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 |
|---|---|---|---|---|---|---|
| October 30, 2019 Filed Nov 2, 2019 00:33 UTC |
BRC Group Holdings, Inc.Director · 10% owner
BRC Partners Opportunity Fund, LP10% owner
BRC Partners Management GP, LLC10% owner
B. RILEY CAPITAL MANAGEMENT, LLC10% owner
B. RILEY PRINCIPAL INVESTMENTS, LLC10% owner
B. Riley Securities, Inc.10% owner
Young Kenneth MDirector
RILEY BRYANT R10% owner
|
SaleCommon Stock | 500 | $2.66 | $1,330.00 |
DisclosureSEC source: 0001213900-19-021860 · ownership.xml · nonDerivative · entry 7 B. Riley Financial, Inc. · CIK 0001464790 · Director · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner B. Riley FBR, Inc. · CIK 0001505748 · 10% owner Young Kenneth M · CIK 0001365572 · Director 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 FBR, Inc. Disclosed balance after: 13,535 F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI"), B. Riley FBR, Inc., a Delaware corporation ("BRFBR"), Kenneth M. Young and Bryant R. 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 Shares held by BRPLP. BRF is the parent company of BRFBR. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRFBR. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRPI. F3 · ownership.nature: Bryant Riley, as Chief Executive Officer of BRCM and Chairman and Co-Chief Executive Officer of BRF, has voting and dispositive power over the shares held by BRPLP, BRPI and BRF. Mr. Young is the President of BRF and the Chief Executive Officer of BRPI. He has voting and dispositive power over the shares held by BRPI. Mr. Young does not have either voting or investment control over the securities held by the BRF. Each reporting person disclaims beneficial ownership of the securities of the Issuer reported herein held indirectly except to the extent of such person's pecuniary interest therein. Read SEC document |
| October 30, 2019 Filed Nov 2, 2019 00:33 UTC |
BRC Group Holdings, Inc.Director · 10% owner
BRC Partners Opportunity Fund, LP10% owner
BRC Partners Management GP, LLC10% owner
B. RILEY CAPITAL MANAGEMENT, LLC10% owner
B. RILEY PRINCIPAL INVESTMENTS, LLC10% owner
B. Riley Securities, Inc.10% owner
Young Kenneth MDirector
RILEY BRYANT R10% owner
|
SaleCommon Stock | 200 | $2.67 | $534.00 |
DisclosureSEC source: 0001213900-19-021860 · ownership.xml · nonDerivative · entry 6 B. Riley Financial, Inc. · CIK 0001464790 · Director · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner B. Riley FBR, Inc. · CIK 0001505748 · 10% owner Young Kenneth M · CIK 0001365572 · Director 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 FBR, Inc. Disclosed balance after: 14,035 F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI"), B. Riley FBR, Inc., a Delaware corporation ("BRFBR"), Kenneth M. Young and Bryant R. 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 Shares held by BRPLP. BRF is the parent company of BRFBR. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRFBR. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRPI. F3 · ownership.nature: Bryant Riley, as Chief Executive Officer of BRCM and Chairman and Co-Chief Executive Officer of BRF, has voting and dispositive power over the shares held by BRPLP, BRPI and BRF. Mr. Young is the President of BRF and the Chief Executive Officer of BRPI. He has voting and dispositive power over the shares held by BRPI. Mr. Young does not have either voting or investment control over the securities held by the BRF. Each reporting person disclaims beneficial ownership of the securities of the Issuer reported herein held indirectly except to the extent of such person's pecuniary interest therein. Read SEC document |
| October 30, 2019 Filed Nov 2, 2019 00:33 UTC |
BRC Group Holdings, Inc.Director · 10% owner
BRC Partners Opportunity Fund, LP10% owner
BRC Partners Management GP, LLC10% owner
B. RILEY CAPITAL MANAGEMENT, LLC10% owner
B. RILEY PRINCIPAL INVESTMENTS, LLC10% owner
B. Riley Securities, Inc.10% owner
Young Kenneth MDirector
RILEY BRYANT R10% owner
|
SaleCommon Stock | 11,265 | $2.65 | $29,852.25 |
DisclosureSEC source: 0001213900-19-021860 · ownership.xml · nonDerivative · entry 5 B. Riley Financial, Inc. · CIK 0001464790 · Director · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner B. Riley FBR, Inc. · CIK 0001505748 · 10% owner Young Kenneth M · CIK 0001365572 · Director 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 FBR, Inc. Disclosed balance after: 14,235 F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI"), B. Riley FBR, Inc., a Delaware corporation ("BRFBR"), Kenneth M. Young and Bryant R. 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 Shares held by BRPLP. BRF is the parent company of BRFBR. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRFBR. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRPI. F3 · ownership.nature: Bryant Riley, as Chief Executive Officer of BRCM and Chairman and Co-Chief Executive Officer of BRF, has voting and dispositive power over the shares held by BRPLP, BRPI and BRF. Mr. Young is the President of BRF and the Chief Executive Officer of BRPI. He has voting and dispositive power over the shares held by BRPI. Mr. Young does not have either voting or investment control over the securities held by the BRF. Each reporting person disclaims beneficial ownership of the securities of the Issuer reported herein held indirectly except to the extent of such person's pecuniary interest therein. Read SEC document |
| October 30, 2019 Filed Nov 2, 2019 00:33 UTC |
BRC Group Holdings, Inc.Director · 10% owner
BRC Partners Opportunity Fund, LP10% owner
BRC Partners Management GP, LLC10% owner
B. RILEY CAPITAL MANAGEMENT, LLC10% owner
B. RILEY PRINCIPAL INVESTMENTS, LLC10% owner
B. Riley Securities, Inc.10% owner
Young Kenneth MDirector
RILEY BRYANT R10% owner
|
PurchaseCommon Stock | 25,000 | $2.70 | $67,500.00 |
DisclosureSEC source: 0001213900-19-021860 · ownership.xml · nonDerivative · entry 4 B. Riley Financial, Inc. · CIK 0001464790 · Director · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner B. Riley FBR, Inc. · CIK 0001505748 · 10% owner Young Kenneth M · CIK 0001365572 · Director 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 FBR, Inc. Disclosed balance after: 25,500 F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI"), B. Riley FBR, Inc., a Delaware corporation ("BRFBR"), Kenneth M. Young and Bryant R. 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 Shares held by BRPLP. BRF is the parent company of BRFBR. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRFBR. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRPI. F3 · ownership.nature: Bryant Riley, as Chief Executive Officer of BRCM and Chairman and Co-Chief Executive Officer of BRF, has voting and dispositive power over the shares held by BRPLP, BRPI and BRF. Mr. Young is the President of BRF and the Chief Executive Officer of BRPI. He has voting and dispositive power over the shares held by BRPI. Mr. Young does not have either voting or investment control over the securities held by the BRF. Each reporting person disclaims beneficial ownership of the securities of the Issuer reported herein held indirectly except to the extent of such person's pecuniary interest therein. Read SEC document |
| October 30, 2019 Filed Nov 2, 2019 00:33 UTC |
BRC Group Holdings, Inc.Director · 10% owner
BRC Partners Opportunity Fund, LP10% owner
BRC Partners Management GP, LLC10% owner
B. RILEY CAPITAL MANAGEMENT, LLC10% owner
B. RILEY PRINCIPAL INVESTMENTS, LLC10% owner
B. Riley Securities, Inc.10% owner
Young Kenneth MDirector
RILEY BRYANT R10% owner
|
PurchaseCommon Stock | 200 | $2.70 | $540.00 |
DisclosureSEC source: 0001213900-19-021860 · ownership.xml · nonDerivative · entry 3 B. Riley Financial, Inc. · CIK 0001464790 · Director · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner B. Riley FBR, Inc. · CIK 0001505748 · 10% owner Young Kenneth M · CIK 0001365572 · Director 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 FBR, Inc. Disclosed balance after: 500 F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI"), B. Riley FBR, Inc., a Delaware corporation ("BRFBR"), Kenneth M. Young and Bryant R. 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 Shares held by BRPLP. BRF is the parent company of BRFBR. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRFBR. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRPI. F3 · ownership.nature: Bryant Riley, as Chief Executive Officer of BRCM and Chairman and Co-Chief Executive Officer of BRF, has voting and dispositive power over the shares held by BRPLP, BRPI and BRF. Mr. Young is the President of BRF and the Chief Executive Officer of BRPI. He has voting and dispositive power over the shares held by BRPI. Mr. Young does not have either voting or investment control over the securities held by the BRF. Each reporting person disclaims beneficial ownership of the securities of the Issuer reported herein held indirectly except to the extent of such person's pecuniary interest therein. Read SEC document |
| October 30, 2019 Filed Nov 2, 2019 00:33 UTC |
BRC Group Holdings, Inc.Director · 10% owner
BRC Partners Opportunity Fund, LP10% owner
BRC Partners Management GP, LLC10% owner
B. RILEY CAPITAL MANAGEMENT, LLC10% owner
B. RILEY PRINCIPAL INVESTMENTS, LLC10% owner
B. Riley Securities, Inc.10% owner
Young Kenneth MDirector
RILEY BRYANT R10% owner
|
PurchaseCommon Stock | 100 | $2.70 | $269.50 |
DisclosureSEC source: 0001213900-19-021860 · ownership.xml · nonDerivative · entry 2 B. Riley Financial, Inc. · CIK 0001464790 · Director · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner B. Riley FBR, Inc. · CIK 0001505748 · 10% owner Young Kenneth M · CIK 0001365572 · Director 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 FBR, Inc. Disclosed balance after: 300 F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI"), B. Riley FBR, Inc., a Delaware corporation ("BRFBR"), Kenneth M. Young and Bryant R. 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 Shares held by BRPLP. BRF is the parent company of BRFBR. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRFBR. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRPI. F3 · ownership.nature: Bryant Riley, as Chief Executive Officer of BRCM and Chairman and Co-Chief Executive Officer of BRF, has voting and dispositive power over the shares held by BRPLP, BRPI and BRF. Mr. Young is the President of BRF and the Chief Executive Officer of BRPI. He has voting and dispositive power over the shares held by BRPI. Mr. Young does not have either voting or investment control over the securities held by the BRF. Each reporting person disclaims beneficial ownership of the securities of the Issuer reported herein held indirectly except to the extent of such person's pecuniary interest therein. Read SEC document |
| October 30, 2019 Filed Nov 2, 2019 00:33 UTC |
BRC Group Holdings, Inc.Director · 10% owner
BRC Partners Opportunity Fund, LP10% owner
BRC Partners Management GP, LLC10% owner
B. RILEY CAPITAL MANAGEMENT, LLC10% owner
B. RILEY PRINCIPAL INVESTMENTS, LLC10% owner
B. Riley Securities, Inc.10% owner
Young Kenneth MDirector
RILEY BRYANT R10% owner
|
PurchaseCommon Stock | 200 | $2.71 | $542.00 |
DisclosureSEC source: 0001213900-19-021860 · ownership.xml · nonDerivative · entry 1 B. Riley Financial, Inc. · CIK 0001464790 · Director · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner B. Riley FBR, Inc. · CIK 0001505748 · 10% owner Young Kenneth M · CIK 0001365572 · Director 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 FBR, Inc. Disclosed balance after: 200 F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI"), B. Riley FBR, Inc., a Delaware corporation ("BRFBR"), Kenneth M. Young and Bryant R. 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 Shares held by BRPLP. BRF is the parent company of BRFBR. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRFBR. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRPI. F3 · ownership.nature: Bryant Riley, as Chief Executive Officer of BRCM and Chairman and Co-Chief Executive Officer of BRF, has voting and dispositive power over the shares held by BRPLP, BRPI and BRF. Mr. Young is the President of BRF and the Chief Executive Officer of BRPI. He has voting and dispositive power over the shares held by BRPI. Mr. Young does not have either voting or investment control over the securities held by the BRF. Each reporting person disclaims beneficial ownership of the securities of the Issuer reported herein held indirectly except to the extent of such person's pecuniary interest therein. Read SEC document |
| October 23, 2019 Filed Nov 2, 2019 00:33 UTC |
BRC Group Holdings, Inc.Director · 10% owner
BRC Partners Opportunity Fund, LP10% owner
BRC Partners Management GP, LLC10% owner
B. RILEY CAPITAL MANAGEMENT, LLC10% owner
B. RILEY PRINCIPAL INVESTMENTS, LLC10% owner
B. Riley Securities, Inc.10% owner
Young Kenneth MDirector
RILEY BRYANT R10% owner
|
OtherConvertible Promissory Note (right to buy) · Derivative | 366,425.54 | $0.00 Strike: $8.87 | $0.00 |
DisclosureSEC source: 0001213900-19-021860 · ownership.xml · derivative · entry 17 B. Riley Financial, Inc. · CIK 0001464790 · Director · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner B. Riley FBR, Inc. · CIK 0001505748 · 10% owner Young Kenneth M · CIK 0001365572 · Director 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: 732,852.46 Underlying: Common Stock · 366,425.54 shares Expires 2019-10-23 F4 · timeliness: Expiration of a long position for no consideration. Pursuant to the terms of the Convertible Promissory Note, the amount of the Convertible Promissory Note convertible into shares of Common Stock was reduced to 50% of the principal outstanding as of October 23, 2019. F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI"), B. Riley FBR, Inc., a Delaware corporation ("BRFBR"), Kenneth M. Young and Bryant R. 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 Shares held by BRPLP. BRF is the parent company of BRFBR. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRFBR. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRPI. F3 · ownership.nature: Bryant Riley, as Chief Executive Officer of BRCM and Chairman and Co-Chief Executive Officer of BRF, has voting and dispositive power over the shares held by BRPLP, BRPI and BRF. Mr. Young is the President of BRF and the Chief Executive Officer of BRPI. He has voting and dispositive power over the shares held by BRPI. Mr. Young does not have either voting or investment control over the securities held by the BRF. Each reporting person disclaims beneficial ownership of the securities of the Issuer reported herein held indirectly except to the extent of such person's pecuniary interest therein. Read SEC document |
| June 10, 2019 Filed Jun 10, 2019 22:41 UTC |
Kneuer JohnDirector
|
PurchaseCommon Stock | 3,100 | $16.99 | $52,669.00 |
DisclosureSEC source: 0001209191-19-035969 · doc4.xml · nonDerivative · entry 2 Kneuer John · CIK 0001512329 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,147 Read SEC document |
| June 10, 2019 Filed Jun 10, 2019 22:41 UTC |
Kneuer JohnDirector
|
PurchaseCommon Stock | 47 | $16.25 | $763.75 |
DisclosureSEC source: 0001209191-19-035969 · doc4.xml · nonDerivative · entry 1 Kneuer John · CIK 0001512329 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 47 Read SEC document |
| May 22, 2019 Filed May 23, 2019 22:35 UTC |
Plaschke RobertDirector · Chief Executive Officer
|
SaleCommon Stock | 30,000 | $10.23 | $306,900.00 |
DisclosureSEC source: 0001209191-19-032467 · doc4.xml · nonDerivative · entry 1 Plaschke Robert · CIK 0001774816 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 504,250 F1 · price: These shares were sold by the reporting person as a selling stockholder pursuant to an underwritten public offering by the Issuer. The reported sale price reflects the price at which the reporting person sold shares to the underwriters. Read SEC document |
| May 13, 2019 Filed May 15, 2019 00:16 UTC |
Plaschke RobertDirector · Chief Executive Officer
|
Tax withholdingCommon Stock | 172,439 | $11.00 | $1,896,829.00 |
DisclosureSEC source: 0001209191-19-029813 · doc4.xml · nonDerivative · entry 2 Plaschke Robert · CIK 0001774816 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 534,250 F1 · shares: Represents shares withheld by the Issuer to satisfy tax obligations associated with the grant of the fully vested restricted stock award of 383,197 shares to the Reporting Person. Read SEC document |
| May 13, 2019 Filed May 15, 2019 00:16 UTC |
Plaschke RobertDirector · Chief Executive Officer
|
GrantCommon Stock | 383,197 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-029813 · doc4.xml · nonDerivative · entry 1 Plaschke Robert · CIK 0001774816 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 706,689 Read SEC document |
| May 10, 2019 Filed Nov 15, 2019 23:45 UTC |
Kneuer JohnDirector
|
PurchaseCommon Stock | 1,000 | $11.00 | $11,000.00 |
DisclosureSEC source: 0001209191-19-056820 · doc4.xml · nonDerivative · entry 1 Kneuer John · CIK 0001512329 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,147 F1 · shares: These shares were omitted from the total amount of securities beneficially owned reported in Table I, Column 5 of the Reporting Person's Form 4 filed on June 10, 2019. 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.