven, Inc. (the "Issuer") held of record by BRPLP. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the securities of the Issuer held of record by BRPI. BRF Finance is a wholly owned subsidiary of BRF. As a result, BRF may be deemed to indirectly beneficially own the securities of the Issuer held of record by BRF Finance. Each of BRF, BRPGP and BRCM expressly disclaims beneficial ownership of the securities of the Issuer reported herein held indirectly except to the extent of such Reporting Person's pecuniary interest therein. F3 · ownership.nature: Bryant Riley, as Chief Executive Officer of BRCM and Chairman and Co-Chief Executive Officer of BRF, has voting power and dispositive power over the securities of the Issuer held of record by BRPLP, BRPI and BRF Finance. As a result, Bryant Riley may be deemed to indirectly beneficially own the securities of the Issuer held of record by BRPLP, BRPI and BRF Finance. Mr. Riley expressly disclaims beneficial ownership of the securities of the Issuer reported herein held indirectly except to the extent of his pecuniary interest therein. F6 · ownership.nature: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. F8 · ownership.nature: Represents $26,482.72 in accrued interest on the 2019 Convertible Debentures previously held of record by BRPI. Pursuant to the applicable Conversion Notice, such accrued interest was converted into shares of Common Stock at a conversion price equal to $0.40 on December 31, 2020. Read SEC document |
| December 30, 2020 Filed Jan 5, 2021 02:14 UTC |
BRC Group Holdings, Inc.10% owner
BRC Partners Opportunity Fund, LPSee Remarks
BRC Partners Management GP, LLCSee Remarks
B. RILEY CAPITAL MANAGEMENT, LLCSee Remarks
B. RILEY PRINCIPAL INVESTMENTS, LLC10% owner
BRF Finance Co., LLCSee Remarks
RILEY BRYANT R10% owner
|
ConversionCommon Stock, par value $0.01 per share | 285,000 | $0.40 | $114,000.00 |
DisclosureSEC source: 0001213900-21-000288 · ownership.xml · nonDerivative · entry 2 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · See Remarks BRC Partners Management GP, LLC · CIK 0001749420 · See Remarks B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · See Remarks B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner BRF Finance Co., LLC · CIK 0001835164 · See Remarks RILEY BRYANT R · CIK 0001207269 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By B. Riley Principal Investments, LLC Disclosed balance after: 22,070,714 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F5 · date: Pursuant to the terms of the 12% Senior Secured Subordinated Convertible Debentures of the Issuer (the "Convertible Debentures"), the principal amount of the Convertible Debentures may only be converted into shares of Common Stock in the event the Issuer amends its Certificate of Incorporation to authorize additional shares of Common Stock. On December 18, 2020, the Issuer filed such an amendment with the Delaware Secretary of State, and accordingly, the Convertible Debentures held of record by BRPI and BRPLP became convertible on December 18, 2020. F6 · date: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. F5 · kind: Pursuant to the terms of the 12% Senior Secured Subordinated Convertible Debentures of the Issuer (the "Convertible Debentures"), the principal amount of the Convertible Debentures may only be converted into shares of Common Stock in the event the Issuer amends its Certificate of Incorporation to authorize additional shares of Common Stock. On December 18, 2020, the Issuer filed such an amendment with the Delaware Secretary of State, and accordingly, the Convertible Debentures held of record by BRPI and BRPLP became convertible on December 18, 2020. F6 · kind: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. F5 · shares: Pursuant to the terms of the 12% Senior Secured Subordinated Convertible Debentures of the Issuer (the "Convertible Debentures"), the principal amount of the Convertible Debentures may only be converted into shares of Common Stock in the event the Issuer amends its Certificate of Incorporation to authorize additional shares of Common Stock. On December 18, 2020, the Issuer filed such an amendment with the Delaware Secretary of State, and accordingly, the Convertible Debentures held of record by BRPI and BRPLP became convertible on December 18, 2020. F6 · shares: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. F6 · price: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. F1 · ownership.nature: This Form 4 is filed jointly by B. Riley Financial, Inc., a Delaware corporation ("BRF"), BRC Partners Opportunity Fund, LP, a Delaware limited partnership ("BRPLP"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI"), BRF Finance Co., LLC, a Delaware limited liability company ("BRF Finance") and Bryant Riley. F2 · ownership.nature: BRPGP is a subsidiary of BRCM, a registered investment advisor, and is the general partner of BRPLP. BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the securities of theMaven, Inc. (the "Issuer") held of record by BRPLP. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the securities of the Issuer held of record by BRPI. BRF Finance is a wholly owned subsidiary of BRF. As a result, BRF may be deemed to indirectly beneficially own the securities of the Issuer held of record by BRF Finance. Each of BRF, BRPGP and BRCM expressly disclaims beneficial ownership of the securities of the Issuer reported herein held indirectly except to the extent of such Reporting Person's pecuniary interest therein. F3 · ownership.nature: Bryant Riley, as Chief Executive Officer of BRCM and Chairman and Co-Chief Executive Officer of BRF, has voting power and dispositive power over the securities of the Issuer held of record by BRPLP, BRPI and BRF Finance. As a result, Bryant Riley may be deemed to indirectly beneficially own the securities of the Issuer held of record by BRPLP, BRPI and BRF Finance. Mr. Riley expressly disclaims beneficial ownership of the securities of the Issuer reported herein held indirectly except to the extent of his pecuniary interest therein. F5 · ownership.nature: Pursuant to the terms of the 12% Senior Secured Subordinated Convertible Debentures of the Issuer (the "Convertible Debentures"), the principal amount of the Convertible Debentures may only be converted into shares of Common Stock in the event the Issuer amends its Certificate of Incorporation to authorize additional shares of Common Stock. On December 18, 2020, the Issuer filed such an amendment with the Delaware Secretary of State, and accordingly, the Convertible Debentures held of record by BRPI and BRPLP became convertible on December 18, 2020. F6 · ownership.nature: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. Read SEC document |
| December 30, 2020 Filed Feb 2, 2021 21:40 UTC Amendment |
BRC Group Holdings, Inc.10% owner
BRC Partners Opportunity Fund, LPSee Remarks
BRC Partners Management GP, LLCSee Remarks
B. RILEY CAPITAL MANAGEMENT, LLCSee Remarks
B. RILEY PRINCIPAL INVESTMENTS, LLC10% owner
BRF Finance Co., LLCSee Remarks
RILEY BRYANT R10% owner
|
ConversionCommon Stock, par value $0.01 per share | 1,241,488 | $0.33 | $409,691.04 |
DisclosureSEC source: 0001213900-21-006192 · ownership.xml · nonDerivative · entry 8 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · See Remarks BRC Partners Management GP, LLC · CIK 0001749420 · See Remarks B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · See Remarks B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner BRF Finance Co., LLC · CIK 0001835164 · See Remarks RILEY BRYANT R · CIK 0001207269 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By BRC Partners Opportunity Fund, LP Disclosed balance after: 7,612,089 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F6 · date: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. F6 · kind: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. F9 · kind: Represents $409,690.93 in accrued interest on the 2018 Convertible Debentures previously held of record by BRPLP. Pursuant to the applicable Conversion Notice, such accrued interest was converted into shares of Common Stock at a conversion price equal to $0.33 on December 31, 2020. F6 · shares: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. F9 · shares: Represents $409,690.93 in accrued interest on the 2018 Convertible Debentures previously held of record by BRPLP. Pursuant to the applicable Conversion Notice, such accrued interest was converted into shares of Common Stock at a conversion price equal to $0.33 on December 31, 2020. F6 · price: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. F10 · balance_after: This Form 4 amends the Form 4 filed jointly by the Reporting Persons on January 4, 2021 in order to correct the number of shares of Common Stock issued to BRPI and BRPLP upon the automatic conversion of the shares of Series J Preferred Stock previously held of record by BRPI and BRPLP due to corrected rounding information provided to the Reporting Persons by the Issuer. F1 · ownership.nature: This Form 4 is filed jointly by B. Riley Financial, Inc., a Delaware corporation ("BRF"), BRC Partners Opportunity Fund, LP, a Delaware limited partnership ("BRPLP"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI"), BRF Finance Co., LLC, a Delaware limited liability company ("BRF Finance") and Bryant Riley. F2 · ownership.nature: BRPGP is a subsidiary of BRCM, a registered investment advisor, and is the general partner of BRPLP. BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the securities of theMaven, Inc. (the "Issuer") held of record by BRPLP. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the securities of the Issuer held of record by BRPI. BRF Finance is a wholly owned subsidiary of BRF. As a result, BRF may be deemed to indirectly beneficially own the securities of the Issuer held of record by BRF Finance. Each of BRF, BRPGP and BRCM expressly disclaims beneficial ownership of the securities of the Issuer reported herein held indirectly except to the extent of such Reporting Person's pecuniary interest therein. F3 · ownership.nature: Bryant Riley, as Chief Executive Officer of BRCM and Chairman and Co-Chief Executive Officer of BRF, has voting power and dispositive power over the securities of the Issuer held of record by BRPLP, BRPI and BRF Finance. As a result, Bryant Riley may be deemed to indirectly beneficially own the securities of the Issuer held of record by BRPLP, BRPI and BRF Finance. Mr. Riley expressly disclaims beneficial ownership of the securities of the Issuer reported herein held indirectly except to the extent of his pecuniary interest therein. F6 · ownership.nature: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. F9 · ownership.nature: Represents $409,690.93 in accrued interest on the 2018 Convertible Debentures previously held of record by BRPLP. Pursuant to the applicable Conversion Notice, such accrued interest was converted into shares of Common Stock at a conversion price equal to $0.33 on December 31, 2020. Read SEC document |
| December 30, 2020 Filed Feb 2, 2021 21:40 UTC Amendment |
BRC Group Holdings, Inc.10% owner
BRC Partners Opportunity Fund, LPSee Remarks
BRC Partners Management GP, LLCSee Remarks
B. RILEY CAPITAL MANAGEMENT, LLCSee Remarks
B. RILEY PRINCIPAL INVESTMENTS, LLC10% owner
BRF Finance Co., LLCSee Remarks
RILEY BRYANT R10% owner
|
ConversionCommon Stock, par value $0.01 per share | 4,590,067 | $0.33 | $1,514,722.11 |
DisclosureSEC source: 0001213900-21-006192 · ownership.xml · nonDerivative · entry 7 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · See Remarks BRC Partners Management GP, LLC · CIK 0001749420 · See Remarks B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · See Remarks B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner BRF Finance Co., LLC · CIK 0001835164 · See Remarks RILEY BRYANT R · CIK 0001207269 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By BRC Partners Opportunity Fund, LP Disclosed balance after: 6,370,601 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F5 · date: Pursuant to the terms of the 12% Senior Secured Subordinated Convertible Debentures of the Issuer (the "Convertible Debentures"), the principal amount of the Convertible Debentures may only be converted into shares of Common Stock in the event the Issuer amends its Certificate of Incorporation to authorize additional shares of Common Stock. On December 18, 2020, the Issuer filed such an amendment with the Delaware Secretary of State, and accordingly, the Convertible Debentures held of record by BRPI and BRPLP became convertible on December 18, 2020. F6 · date: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. F5 · kind: Pursuant to the terms of the 12% Senior Secured Subordinated Convertible Debentures of the Issuer (the "Convertible Debentures"), the principal amount of the Convertible Debentures may only be converted into shares of Common Stock in the event the Issuer amends its Certificate of Incorporation to authorize additional shares of Common Stock. On December 18, 2020, the Issuer filed such an amendment with the Delaware Secretary of State, and accordingly, the Convertible Debentures held of record by BRPI and BRPLP became convertible on December 18, 2020. F6 · kind: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. F5 · shares: Pursuant to the terms of the 12% Senior Secured Subordinated Convertible Debentures of the Issuer (the "Convertible Debentures"), the principal amount of the Convertible Debentures may only be converted into shares of Common Stock in the event the Issuer amends its Certificate of Incorporation to authorize additional shares of Common Stock. On December 18, 2020, the Issuer filed such an amendment with the Delaware Secretary of State, and accordingly, the Convertible Debentures held of record by BRPI and BRPLP became convertible on December 18, 2020. F6 · shares: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. F6 · price: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. F10 · balance_after: This Form 4 amends the Form 4 filed jointly by the Reporting Persons on January 4, 2021 in order to correct the number of shares of Common Stock issued to BRPI and BRPLP upon the automatic conversion of the shares of Series J Preferred Stock previously held of record by BRPI and BRPLP due to corrected rounding information provided to the Reporting Persons by the Issuer. F1 · ownership.nature: This Form 4 is filed jointly by B. Riley Financial, Inc., a Delaware corporation ("BRF"), BRC Partners Opportunity Fund, LP, a Delaware limited partnership ("BRPLP"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI"), BRF Finance Co., LLC, a Delaware limited liability company ("BRF Finance") and Bryant Riley. F2 · ownership.nature: BRPGP is a subsidiary of BRCM, a registered investment advisor, and is the general partner of BRPLP. BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the securities of theMaven, Inc. (the "Issuer") held of record by BRPLP. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the securities of the Issuer held of record by BRPI. BRF Finance is a wholly owned subsidiary of BRF. As a result, BRF may be deemed to indirectly beneficially own the securities of the Issuer held of record by BRF Finance. Each of BRF, BRPGP and BRCM expressly disclaims beneficial ownership of the securities of the Issuer reported herein held indirectly except to the extent of such Reporting Person's pecuniary interest therein. F3 · ownership.nature: Bryant Riley, as Chief Executive Officer of BRCM and Chairman and Co-Chief Executive Officer of BRF, has voting power and dispositive power over the securities of the Issuer held of record by BRPLP, BRPI and BRF Finance. As a result, Bryant Riley may be deemed to indirectly beneficially own the securities of the Issuer held of record by BRPLP, BRPI and BRF Finance. Mr. Riley expressly disclaims beneficial ownership of the securities of the Issuer reported herein held indirectly except to the extent of his pecuniary interest therein. F5 · ownership.nature: Pursuant to the terms of the 12% Senior Secured Subordinated Convertible Debentures of the Issuer (the "Convertible Debentures"), the principal amount of the Convertible Debentures may only be converted into shares of Common Stock in the event the Issuer amends its Certificate of Incorporation to authorize additional shares of Common Stock. On December 18, 2020, the Issuer filed such an amendment with the Delaware Secretary of State, and accordingly, the Convertible Debentures held of record by BRPI and BRPLP became convertible on December 18, 2020. F6 · ownership.nature: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. Read SEC document |
| December 30, 2020 Filed Feb 2, 2021 21:40 UTC Amendment |
BRC Group Holdings, Inc.10% owner
BRC Partners Opportunity Fund, LPSee Remarks
BRC Partners Management GP, LLCSee Remarks
B. RILEY CAPITAL MANAGEMENT, LLCSee Remarks
B. RILEY PRINCIPAL INVESTMENTS, LLC10% owner
BRF Finance Co., LLCSee Remarks
RILEY BRYANT R10% owner
|
ConversionCommon Stock, par value $0.01 per share | 8,095,169 | $0.33 | $2,671,405.77 |
DisclosureSEC source: 0001213900-21-006192 · ownership.xml · nonDerivative · entry 5 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · See Remarks BRC Partners Management GP, LLC · CIK 0001749420 · See Remarks B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · See Remarks B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner BRF Finance Co., LLC · CIK 0001835164 · See Remarks RILEY BRYANT R · CIK 0001207269 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By B. Riley Principal Investments, LLC Disclosed balance after: 60,168,340 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F6 · date: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. F6 · kind: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. F8 · kind: Represents $2,671,405.75 in accrued interest on the 2018 Convertible Debentures previously held of record by BRPI. Pursuant to the applicable Conversion Notice, such accrued interest was converted into shares of Common Stock at a conversion price equal to $0.33 on December 31, 2020. F6 · shares: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. F8 · shares: Represents $2,671,405.75 in accrued interest on the 2018 Convertible Debentures previously held of record by BRPI. Pursuant to the applicable Conversion Notice, such accrued interest was converted into shares of Common Stock at a conversion price equal to $0.33 on December 31, 2020. F6 · price: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. F10 · balance_after: This Form 4 amends the Form 4 filed jointly by the Reporting Persons on January 4, 2021 in order to correct the number of shares of Common Stock issued to BRPI and BRPLP upon the automatic conversion of the shares of Series J Preferred Stock previously held of record by BRPI and BRPLP due to corrected rounding information provided to the Reporting Persons by the Issuer. F1 · ownership.nature: This Form 4 is filed jointly by B. Riley Financial, Inc., a Delaware corporation ("BRF"), BRC Partners Opportunity Fund, LP, a Delaware limited partnership ("BRPLP"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI"), BRF Finance Co., LLC, a Delaware limited liability company ("BRF Finance") and Bryant Riley. F2 · ownership.nature: BRPGP is a subsidiary of BRCM, a registered investment advisor, and is the general partner of BRPLP. BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the securities of theMaven, Inc. (the "Issuer") held of record by BRPLP. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the securities of the Issuer held of record by BRPI. BRF Finance is a wholly owned subsidiary of BRF. As a result, BRF may be deemed to indirectly beneficially own the securities of the Issuer held of record by BRF Finance. Each of BRF, BRPGP and BRCM expressly disclaims beneficial ownership of the securities of the Issuer reported herein held indirectly except to the extent of such Reporting Person's pecuniary interest therein. F3 · ownership.nature: Bryant Riley, as Chief Executive Officer of BRCM and Chairman and Co-Chief Executive Officer of BRF, has voting power and dispositive power over the securities of the Issuer held of record by BRPLP, BRPI and BRF Finance. As a result, Bryant Riley may be deemed to indirectly beneficially own the securities of the Issuer held of record by BRPLP, BRPI and BRF Finance. Mr. Riley expressly disclaims beneficial ownership of the securities of the Issuer reported herein held indirectly except to the extent of his pecuniary interest therein. F6 · ownership.nature: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. F8 · ownership.nature: Represents $2,671,405.75 in accrued interest on the 2018 Convertible Debentures previously held of record by BRPI. Pursuant to the applicable Conversion Notice, such accrued interest was converted into shares of Common Stock at a conversion price equal to $0.33 on December 31, 2020. Read SEC document |
| December 30, 2020 Filed Feb 2, 2021 21:40 UTC Amendment |
BRC Group Holdings, Inc.10% owner
BRC Partners Opportunity Fund, LPSee Remarks
BRC Partners Management GP, LLCSee Remarks
B. RILEY CAPITAL MANAGEMENT, LLCSee Remarks
B. RILEY PRINCIPAL INVESTMENTS, LLC10% owner
BRF Finance Co., LLCSee Remarks
RILEY BRYANT R10% owner
|
ConversionCommon Stock, par value $0.01 per share | 29,929,714 | $0.33 | $9,876,805.62 |
DisclosureSEC source: 0001213900-21-006192 · ownership.xml · nonDerivative · entry 4 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · See Remarks BRC Partners Management GP, LLC · CIK 0001749420 · See Remarks B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · See Remarks B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner BRF Finance Co., LLC · CIK 0001835164 · See Remarks RILEY BRYANT R · CIK 0001207269 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By B. Riley Principal Investments, LLC Disclosed balance after: 52,073,171 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F5 · date: Pursuant to the terms of the 12% Senior Secured Subordinated Convertible Debentures of the Issuer (the "Convertible Debentures"), the principal amount of the Convertible Debentures may only be converted into shares of Common Stock in the event the Issuer amends its Certificate of Incorporation to authorize additional shares of Common Stock. On December 18, 2020, the Issuer filed such an amendment with the Delaware Secretary of State, and accordingly, the Convertible Debentures held of record by BRPI and BRPLP became convertible on December 18, 2020. F6 · date: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. F5 · kind: Pursuant to the terms of the 12% Senior Secured Subordinated Convertible Debentures of the Issuer (the "Convertible Debentures"), the principal amount of the Convertible Debentures may only be converted into shares of Common Stock in the event the Issuer amends its Certificate of Incorporation to authorize additional shares of Common Stock. On December 18, 2020, the Issuer filed such an amendment with the Delaware Secretary of State, and accordingly, the Convertible Debentures held of record by BRPI and BRPLP became convertible on December 18, 2020. F6 · kind: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. F5 · shares: Pursuant to the terms of the 12% Senior Secured Subordinated Convertible Debentures of the Issuer (the "Convertible Debentures"), the principal amount of the Convertible Debentures may only be converted into shares of Common Stock in the event the Issuer amends its Certificate of Incorporation to authorize additional shares of Common Stock. On December 18, 2020, the Issuer filed such an amendment with the Delaware Secretary of State, and accordingly, the Convertible Debentures held of record by BRPI and BRPLP became convertible on December 18, 2020. F6 · shares: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. F6 · price: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. F10 · balance_after: This Form 4 amends the Form 4 filed jointly by the Reporting Persons on January 4, 2021 in order to correct the number of shares of Common Stock issued to BRPI and BRPLP upon the automatic conversion of the shares of Series J Preferred Stock previously held of record by BRPI and BRPLP due to corrected rounding information provided to the Reporting Persons by the Issuer. F1 · ownership.nature: This Form 4 is filed jointly by B. Riley Financial, Inc., a Delaware corporation ("BRF"), BRC Partners Opportunity Fund, LP, a Delaware limited partnership ("BRPLP"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI"), BRF Finance Co., LLC, a Delaware limited liability company ("BRF Finance") and Bryant Riley. F2 · ownership.nature: BRPGP is a subsidiary of BRCM, a registered investment advisor, and is the general partner of BRPLP. BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the securities of theMaven, Inc. (the "Issuer") held of record by BRPLP. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the securities of the Issuer held of record by BRPI. BRF Finance is a wholly owned subsidiary of BRF. As a result, BRF may be deemed to indirectly beneficially own the securities of the Issuer held of record by BRF Finance. Each of BRF, BRPGP and BRCM expressly disclaims beneficial ownership of the securities of the Issuer reported herein held indirectly except to the extent of such Reporting Person's pecuniary interest therein. F3 · ownership.nature: Bryant Riley, as Chief Executive Officer of BRCM and Chairman and Co-Chief Executive Officer of BRF, has voting power and dispositive power over the securities of the Issuer held of record by BRPLP, BRPI and BRF Finance. As a result, Bryant Riley may be deemed to indirectly beneficially own the securities of the Issuer held of record by BRPLP, BRPI and BRF Finance. Mr. Riley expressly disclaims beneficial ownership of the securities of the Issuer reported herein held indirectly except to the extent of his pecuniary interest therein. F5 · ownership.nature: Pursuant to the terms of the 12% Senior Secured Subordinated Convertible Debentures of the Issuer (the "Convertible Debentures"), the principal amount of the Convertible Debentures may only be converted into shares of Common Stock in the event the Issuer amends its Certificate of Incorporation to authorize additional shares of Common Stock. On December 18, 2020, the Issuer filed such an amendment with the Delaware Secretary of State, and accordingly, the Convertible Debentures held of record by BRPI and BRPLP became convertible on December 18, 2020. F6 · ownership.nature: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. Read SEC document |
| December 30, 2020 Filed Feb 2, 2021 21:40 UTC Amendment |
BRC Group Holdings, Inc.10% owner
BRC Partners Opportunity Fund, LPSee Remarks
BRC Partners Management GP, LLCSee Remarks
B. RILEY CAPITAL MANAGEMENT, LLCSee Remarks
B. RILEY PRINCIPAL INVESTMENTS, LLC10% owner
BRF Finance Co., LLCSee Remarks
RILEY BRYANT R10% owner
|
ConversionCommon Stock, par value $0.01 per share | 66,207 | $0.40 | $26,482.80 |
DisclosureSEC source: 0001213900-21-006192 · ownership.xml · nonDerivative · entry 3 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · See Remarks BRC Partners Management GP, LLC · CIK 0001749420 · See Remarks B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · See Remarks B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner BRF Finance Co., LLC · CIK 0001835164 · See Remarks RILEY BRYANT R · CIK 0001207269 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By B. Riley Principal Investments, LLC Disclosed balance after: 22,143,457 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F6 · date: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. F6 · kind: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. F7 · kind: Represents $26,482.72 in accrued interest on the 2019 Convertible Debentures previously held of record by BRPI. Pursuant to the applicable Conversion Notice, such accrued interest was converted into shares of Common Stock at a conversion price equal to $0.40 on December 31, 2020. F6 · shares: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. F7 · shares: Represents $26,482.72 in accrued interest on the 2019 Convertible Debentures previously held of record by BRPI. Pursuant to the applicable Conversion Notice, such accrued interest was converted into shares of Common Stock at a conversion price equal to $0.40 on December 31, 2020. F6 · price: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. F10 · balance_after: This Form 4 amends the Form 4 filed jointly by the Reporting Persons on January 4, 2021 in order to correct the number of shares of Common Stock issued to BRPI and BRPLP upon the automatic conversion of the shares of Series J Preferred Stock previously held of record by BRPI and BRPLP due to corrected rounding information provided to the Reporting Persons by the Issuer. F1 · ownership.nature: This Form 4 is filed jointly by B. Riley Financial, Inc., a Delaware corporation ("BRF"), BRC Partners Opportunity Fund, LP, a Delaware limited partnership ("BRPLP"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI"), BRF Finance Co., LLC, a Delaware limited liability company ("BRF Finance") and Bryant Riley. F2 · ownership.nature: BRPGP is a subsidiary of BRCM, a registered investment advisor, and is the general partner of BRPLP. BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the securities of theMaven, Inc. (the "Issuer") held of record by BRPLP. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the securities of the Issuer held of record by BRPI. BRF Finance is a wholly owned subsidiary of BRF. As a result, BRF may be deemed to indirectly beneficially own the securities of the Issuer held of record by BRF Finance. Each of BRF, BRPGP and BRCM expressly disclaims beneficial ownership of the securities of the Issuer reported herein held indirectly except to the extent of such Reporting Person's pecuniary interest therein. F3 · ownership.nature: Bryant Riley, as Chief Executive Officer of BRCM and Chairman and Co-Chief Executive Officer of BRF, has voting power and dispositive power over the securities of the Issuer held of record by BRPLP, BRPI and BRF Finance. As a result, Bryant Riley may be deemed to indirectly beneficially own the securities of the Issuer held of record by BRPLP, BRPI and BRF Finance. Mr. Riley expressly disclaims beneficial ownership of the securities of the Issuer reported herein held indirectly except to the extent of his pecuniary interest therein. F6 · ownership.nature: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. F7 · ownership.nature: Represents $26,482.72 in accrued interest on the 2019 Convertible Debentures previously held of record by BRPI. Pursuant to the applicable Conversion Notice, such accrued interest was converted into shares of Common Stock at a conversion price equal to $0.40 on December 31, 2020. Read SEC document |
| December 30, 2020 Filed Feb 2, 2021 21:40 UTC Amendment |
BRC Group Holdings, Inc.10% owner
BRC Partners Opportunity Fund, LPSee Remarks
BRC Partners Management GP, LLCSee Remarks
B. RILEY CAPITAL MANAGEMENT, LLCSee Remarks
B. RILEY PRINCIPAL INVESTMENTS, LLC10% owner
BRF Finance Co., LLCSee Remarks
RILEY BRYANT R10% owner
|
ConversionCommon Stock, par value $0.01 per share | 285,000 | $0.40 | $114,000.00 |
DisclosureSEC source: 0001213900-21-006192 · ownership.xml · nonDerivative · entry 2 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · See Remarks BRC Partners Management GP, LLC · CIK 0001749420 · See Remarks B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · See Remarks B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner BRF Finance Co., LLC · CIK 0001835164 · See Remarks RILEY BRYANT R · CIK 0001207269 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By B. Riley Principal Investments, LLC Disclosed balance after: 22,077,250 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F5 · date: Pursuant to the terms of the 12% Senior Secured Subordinated Convertible Debentures of the Issuer (the "Convertible Debentures"), the principal amount of the Convertible Debentures may only be converted into shares of Common Stock in the event the Issuer amends its Certificate of Incorporation to authorize additional shares of Common Stock. On December 18, 2020, the Issuer filed such an amendment with the Delaware Secretary of State, and accordingly, the Convertible Debentures held of record by BRPI and BRPLP became convertible on December 18, 2020. F6 · date: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. F5 · kind: Pursuant to the terms of the 12% Senior Secured Subordinated Convertible Debentures of the Issuer (the "Convertible Debentures"), the principal amount of the Convertible Debentures may only be converted into shares of Common Stock in the event the Issuer amends its Certificate of Incorporation to authorize additional shares of Common Stock. On December 18, 2020, the Issuer filed such an amendment with the Delaware Secretary of State, and accordingly, the Convertible Debentures held of record by BRPI and BRPLP became convertible on December 18, 2020. F6 · kind: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. F5 · shares: Pursuant to the terms of the 12% Senior Secured Subordinated Convertible Debentures of the Issuer (the "Convertible Debentures"), the principal amount of the Convertible Debentures may only be converted into shares of Common Stock in the event the Issuer amends its Certificate of Incorporation to authorize additional shares of Common Stock. On December 18, 2020, the Issuer filed such an amendment with the Delaware Secretary of State, and accordingly, the Convertible Debentures held of record by BRPI and BRPLP became convertible on December 18, 2020. F6 · shares: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. F6 · price: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. F10 · balance_after: This Form 4 amends the Form 4 filed jointly by the Reporting Persons on January 4, 2021 in order to correct the number of shares of Common Stock issued to BRPI and BRPLP upon the automatic conversion of the shares of Series J Preferred Stock previously held of record by BRPI and BRPLP due to corrected rounding information provided to the Reporting Persons by the Issuer. F1 · ownership.nature: This Form 4 is filed jointly by B. Riley Financial, Inc., a Delaware corporation ("BRF"), BRC Partners Opportunity Fund, LP, a Delaware limited partnership ("BRPLP"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI"), BRF Finance Co., LLC, a Delaware limited liability company ("BRF Finance") and Bryant Riley. F2 · ownership.nature: BRPGP is a subsidiary of BRCM, a registered investment advisor, and is the general partner of BRPLP. BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the securities of theMaven, Inc. (the "Issuer") held of record by BRPLP. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the securities of the Issuer held of record by BRPI. BRF Finance is a wholly owned subsidiary of BRF. As a result, BRF may be deemed to indirectly beneficially own the securities of the Issuer held of record by BRF Finance. Each of BRF, BRPGP and BRCM expressly disclaims beneficial ownership of the securities of the Issuer reported herein held indirectly except to the extent of such Reporting Person's pecuniary interest therein. F3 · ownership.nature: Bryant Riley, as Chief Executive Officer of BRCM and Chairman and Co-Chief Executive Officer of BRF, has voting power and dispositive power over the securities of the Issuer held of record by BRPLP, BRPI and BRF Finance. As a result, Bryant Riley may be deemed to indirectly beneficially own the securities of the Issuer held of record by BRPLP, BRPI and BRF Finance. Mr. Riley expressly disclaims beneficial ownership of the securities of the Issuer reported herein held indirectly except to the extent of his pecuniary interest therein. F5 · ownership.nature: Pursuant to the terms of the 12% Senior Secured Subordinated Convertible Debentures of the Issuer (the "Convertible Debentures"), the principal amount of the Convertible Debentures may only be converted into shares of Common Stock in the event the Issuer amends its Certificate of Incorporation to authorize additional shares of Common Stock. On December 18, 2020, the Issuer filed such an amendment with the Delaware Secretary of State, and accordingly, the Convertible Debentures held of record by BRPI and BRPLP became convertible on December 18, 2020. F6 · ownership.nature: On December 30, 2020, BRPI and BRPLP each executed Irrevocable Notices of Conversion (each, a "Conversion Notice"), pursuant to which BRPI and BRPLP elected to convert the principal amount of the Convertible Debentures held by them, respectively, into shares of Common Stock at a conversion price equal to (i) $0.33 in respect of the Convertible Debentures purchased on December 12, 2018 (the "2018 Convertible Debentures"), and (ii) $0.40 in respect of the Convertible Debentures purchased on March 18, 2019 (the "2019 Convertible Debentures"). Pursuant to the terms of the Conversion Notices (and notwithstanding the fact that the terms of the Convertible Debentures do not expressly provide for the conversion of accrued interest into Common Stock), each of BRPI and BRPLP elected to convert the interest due on the Convertible Debentures into shares of Common Stock at the same conversion rate and terms governing conversion of the principal amount of such Convertible Debentures, as applicable. Read SEC document |
| December 28, 2020 Filed Dec 31, 2020 02:12 UTC |
Dialectic Antithesis Partners, LPSee Remarks
BR Dialectic Capital Management, LLCSee Remarks
|
Sale12% Senior Secured Subordinated Convertible Debentures · Derivative | Not disclosed | Not disclosed Strike: $0.33 | $500,000.00 |
DisclosureSEC source: 0001213900-20-045539 · ownership.xml · derivative · entry 2 Dialectic Antithesis Partners, LP · CIK 0001325552 · See Remarks BR Dialectic Capital Management, LLC · CIK 0001704985 · See Remarks Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock, par value $0.01 per share · 1,515,152 shares Expires 2020-12-31 F4 · derivative.exercise_price: The 12% Senior Secured Subordinated Convertible Debentures of the Issuer (the "Convertible Debentures") accrue interest at 12% per annum and mature on December 31, 2020. Pursuant to the terms of the Convertible Debentures, principal and interest accrued on the Convertible Debentures may only be converted into shares of the Issuer's common stock, par value $0.01 per share (the "Common Stock") in the event the Issuer amends its Certificate of Incorporation to authorize additional shares of Common Stock. On December 18, 2020, the Issuer filed such an amendment with the Delaware Secretary of State, and accordingly, the Convertible Debentures are now convertible into shares of Common Stock at the option of the holder prior to December 31, 2020 at a conversion price equal to $0.33 (subject to certain beneficial ownership limitations contained in the Convertible Debentures). F2 · kind: On December 28, 2020, Dialectic sold (i) 880 shares of Series H Preferred Stock (as defined below) and (ii) $500,000 in principal amount of Convertible Debentures (as defined below), plus interest and penalties accrued thereon, for an aggregate purchase price of $1,798,182. As a result of such sales, Dialectic ceased to beneficially own securities of the Issuer. As a result, Dialectic and BR Dialectic are no longer subject to Section 16 of the Securities and Exchange Act of 1934 with respect to securities of the Issuer. F2 · reported_value: On December 28, 2020, Dialectic sold (i) 880 shares of Series H Preferred Stock (as defined below) and (ii) $500,000 in principal amount of Convertible Debentures (as defined below), plus interest and penalties accrued thereon, for an aggregate purchase price of $1,798,182. As a result of such sales, Dialectic ceased to beneficially own securities of the Issuer. As a result, Dialectic and BR Dialectic are no longer subject to Section 16 of the Securities and Exchange Act of 1934 with respect to securities of the Issuer. F2 · price: On December 28, 2020, Dialectic sold (i) 880 shares of Series H Preferred Stock (as defined below) and (ii) $500,000 in principal amount of Convertible Debentures (as defined below), plus interest and penalties accrued thereon, for an aggregate purchase price of $1,798,182. As a result of such sales, Dialectic ceased to beneficially own securities of the Issuer. As a result, Dialectic and BR Dialectic are no longer subject to Section 16 of the Securities and Exchange Act of 1934 with respect to securities of the Issuer. F4 · derivative.exercise_date: The 12% Senior Secured Subordinated Convertible Debentures of the Issuer (the "Convertible Debentures") accrue interest at 12% per annum and mature on December 31, 2020. Pursuant to the terms of the Convertible Debentures, principal and interest accrued on the Convertible Debentures may only be converted into shares of the Issuer's common stock, par value $0.01 per share (the "Common Stock") in the event the Issuer amends its Certificate of Incorporation to authorize additional shares of Common Stock. On December 18, 2020, the Issuer filed such an amendment with the Delaware Secretary of State, and accordingly, the Convertible Debentures are now convertible into shares of Common Stock at the option of the holder prior to December 31, 2020 at a conversion price equal to $0.33 (subject to certain beneficial ownership limitations contained in the Convertible Debentures). F2 · balance_after: On December 28, 2020, Dialectic sold (i) 880 shares of Series H Preferred Stock (as defined below) and (ii) $500,000 in principal amount of Convertible Debentures (as defined below), plus interest and penalties accrued thereon, for an aggregate purchase price of $1,798,182. As a result of such sales, Dialectic ceased to beneficially own securities of the Issuer. As a result, Dialectic and BR Dialectic are no longer subject to Section 16 of the Securities and Exchange Act of 1934 with respect to securities of the Issuer. F1 · ownership.direct: This Form 4 is filed jointly by Dialectic Antithesis Partners, LP, a Delaware limited partnership ("Dialectic") and BR Dialectic Capital Management, LLC, a Delaware limited liability company ("BR Dialectic"). BR Dialectic is the general partner of, and an investment advisor to, Dialectic. As a result, BR Dialectic may be deemed to have indirectly beneficially owned the securities of theMaven, Inc. (the "Issuer") held of record by Dialectic prior to the transactions described in this Form 4. BR Dialectic expressly disclaims beneficial ownership of the securities of the Issuer reported herein held indirectly except to the extent of BR Dialectic's pecuniary interest in such securities. No other reporting person identified in the Form 3 filed with the Securities and Exchange Commission on December 4, 2020 had a pecuniary interest in the securities that are the subject of this Form 4. Read SEC document |
| December 28, 2020 Filed Dec 31, 2020 02:12 UTC |
Dialectic Antithesis Partners, LPSee Remarks
BR Dialectic Capital Management, LLCSee Remarks
|
SaleSeries H Preferred Stock, par value $0.01 per share · Derivative | 880 | Not disclosed Strike: $0.33 | Not disclosed |
DisclosureSEC source: 0001213900-20-045539 · ownership.xml · derivative · entry 1 Dialectic Antithesis Partners, LP · CIK 0001325552 · See Remarks BR Dialectic Capital Management, LLC · CIK 0001704985 · See Remarks Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock, par value $0.01 per share · 2,666,667 shares Expires not disclosed F3 · derivative.exercise_price: The Issuer issued its Series H Convertible Preferred Stock, par value $0.01 per share (the "Series H Preferred Stock") at a stated value equal to $1,000 per share. The Series H Preferred Stock is convertible at the option of the holder, subject to a beneficial ownership limitation of 4.99%, at a rate equal to the stated value of $1,000 per share divided by an initial conversion price equal to $0.33. The Series H Preferred Stock does not have an expiration date. F2 · kind: On December 28, 2020, Dialectic sold (i) 880 shares of Series H Preferred Stock (as defined below) and (ii) $500,000 in principal amount of Convertible Debentures (as defined below), plus interest and penalties accrued thereon, for an aggregate purchase price of $1,798,182. As a result of such sales, Dialectic ceased to beneficially own securities of the Issuer. As a result, Dialectic and BR Dialectic are no longer subject to Section 16 of the Securities and Exchange Act of 1934 with respect to securities of the Issuer. F2 · shares: On December 28, 2020, Dialectic sold (i) 880 shares of Series H Preferred Stock (as defined below) and (ii) $500,000 in principal amount of Convertible Debentures (as defined below), plus interest and penalties accrued thereon, for an aggregate purchase price of $1,798,182. As a result of such sales, Dialectic ceased to beneficially own securities of the Issuer. As a result, Dialectic and BR Dialectic are no longer subject to Section 16 of the Securities and Exchange Act of 1934 with respect to securities of the Issuer. F2 · price: On December 28, 2020, Dialectic sold (i) 880 shares of Series H Preferred Stock (as defined below) and (ii) $500,000 in principal amount of Convertible Debentures (as defined below), plus interest and penalties accrued thereon, for an aggregate purchase price of $1,798,182. As a result of such sales, Dialectic ceased to beneficially own securities of the Issuer. As a result, Dialectic and BR Dialectic are no longer subject to Section 16 of the Securities and Exchange Act of 1934 with respect to securities of the Issuer. F3 · derivative.expiration_date: The Issuer issued its Series H Convertible Preferred Stock, par value $0.01 per share (the "Series H Preferred Stock") at a stated value equal to $1,000 per share. The Series H Preferred Stock is convertible at the option of the holder, subject to a beneficial ownership limitation of 4.99%, at a rate equal to the stated value of $1,000 per share divided by an initial conversion price equal to $0.33. The Series H Preferred Stock does not have an expiration date. F2 · balance_after: On December 28, 2020, Dialectic sold (i) 880 shares of Series H Preferred Stock (as defined below) and (ii) $500,000 in principal amount of Convertible Debentures (as defined below), plus interest and penalties accrued thereon, for an aggregate purchase price of $1,798,182. As a result of such sales, Dialectic ceased to beneficially own securities of the Issuer. As a result, Dialectic and BR Dialectic are no longer subject to Section 16 of the Securities and Exchange Act of 1934 with respect to securities of the Issuer. F1 · ownership.direct: This Form 4 is filed jointly by Dialectic Antithesis Partners, LP, a Delaware limited partnership ("Dialectic") and BR Dialectic Capital Management, LLC, a Delaware limited liability company ("BR Dialectic"). BR Dialectic is the general partner of, and an investment advisor to, Dialectic. As a result, BR Dialectic may be deemed to have indirectly beneficially owned the securities of theMaven, Inc. (the "Issuer") held of record by Dialectic prior to the transactions described in this Form 4. BR Dialectic expressly disclaims beneficial ownership of the securities of the Issuer reported herein held indirectly except to the extent of BR Dialectic's pecuniary interest in such securities. No other reporting person identified in the Form 3 filed with the Securities and Exchange Commission on December 4, 2020 had a pecuniary interest in the securities that are the subject of this Form 4. Read SEC document |
| December 18, 2020 Filed Jan 5, 2021 02:14 UTC |
BRC Group Holdings, Inc.10% owner
BRC Partners Opportunity Fund, LPSee Remarks
BRC Partners Management GP, LLCSee Remarks
B. RILEY CAPITAL MANAGEMENT, LLCSee Remarks
B. RILEY PRINCIPAL INVESTMENTS, LLC10% owner
BRF Finance Co., LLCSee Remarks
RILEY BRYANT R10% owner
|
ConversionSeries K Preferred Stock, par value $0.01 per share · Derivative | 3,367 | $0.00 Strike: $0.40 | $0.00 |
DisclosureSEC source: 0001213900-21-000288 · ownership.xml · derivative · entry 21 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · See Remarks BRC Partners Management GP, LLC · CIK 0001749420 · See Remarks B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · See Remarks B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner BRF Finance Co., LLC · CIK 0001835164 · See Remarks RILEY BRYANT R · CIK 0001207269 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By BRF Finance Co., LLC Disclosed balance after: 0 Underlying: Common Stock, par value $0.01 per share · 8,417,500 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F7 · derivative.exercise_price: The Issuer issued it Series K Convertible Preferred Stock, par value $0.01 per share (the "Series K Preferred Stock") at a stated value equal to $1,000 per share. Pursuant to the terms of the Series K Preferred Stock, each share of Series K Preferred Stock automatically converts into shares of Common Stock at a rate equal to the stated value of $1,000 per share divided by the conversion price of $0.40 per share in the event the Issuer amends its Certificate of Incorporation to authorize additional shares of Common Stock. On December 18, 2020, the Issuer filed such an amendment with the Delaware Secretary of State, and accordingly, all shares of Series K Preferred Stock held of record by BRF Finance automatically converted into shares of Common Stock through no action of the Reporting Persons. The Series K Preferred Stock does not have an expiration date. F7 · date: The Issuer issued it Series K Convertible Preferred Stock, par value $0.01 per share (the "Series K Preferred Stock") at a stated value equal to $1,000 per share. Pursuant to the terms of the Series K Preferred Stock, each share of Series K Preferred Stock automatically converts into shares of Common Stock at a rate equal to the stated value of $1,000 per share divided by the conversion price of $0.40 per share in the event the Issuer amends its Certificate of Incorporation to authorize additional shares of Common Stock. On December 18, 2020, the Issuer filed such an amendment with the Delaware Secretary of State, and accordingly, all shares of Series K Preferred Stock held of record by BRF Finance automatically converted into shares of Common Stock through no action of the Reporting Persons. The Series K Preferred Stock does not have an expiration date. F7 · kind: The Issuer issued it Series K Convertible Preferred Stock, par value $0.01 per share (the "Series K Preferred Stock") at a stated value equal to $1,000 per share. Pursuant to the terms of the Series K Preferred Stock, each share of Series K Preferred Stock automatically converts into shares of Common Stock at a rate equal to the stated value of $1,000 per share divided by the conversion price of $0.40 per share in the event the Issuer amends its Certificate of Incorporation to authorize additional shares of Common Stock. On December 18, 2020, the Issuer filed such an amendment with the Delaware Secretary of State, and accordingly, all shares of Series K Preferred Stock held of record by BRF Finance automatically converted into shares of Common Stock through no action of the Reporting Persons. The Series K Preferred Stock does not have an expiration date. F7 · shares: The Issuer issued it Series K Convertible Preferred Stock, par value $0.01 per share (the "Series K Preferred Stock") at a stated value equal to $1,000 per share. Pursuant to the terms of the Series K Preferred Stock, each share of Series K Preferred Stock automatically converts into shares of Common Stock at a rate equal to the stated value of $1,000 per share divided by the conversion price of $0.40 per share in the event the Issuer amends its Certificate of Incorporation to authorize additional shares of Common Stock. On December 18, 2020, the Issuer filed such an amendment with the Delaware Secretary of State, and accordingly, all shares of Series K Preferred Stock held of record by BRF Finance automatically converted into shares of Common Stock through no action of the Reporting Persons. The Series K Preferred Stock does not have an expiration date. F7 · price: The Issuer issued it Series K Convertible Preferred Stock, par value $0.01 per share (the "Series K Preferred Stock") at a stated value equal to $1,000 per share. Pursuant to the terms of the Series K Preferred Stock, each share of Series K Preferred Stock automatically converts into shares of Common Stock at a rate equal to the stated value of $1,000 per share divided by the conversion price of $0.40 per share in the event the Issuer amends its Certificate of Incorporation to authorize additional shares of Common Stock. On December 18, 2020, the Issuer filed such an amendment with the Delaware Secretary of State, and accordingly, all shares of Series K Preferred Stock held of record by BRF Finance automatically converted into shares of Common Stock through no action of the Reporting Persons. The Series K Preferred Stock does not have an expiration date. F7 · derivative.exercise_date: The Issuer issued it Series K Convertible Preferred Stock, par value $0.01 per share (the "Series K Preferred Stock") at a stated value equal to $1,000 per share. Pursuant to the terms of the Series K Preferred Stock, each share of Series K Preferred Stock automatically converts into shares of Common Stock at a rate equal to the stated value of $1,000 per share divided by the conversion price of $0.40 per share in the event the Issuer amends its Certificate of Incorporation to authorize additional shares of Common Stock. On December 18, 2020, the Issuer filed such an amendment with the Delaware Secretary of State, and accordingly, all shares of Series K Preferred Stock held of record by BRF Finance automatically converted into shares of Common Stock through no action of the Reporting Persons. The Series K Preferred Stock does not have an expiration date. F7 · derivative.expiration_date: The Issuer issued it Series K Convertible Preferred Stock, par value $0.01 per share (the "Series K Preferred Stock") at a stated value equal to $1,000 per share. Pursuant to the terms of the Series K Preferred Stock, each share of Series K Preferred Stock automatically converts into shares of Common Stock at a rate equal to the stated value of $1,000 per share divided by the conversion price of $0.40 per share in the event the Issuer amends its Certificate of Incorporation to authorize additional shares of Common Stock. On December 18, 2020, the Issuer filed such an amendment with the Delaware Secretary of State, and accordingly, all shares of Series K Preferred Stock held of record by BRF Finance automatically converted into shares of Common Stock through no action of the Reporting Persons. The Series K Preferred Stock does not have an expiration date. F7 · derivative.underlying_shares: The Issuer issued it Series K Convertible Preferred Stock, par value $0.01 per share (the "Series K Preferred Stock") at a stated value equal to $1,000 per share. Pursuant to the terms of the Series K Preferred Stock, each share of Series K Preferred Stock automatically converts into shares of Common Stock at a rate equal to the stated value of $1,000 per share divided by the conversion price of $0.40 per share in the event the Issuer amends its Certificate of Incorporation to authorize additional shares of Common Stock. On December 18, 2020, the Issuer filed such an amendment with the Delaware Secretary of State, and accordingly, all shares of Series K Preferred Stock held of record by BRF Finance automatically converted into shares of Common Stock through no action of the Reporting Persons. The Series K Preferred Stock does not have an expiration date. F7 · balance_after: The Issuer issued it Series K Convertible Preferred Stock, par value $0.01 per share (the "Series K Preferred Stock") at a stated value equal to $1,000 per share. Pursuant to the terms of the Series K Preferred Stock, each share of Series K Preferred Stock automatically converts into shares of Common Stock at a rate equal to the stated value of $1,000 per share divided by the conversion price of $0.40 per share in the event the Issuer amends its Certificate of Incorporation to authorize additional shares of Common Stock. On December 18, 2020, the Issuer filed such an amendment with the Delaware Secretary of State, and accordingly, all shares of Series K Preferred Stock held of record by BRF Finance automatically converted into shares of Common Stock through no action of the Reporting Persons. The Series K Preferred Stock does not have an expiration date. F1 · ownership.nature: This Form 4 is filed jointly by B. Riley Financial, Inc., a Delaware corporation ("BRF"), BRC Partners Opportunity Fund, LP, a Delaware limited partnership ("BRPLP"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI"), BRF Finance Co., LLC, a Delaware limited liability company ("BRF Finance") and Bryant Riley. F2 · ownership.nature: BRPGP is a subsidiary of BRCM, a registered investment advisor, and is the general partner of BRPLP. BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the securities of theMaven, Inc. (the "Issuer") held of record by BRPLP. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the securities of the Issuer held of record by BRPI. BRF Finance is a wholly owned subsidiary of BRF. As a result, BRF may be deemed to indirectly beneficially own the securities of the Issuer held of record by BRF Finance. Each of BRF, BRPGP and BRCM expressly disclaims beneficial ownership of the securities of the Issuer reported herein held indirectly except to the extent of such Reporting Person's pecuniary interest therein. F3 · ownership.nature: Bryant Riley, as Chief Executive Officer of BRCM and Chairman and Co-Chief Executive Officer of BRF, has voting power and dispositive power over the securities of the Issuer held of record by BRPLP, BRPI and BRF Finance. As a result, Bryant Riley may be deemed to indirectly beneficially own the securities of the Issuer held of record by BRPLP, BRPI and BRF Finance. Mr. Riley expressly disclaims beneficial ownership of the securities of the Issuer reported herein held indirectly except to the extent of his pecuniary interest therein. F7 · ownership.nature: The Issuer issued it Series K Convertible Preferred Stock, par value $0.01 per share (the "Series K Preferred Stock") at a stated value equal to $1,000 per share. Pursuant to the terms of the Series K Preferred Stock, each share of Series K Preferred Stock automatically converts into shares of Common Stock at a rate equal to the stated value of $1,000 per share divided by the conversion price of $0.40 per share in the event the Issuer amends its Certificate of Incorporation to authorize additional shares of Common Stock. On December 18, 2020, the Issuer filed such an amendment with the Delaware Secretary of State, and accordingly, all shares of Series K Preferred Stock held of record by BRF Finance automatically converted into shares of Common Stock through no action of the Reporting Persons. The Series K Preferred Stock does not have an expiration date. Read SEC document |
| December 18, 2020 Filed Jan 5, 2021 02:14 UTC |
BRC Group Holdings, Inc.10% owner
BRC Partners Opportunity Fund, LPSee Remarks
BRC Partners Management GP, LLCSee Remarks
B. RILEY CAPITAL MANAGEMENT, LLCSee Remarks
B. RILEY PRINCIPAL INVESTMENTS, LLC10% owner
BRF Finance Co., LLCSee Remarks
RILEY BRYANT R10% owner
|
ConversionSeries J Preferred Stock, par value $0.01 per share · Derivative | 1,246 | $0.00 Strike: $0.70 | $0.00 |
DisclosureSEC source: 0001213900-21-000288 · ownership.xml · derivative · entry 11 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · See Remarks BRC Partners Management GP, LLC · CIK 0001749420 · See Remarks B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · See Remarks B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner BRF Finance Co., LLC · CIK 0001835164 · See Remarks RILEY BRYANT R · CIK 0001207269 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By BRC Partners Opportunity Fund, LP Disclosed balance after: 0 Underlying: Common Stock, par value $0.01 per share · 1,780,000 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · derivative.exercise_price: The Issuer issued its Series J Convertible Preferred Stock, par value $0.01 per share (the "Series J Preferred Stock") at a stated value equal to $1,000 per share. Pursuant to the terms of the Series J Preferred Stock, each share of Series J Preferred Stock automatically converts into shares of the Issuer's common stock, par value $0.01 per share (the "Common Stock") at a rate equal to the stated value of $1,000 per share divided by the conversion price of $0.70 per share in the event the Issuer amends its Certificate of Incorporation to authorize additional shares of Common Stock. On December 18, 2020, the Issuer filed such an amendment with the Delaware Secretary of State, and accordingly, all shares of Series J Preferred Stock held of record by BRPI and BRPLP automatically converted into shares of Common Stock through no action of the Reporting Persons. The Series J Preferred Stock does not have an expiration date. F4 · date: The Issuer issued its Series J Convertible Preferred Stock, par value $0.01 per share (the "Series J Preferred Stock") at a stated value equal to $1,000 per share. Pursuant to the terms of the Series J Preferred Stock, each share of Series J Preferred Stock automatically converts into shares of the Issuer's common stock, par value $0.01 per share (the "Common Stock") at a rate equal to the stated value of $1,000 per share divided by the conversion price of $0.70 per share in the event the Issuer amends its Certificate of Incorporation to authorize additional shares of Common Stock. On December 18, 2020, the Issuer filed such an amendment with the Delaware Secretary of State, and accordingly, all shares of Series J Preferred Stock held of record by BRPI and BRPLP automatically converted into shares of Common Stock through no action of the Reporting Persons. The Series J Preferred Stock does not have an expiration date. F4 · kind: The Issuer issued its Series J Convertible Preferred Stock, par value $0.01 per share (the "Series J Preferred Stock") at a stated value equal to $1,000 per share. Pursuant to the terms of the Series J Preferred Stock, each share of Series J Preferred Stock automatically converts into shares of the Issuer's common stock, par value $0.01 per share (the "Common Stock") at a rate equal to the stated value of $1,000 per share divided by the conversion price of $0.70 per share in the event the Issuer amends its Certificate of Incorporation to authorize additional shares of Common Stock. On December 18, 2020, the Issuer filed such an amendment with the Delaware Secretary of State, and accordingly, all shares of Series J Preferred Stock held of record by BRPI and BRPLP automatically converted into shares of Common Stock through no action of the Reporting Persons. The Series J Preferred Stock does not have an expiration date. F4 · shares: The Issuer issued its Series J Convertible Preferred Stock, par value $0.01 per share (the "Series J Preferred Stock") at a stated value equal to $1,000 per share. Pursuant to the terms of the Series J Preferred Stock, each share of Series J Preferred Stock automatically converts into shares of the Issuer's common stock, par value $0.01 per share (the "Common Stock") at a rate equal to the stated value of $1,000 per share divided by the conversion price of $0.70 per share in the event the Issuer amends its Certificate of Incorporation to authorize additional shares of Common Stock. On December 18, 2020, the Issuer filed such an amendment with the Delaware Secretary of State, and accordingly, all shares of Series J Preferred Stock held of record by BRPI and BRPLP automatically converted into shares of Common Stock through no action of the Reporting Persons. The Series J Preferred Stock does not have an expiration date. F4 · price: The Issuer issued its Series J Convertible Preferred Stock, par value $0.01 per share (the "Series J Preferred Stock") at a stated value equal to $1,000 per share. Pursuant to the terms of the Series J Preferred Stock, each share of Series J Preferred Stock automatically converts into shares of the Issuer's common stock, par value $0.01 per share (the "Common Stock") at a rate equal to the stated value of $1,000 per share divided by the conversion price of $0.70 per share in the event the Issuer amends its Certificate of Incorporation to authorize additional shares of Common Stock. On December 18, 2020, the Issuer filed such an amendment with the Delaware Secretary of State, and accordingly, all shares of Series J Preferred Stock held of record by BRPI and BRPLP automatically converted into shares of Common Stock through no action of the Reporting Persons. The Series J Preferred Stock does not have an expiration date. F4 · derivative.exercise_date: The Issuer issued its Series J Convertible Preferred Stock, par value $0.01 per share (the "Series J Preferred Stock") at a stated value equal to $1,000 per share. Pursuant to the terms of the Series J Preferred Stock, each share of Series J Preferred Stock automatically converts into shares of the Issuer's common stock, par value $0.01 per share (the "Common Stock") at a rate equal to the stated value of $1,000 per share divided by the conversion price of $0.70 per share in the event the Issuer amends its Certificate of Incorporation to authorize additional shares of Common Stock. On December 18, 2020, the Issuer filed such an amendment with the Delaware Secretary of State, and accordingly, all shares of Series J Preferred Stock held of record by BRPI and BRPLP automatically converted into shares of Common Stock through no action of the Reporting Persons. The Series J Preferred Stock does not have an expiration date. F4 · derivative.expiration_date: The Issuer issued its Series J Convertible Preferred Stock, par value $0.01 per share (the "Series J Preferred Stock") at a stated value equal to $1,000 per share. Pursuant to the terms of the Series J Preferred Stock, each share of Series J Preferred Stock automatically converts into shares of the Issuer's common stock, par value $0.01 per share (the "Common Stock") at a rate equal to the stated value of $1,000 per share divided by the conversion price of $0.70 per share in the event the Issuer amends its Certificate of Incorporation to authorize additional shares of Common Stock. On December 18, 2020, the Issuer filed such an amendment with the Delaware Secretary of State, and accordingly, all shares of Series J Preferred Stock held of record by BRPI and BRPLP automatically converted into shares of Common Stock through no action of the Reporting Persons. The Series J Preferred Stock does not have an expiration date. F4 · derivative.underlying_shares: The Issuer issued its Series J Convertible Preferred Stock, par value $0.01 per share (the "Series J Preferred Stock") at a stated value equal to $1,000 per share. Pursuant to the terms of the Series J Preferred Stock, each share of Series J Preferred Stock automatically converts into shares of the Issuer's common stock, par value $0.01 per share (the "Common Stock") at a rate equal to the stated value of $1,000 per share divided by the conversion price of $0.70 per share in the event the Issuer amends its Certificate of Incorporation to authorize additional shares of Common Stock. On December 18, 2020, the Issuer filed such an amendment with the Delaware Secretary of State, and accordingly, all shares of Series J Preferred Stock held of record by BRPI and BRPLP automatically converted into shares of Common Stock through no action of the Reporting Persons. The Series J Preferred Stock does not have an expiration date. F4 · balance_after: The Issuer issued its Series J Convertible Preferred Stock, par value $0.01 per share (the "Series J Preferred Stock") at a stated value equal to $1,000 per share. Pursuant to the terms of the Series J Preferred Stock, each share of Series J Preferred Stock automatically converts into shares of the Issuer's common stock, par value $0.01 per share (the "Common Stock") at a rate equal to the stated value of $1,000 per share divided by the conversion price of $0.70 per share in the event the Issuer amends its Certificate of Incorporation to authorize additional shares of Common Stock. On December 18, 2020, the Issuer filed such an amendment with the Delaware Secretary of State, and accordingly, all shares of Series J Preferred Stock held of record by BRPI and BRPLP automatically converted into shares of Common Stock through no action of the Reporting Persons. The Series J Preferred Stock does not have an expiration date. F1 · ownership.nature: This Form 4 is filed jointly by B. Riley Financial, Inc., a Delaware corporation ("BRF"), BRC Partners Opportunity Fund, LP, a Delaware limited partnership ("BRPLP"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI"), BRF Finance Co., LLC, a Delaware limited liability company ("BRF Finance") and Bryant Riley. F2 · ownership.nature: BRPGP is a subsidiary of BRCM, a registered investment advisor, and is the general partner of BRPLP. BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the securities of theMaven, Inc. (the "Issuer") held of record by BRPLP. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the securities of the Issuer held of record by BRPI. BRF Finance is a wholly owned subsidiary of BRF. As a result, BRF may be deemed to indirectly beneficially own the securities of the Issuer held of record by BRF Finance. Each of BRF, BRPGP and BRCM expressly disclaims beneficial ownership of the securities of the Issuer reported herein held indirectly except to the extent of such Reporting Person's pecuniary interest therein. F3 · ownership.nature: Bryant Riley, as Chief Executive Officer of BRCM and Chairman and Co-Chief Executive Officer of BRF, has voting power and dispositive power over the securities of the Issuer held of record by BRPLP, BRPI and BRF Finance. As a result, Bryant Riley may be deemed to indirectly beneficially own the securities of the Issuer held of record by BRPLP, BRPI and BRF Finance. Mr. Riley expressly disclaims beneficial ownership of the securities of the Issuer reported herein held indirectly except to the extent of his pecuniary interest therein. F4 · ownership.nature: The Issuer issued its Series J Convertible Preferred Stock, par value $0.01 per share (the "Series J Preferred Stock") at a stated value equal to $1,000 per share. Pursuant to the terms of the Series J Preferred Stock, each share of Series J Preferred Stock automatically converts into shares of the Issuer's common stock, par value $0.01 per share (the "Common Stock") at a rate equal to the stated value of $1,000 per share divided by the conversion price of $0.70 per share in the event the Issuer amends its Certificate of Incorporation to authorize additional shares of Common Stock. On December 18, 2020, the Issuer filed such an amendment with the Delaware Secretary of State, and accordingly, all shares of Series J Preferred Stock held of record by BRPI and BRPLP automatically converted into shares of Common Stock through no action of the Reporting Persons. The Series J Preferred Stock does not have an expiration date. Read SEC document |
| December 18, 2020 Filed Jan 5, 2021 02:14 UTC |
BRC Group Holdings, Inc.10% owner
BRC Partners Opportunity Fund, LPSee Remarks
BRC Partners Management GP, LLCSee Remarks
B. RILEY CAPITAL MANAGEMENT, LLCSee Remarks
B. RILEY PRINCIPAL INVESTMENTS, LLC10% owner
BRF Finance Co., LLCSee Remarks
RILEY BRYANT R10% owner
|
ConversionSeries J Preferred Stock, par value $0.01 per share · Derivative | 15,250 | $0.00 Strike: $0.70 | $0.00 |
DisclosureSEC source: 0001213900-21-000288 · ownership.xml · derivative · entry 10 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · See Remarks BRC Partners Management GP, LLC · CIK 0001749420 · See Remarks B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · See Remarks B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner BRF Finance Co., LLC · CIK 0001835164 · See Remarks RILEY BRYANT R · CIK 0001207269 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By B. Riley Principal Investments, LLC Disclosed balance after: 0 Underlying: Common Stock, par value $0.01 per share · 21,785,714 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · derivative.exercise_price: The Issuer issued its Series J Convertible Preferred Stock, par value $0.01 per share (the "Series J Preferred Stock") at a stated value equal to $1,000 per share. Pursuant to the terms of the Series J Preferred Stock, each share of Series J Preferred Stock automatically converts into shares of the Issuer's common stock, par value $0.01 per share (the "Common Stock") at a rate equal to the stated value of $1,000 per share divided by the conversion price of $0.70 per share in the event the Issuer amends its Certificate of Incorporation to authorize additional shares of Common Stock. On December 18, 2020, the Issuer filed such an amendment with the Delaware Secretary of State, and accordingly, all shares of Series J Preferred Stock held of record by BRPI and BRPLP automatically converted into shares of Common Stock through no action of the Reporting Persons. The Series J Preferred Stock does not have an expiration date. F4 · date: The Issuer issued its Series J Convertible Preferred Stock, par value $0.01 per share (the "Series J Preferred Stock") at a stated value equal to $1,000 per share. Pursuant to the terms of the Series J Preferred Stock, each share of Series J Preferred Stock automatically converts into shares of the Issuer's common stock, par value $0.01 per share (the "Common Stock") at a rate equal to the stated value of $1,000 per share divided by the conversion price of $0.70 per share in the event the Issuer amends its Certificate of Incorporation to authorize additional shares of Common Stock. On December 18, 2020, the Issuer filed such an amendment with the Delaware Secretary of State, and accordingly, all shares of Series J Preferred Stock held of record by BRPI and BRPLP automatically converted into shares of Common Stock through no action of the Reporting Persons. The Series J Preferred Stock does not have an expiration date. F4 · kind: The Issuer issued its Series J Convertible Preferred Stock, par value $0.01 per share (the "Series J Preferred Stock") at a stated value equal to $1,000 per share. Pursuant to the terms of the Series J Preferred Stock, each share of Series J Preferred Stock automatically converts into shares of the Issuer's common stock, par value $0.01 per share (the "Common Stock") at a rate equal to the stated value of $1,000 per share divided by the conversion price of $0.70 per share in the event the Issuer amends its Certificate of Incorporation to authorize additional shares of Common Stock. On December 18, 2020, the Issuer filed such an amendment with the Delaware Secretary of State, and accordingly, all shares of Series J Preferred Stock held of record by BRPI and BRPLP automatically converted into shares of Common Stock through no action of the Reporting Persons. The Series J Preferred Stock does not have an expiration date. F4 · shares: The Issuer issued its Series J Convertible Preferred Stock, par value $0.01 per share (the "Series J Preferred Stock") at a stated value equal to $1,000 per share. Pursuant to the terms of the Series J Preferred Stock, each share of Series J Preferred Stock automatically converts into shares of the Issuer's common stock, par value $0.01 per share (the "Common Stock") at a rate equal to the stated value of $1,000 per share divided by the conversion price of $0.70 per share in the event the Issuer amends its Certificate of Incorporation to authorize additional shares of Common Stock. On December 18, 2020, the Issuer filed such an amendment with the Delaware Secretary of State, and accordingly, all shares of Series J Preferred Stock held of record by BRPI and BRPLP automatically converted into shares of Common Stock through no action of the Reporting Persons. The Series J Preferred Stock does not have an expiration date. F4 · price: The Issuer issued its Series J Convertible Preferred Stock, par value $0.01 per share (the "Series J Preferred Stock") at a stated value equal to $1,000 per share. Pursuant to the terms of the Series J Preferred Stock, each share of Series J Preferred Stock automatically converts into shares of the Issuer's common stock, par value $0.01 per share (the "Common Stock") at a rate equal to the stated value of $1,000 per share divided by the conversion price of $0.70 per share in the event the Issuer amends its Certificate of Incorporation to authorize additional shares of Common Stock. On December 18, 2020, the Issuer filed such an amendment with the Delaware Secretary of State, and accordingly, all shares of Series J Preferred Stock held of record by BRPI and BRPLP automatically converted into shares of Common Stock through no action of the Reporting Persons. The Series J Preferred Stock does not have an expiration date. F4 · derivative.exercise_date: The Issuer issued its Series J Convertible Preferred Stock, par value $0.01 per share (the "Series J Preferred Stock") at a stated value equal to $1,000 per share. Pursuant to the terms of the Series J Preferred Stock, each share of Series J Preferred Stock automatically converts into shares of the Issuer's common stock, par value $0.01 per share (the "Common Stock") at a rate equal to the stated value of $1,000 per share divided by the conversion price of $0.70 per share in the event the Issuer amends its Certificate of Incorporation to authorize additional shares of Common Stock. On December 18, 2020, the Issuer filed such an amendment with the Delaware Secretary of State, and accordingly, all shares of Series J Preferred Stock held of record by BRPI and BRPLP automatically converted into shares of Common Stock through no action of the Reporting Persons. The Series J Preferred Stock does not have an expiration date. F4 · derivative.expiration_date: The Issuer issued its Series J Convertible Preferred Stock, par value $0.01 per share (the "Series J Preferred Stock") at a stated value equal to $1,000 per share. Pursuant to the terms of the Series J Preferred Stock, each share of Series J Preferred Stock automatically converts into shares of the Issuer's common stock, par value $0.01 per share (the "Common Stock") at a rate equal to the stated value of $1,000 per share divided by the conversion price of $0.70 per share in the event the Issuer amends its Certificate of Incorporation to authorize additional shares of Common Stock. On December 18, 2020, the Issuer filed such an amendment with the Delaware Secretary of State, and accordingly, all shares of Series J Preferred Stock held of record by BRPI and BRPLP automatically converted into shares of Common Stock through no action of the Reporting Persons. The Series J Preferred Stock does not have an expiration date. F4 · derivative.underlying_shares: The Issuer issued its Series J Convertible Preferred Stock, par value $0.01 per share (the "Series J Preferred Stock") at a stated value equal to $1,000 per share. Pursuant to the terms of the Series J Preferred Stock, each share of Series J Preferred Stock automatically converts into shares of the Issuer's common stock, par value $0.01 per share (the "Common Stock") at a rate equal to the stated value of $1,000 per share divided by the conversion price of $0.70 per share in the event the Issuer amends its Certificate of Incorporation to authorize additional shares of Common Stock. On December 18, 2020, the Issuer filed such an amendment with the Delaware Secretary of State, and accordingly, all shares of Series J Preferred Stock held of record by BRPI and BRPLP automatically converted into shares of Common Stock through no action of the Reporting Persons. The Series J Preferred Stock does not have an expiration date. F4 · balance_after: The Issuer issued its Series J Convertible Preferred Stock, par value $0.01 per share (the "Series J Preferred Stock") at a stated value equal to $1,000 per share. Pursuant to the terms of the Series J Preferred Stock, each share of Series J Preferred Stock automatically converts into shares of the Issuer's common stock, par value $0.01 per share (the "Common Stock") at a rate equal to the stated value of $1,000 per share divided by the conversion price of $0.70 per share in the event the Issuer amends its Certificate of Incorporation to authorize additional shares of Common Stock. On December 18, 2020, the Issuer filed such an amendment with the Delaware Secretary of State, and accordingly, all shares of Series J Preferred Stock held of record by BRPI and BRPLP automatically converted into shares of Common Stock through no action of the Reporting Persons. The Series J Preferred Stock does not have an expiration date. F1 · ownership.nature: This Form 4 is filed jointly by B. Riley Financial, Inc., a Delaware corporation ("BRF"), BRC Partners Opportunity Fund, LP, a Delaware limited partnership ("BRPLP"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI"), BRF Finance Co., LLC, a Delaware limited liability company ("BRF Finance") and Bryant Riley. F2 · ownership.nature: BRPGP is a subsidiary of BRCM, a registered investment advisor, and is the general partner of BRPLP. BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the securities of theMaven, Inc. (the "Issuer") held of record by BRPLP. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the securities of the Issuer held of record by BRPI. BRF Finance is a wholly owned subsidiary of BRF. As a result, BRF may be deemed to indirectly beneficially own the securities of the Issuer held of record by BRF Finance. Each of BRF, BRPGP and BRCM expressly disclaims beneficial ownership of the securities of the Issuer reported herein held indirectly except to the extent of such Reporting Person's pecuniary interest therein. F3 · ownership.nature: Bryant Riley, as Chief Executive Officer of BRCM and Chairman and Co-Chief Executive Officer of BRF, has voting power and dispositive power over the securities of the Issuer held of record by BRPLP, BRPI and BRF Finance. As a result, Bryant Riley may be deemed to indirectly beneficially own the securities of the Issuer held of record by BRPLP, BRPI and BRF Finance. Mr. Riley expressly disclaims beneficial ownership of the securities of the Issuer reported herein held indirectly except to the extent of his pecuniary interest therein. F4 · ownership.nature: The Issuer issued its Series J Convertible Preferred Stock, par value $0.01 per share (the "Series J Preferred Stock") at a stated value equal to $1,000 per share. Pursuant to the terms of the Series J Preferred Stock, each share of Series J Preferred Stock automatically converts into shares of the Issuer's common stock, par value $0.01 per share (the "Common Stock") at a rate equal to the stated value of $1,000 per share divided by the conversion price of $0.70 per share in the event the Issuer amends its Certificate of Incorporation to authorize additional shares of Common Stock. On December 18, 2020, the Issuer filed such an amendment with the Delaware Secretary of State, and accordingly, all shares of Series J Preferred Stock held of record by BRPI and BRPLP automatically converted into shares of Common Stock through no action of the Reporting Persons. The Series J Preferred Stock does not have an expiration date. Read SEC document |
| December 18, 2020 Filed Jan 5, 2021 02:14 UTC |
BRC Group Holdings, Inc.10% owner
BRC Partners Opportunity Fund, LPSee Remarks
BRC Partners Management GP, LLCSee Remarks
B. RILEY CAPITAL MANAGEMENT, LLCSee Remarks
B. RILEY PRINCIPAL INVESTMENTS, LLC10% owner
BRF Finance Co., LLCSee Remarks
RILEY BRYANT R10% owner
|
ConversionCommon Stock, par value $0.01 per share | 8,417,500 | $0.40 | $3,367,000.00 |
DisclosureSEC source: 0001213900-21-000288 · ownership.xml · nonDerivative · entry 9 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · See Remarks BRC Partners Management GP, LLC · CIK 0001749420 · See Remarks B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · See Remarks B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner BRF Finance Co., LLC · CIK 0001835164 · See Remarks RILEY BRYANT R · CIK 0001207269 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By BRF Finance Co., LLC Disclosed balance after: 8,417,500 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F7 · date: The Issuer issued it Series K Convertible Preferred Stock, par value $0.01 per share (the "Series K Preferred Stock") at a stated value equal to $1,000 per share. Pursuant to the terms of the Series K Preferred Stock, each share of Series K Preferred Stock automatically converts into shares of Common Stock at a rate equal to the stated value of $1,000 per share divided by the conversion price of $0.40 per share in the event the Issuer amends its Certificate of Incorporation to authorize additional shares of Common Stock. On December 18, 2020, the Issuer filed such an amendment with the Delaware Secretary of State, and accordingly, all shares of Series K Preferred Stock held of record by BRF Finance automatically converted into shares of Common Stock through no action of the Reporting Persons. The Series K Preferred Stock does not have an expiration date. F7 · kind: The Issuer issued it Series K Convertible Preferred Stock, par value $0.01 per share (the "Series K Preferred Stock") at a stated value equal to $1,000 per share. Pursuant to the terms of the Series K Preferred Stock, each share of Series K Preferred Stock automatically converts into shares of Common Stock at a rate equal to the stated value of $1,000 per share divided by the conversion price of $0.40 per share in the event the Issuer amends its Certificate of Incorporation to authorize additional shares of Common Stock. On December 18, 2020, the Issuer filed such an amendment with the Delaware Secretary of State, and accordingly, all shares of Series K Preferred Stock held of record by BRF Finance automatically converted into shares of Common Stock through no action of the Reporting Persons. The Series K Preferred Stock does not have an expiration date. F7 · shares: The Issuer issued it Series K Convertible Preferred Stock, par value $0.01 per share (the "Series K Preferred Stock") at a stated value equal to $1,000 per share. Pursuant to the terms of the Series K Preferred Stock, each share of Series K Preferred Stock automatically converts into shares of Common Stock at a rate equal to the stated value of $1,000 per share divided by the conversion price of $0.40 per share in the event the Issuer amends its Certificate of Incorporation to authorize additional shares of Common Stock. On December 18, 2020, the Issuer filed such an amendment with the Delaware Secretary of State, and accordingly, all shares of Series K Preferred Stock held of record by BRF Finance automatically converted into shares of Common Stock through no action of the Reporting Persons. The Series K Preferred Stock does not have an expiration date. F7 · price: The Issuer issued it Series K Convertible Preferred Stock, par value $0.01 per share (the "Series K Preferred Stock") at a stated value equal to $1,000 per share. Pursuant to the terms of the Series K Preferred Stock, each share of Series K Preferred Stock automatically converts into shares of Common Stock at a rate equal to the stated value of $1,000 per share divided by the conversion price of $0.40 per share in the event the Issuer amends its Certificate of Incorporation to authorize additional shares of Common Stock. On December 18, 2020, the Issuer filed such an amendment with the Delaware Secretary of State, and accordingly, all shares of Series K Preferred Stock held of record by BRF Finance automatically converted into shares of Common Stock through no action of the Reporting Persons. The Series K Preferred Stock does not have an expiration date. F1 · ownership.nature: This Form 4 is filed jointly by B. Riley Financial, Inc., a Delaware corporation ("BRF"), BRC Partners Opportunity Fund, LP, a Delaware limited partnership ("BRPLP"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI"), BRF Finance Co., LLC, a Delaware limited liability company ("BRF Finance") and Bryant Riley. F2 · ownership.nature: BRPGP is a subsidiary of BRCM, a registered investment advisor, and is the general partner of BRPLP. BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the securities of theMaven, Inc. (the "Issuer") held of record by BRPLP. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the securities of the Issuer held of record by BRPI. BRF Finance is a wholly owned subsidiary of BRF. As a result, BRF may be deemed to indirectly beneficially own the securities of the Issuer held of record by BRF Finance. Each of BRF, BRPGP and BRCM expressly disclaims beneficial ownership of the securities of the Issuer reported herein held indirectly except to the extent of such Reporting Person's pecuniary interest therein. F3 · ownership.nature: Bryant Riley, as Chief Executive Officer of BRCM and Chairman and Co-Chief Executive Officer of BRF, has voting power and dispositive power over the securities of the Issuer held of record by BRPLP, BRPI and BRF Finance. As a result, Bryant Riley may be deemed to indirectly beneficially own the securities of the Issuer held of record by BRPLP, BRPI and BRF Finance. Mr. Riley expressly disclaims beneficial ownership of the securities of the Issuer reported herein held indirectly except to the extent of his pecuniary interest therein. F7 · ownership.nature: The Issuer issued it Series K Convertible Preferred Stock, par value $0.01 per share (the "Series K Preferred Stock") at a stated value equal to $1,000 per share. Pursuant to the terms of the Series K Preferred Stock, each share of Series K Preferred Stock automatically converts into shares of Common Stock at a rate equal to the stated value of $1,000 per share divided by the conversion price of $0.40 per share in the event the Issuer amends its Certificate of Incorporation to authorize additional shares of Common Stock. On December 18, 2020, the Issuer filed such an amendment with the Delaware Secretary of State, and accordingly, all shares of Series K Preferred Stock held of record by BRF Finance automatically converted into shares of Common Stock through no action of the Reporting Persons. The Series K Preferred Stock does not have an expiration date. Read SEC document |
| December 18, 2020 Filed Jan 5, 2021 02:14 UTC |
BRC Group Holdings, Inc.10% owner
BRC Partners Opportunity Fund, LPSee Remarks
BRC Partners Management GP, LLCSee Remarks
B. RILEY CAPITAL MANAGEMENT, LLCSee Remarks
B. RILEY PRINCIPAL INVESTMENTS, LLC10% owner
BRF Finance Co., LLCSee Remarks
RILEY BRYANT R10% owner
|
ConversionCommon Stock, par value $0.01 per share | 1,780,000 | $0.70 | $1,246,000.00 |
DisclosureSEC source: 0001213900-21-000288 · ownership.xml · nonDerivative · entry 6 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · See Remarks BRC Partners Management GP, LLC · CIK 0001749420 · See Remarks B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · See Remarks B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner BRF Finance Co., LLC · CIK 0001835164 · See Remarks RILEY BRYANT R · CIK 0001207269 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By BRC Partners Opportunity Fund, LP Disclosed balance after: 1,780,000 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · date: The Issuer issued its Series J Convertible Preferred Stock, par value $0.01 per share (the "Series J Preferred Stock") at a stated value equal to $1,000 per share. Pursuant to the terms of the Series J Preferred Stock, each share of Series J Preferred Stock automatically converts into shares of the Issuer's common stock, par value $0.01 per share (the "Common Stock") at a rate equal to the stated value of $1,000 per share divided by the conversion price of $0.70 per share in the event the Issuer amends its Certificate of Incorporation to authorize additional shares of Common Stock. On December 18, 2020, the Issuer filed such an amendment with the Delaware Secretary of State, and accordingly, all shares of Series J Preferred Stock held of record by BRPI and BRPLP automatically converted into shares of Common Stock through no action of the Reporting Persons. The Series J Preferred Stock does not have an expiration date. F4 · kind: The Issuer issued its Series J Convertible Preferred Stock, par value $0.01 per share (the "Series J Preferred Stock") at a stated value equal to $1,000 per share. Pursuant to the terms of the Series J Preferred Stock, each share of Series J Preferred Stock automatically converts into shares of the Issuer's common stock, par value $0.01 per share (the "Common Stock") at a rate equal to the stated value of $1,000 per share divided by the conversion price of $0.70 per share in the event the Issuer amends its Certificate of Incorporation to authorize additional shares of Common Stock. On December 18, 2020, the Issuer filed such an amendment with the Delaware Secretary of State, and accordingly, all shares of Series J Preferred Stock held of record by BRPI and BRPLP automatically converted into shares of Common Stock through no action of the Reporting Persons. The Series J Preferred Stock does not have an expiration date. F4 · shares: The Issuer issued its Series J Convertible Preferred Stock, par value $0.01 per share (the "Series J Preferred Stock") at a stated value equal to $1,000 per share. Pursuant to the terms of the Series J Preferred Stock, each share of Series J Preferred Stock automatically converts into shares of the Issuer's common stock, par value $0.01 per share (the "Common Stock") at a rate equal to the stated value of $1,000 per share divided by the conversion price of $0.70 per share in the event the Issuer amends its Certificate of Incorporation to authorize additional shares of Common Stock. On December 18, 2020, the Issuer filed such an amendment with the Delaware Secretary of State, and accordingly, all shares of Series J Preferred Stock held of record by BRPI and BRPLP automatically converted into shares of Common Stock through no action of the Reporting Persons. The Series J Preferred Stock does not have an expiration date. F4 · price: The Issuer issued its Series J Convertible Preferred Stock, par value $0.01 per share (the "Series J Preferred Stock") at a stated value equal to $1,000 per share. Pursuant to the terms of the Series J Preferred Stock, each share of Series J Preferred Stock automatically converts into shares of the Issuer's common stock, par value $0.01 per share (the "Common Stock") at a rate equal to the stated value of $1,000 per share divided by the conversion price of $0.70 per share in the event the Issuer amends its Certificate of Incorporation to authorize additional shares of Common Stock. On December 18, 2020, the Issuer filed such an amendment with the Delaware Secretary of State, and accordingly, all shares of Series J Preferred Stock held of record by BRPI and BRPLP automatically converted into shares of Common Stock through no action of the Reporting Persons. The Series J Preferred Stock does not have an expiration date. F1 · ownership.nature: This Form 4 is filed jointly by B. Riley Financial, Inc., a Delaware corporation ("BRF"), BRC Partners Opportunity Fund, LP, a Delaware limited partnership ("BRPLP"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI"), BRF Finance Co., LLC, a Delaware limited liability company ("BRF Finance") and Bryant Riley. F2 · ownership.nature: BRPGP is a subsidiary of BRCM, a registered investment advisor, and is the general partner of BRPLP. BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the securities of theMaven, Inc. (the "Issuer") held of record by BRPLP. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the securities of the Issuer held of record by BRPI. BRF Finance is a wholly owned subsidiary of BRF. As a result, BRF may be deemed to indirectly beneficially own the securities of the Issuer held of record by BRF Finance. Each of BRF, BRPGP and BRCM expressly disclaims beneficial ownership of the securities of the Issuer reported herein held indirectly except to the extent of such Reporting Person's pecuniary interest therein. F3 · ownership.nature: Bryant Riley, as Chief Executive Officer of BRCM and Chairman and Co-Chief Executive Officer of BRF, has voting power and dispositive power over the securities of the Issuer held of record by BRPLP, BRPI and BRF Finance. As a result, Bryant Riley may be deemed to indirectly beneficially own the securities of the Issuer held of record by BRPLP, BRPI and BRF Finance. Mr. Riley expressly disclaims beneficial ownership of the securities of the Issuer reported herein held indirectly except to the extent of his pecuniary interest therein. F4 · ownership.nature: The Issuer issued its Series J Convertible Preferred Stock, par value $0.01 per share (the "Series J Preferred Stock") at a stated value equal to $1,000 per share. Pursuant to the terms of the Series J Preferred Stock, each share of Series J Preferred Stock automatically converts into shares of the Issuer's common stock, par value $0.01 per share (the "Common Stock") at a rate equal to the stated value of $1,000 per share divided by the conversion price of $0.70 per share in the event the Issuer amends its Certificate of Incorporation to authorize additional shares of Common Stock. On December 18, 2020, the Issuer filed such an amendment with the Delaware Secretary of State, and accordingly, all shares of Series J Preferred Stock held of record by BRPI and BRPLP automatically converted into shares of Common Stock through no action of the Reporting Persons. The Series J Preferred Stock does not have an expiration date. Read SEC document |
| December 18, 2020 Filed Jan 5, 2021 02:14 UTC |
BRC Group Holdings, Inc.10% owner
BRC Partners Opportunity Fund, LPSee Remarks
BRC Partners Management GP, LLCSee Remarks
B. RILEY CAPITAL MANAGEMENT, LLCSee Remarks
B. RILEY PRINCIPAL INVESTMENTS, LLC10% owner
BRF Finance Co., LLCSee Remarks
RILEY BRYANT R10% owner
|
ConversionCommon Stock, par value $0.01 per share | 21,785,714 | $0.70 | $15,249,999.80 |
DisclosureSEC source: 0001213900-21-000288 · ownership.xml · nonDerivative · entry 1 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · See Remarks BRC Partners Management GP, LLC · CIK 0001749420 · See Remarks B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · See Remarks B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner BRF Finance Co., LLC · CIK 0001835164 · See Remarks RILEY BRYANT R · CIK 0001207269 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By B. Riley Principal Investments, LLC Disclosed balance after: 21,785,714 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · date: The Issuer issued its Series J Convertible Preferred Stock, par value $0.01 per share (the "Series J Preferred Stock") at a stated value equal to $1,000 per share. Pursuant to the terms of the Series J Preferred Stock, each share of Series J Preferred Stock automatically converts into shares of the Issuer's common stock, par value $0.01 per share (the "Common Stock") at a rate equal to the stated value of $1,000 per share divided by the conversion price of $0.70 per share in the event the Issuer amends its Certificate of Incorporation to authorize additional shares of Common Stock. On December 18, 2020, the Issuer filed such an amendment with the Delaware Secretary of State, and accordingly, all shares of Series J Preferred Stock held of record by BRPI and BRPLP automatically converted into shares of Common Stock through no action of the Reporting Persons. The Series J Preferred Stock does not have an expiration date. F4 · kind: The Issuer issued its Series J Convertible Preferred Stock, par value $0.01 per share (the "Series J Preferred Stock") at a stated value equal to $1,000 per share. Pursuant to the terms of the Series J Preferred Stock, each share of Series J Preferred Stock automatically converts into shares of the Issuer's common stock, par value $0.01 per share (the "Common Stock") at a rate equal to the stated value of $1,000 per share divided by the conversion price of $0.70 per share in the event the Issuer amends its Certificate of Incorporation to authorize additional shares of Common Stock. On December 18, 2020, the Issuer filed such an amendment with the Delaware Secretary of State, and accordingly, all shares of Series J Preferred Stock held of record by BRPI and BRPLP automatically converted into shares of Common Stock through no action of the Reporting Persons. The Series J Preferred Stock does not have an expiration date. F4 · shares: The Issuer issued its Series J Convertible Preferred Stock, par value $0.01 per share (the "Series J Preferred Stock") at a stated value equal to $1,000 per share. Pursuant to the terms of the Series J Preferred Stock, each share of Series J Preferred Stock automatically converts into shares of the Issuer's common stock, par value $0.01 per share (the "Common Stock") at a rate equal to the stated value of $1,000 per share divided by the conversion price of $0.70 per share in the event the Issuer amends its Certificate of Incorporation to authorize additional shares of Common Stock. On December 18, 2020, the Issuer filed such an amendment with the Delaware Secretary of State, and accordingly, all shares of Series J Preferred Stock held of record by BRPI and BRPLP automatically converted into shares of Common Stock through no action of the Reporting Persons. The Series J Preferred Stock does not have an expiration date. F4 · price: The Issuer issued its Series J Convertible Preferred Stock, par value $0.01 per share (the "Series J Preferred Stock") at a stated value equal to $1,000 per share. Pursuant to the terms of the Series J Preferred Stock, each share of Series J Preferred Stock automatically converts into shares of the Issuer's common stock, par value $0.01 per share (the "Common Stock") at a rate equal to the stated value of $1,000 per share divided by the conversion price of $0.70 per share in the event the Issuer amends its Certificate of Incorporation to authorize additional shares of Common Stock. On December 18, 2020, the Issuer filed such an amendment with the Delaware Secretary of State, and accordingly, all shares of Series J Preferred Stock held of record by BRPI and BRPLP automatically converted into shares of Common Stock through no action of the Reporting Persons. The Series J Preferred Stock does not have an expiration date. F1 · ownership.nature: This Form 4 is filed jointly by B. Riley Financial, Inc., a Delaware corporation ("BRF"), BRC Partners Opportunity Fund, LP, a Delaware limited partnership ("BRPLP"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI"), BRF Finance Co., LLC, a Delaware limited liability company ("BRF Finance") and Bryant Riley. F2 · ownership.nature: BRPGP is a subsidiary of BRCM, a registered investment advisor, and is the general partner of BRPLP. BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the securities of theMaven, Inc. (the "Issuer") held of record by BRPLP. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the securities of the Issuer held of record by BRPI. BRF Finance is a wholly owned subsidiary of BRF. As a result, BRF may be deemed to indirectly beneficially own the securities of the Issuer held of record by BRF Finance. Each of BRF, BRPGP and BRCM expressly disclaims beneficial ownership of the securities of the Issuer reported herein held indirectly except to the extent of such Reporting Person's pecuniary interest therein. F3 · ownership.nature: Bryant Riley, as Chief Executive Officer of BRCM and Chairman and Co-Chief Executive Officer of BRF, has voting power and dispositive power over the securities of the Issuer held of record by BRPLP, BRPI and BRF Finance. As a result, Bryant Riley may be deemed to indirectly beneficially own the securities of the Issuer held of record by BRPLP, BRPI and BRF Finance. Mr. Riley expressly disclaims beneficial ownership of the securities of the Issuer reported herein held indirectly except to the extent of his pecuniary interest therein. F4 · ownership.nature: The Issuer issued its Series J Convertible Preferred Stock, par value $0.01 per share (the "Series J Preferred Stock") at a stated value equal to $1,000 per share. Pursuant to the terms of the Series J Preferred Stock, each share of Series J Preferred Stock automatically converts into shares of the Issuer's common stock, par value $0.01 per share (the "Common Stock") at a rate equal to the stated value of $1,000 per share divided by the conversion price of $0.70 per share in the event the Issuer amends its Certificate of Incorporation to authorize additional shares of Common Stock. On December 18, 2020, the Issuer filed such an amendment with the Delaware Secretary of State, and accordingly, all shares of Series J Preferred Stock held of record by BRPI and BRPLP automatically converted into shares of Common Stock through no action of the Reporting Persons. The Series J Preferred Stock does not have an expiration date. Read SEC document |
| December 18, 2020 Filed Jan 4, 2021 21:25 UTC |
180 DEGREE CAPITAL CORP. /NY/See Remarks
|
ConversionSeries J Preferred Stock, par value $0.01 per share · Derivative | 5,250 | $0.00 Strike: $0.70 | $0.00 |
DisclosureSEC source: 0000893739-21-000002 · wf-form4_160979551365554.xml · derivative · entry 6 180 DEGREE CAPITAL CORP. /NY/ · CIK 0000893739 · See Remarks 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 Underlying: Common Stock, par value $0.01 per share · 7,500,000 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · date: The Issuer issued its Series J Convertible Preferred Stock, par value $0.01 per share (the "Series J Preferred Stock") at a stated value equal to $1,000 per share. Pursuant to the terms of the Series J Preferred Stock, each share of Series J Preferred Stock automatically converts into shares of the Issuer's Common Stock at a rate equal to the stated value of $1,000 per share divided by the conversion price of $0.70 per share and rounded up for any fractional shares in the event the Issuer amends its Certificate of Incorporation to authorize additional shares of Common Stock. On December 18, 2020, the Issuer filed such an amendment with the Delaware Secretary of State, and accordingly, all shares of Series J Preferred Stock held directly or indirectly by the Reporting Person automatically converted into shares of Common Stock through no action of the Reporting Persons. The Series J Preferred Stock did not have an expiration date. F2 · kind: The Issuer issued its Series J Convertible Preferred Stock, par value $0.01 per share (the "Series J Preferred Stock") at a stated value equal to $1,000 per share. Pursuant to the terms of the Series J Preferred Stock, each share of Series J Preferred Stock automatically converts into shares of the Issuer's Common Stock at a rate equal to the stated value of $1,000 per share divided by the conversion price of $0.70 per share and rounded up for any fractional shares in the event the Issuer amends its Certificate of Incorporation to authorize additional shares of Common Stock. On December 18, 2020, the Issuer filed such an amendment with the Delaware Secretary of State, and accordingly, all shares of Series J Preferred Stock held directly or indirectly by the Reporting Person automatically converted into shares of Common Stock through no action of the Reporting Persons. The Series J Preferred Stock did not have an expiration date. F2 · shares: The Issuer issued its Series J Convertible Preferred Stock, par value $0.01 per share (the "Series J Preferred Stock") at a stated value equal to $1,000 per share. Pursuant to the terms of the Series J Preferred Stock, each share of Series J Preferred Stock automatically converts into shares of the Issuer's Common Stock at a rate equal to the stated value of $1,000 per share divided by the conversion price of $0.70 per share and rounded up for any fractional shares in the event the Issuer amends its Certificate of Incorporation to authorize additional shares of Common Stock. On December 18, 2020, the Issuer filed such an amendment with the Delaware Secretary of State, and accordingly, all shares of Series J Preferred Stock held directly or indirectly by the Reporting Person automatically converted into shares of Common Stock through no action of the Reporting Persons. The Series J Preferred Stock did not have an expiration date. F2 · derivative.exercise_date: The Issuer issued its Series J Convertible Preferred Stock, par value $0.01 per share (the "Series J Preferred Stock") at a stated value equal to $1,000 per share. Pursuant to the terms of the Series J Preferred Stock, each share of Series J Preferred Stock automatically converts into shares of the Issuer's Common Stock at a rate equal to the stated value of $1,000 per share divided by the conversion price of $0.70 per share and rounded up for any fractional shares in the event the Issuer amends its Certificate of Incorporation to authorize additional shares of Common Stock. On December 18, 2020, the Issuer filed such an amendment with the Delaware Secretary of State, and accordingly, all shares of Series J Preferred Stock held directly or indirectly by the Reporting Person automatically converted into shares of Common Stock through no action of the Reporting Persons. The Series J Preferred Stock did not have an expiration date. F2 · derivative.expiration_date: The Issuer issued its Series J Convertible Preferred Stock, par value $0.01 per share (the "Series J Preferred Stock") at a stated value equal to $1,000 per share. Pursuant to the terms of the Series J Preferred Stock, each share of Series J Preferred Stock automatically converts into shares of the Issuer's Common Stock at a rate equal to the stated value of $1,000 per share divided by the conversion price of $0.70 per share and rounded up for any fractional shares in the event the Issuer amends its Certificate of Incorporation to authorize additional shares of Common Stock. On December 18, 2020, the Issuer filed such an amendment with the Delaware Secretary of State, and accordingly, all shares of Series J Preferred Stock held directly or indirectly by the Reporting Person automatically converted into shares of Common Stock through no action of the Reporting Persons. The Series J Preferred Stock did not have an expiration date. F2 · derivative.underlying_shares: The Issuer issued its Series J Convertible Preferred Stock, par value $0.01 per share (the "Series J Preferred Stock") at a stated value equal to $1,000 per share. Pursuant to the terms of the Series J Preferred Stock, each share of Series J Preferred Stock automatically converts into shares of the Issuer's Common Stock at a rate equal to the stated value of $1,000 per share divided by the conversion price of $0.70 per share and rounded up for any fractional shares in the event the Issuer amends its Certificate of Incorporation to authorize additional shares of Common Stock. On December 18, 2020, the Issuer filed such an amendment with the Delaware Secretary of State, and accordingly, all shares of Series J Preferred Stock held directly or indirectly by the Reporting Person automatically converted into shares of Common Stock through no action of the Reporting Persons. The Series J Preferred Stock did not have an expiration date. F3 · ownership.nature: Shares held by a separately managed account managed by the Reporting Person (the "SMA"). The Reporting Person disclaims beneficial ownership of the shares held by the SMA except to the extent of its pecuniary interest therein. Read SEC document |
| December 18, 2020 Filed Jan 4, 2021 21:25 UTC |
180 DEGREE CAPITAL CORP. /NY/See Remarks
|
ConversionSeries J Preferred Stock, par value $0.01 per share · Derivative | 1,000 | $0.00 Strike: $0.70 | $0.00 |
DisclosureSEC source: 0000893739-21-000002 · wf-form4_160979551365554.xml · derivative · entry 5 180 DEGREE CAPITAL CORP. /NY/ · CIK 0000893739 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock, par value $0.01 per share · 1,429,000 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · date: The Issuer issued its Series J Convertible Preferred Stock, par value $0.01 per share (the "Series J Preferred Stock") at a stated value equal to $1,000 per share. Pursuant to the terms of the Series J Preferred Stock, each share of Series J Preferred Stock automatically converts into shares of the Issuer's Common Stock at a rate equal to the stated value of $1,000 per share divided by the conversion price of $0.70 per share and rounded up for any fractional shares in the event the Issuer amends its Certificate of Incorporation to authorize additional shares of Common Stock. On December 18, 2020, the Issuer filed such an amendment with the Delaware Secretary of State, and accordingly, all shares of Series J Preferred Stock held directly or indirectly by the Reporting Person automatically converted into shares of Common Stock through no action of the Reporting Persons. The Series J Preferred Stock did not have an expiration date. F2 · kind: The Issuer issued its Series J Convertible Preferred Stock, par value $0.01 per share (the "Series J Preferred Stock") at a stated value equal to $1,000 per share. Pursuant to the terms of the Series J Preferred Stock, each share of Series J Preferred Stock automatically converts into shares of the Issuer's Common Stock at a rate equal to the stated value of $1,000 per share divided by the conversion price of $0.70 per share and rounded up for any fractional shares in the event the Issuer amends its Certificate of Incorporation to authorize additional shares of Common Stock. On December 18, 2020, the Issuer filed such an amendment with the Delaware Secretary of State, and accordingly, all shares of Series J Preferred Stock held directly or indirectly by the Reporting Person automatically converted into shares of Common Stock through no action of the Reporting Persons. The Series J Preferred Stock did not have an expiration date. F2 · shares: The Issuer issued its Series J Convertible Preferred Stock, par value $0.01 per share (the "Series J Preferred Stock") at a stated value equal to $1,000 per share. Pursuant to the terms of the Series J Preferred Stock, each share of Series J Preferred Stock automatically converts into shares of the Issuer's Common Stock at a rate equal to the stated value of $1,000 per share divided by the conversion price of $0.70 per share and rounded up for any fractional shares in the event the Issuer amends its Certificate of Incorporation to authorize additional shares of Common Stock. On December 18, 2020, the Issuer filed such an amendment with the Delaware Secretary of State, and accordingly, all shares of Series J Preferred Stock held directly or indirectly by the Reporting Person automatically converted into shares of Common Stock through no action of the Reporting Persons. The Series J Preferred Stock did not have an expiration date. F2 · derivative.exercise_date: The Issuer issued its Series J Convertible Preferred Stock, par value $0.01 per share (the "Series J Preferred Stock") at a stated value equal to $1,000 per share. Pursuant to the terms of the Series J Preferred Stock, each share of Series J Preferred Stock automatically converts into shares of the Issuer's Common Stock at a rate equal to the stated value of $1,000 per share divided by the conversion price of $0.70 per share and rounded up for any fractional shares in the event the Issuer amends its Certificate of Incorporation to authorize additional shares of Common Stock. On December 18, 2020, the Issuer filed such an amendment with the Delaware Secretary of State, and accordingly, all shares of Series J Preferred Stock held directly or indirectly by the Reporting Person automatically converted into shares of Common Stock through no action of the Reporting Persons. The Series J Preferred Stock did not have an expiration date. F2 · derivative.expiration_date: The Issuer issued its Series J Convertible Preferred Stock, par value $0.01 per share (the "Series J Preferred Stock") at a stated value equal to $1,000 per share. Pursuant to the terms of the Series J Preferred Stock, each share of Series J Preferred Stock automatically converts into shares of the Issuer's Common Stock at a rate equal to the stated value of $1,000 per share divided by the conversion price of $0.70 per share and rounded up for any fractional shares in the event the Issuer amends its Certificate of Incorporation to authorize additional shares of Common Stock. On December 18, 2020, the Issuer filed such an amendment with the Delaware Secretary of State, and accordingly, all shares of Series J Preferred Stock held directly or indirectly by the Reporting Person automatically converted into shares of Common Stock through no action of the Reporting Persons. The Series J Preferred Stock did not have an expiration date. F2 · derivative.underlying_shares: The Issuer issued its Series J Convertible Preferred Stock, par value $0.01 per share (the "Series J Preferred Stock") at a stated value equal to $1,000 per share. Pursuant to the terms of the Series J Preferred Stock, each share of Series J Preferred Stock automatically converts into shares of the Issuer's Common Stock at a rate equal to the stated value of $1,000 per share divided by the conversion price of $0.70 per share and rounded up for any fractional shares in the event the Issuer amends its Certificate of Incorporation to authorize additional shares of Common Stock. On December 18, 2020, the Issuer filed such an amendment with the Delaware Secretary of State, and accordingly, all shares of Series J Preferred Stock held directly or indirectly by the Reporting Person automatically converted into shares of Common Stock through no action of the Reporting Persons. The Series J Preferred Stock did not have an expiration date. Read SEC document |
| December 18, 2020 Filed Jan 4, 2021 21:25 UTC |
180 DEGREE CAPITAL CORP. /NY/See Remarks
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ConversionSeries I Preferred Stock, par value $0.01 per share · Derivative | 5,000 | $0.00 Strike: $0.50 | $0.00 |
DisclosureSEC source: 0000893739-21-000002 · wf-form4_160979551365554.xml · derivative · entry 4 180 DEGREE CAPITAL CORP. /NY/ · CIK 0000893739 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock, par value $0.01 per share · 10,000,000 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · date: The Issuer issued its Series I Convertible Preferred Stock, par value $0.01 per share (the "Series I Preferred Stock") at a stated value equal to $1,000 per share. Pursuant to the terms of the Series I Preferred Stock, each share of Series I Preferred Stock automatically converts into shares of the Issuer's common stock, par value $0.01 per share (the "Common Stock") at a rate equal to the stated value of $1,000 per share divided by the conversion price of $0.50 per share and rounded up for any fractional shares in the event the Issuer amends its Certificate of Incorporation to authorize additional shares of Common Stock. On December 18, 2020, the Issuer filed such an amendment with the Delaware Secretary of State, and accordingly, all shares of Series I Preferred Stock held directly or indirectly by the Reporting Person automatically converted into shares of Common Stock through no action of the Reporting Persons. The Series I Preferred Stock did not have an expiration date. F1 · kind: The Issuer issued its Series I Convertible Preferred Stock, par value $0.01 per share (the "Series I Preferred Stock") at a stated value equal to $1,000 per share. Pursuant to the terms of the Series I Preferred Stock, each share of Series I Preferred Stock automatically converts into shares of the Issuer's common stock, par value $0.01 per share (the "Common Stock") at a rate equal to the stated value of $1,000 per share divided by the conversion price of $0.50 per share and rounded up for any fractional shares in the event the Issuer amends its Certificate of Incorporation to authorize additional shares of Common Stock. On December 18, 2020, the Issuer filed such an amendment with the Delaware Secretary of State, and accordingly, all shares of Series I Preferred Stock held directly or indirectly by the Reporting Person automatically converted into shares of Common Stock through no action of the Reporting Persons. The Series I Preferred Stock did not have an expiration date. F1 · shares: The Issuer issued its Series I Convertible Preferred Stock, par value $0.01 per share (the "Series I Preferred Stock") at a stated value equal to $1,000 per share. Pursuant to the terms of the Series I Preferred Stock, each share of Series I Preferred Stock automatically converts into shares of the Issuer's common stock, par value $0.01 per share (the "Common Stock") at a rate equal to the stated value of $1,000 per share divided by the conversion price of $0.50 per share and rounded up for any fractional shares in the event the Issuer amends its Certificate of Incorporation to authorize additional shares of Common Stock. On December 18, 2020, the Issuer filed such an amendment with the Delaware Secretary of State, and accordingly, all shares of Series I Preferred Stock held directly or indirectly by the Reporting Person automatically converted into shares of Common Stock through no action of the Reporting Persons. The Series I Preferred Stock did not have an expiration date. F1 · derivative.exercise_date: The Issuer issued its Series I Convertible Preferred Stock, par value $0.01 per share (the "Series I Preferred Stock") at a stated value equal to $1,000 per share. Pursuant to the terms of the Series I Preferred Stock, each share of Series I Preferred Stock automatically converts into shares of the Issuer's common stock, par value $0.01 per share (the "Common Stock") at a rate equal to the stated value of $1,000 per share divided by the conversion price of $0.50 per share and rounded up for any fractional shares in the event the Issuer amends its Certificate of Incorporation to authorize additional shares of Common Stock. On December 18, 2020, the Issuer filed such an amendment with the Delaware Secretary of State, and accordingly, all shares of Series I Preferred Stock held directly or indirectly by the Reporting Person automatically converted into shares of Common Stock through no action of the Reporting Persons. The Series I Preferred Stock did not have an expiration date. F1 · derivative.expiration_date: The Issuer issued its Series I Convertible Preferred Stock, par value $0.01 per share (the "Series I Preferred Stock") at a stated value equal to $1,000 per share. Pursuant to the terms of the Series I Preferred Stock, each share of Series I Preferred Stock automatically converts into shares of the Issuer's common stock, par value $0.01 per share (the "Common Stock") at a rate equal to the stated value of $1,000 per share divided by the conversion price of $0.50 per share and rounded up for any fractional shares in the event the Issuer amends its Certificate of Incorporation to authorize additional shares of Common Stock. On December 18, 2020, the Issuer filed such an amendment with the Delaware Secretary of State, and accordingly, all shares of Series I Preferred Stock held directly or indirectly by the Reporting Person automatically converted into shares of Common Stock through no action of the Reporting Persons. The Series I Preferred Stock did not have an expiration date. F1 · derivative.underlying_shares: The Issuer issued its Series I Convertible Preferred Stock, par value $0.01 per share (the "Series I Preferred Stock") at a stated value equal to $1,000 per share. Pursuant to the terms of the Series I Preferred Stock, each share of Series I Preferred Stock automatically converts into shares of the Issuer's common stock, par value $0.01 per share (the "Common Stock") at a rate equal to the stated value of $1,000 per share divided by the conversion price of $0.50 per share and rounded up for any fractional shares in the event the Issuer amends its Certificate of Incorporation to authorize additional shares of Common Stock. On December 18, 2020, the Issuer filed such an amendment with the Delaware Secretary of State, and accordingly, all shares of Series I Preferred Stock held directly or indirectly by the Reporting Person automatically converted into shares of Common Stock through no action of the Reporting Persons. The Series I Preferred Stock did not have an expiration date. Read SEC document |
| December 18, 2020 Filed Jan 4, 2021 21:25 UTC |
180 DEGREE CAPITAL CORP. /NY/See Remarks
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ConversionCommon Stock, par value $0.01 per share | 7,500,000 | $0.70 | $5,250,000.00 |
DisclosureSEC source: 0000893739-21-000002 · wf-form4_160979551365554.xml · nonDerivative · entry 3 180 DEGREE CAPITAL CORP. /NY/ · CIK 0000893739 · See Remarks 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 7,500,000 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · date: The Issuer issued its Series J Convertible Preferred Stock, par value $0.01 per share (the "Series J Preferred Stock") at a stated value equal to $1,000 per share. Pursuant to the terms of the Series J Preferred Stock, each share of Series J Preferred Stock automatically converts into shares of the Issuer's Common Stock at a rate equal to the stated value of $1,000 per share divided by the conversion price of $0.70 per share and rounded up for any fractional shares in the event the Issuer amends its Certificate of Incorporation to authorize additional shares of Common Stock. On December 18, 2020, the Issuer filed such an amendment with the Delaware Secretary of State, and accordingly, all shares of Series J Preferred Stock held directly or indirectly by the Reporting Person automatically converted into shares of Common Stock through no action of the Reporting Persons. The Series J Preferred Stock did not have an expiration date. F2 · kind: The Issuer issued its Series J Convertible Preferred Stock, par value $0.01 per share (the "Series J Preferred Stock") at a stated value equal to $1,000 per share. Pursuant to the terms of the Series J Preferred Stock, each share of Series J Preferred Stock automatically converts into shares of the Issuer's Common Stock at a rate equal to the stated value of $1,000 per share divided by the conversion price of $0.70 per share and rounded up for any fractional shares in the event the Issuer amends its Certificate of Incorporation to authorize additional shares of Common Stock. On December 18, 2020, the Issuer filed such an amendment with the Delaware Secretary of State, and accordingly, all shares of Series J Preferred Stock held directly or indirectly by the Reporting Person automatically converted into shares of Common Stock through no action of the Reporting Persons. The Series J Preferred Stock did not have an expiration date. F2 · shares: The Issuer issued its Series J Convertible Preferred Stock, par value $0.01 per share (the "Series J Preferred Stock") at a stated value equal to $1,000 per share. Pursuant to the terms of the Series J Preferred Stock, each share of Series J Preferred Stock automatically converts into shares of the Issuer's Common Stock at a rate equal to the stated value of $1,000 per share divided by the conversion price of $0.70 per share and rounded up for any fractional shares in the event the Issuer amends its Certificate of Incorporation to authorize additional shares of Common Stock. On December 18, 2020, the Issuer filed such an amendment with the Delaware Secretary of State, and accordingly, all shares of Series J Preferred Stock held directly or indirectly by the Reporting Person automatically converted into shares of Common Stock through no action of the Reporting Persons. The Series J Preferred Stock did not have an expiration date. F2 · price: The Issuer issued its Series J Convertible Preferred Stock, par value $0.01 per share (the "Series J Preferred Stock") at a stated value equal to $1,000 per share. Pursuant to the terms of the Series J Preferred Stock, each share of Series J Preferred Stock automatically converts into shares of the Issuer's Common Stock at a rate equal to the stated value of $1,000 per share divided by the conversion price of $0.70 per share and rounded up for any fractional shares in the event the Issuer amends its Certificate of Incorporation to authorize additional shares of Common Stock. On December 18, 2020, the Issuer filed such an amendment with the Delaware Secretary of State, and accordingly, all shares of Series J Preferred Stock held directly or indirectly by the Reporting Person automatically converted into shares of Common Stock through no action of the Reporting Persons. The Series J Preferred Stock did not have an expiration date. F3 · ownership.nature: Shares held by a separately managed account managed by the Reporting Person (the "SMA"). The Reporting Person disclaims beneficial ownership of the shares held by the SMA except to the extent of its pecuniary interest therein. Read SEC document |
| December 18, 2020 Filed Jan 4, 2021 21:25 UTC |
180 DEGREE CAPITAL CORP. /NY/See Remarks
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ConversionCommon Stock, par value $0.01 per share | 1,429,000 | $0.70 | $1,000,300.00 |
DisclosureSEC source: 0000893739-21-000002 · wf-form4_160979551365554.xml · nonDerivative · entry 2 180 DEGREE CAPITAL CORP. /NY/ · CIK 0000893739 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,429,000 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · date: The Issuer issued its Series J Convertible Preferred Stock, par value $0.01 per share (the "Series J Preferred Stock") at a stated value equal to $1,000 per share. Pursuant to the terms of the Series J Preferred Stock, each share of Series J Preferred Stock automatically converts into shares of the Issuer's Common Stock at a rate equal to the stated value of $1,000 per share divided by the conversion price of $0.70 per share and rounded up for any fractional shares in the event the Issuer amends its Certificate of Incorporation to authorize additional shares of Common Stock. On December 18, 2020, the Issuer filed such an amendment with the Delaware Secretary of State, and accordingly, all shares of Series J Preferred Stock held directly or indirectly by the Reporting Person automatically converted into shares of Common Stock through no action of the Reporting Persons. The Series J Preferred Stock did not have an expiration date. F2 · kind: The Issuer issued its Series J Convertible Preferred Stock, par value $0.01 per share (the "Series J Preferred Stock") at a stated value equal to $1,000 per share. Pursuant to the terms of the Series J Preferred Stock, each share of Series J Preferred Stock automatically converts into shares of the Issuer's Common Stock at a rate equal to the stated value of $1,000 per share divided by the conversion price of $0.70 per share and rounded up for any fractional shares in the event the Issuer amends its Certificate of Incorporation to authorize additional shares of Common Stock. On December 18, 2020, the Issuer filed such an amendment with the Delaware Secretary of State, and accordingly, all shares of Series J Preferred Stock held directly or indirectly by the Reporting Person automatically converted into shares of Common Stock through no action of the Reporting Persons. The Series J Preferred Stock did not have an expiration date. F2 · shares: The Issuer issued its Series J Convertible Preferred Stock, par value $0.01 per share (the "Series J Preferred Stock") at a stated value equal to $1,000 per share. Pursuant to the terms of the Series J Preferred Stock, each share of Series J Preferred Stock automatically converts into shares of the Issuer's Common Stock at a rate equal to the stated value of $1,000 per share divided by the conversion price of $0.70 per share and rounded up for any fractional shares in the event the Issuer amends its Certificate of Incorporation to authorize additional shares of Common Stock. On December 18, 2020, the Issuer filed such an amendment with the Delaware Secretary of State, and accordingly, all shares of Series J Preferred Stock held directly or indirectly by the Reporting Person automatically converted into shares of Common Stock through no action of the Reporting Persons. The Series J Preferred Stock did not have an expiration date. F2 · price: The Issuer issued its Series J Convertible Preferred Stock, par value $0.01 per share (the "Series J Preferred Stock") at a stated value equal to $1,000 per share. Pursuant to the terms of the Series J Preferred Stock, each share of Series J Preferred Stock automatically converts into shares of the Issuer's Common Stock at a rate equal to the stated value of $1,000 per share divided by the conversion price of $0.70 per share and rounded up for any fractional shares in the event the Issuer amends its Certificate of Incorporation to authorize additional shares of Common Stock. On December 18, 2020, the Issuer filed such an amendment with the Delaware Secretary of State, and accordingly, all shares of Series J Preferred Stock held directly or indirectly by the Reporting Person automatically converted into shares of Common Stock through no action of the Reporting Persons. The Series J Preferred Stock did not have an expiration date. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.