organization · Reporting owner
B. RILEY SECURITIES, INC.
Disclosed activity across 3 companies
Sign in to followReported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Franchise Group, Inc.TAX · Entity 110293 | 10% owner | August 14, 2018 | December 26, 2018 |
| QUANTUM CORP /DE/QMCO · Entity 4987 | 10% owner | April 06, 2020 | April 08, 2020 |
| Select Interior Concepts, Inc.SIC · Entity 134274 | 10% owner | December 14, 2018 | December 26, 2018 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
Franchise Group, Inc.
Report date August 14, 2018 · Filed December 26, 2018 · Amendment
Jointly reported with BRC Group Holdings, Inc., BRC Partners Opportunity Fund, LP, BRC Partners Management GP, LLC, B. RILEY CAPITAL MANAGEMENT, LLC, Dialectic Antithesis Partners, LP, BR Dialectic Capital Management, LLC
Amendment: balances below belong to this corrected disclosure, not necessarily a complete replacement of earlier positions.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Common StockSEC Table I · non-derivative | IndirectSee notes | 475,275 |
Reported balance
After 2018-08-14 transaction · row 1
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 1 · 2018-08-14 · Purchase · Acquired 925 · Balance 475,275 F1: 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 FBR, Inc., a Delaware corporation ("BRFBR"), Dialectic Antithesis Partners, LP, a Delaware limited partnership ("Dialectic") and BR Dialectic Capital Management, LLC, a Delaware limited liability company (collectively, the "Filing Persons"). F2: BRPGP is the general partner of BRPLP, BRCM is an investment advisor to BRPLP and 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. BR Dialectic is the general partner and investment advisor of Dialectic. BRCM is the parent company of BR Dialectic and BRF is the parent company of BRCM. As a result, BR Dialectic, BRCM and BRF may be deemed to indirectly beneficially own the Shares held by Dialectic. Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock, par value $0.01 per share ("Tax Common Stock"), of Liberty Tax, Inc., a Delaware corporation ("Liberty Tax" or the "Issuer"), reported herein except to the extent of its pecuniary interest therein. Represents shares of Tax Common Stock owned directly by BRFBR. |
Filing footnotes · ownership attribution and instrument terms
F1: 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 FBR, Inc., a Delaware corporation ("BRFBR"), Dialectic Antithesis Partners, LP, a Delaware limited partnership ("Dialectic") and BR Dialectic Capital Management, LLC, a Delaware limited liability company (collectively, the "Filing Persons").
F2: BRPGP is the general partner of BRPLP, BRCM is an investment advisor to BRPLP and 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. BR Dialectic is the general partner and investment advisor of Dialectic. BRCM is the parent company of BR Dialectic and BRF is the parent company of BRCM. As a result, BR Dialectic, BRCM and BRF may be deemed to indirectly beneficially own the Shares held by Dialectic. Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock, par value $0.01 per share ("Tax Common Stock"), of Liberty Tax, Inc., a Delaware corporation ("Liberty Tax" or the "Issuer"), reported herein except to the extent of its pecuniary interest therein. Represents shares of Tax Common Stock owned directly by BRFBR.
QUANTUM CORP /DE/
Report date April 06, 2020 · Filed April 08, 2020
Jointly reported with BRC Group Holdings, Inc., BRC Partners Opportunity Fund, LP, BRC Partners Management GP, LLC, B. RILEY CAPITAL MANAGEMENT, LLC
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee notes | 8,130,501 |
Reported balance
After 2020-04-06 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2020-04-06 · Purchase · Acquired 100,000 · Balance 8,130,501 F1: 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"), and B. Riley FBR, Inc., a Delaware corporation ("BRFBR" and collectively, the "Filing Persons"). F2: 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 held by BRPLP. BRF is the parent company of BRFBR. As a result, BRF may be deemed to indirectly beneficially own the securities held by BRFBR. Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock ("Common Stock") of Quantum Corporation, a Delaware corporation (the "Issuer"), reported herein except to the extent of its pecuniary interest therein. F3: Represents shares of Common Stock owned directly by BRPLP. |
| Common StockSEC Table I · non-derivative | IndirectSee notes | 8,170,685 |
Reported balance
After 2020-04-07 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2020-04-07 · Purchase · Acquired 40,184 · Balance 8,170,685 F1: 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"), and B. Riley FBR, Inc., a Delaware corporation ("BRFBR" and collectively, the "Filing Persons"). F2: 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 held by BRPLP. BRF is the parent company of BRFBR. As a result, BRF may be deemed to indirectly beneficially own the securities held by BRFBR. Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock ("Common Stock") of Quantum Corporation, a Delaware corporation (the "Issuer"), reported herein except to the extent of its pecuniary interest therein. F3: Represents shares of Common Stock owned directly by BRPLP. |
| Common StockSEC Table I · non-derivative | IndirectSee notes | 8,210,864 |
Reported balance
After 2020-04-07 transaction · row 3
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 3 · 2020-04-07 · Purchase · Acquired 40,179 · Balance 8,210,864 F1: 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"), and B. Riley FBR, Inc., a Delaware corporation ("BRFBR" and collectively, the "Filing Persons"). F2: 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 held by BRPLP. BRF is the parent company of BRFBR. As a result, BRF may be deemed to indirectly beneficially own the securities held by BRFBR. Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock ("Common Stock") of Quantum Corporation, a Delaware corporation (the "Issuer"), reported herein except to the extent of its pecuniary interest therein. F4: Represents shares of Common Stock owned directly by BRFBR. |
| Common StockSEC Table I · non-derivative | IndirectSee notes | 8,217,003 |
Reported balance
After 2020-04-08 transaction · row 4
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 4 · 2020-04-08 · Purchase · Acquired 6,139 · Balance 8,217,003 F1: 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"), and B. Riley FBR, Inc., a Delaware corporation ("BRFBR" and collectively, the "Filing Persons"). F2: 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 held by BRPLP. BRF is the parent company of BRFBR. As a result, BRF may be deemed to indirectly beneficially own the securities held by BRFBR. Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock ("Common Stock") of Quantum Corporation, a Delaware corporation (the "Issuer"), reported herein except to the extent of its pecuniary interest therein. F3: Represents shares of Common Stock owned directly by BRPLP. |
| Common StockSEC Table I · non-derivative | IndirectSee notes | 8,223,139 |
Reported balance
After 2020-04-08 transaction · row 5
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 5 · 2020-04-08 · Purchase · Acquired 6,136 · Balance 8,223,139 F1: 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"), and B. Riley FBR, Inc., a Delaware corporation ("BRFBR" and collectively, the "Filing Persons"). F2: 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 held by BRPLP. BRF is the parent company of BRFBR. As a result, BRF may be deemed to indirectly beneficially own the securities held by BRFBR. Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock ("Common Stock") of Quantum Corporation, a Delaware corporation (the "Issuer"), reported herein except to the extent of its pecuniary interest therein. F4: Represents shares of Common Stock owned directly by BRFBR. |
Filing footnotes · ownership attribution and instrument terms
F1: 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"), and B. Riley FBR, Inc., a Delaware corporation ("BRFBR" and collectively, the "Filing Persons").
F2: 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 held by BRPLP. BRF is the parent company of BRFBR. As a result, BRF may be deemed to indirectly beneficially own the securities held by BRFBR. Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock ("Common Stock") of Quantum Corporation, a Delaware corporation (the "Issuer"), reported herein except to the extent of its pecuniary interest therein.
F3: Represents shares of Common Stock owned directly by BRPLP.
F4: Represents shares of Common Stock owned directly by BRFBR.
Select Interior Concepts, Inc.
Report date December 14, 2018 · Filed December 26, 2018
Jointly reported with BRC Group Holdings, Inc., BRC Partners Opportunity Fund, LP, BRC Partners Management GP, LLC, B. RILEY CAPITAL MANAGEMENT, LLC
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Common StockSEC Table I · non-derivative | IndirectSee notes | 2,523,833 |
Last balance in matching sequence
After 2018-12-21 transaction · row 3
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
3 source rowsRow 1 · 2018-12-19 · Purchase · Acquired 11,634 · Balance 2,324,226 F5: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $7.05 to $7.50, inclusive. The Filing Persons reporting person undertakes to provide to the Commission, upon request, full information regarding the number of shares sold at each separate price. F1: 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"), and B. Riley FBR, Inc., a Delaware corporation ("BRFBR") (collectively, the "Filing Persons"). Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Class A Common Stock, par value $0.01 per share ("Common Stock"), of Select Interior Concepts, Inc., a Delaware corporation (the "Issuer"), reported herein except to the extent of its pecuniary interest therein. F2: BRPGP is the general partner of BRPLP, BRCM is an investment advisor to BRPLP and 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. F3: Represents shares of Common Stock owned directly by BRFBR. F4: Certain of these transactions may be matchable transactions under Section 16(b) of the Exchange Act in connection with market making activities. The reporting person will disgorge the full amount of any recoverable profits to the Issuer. Row 2 · 2018-12-20 · Purchase · Acquired 141,810 · Balance 2,466,036 F6: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.00 to $7.00, inclusive. The Filing Persons reporting person undertakes to provide to the Commission, upon request, full information regarding the number of shares sold at each separate price. F1: 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"), and B. Riley FBR, Inc., a Delaware corporation ("BRFBR") (collectively, the "Filing Persons"). Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Class A Common Stock, par value $0.01 per share ("Common Stock"), of Select Interior Concepts, Inc., a Delaware corporation (the "Issuer"), reported herein except to the extent of its pecuniary interest therein. F2: BRPGP is the general partner of BRPLP, BRCM is an investment advisor to BRPLP and 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. F3: Represents shares of Common Stock owned directly by BRFBR. F4: Certain of these transactions may be matchable transactions under Section 16(b) of the Exchange Act in connection with market making activities. The reporting person will disgorge the full amount of any recoverable profits to the Issuer. Row 3 · 2018-12-21 · Purchase · Acquired 57,797 · Balance 2,523,833 F7: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.00 to $6.25, inclusive. The Filing Persons reporting person undertakes to provide to the Commission, upon request, full information regarding the number of shares sold at each separate price. F1: 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"), and B. Riley FBR, Inc., a Delaware corporation ("BRFBR") (collectively, the "Filing Persons"). Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Class A Common Stock, par value $0.01 per share ("Common Stock"), of Select Interior Concepts, Inc., a Delaware corporation (the "Issuer"), reported herein except to the extent of its pecuniary interest therein. F2: BRPGP is the general partner of BRPLP, BRCM is an investment advisor to BRPLP and 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. F3: Represents shares of Common Stock owned directly by BRFBR. F4: Certain of these transactions may be matchable transactions under Section 16(b) of the Exchange Act in connection with market making activities. The reporting person will disgorge the full amount of any recoverable profits to the Issuer. |
Filing footnotes · ownership attribution and instrument terms
F1: 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"), and B. Riley FBR, Inc., a Delaware corporation ("BRFBR") (collectively, the "Filing Persons"). Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Class A Common Stock, par value $0.01 per share ("Common Stock"), of Select Interior Concepts, Inc., a Delaware corporation (the "Issuer"), reported herein except to the extent of its pecuniary interest therein.
F2: BRPGP is the general partner of BRPLP, BRCM is an investment advisor to BRPLP and 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.
F3: Represents shares of Common Stock owned directly by BRFBR.
F4: Certain of these transactions may be matchable transactions under Section 16(b) of the Exchange Act in connection with market making activities. The reporting person will disgorge the full amount of any recoverable profits to the Issuer.
F5: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $7.05 to $7.50, inclusive. The Filing Persons reporting person undertakes to provide to the Commission, upon request, full information regarding the number of shares sold at each separate price.
F6: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.00 to $7.00, inclusive. The Filing Persons reporting person undertakes to provide to the Commission, upon request, full information regarding the number of shares sold at each separate price.
F7: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.00 to $6.25, inclusive. The Filing Persons reporting person undertakes to provide to the Commission, upon request, full information regarding the number of shares sold at each separate price.
Transaction history
JSON APIPurchases/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 | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| April 08, 2020 Filed Apr 8, 2020 20:59 UTC | QUANTUM CORP /DE/ QMCO · Entity 4987 | PurchaseCommon Stock | 6,136 | $3.23 | $19,814.98 |
DisclosureSEC source: 0001213900-20-008840 · ownership.xml · nonDerivative · entry 5 B. Riley Financial, Inc. · CIK 0001464790 · 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 FBR, INC. · CIK 0000852412 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See notes Disclosed balance after: 8,223,139 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"), and B. Riley FBR, Inc., a Delaware corporation ("BRFBR" and collectively, the "Filing Persons"). 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 held by BRPLP. BRF is the parent company of BRFBR. As a result, BRF may be deemed to indirectly beneficially own the securities held by BRFBR. Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock ("Common Stock") of Quantum Corporation, a Delaware corporation (the "Issuer"), reported herein except to the extent of its pecuniary interest therein. F4 · ownership.nature: Represents shares of Common Stock owned directly by BRFBR. Read SEC document |
| April 08, 2020 Filed Apr 8, 2020 20:59 UTC | QUANTUM CORP /DE/ QMCO · Entity 4987 | PurchaseCommon Stock | 6,139 | $3.23 | $19,824.67 |
DisclosureSEC source: 0001213900-20-008840 · ownership.xml · nonDerivative · entry 4 B. Riley Financial, Inc. · CIK 0001464790 · 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 FBR, INC. · CIK 0000852412 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See notes Disclosed balance after: 8,217,003 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"), and B. Riley FBR, Inc., a Delaware corporation ("BRFBR" and collectively, the "Filing Persons"). 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 held by BRPLP. BRF is the parent company of BRFBR. As a result, BRF may be deemed to indirectly beneficially own the securities held by BRFBR. Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock ("Common Stock") of Quantum Corporation, a Delaware corporation (the "Issuer"), reported herein except to the extent of its pecuniary interest therein. F3 · ownership.nature: Represents shares of Common Stock owned directly by BRPLP. Read SEC document |
| April 07, 2020 Filed Apr 8, 2020 20:59 UTC | QUANTUM CORP /DE/ QMCO · Entity 4987 | PurchaseCommon Stock | 40,179 | $2.94 | $118,307.07 |
DisclosureSEC source: 0001213900-20-008840 · ownership.xml · nonDerivative · entry 3 B. Riley Financial, Inc. · CIK 0001464790 · 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 FBR, INC. · CIK 0000852412 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See notes Disclosed balance after: 8,210,864 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"), and B. Riley FBR, Inc., a Delaware corporation ("BRFBR" and collectively, the "Filing Persons"). 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 held by BRPLP. BRF is the parent company of BRFBR. As a result, BRF may be deemed to indirectly beneficially own the securities held by BRFBR. Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock ("Common Stock") of Quantum Corporation, a Delaware corporation (the "Issuer"), reported herein except to the extent of its pecuniary interest therein. F4 · ownership.nature: Represents shares of Common Stock owned directly by BRFBR. Read SEC document |
| April 07, 2020 Filed Apr 8, 2020 20:59 UTC | QUANTUM CORP /DE/ QMCO · Entity 4987 | PurchaseCommon Stock | 40,184 | $2.94 | $118,257.49 |
DisclosureSEC source: 0001213900-20-008840 · ownership.xml · nonDerivative · entry 2 B. Riley Financial, Inc. · CIK 0001464790 · 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 FBR, INC. · CIK 0000852412 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See notes Disclosed balance after: 8,170,685 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"), and B. Riley FBR, Inc., a Delaware corporation ("BRFBR" and collectively, the "Filing Persons"). 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 held by BRPLP. BRF is the parent company of BRFBR. As a result, BRF may be deemed to indirectly beneficially own the securities held by BRFBR. Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock ("Common Stock") of Quantum Corporation, a Delaware corporation (the "Issuer"), reported herein except to the extent of its pecuniary interest therein. F3 · ownership.nature: Represents shares of Common Stock owned directly by BRPLP. Read SEC document |
| April 06, 2020 Filed Apr 8, 2020 20:59 UTC | QUANTUM CORP /DE/ QMCO · Entity 4987 | PurchaseCommon Stock | 100,000 | $2.70 | $270,380.00 |
DisclosureSEC source: 0001213900-20-008840 · ownership.xml · nonDerivative · entry 1 B. Riley Financial, Inc. · CIK 0001464790 · 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 FBR, INC. · CIK 0000852412 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See notes Disclosed balance after: 8,130,501 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"), and B. Riley FBR, Inc., a Delaware corporation ("BRFBR" and collectively, the "Filing Persons"). 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 held by BRPLP. BRF is the parent company of BRFBR. As a result, BRF may be deemed to indirectly beneficially own the securities held by BRFBR. Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock ("Common Stock") of Quantum Corporation, a Delaware corporation (the "Issuer"), reported herein except to the extent of its pecuniary interest therein. F3 · ownership.nature: Represents shares of Common Stock owned directly by BRPLP. Read SEC document |
| January 17, 2019 Filed Jan 17, 2019 23:02 UTC | QUANTUM CORP /DE/ QMCO · Entity 4987 | PurchaseCommon Stock | 887,052 | $1.55 | $1,374,487.07 |
DisclosureSEC source: 0001615774-19-000723 · s115420_form4.xml · nonDerivative · entry 3 B. Riley Financial, Inc. · CIK 0001464790 · 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 FBR, INC. · CIK 0000852412 · 10% owner Dialectic Antithesis Partners, LP · CIK 0001325552 · 10% owner BR Dialectic Capital Management, LLC · CIK 0001704985 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See notes Disclosed balance after: 3,529,077 F6 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.41 to $1.61, inclusive. The Filing Persons reporting person undertakes to provide to the Commission, upon request, full information regarding the number of shares sold at each separate price. F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 3 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 FBR, Inc., a Delaware corporation ("BRFBR"), Dialectic Antithesis Partners, LP, a Delaware limited partnership ("Dialectic") and BR Dialectic Capital Management, LLC, a Delaware limited liability company (collectively, the "Filing Persons"). F2 · ownership.nature: BRPGP is the general partner of BRPLP, BRCM is an investment advisor to BRPLP and 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. BR Dialectic is the general partner and investment manager of Dialectic. BRCM is the parent company of BR Dialectic and BRF is the parent company of BRCM. As a result, BR Dialectic, BRCM and BRF may be deemed to indirectly beneficially own the Shares held by Dialectic. Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock ("Common Stock"), of Quantum Corporation, a Delaware corporation (the "Issuer"), reported herein except to the extent of its pecuniary interest therein. F3 · ownership.nature: Represents shares of Common Stock owned directly by BRFBR. Read SEC document |
| January 16, 2019 Filed Jan 17, 2019 23:02 UTC | QUANTUM CORP /DE/ QMCO · Entity 4987 | PurchaseCommon Stock | 272,901 | $1.59 | $432,548.09 |
DisclosureSEC source: 0001615774-19-000723 · s115420_form4.xml · nonDerivative · entry 2 B. Riley Financial, Inc. · CIK 0001464790 · 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 FBR, INC. · CIK 0000852412 · 10% owner Dialectic Antithesis Partners, LP · CIK 0001325552 · 10% owner BR Dialectic Capital Management, LLC · CIK 0001704985 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See notes Disclosed balance after: 2,642,025 F5 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.5299 to $1.70, inclusive. The Filing Persons reporting person undertakes to provide to the Commission, upon request, full information regarding the number of shares sold at each separate price. F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 3 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 FBR, Inc., a Delaware corporation ("BRFBR"), Dialectic Antithesis Partners, LP, a Delaware limited partnership ("Dialectic") and BR Dialectic Capital Management, LLC, a Delaware limited liability company (collectively, the "Filing Persons"). F2 · ownership.nature: BRPGP is the general partner of BRPLP, BRCM is an investment advisor to BRPLP and 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. BR Dialectic is the general partner and investment manager of Dialectic. BRCM is the parent company of BR Dialectic and BRF is the parent company of BRCM. As a result, BR Dialectic, BRCM and BRF may be deemed to indirectly beneficially own the Shares held by Dialectic. Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock ("Common Stock"), of Quantum Corporation, a Delaware corporation (the "Issuer"), reported herein except to the extent of its pecuniary interest therein. F3 · ownership.nature: Represents shares of Common Stock owned directly by BRFBR. Read SEC document |
| January 15, 2019 Filed Jan 17, 2019 23:02 UTC | QUANTUM CORP /DE/ QMCO · Entity 4987 | PurchaseCommon Stock | 174,000 | $1.62 | $281,897.40 |
DisclosureSEC source: 0001615774-19-000723 · s115420_form4.xml · nonDerivative · entry 1 B. Riley Financial, Inc. · CIK 0001464790 · 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 FBR, INC. · CIK 0000852412 · 10% owner Dialectic Antithesis Partners, LP · CIK 0001325552 · 10% owner BR Dialectic Capital Management, LLC · CIK 0001704985 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See notes Disclosed balance after: 2,369,124 F4 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.42 to $1.70, inclusive. The Filing Persons reporting person undertakes to provide to the Commission, upon request, full information regarding the number of shares sold at each separate price. F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 3 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 FBR, Inc., a Delaware corporation ("BRFBR"), Dialectic Antithesis Partners, LP, a Delaware limited partnership ("Dialectic") and BR Dialectic Capital Management, LLC, a Delaware limited liability company (collectively, the "Filing Persons"). F2 · ownership.nature: BRPGP is the general partner of BRPLP, BRCM is an investment advisor to BRPLP and 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. BR Dialectic is the general partner and investment manager of Dialectic. BRCM is the parent company of BR Dialectic and BRF is the parent company of BRCM. As a result, BR Dialectic, BRCM and BRF may be deemed to indirectly beneficially own the Shares held by Dialectic. Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock ("Common Stock"), of Quantum Corporation, a Delaware corporation (the "Issuer"), reported herein except to the extent of its pecuniary interest therein. F3 · ownership.nature: Represents shares of Common Stock owned directly by BRFBR. Read SEC document |
| January 09, 2019 Filed Jan 11, 2019 22:47 UTC | QUANTUM CORP /DE/ QTM · Entity 4987 | PurchaseCommon Stock | 500,000 | $1.59 | $792,500.00 |
DisclosureSEC source: 0001615774-19-000547 · s115340_form4.xml · nonDerivative · entry 1 B. Riley Financial, Inc. · CIK 0001464790 · 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 FBR, INC. · CIK 0000852412 · 10% owner Dialectic Antithesis Partners, LP · CIK 0001325552 · 10% owner BR Dialectic Capital Management, LLC · CIK 0001704985 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See notes Disclosed balance after: 2,195,124 F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 3 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 FBR, Inc., a Delaware corporation ("BRFBR"), Dialectic Antithesis Partners, LP, a Delaware limited partnership ("Dialectic") and BR Dialectic Capital Management, LLC, a Delaware limited liability company (collectively, the "Filing Persons"). F2 · ownership.nature: BRPGP is the general partner of BRPLP, BRCM is an investment advisor to BRPLP and 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. BR Dialectic is the general partner and investment manager of Dialectic. BRCM is the parent company of BR Dialectic and BRF is the parent company of BRCM. As a result, BR Dialectic, BRCM and BRF may be deemed to indirectly beneficially own the Shares held by Dialectic. Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock ("Common Stock"), of Quantum Corporation, a Delaware corporation (the "Issuer"), reported herein except to the extent of its pecuniary interest therein. F3 · ownership.nature: Represents shares of Common Stock owned directly by BRFBR. Read SEC document |
| December 28, 2018 Filed Dec 29, 2018 00:05 UTC | QUANTUM CORP /DE/ QTM · Entity 4987 | PurchaseCommon Stock | 125,000 | $1.91 | $238,225.00 |
DisclosureSEC source: 0001615774-18-015169 · s115059_form4.xml · nonDerivative · entry 4 B. Riley Financial, Inc. · CIK 0001464790 · 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 FBR, INC. · CIK 0000852412 · 10% owner Dialectic Antithesis Partners, LP · CIK 0001325552 · 10% owner BR Dialectic Capital Management, LLC · CIK 0001704985 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See notes Disclosed balance after: 1,662,696 F6 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.875 to $1.92, inclusive. The Filing Persons reporting person undertakes to provide to the Commission, upon request, full information regarding the number of shares sold at each separate price. F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 3 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 FBR, Inc., a Delaware corporation ("BRFBR"), Dialectic Antithesis Partners, LP, a Delaware limited partnership ("Dialectic") and BR Dialectic Capital Management, LLC, a Delaware limited liability company (collectively, the "Filing Persons"). F2 · ownership.nature: BRPGP is the general partner of BRPLP, BRCM is an investment advisor to BRPLP and 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. BR Dialectic is the general partner and investment manager of Dialectic. BRCM is the parent company of BR Dialectic and BRF is the parent company of BRCM. As a result, BR Dialectic, BRCM and BRF may be deemed to indirectly beneficially own the Shares held by Dialectic. Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock ("Common Stock"), of Quantum Corporation, a Delaware corporation (the "Issuer"), reported herein except to the extent of its pecuniary interest therein. F5 · ownership.nature: Represents shares of Common Stock owned directly by BRFBR. Read SEC document |
| December 27, 2018 Filed Dec 29, 2018 00:05 UTC | QUANTUM CORP /DE/ QTM · Entity 4987 | PurchaseCommon Stock | 100,000 | $1.20 | $120,000.00 |
DisclosureSEC source: 0001615774-18-015169 · s115059_form4.xml · nonDerivative · entry 3 B. Riley Financial, Inc. · CIK 0001464790 · 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 FBR, INC. · CIK 0000852412 · 10% owner Dialectic Antithesis Partners, LP · CIK 0001325552 · 10% owner BR Dialectic Capital Management, LLC · CIK 0001704985 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See notes Disclosed balance after: 1,537,696 F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 3 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 FBR, Inc., a Delaware corporation ("BRFBR"), Dialectic Antithesis Partners, LP, a Delaware limited partnership ("Dialectic") and BR Dialectic Capital Management, LLC, a Delaware limited liability company (collectively, the "Filing Persons"). F2 · ownership.nature: BRPGP is the general partner of BRPLP, BRCM is an investment advisor to BRPLP and 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. BR Dialectic is the general partner and investment manager of Dialectic. BRCM is the parent company of BR Dialectic and BRF is the parent company of BRCM. As a result, BR Dialectic, BRCM and BRF may be deemed to indirectly beneficially own the Shares held by Dialectic. Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock ("Common Stock"), of Quantum Corporation, a Delaware corporation (the "Issuer"), reported herein except to the extent of its pecuniary interest therein. F5 · ownership.nature: Represents shares of Common Stock owned directly by BRFBR. Read SEC document |
| December 27, 2018 Filed Dec 29, 2018 00:05 UTC | QUANTUM CORP /DE/ QTM · Entity 4987 | PurchaseCommon Stock | 253,801 | $1.25 | $316,464.47 |
DisclosureSEC source: 0001615774-18-015169 · s115059_form4.xml · nonDerivative · entry 2 B. Riley Financial, Inc. · CIK 0001464790 · 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 FBR, INC. · CIK 0000852412 · 10% owner Dialectic Antithesis Partners, LP · CIK 0001325552 · 10% owner BR Dialectic Capital Management, LLC · CIK 0001704985 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See notes Disclosed balance after: 1,493,801 F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 3 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 FBR, Inc., a Delaware corporation ("BRFBR"), Dialectic Antithesis Partners, LP, a Delaware limited partnership ("Dialectic") and BR Dialectic Capital Management, LLC, a Delaware limited liability company (collectively, the "Filing Persons"). F2 · ownership.nature: BRPGP is the general partner of BRPLP, BRCM is an investment advisor to BRPLP and 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. BR Dialectic is the general partner and investment manager of Dialectic. BRCM is the parent company of BR Dialectic and BRF is the parent company of BRCM. As a result, BR Dialectic, BRCM and BRF may be deemed to indirectly beneficially own the Shares held by Dialectic. Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock ("Common Stock"), of Quantum Corporation, a Delaware corporation (the "Issuer"), reported herein except to the extent of its pecuniary interest therein. F4 · ownership.nature: Represents shares of Common Stock owned directly by BRPLP. Read SEC document |
| December 27, 2018 Filed Dec 29, 2018 00:05 UTC | QUANTUM CORP /DE/ QTM · Entity 4987 | PurchaseCommon Stock | 38,092 | $1.49 | $56,787.55 |
DisclosureSEC source: 0001615774-18-015169 · s115059_form4.xml · nonDerivative · entry 1 B. Riley Financial, Inc. · CIK 0001464790 · 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 FBR, INC. · CIK 0000852412 · 10% owner Dialectic Antithesis Partners, LP · CIK 0001325552 · 10% owner BR Dialectic Capital Management, LLC · CIK 0001704985 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See notes Disclosed balance after: 938,092 F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 3 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 FBR, Inc., a Delaware corporation ("BRFBR"), Dialectic Antithesis Partners, LP, a Delaware limited partnership ("Dialectic") and BR Dialectic Capital Management, LLC, a Delaware limited liability company (collectively, the "Filing Persons"). F2 · ownership.nature: BRPGP is the general partner of BRPLP, BRCM is an investment advisor to BRPLP and 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. BR Dialectic is the general partner and investment manager of Dialectic. BRCM is the parent company of BR Dialectic and BRF is the parent company of BRCM. As a result, BR Dialectic, BRCM and BRF may be deemed to indirectly beneficially own the Shares held by Dialectic. Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock ("Common Stock"), of Quantum Corporation, a Delaware corporation (the "Issuer"), reported herein except to the extent of its pecuniary interest therein. F3 · ownership.nature: Represents shares of Common Stock owned directly by Dialectic. Read SEC document |
| December 21, 2018 Filed Dec 26, 2018 06:45 UTC | Select Interior Concepts, Inc. SIC · Entity 134274 | PurchaseClass A Common Stock | 57,797 | $6.02 | $347,937.94 |
DisclosureSEC source: 0001615774-18-014847 · s114946_form4.xml · nonDerivative · entry 3 B. Riley Financial, Inc. · CIK 0001464790 · 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 FBR, INC. · CIK 0000852412 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See notes Disclosed balance after: 2,523,833 F7 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.00 to $6.25, inclusive. The Filing Persons reporting person undertakes to provide to the Commission, upon request, full information regarding the number of shares sold at each separate price. 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"), and B. Riley FBR, Inc., a Delaware corporation ("BRFBR") (collectively, the "Filing Persons"). Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Class A Common Stock, par value $0.01 per share ("Common Stock"), of Select Interior Concepts, Inc., a Delaware corporation (the "Issuer"), reported herein except to the extent of its pecuniary interest therein. F2 · ownership.nature: BRPGP is the general partner of BRPLP, BRCM is an investment advisor to BRPLP and 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. F3 · ownership.nature: Represents shares of Common Stock owned directly by BRFBR. F4 · ownership.nature: Certain of these transactions may be matchable transactions under Section 16(b) of the Exchange Act in connection with market making activities. The reporting person will disgorge the full amount of any recoverable profits to the Issuer. Read SEC document |
| December 20, 2018 Filed Dec 26, 2018 06:45 UTC | Select Interior Concepts, Inc. SIC · Entity 134274 | PurchaseClass A Common Stock | 141,810 | $6.14 | $870,713.40 |
DisclosureSEC source: 0001615774-18-014847 · s114946_form4.xml · nonDerivative · entry 2 B. Riley Financial, Inc. · CIK 0001464790 · 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 FBR, INC. · CIK 0000852412 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See notes Disclosed balance after: 2,466,036 F6 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.00 to $7.00, inclusive. The Filing Persons reporting person undertakes to provide to the Commission, upon request, full information regarding the number of shares sold at each separate price. 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"), and B. Riley FBR, Inc., a Delaware corporation ("BRFBR") (collectively, the "Filing Persons"). Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Class A Common Stock, par value $0.01 per share ("Common Stock"), of Select Interior Concepts, Inc., a Delaware corporation (the "Issuer"), reported herein except to the extent of its pecuniary interest therein. F2 · ownership.nature: BRPGP is the general partner of BRPLP, BRCM is an investment advisor to BRPLP and 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. F3 · ownership.nature: Represents shares of Common Stock owned directly by BRFBR. F4 · ownership.nature: Certain of these transactions may be matchable transactions under Section 16(b) of the Exchange Act in connection with market making activities. The reporting person will disgorge the full amount of any recoverable profits to the Issuer. Read SEC document |
| December 19, 2018 Filed Dec 26, 2018 06:45 UTC | Select Interior Concepts, Inc. SIC · Entity 134274 | PurchaseClass A Common Stock | 11,634 | $7.29 | $84,811.86 |
DisclosureSEC source: 0001615774-18-014847 · s114946_form4.xml · nonDerivative · entry 1 B. Riley Financial, Inc. · CIK 0001464790 · 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 FBR, INC. · CIK 0000852412 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See notes Disclosed balance after: 2,324,226 F5 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $7.05 to $7.50, inclusive. The Filing Persons reporting person undertakes to provide to the Commission, upon request, full information regarding the number of shares sold at each separate price. 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"), and B. Riley FBR, Inc., a Delaware corporation ("BRFBR") (collectively, the "Filing Persons"). Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Class A Common Stock, par value $0.01 per share ("Common Stock"), of Select Interior Concepts, Inc., a Delaware corporation (the "Issuer"), reported herein except to the extent of its pecuniary interest therein. F2 · ownership.nature: BRPGP is the general partner of BRPLP, BRCM is an investment advisor to BRPLP and 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. F3 · ownership.nature: Represents shares of Common Stock owned directly by BRFBR. F4 · ownership.nature: Certain of these transactions may be matchable transactions under Section 16(b) of the Exchange Act in connection with market making activities. The reporting person will disgorge the full amount of any recoverable profits to the Issuer. Read SEC document |
| December 18, 2018 Filed Dec 18, 2018 21:06 UTC | Select Interior Concepts, Inc. SIC · Entity 134274 | PurchaseClass A Common Stock | 2,500 | $7.62 | $19,050.00 |
DisclosureSEC source: 0001615774-18-014604 · s114816_form4.xml · nonDerivative · entry 3 B. Riley Financial, Inc. · CIK 0001464790 · 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 FBR, INC. · CIK 0000852412 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See notes Disclosed balance after: 2,312,592 F6 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $7.55 to $7.65, inclusive. The Filing Persons reporting person undertakes to provide to the Commission, upon request, full information regarding the number of shares sold at each separate price. 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"), and B. Riley FBR, Inc., a Delaware corporation ("BRFBR") (collectively, the "Filing Persons"). Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Class A Common Stock, par value $0.01 per share ("Common Stock"), of Select Interior Concepts, Inc., a Delaware corporation (the "Issuer"), reported herein except to the extent of its pecuniary interest therein. F2 · ownership.nature: BRPGP is the general partner of BRPLP, BRCM is an investment advisor to BRPLP and 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. F3 · ownership.nature: Represents shares of Common Stock owned directly by BRFBR. F4 · ownership.nature: Certain of these transactions may be matchable transactions under Section 16(b) of the Exchange Act in connection with market making activities. The reporting person will disgorge the full amount of any recoverable profits to the Issuer. Read SEC document |
| December 17, 2018 Filed Dec 18, 2018 21:06 UTC | Select Interior Concepts, Inc. SIC · Entity 134274 | PurchaseClass A Common Stock | 2,583 | $7.72 | $19,940.76 |
DisclosureSEC source: 0001615774-18-014604 · s114816_form4.xml · nonDerivative · entry 2 B. Riley Financial, Inc. · CIK 0001464790 · 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 FBR, INC. · CIK 0000852412 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See notes Disclosed balance after: 2,310,092 F5 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $7.65 to $7.75, inclusive. The Filing Persons reporting person undertakes to provide to the Commission, upon request, full information regarding the number of shares sold at each separate price. 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"), and B. Riley FBR, Inc., a Delaware corporation ("BRFBR") (collectively, the "Filing Persons"). Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Class A Common Stock, par value $0.01 per share ("Common Stock"), of Select Interior Concepts, Inc., a Delaware corporation (the "Issuer"), reported herein except to the extent of its pecuniary interest therein. F2 · ownership.nature: BRPGP is the general partner of BRPLP, BRCM is an investment advisor to BRPLP and 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. F3 · ownership.nature: Represents shares of Common Stock owned directly by BRFBR. F4 · ownership.nature: Certain of these transactions may be matchable transactions under Section 16(b) of the Exchange Act in connection with market making activities. The reporting person will disgorge the full amount of any recoverable profits to the Issuer. Read SEC document |
| December 14, 2018 Filed Dec 18, 2018 21:06 UTC | Select Interior Concepts, Inc. SIC · Entity 134274 | PurchaseClass A Common Stock | 17 | $7.75 | $131.75 |
DisclosureSEC source: 0001615774-18-014604 · s114816_form4.xml · nonDerivative · entry 1 B. Riley Financial, Inc. · CIK 0001464790 · 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 FBR, INC. · CIK 0000852412 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See notes Disclosed balance after: 2,307,509 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"), and B. Riley FBR, Inc., a Delaware corporation ("BRFBR") (collectively, the "Filing Persons"). Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Class A Common Stock, par value $0.01 per share ("Common Stock"), of Select Interior Concepts, Inc., a Delaware corporation (the "Issuer"), reported herein except to the extent of its pecuniary interest therein. F2 · ownership.nature: BRPGP is the general partner of BRPLP, BRCM is an investment advisor to BRPLP and 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. F3 · ownership.nature: Represents shares of Common Stock owned directly by BRFBR. F4 · ownership.nature: Certain of these transactions may be matchable transactions under Section 16(b) of the Exchange Act in connection with market making activities. The reporting person will disgorge the full amount of any recoverable profits to the Issuer. Read SEC document |
| December 06, 2018 Filed Dec 7, 2018 19:53 UTC | Select Interior Concepts, Inc. SIC · Entity 134274 | PurchaseClass A Common Stock | 3,306 | $7.89 | $26,084.34 |
DisclosureSEC source: 0001615774-18-014051 · s114605_form4.xml · nonDerivative · entry 2 B. Riley Financial, Inc. · CIK 0001464790 · 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 FBR, INC. · CIK 0000852412 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See notes Disclosed balance after: 2,306,166 F5 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $7.85 to $7.95, inclusive. The Filing Persons reporting person undertakes to provide to the Commission, upon request, full information regarding the number of shares sold at each separate price. 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"), and B. Riley FBR, Inc., a Delaware corporation ("BRFBR") (collectively, the "Filing Persons"). Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Class A Common Stock, par value $0.01 per share ("Common Stock"), of Select Interior Concepts, Inc., a Delaware corporation (the "Issuer"), reported herein except to the extent of its pecuniary interest therein. F2 · ownership.nature: BRPGP is the general partner of BRPLP, BRCM is an investment advisor to BRPLP and 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. F3 · ownership.nature: Represents shares of Common Stock owned directly by BRFBR. F4 · ownership.nature: Certain of these transactions may be matchable transactions under Section 16(b) of the Exchange Act in connection with market making activities. The reporting person will disgorge the full amount of any recoverable profits to the Issuer. Read SEC document |
| December 04, 2018 Filed Dec 7, 2018 19:53 UTC | Select Interior Concepts, Inc. SIC · Entity 134274 | PurchaseClass A Common Stock | 451 | $7.95 | $3,585.45 |
DisclosureSEC source: 0001615774-18-014051 · s114605_form4.xml · nonDerivative · entry 1 B. Riley Financial, Inc. · CIK 0001464790 · 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 FBR, INC. · CIK 0000852412 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See notes Disclosed balance after: 2,302,860 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"), and B. Riley FBR, Inc., a Delaware corporation ("BRFBR") (collectively, the "Filing Persons"). Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Class A Common Stock, par value $0.01 per share ("Common Stock"), of Select Interior Concepts, Inc., a Delaware corporation (the "Issuer"), reported herein except to the extent of its pecuniary interest therein. F2 · ownership.nature: BRPGP is the general partner of BRPLP, BRCM is an investment advisor to BRPLP and 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. F3 · ownership.nature: Represents shares of Common Stock owned directly by BRFBR. F4 · ownership.nature: Certain of these transactions may be matchable transactions under Section 16(b) of the Exchange Act in connection with market making activities. The reporting person will disgorge the full amount of any recoverable profits to the Issuer. Read SEC document |
| August 14, 2018 Filed Aug 28, 2018 20:42 UTC | Franchise Group, Inc. TAX · Entity 110293 | PurchaseClass A Common Stock | 925 | $10.15 | $9,388.75 |
DisclosureSEC source: 0001615774-18-008746 · s112367_form4.xml · nonDerivative · entry 1 B. Riley Financial, Inc. · CIK 0001464790 · 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 FBR, INC. · CIK 0000852412 · 10% owner Dialectic Antithesis Partners, LP · CIK 0001325552 · 10% owner BR Dialectic Capital Management, LLC · CIK 0001704985 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See notes Disclosed balance after: 3,086,712 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 FBR, Inc., a Delaware corporation ("BRFBR"), Dialectic Antithesis Partners, LP, a Delaware limited partnership ("Dialectic") and BR Dialectic Capital Management, LLC, a Delaware limited liability company (collectively, the "Filing Persons"). Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock, par value $0.01 per share ("Tax Common Stock"), of Liberty Tax, Inc., a Delaware corporation ("Liberty Tax" or the "Issuer"), reported herein except to the extent of its pecuniary interest therein. F2 · ownership.nature: BRPGP is the general partner of BRPLP, BRCM is an investment advisor to BRPLP and 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. BR Dialectic is the general partner and investment manager of Dialectic. BRCM is an investment advisor and the parent company of BR Dialectic and BRF is the parent company of BRCM. As a result, BR Dialectic, BRCM and BRF may be deemed to indirectly beneficially own the Shares held by Dialectic. F3 · ownership.nature: Represents shares of Tax Common Stock owned directly by BRFBR. Read SEC document |
| August 14, 2018 Filed Dec 26, 2018 10:26 UTC Amendment | Franchise Group, Inc. TAX · Entity 110293 | PurchaseClass A Common Stock | 925 | $10.15 | $9,388.75 |
DisclosureSEC source: 0001615774-18-014884 · s114940_form4a.xml · nonDerivative · entry 1 B. Riley Financial, Inc. · CIK 0001464790 · 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 FBR, INC. · CIK 0000852412 · 10% owner Dialectic Antithesis Partners, LP · CIK 0001325552 · 10% owner BR Dialectic Capital Management, LLC · CIK 0001704985 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See notes Disclosed balance after: 475,275 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 FBR, Inc., a Delaware corporation ("BRFBR"), Dialectic Antithesis Partners, LP, a Delaware limited partnership ("Dialectic") and BR Dialectic Capital Management, LLC, a Delaware limited liability company (collectively, the "Filing Persons"). F2 · ownership.nature: BRPGP is the general partner of BRPLP, BRCM is an investment advisor to BRPLP and 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. BR Dialectic is the general partner and investment advisor of Dialectic. BRCM is the parent company of BR Dialectic and BRF is the parent company of BRCM. As a result, BR Dialectic, BRCM and BRF may be deemed to indirectly beneficially own the Shares held by Dialectic. Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock, par value $0.01 per share ("Tax Common Stock"), of Liberty Tax, Inc., a Delaware corporation ("Liberty Tax" or the "Issuer"), reported herein except to the extent of its pecuniary interest therein. Represents shares of Tax Common Stock owned directly by BRFBR. Read SEC document |
| August 06, 2018 Filed Aug 8, 2018 18:20 UTC | Franchise Group, Inc. TAX · Entity 110293 | PurchaseClass A Common Stock | 18,916 | $9.28 | $175,585.88 |
DisclosureSEC source: 0001615774-18-007753 · s111961_form4.xml · nonDerivative · entry 1 B. Riley Financial, Inc. · CIK 0001464790 · 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 FBR, INC. · CIK 0000852412 · 10% owner Dialectic Antithesis Partners, LP · CIK 0001325552 · 10% owner BR Dialectic Capital Management, LLC · CIK 0001704985 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See notes Disclosed balance after: 3,334,703 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 FBR, Inc., a Delaware corporation ("BRFBR"), Dialectic Antithesis Partners, LP, a Delaware limited partnership ("Dialectic") and BR Dialectic Capital Management, LLC, a Delaware limited liability company (collectively, the "Filing Persons"). Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock, par value $0.01 per share ("Tax Common Stock"), of Liberty Tax, Inc., a Delaware corporation ("Liberty Tax" or the "Issuer"), reported herein except to the extent of its pecuniary interest therein. F2 · ownership.nature: BRPGP is the general partner of BRPLP, BRCM is an investment advisor to BRPLP, BRCM and 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. BR Dialectic is the general partner and investment manager of Dialectic. BRCM is an investment advisor and the parent company of BR Dialectic and BRF is the parent company of BRCM. As a result, BR Dialectic, BRCM and BRF may be deemed to indirectly beneficially own the Shares held by Dialectic. F3 · ownership.nature: Represents shares of Tax Common Stock owned directly by BRFBR. Read SEC document |
| August 06, 2018 Filed Dec 26, 2018 10:26 UTC Amendment | Franchise Group, Inc. TAX · Entity 110293 | PurchaseClass A Common Stock | 18,916 | $9.28 | $175,585.88 |
DisclosureSEC source: 0001615774-18-014883 · s114939_form4a.xml · nonDerivative · entry 1 B. Riley Financial, Inc. · CIK 0001464790 · 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 FBR, INC. · CIK 0000852412 · 10% owner Dialectic Antithesis Partners, LP · CIK 0001325552 · 10% owner BR Dialectic Capital Management, LLC · CIK 0001704985 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See notes Disclosed balance after: 474,350 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 FBR, Inc., a Delaware corporation ("BRFBR"), Dialectic Antithesis Partners, LP, a Delaware limited partnership ("Dialectic") and BR Dialectic Capital Management, LLC, a Delaware limited liability company (collectively, the "Filing Persons"). F2 · ownership.nature: BRPGP is the general partner of BRPLP, BRCM is an investment advisor to BRPLP and 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. BR Dialectic is the general partner and investment advisor of Dialectic. BRCM is the parent company of BR Dialectic and BRF is the parent company of BRCM. As a result, BR Dialectic, BRCM and BRF may be deemed to indirectly beneficially own the Shares held by Dialectic. Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock, par value $0.01 per share ("Tax Common Stock"), of Liberty Tax, Inc., a Delaware corporation ("Liberty Tax" or the "Issuer"), reported herein except to the extent of its pecuniary interest therein. Represents shares of Tax Common Stock owned directly by BRFBR. Read SEC document |
| August 03, 2018 Filed Aug 6, 2018 19:33 UTC | Franchise Group, Inc. TAX · Entity 110293 | PurchaseClass A Common Stock | 34,700 | $9.25 | $320,905.60 |
DisclosureSEC source: 0001615774-18-007620 · s111917_form4.xml · nonDerivative · entry 3 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner B. RILEY FBR, INC. · CIK 0000852412 · 10% owner Dialectic Antithesis Partners, LP · CIK 0001325552 · 10% owner BR Dialectic Capital Management, LLC · CIK 0001704985 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See notes Disclosed balance after: 3,085,787 F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 3 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 FBR, Inc., a Delaware corporation ("BRFBR"), Dialectic Antithesis Partners, LP, a Delaware limited partnership ("Dialectic") and BR Dialectic Capital Management, LLC, a Delaware limited liability company (collectively, the "Filing Persons"). Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock, par value $0.01 per share ("Tax Common Stock"), of Liberty Tax, Inc., a Delaware corporation ("Liberty Tax" or the "Issuer"), reported herein except to the extent of its pecuniary interest therein. F2 · ownership.nature: BRPGP is the general partner of BRPLP, BRCM is an investment advisor to BRPLP and 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. BRCM is an investment advisor to BRFBR and BRF is the parent company of BRFBR. As a result, BRCM and BRF may be deemed to indirectly beneficially own the Shares held by BRFBR. BR Dialectic is the general partner and investment manager of Dialectic. BRCM is an investment advisor and the parent company of BR Dialectic and BRF is the parent company of BRCM. As a result, BR Dialectic, BRCM and BRF may be deemed to indirectly beneficially own the Shares held by Dialectic. F3 · ownership.nature: Represents shares of Tax Common Stock owned directly by BRFBR. Read SEC document |
| August 03, 2018 Filed Aug 8, 2018 18:19 UTC Amendment | Franchise Group, Inc. TAX · Entity 110293 | PurchaseClass A Common Stock | 34,700 | $9.25 | $320,905.60 |
DisclosureSEC source: 0001615774-18-007752 · s111960_form4a.xml · nonDerivative · entry 3 B. Riley Financial, Inc. · CIK 0001464790 · 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 FBR, INC. · CIK 0000852412 · 10% owner Dialectic Antithesis Partners, LP · CIK 0001325552 · 10% owner BR Dialectic Capital Management, LLC · CIK 0001704985 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See notes Disclosed balance after: 3,085,787 F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4/A 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 FBR, Inc., a Delaware corporation ("BRFBR"), Dialectic Antithesis Partners, LP, a Delaware limited partnership ("Dialectic") and BR Dialectic Capital Management, LLC, a Delaware limited liability company (collectively, the "Filing Persons"). Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock, par value $0.01 per share ("Tax Common Stock"), of Liberty Tax, Inc., a Delaware corporation ("Liberty Tax" or the "Issuer"), reported herein except to the extent of its pecuniary interest therein. F2 · ownership.nature: BRPGP is the general partner of BRPLP, BRCM is an investment advisor to BRPLP and 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. BR Dialectic is the general partner and investment manager of Dialectic. BRCM is an investment advisor and the parent company of BR Dialectic and BRF is the parent company of BRCM. As a result, BR Dialectic, BRCM and BRF may be deemed to indirectly beneficially own the Shares held by Dialectic. F3 · ownership.nature: Represents shares of Tax Common Stock owned directly by BRFBR. Read SEC document |
| August 03, 2018 Filed Dec 26, 2018 10:25 UTC Amendment | Franchise Group, Inc. TAX · Entity 110293 | PurchaseClass A Common Stock | 34,700 | $9.25 | $320,905.60 |
DisclosureSEC source: 0001615774-18-014882 · s114941_form4a.xml · nonDerivative · entry 3 B. Riley Financial, Inc. · CIK 0001464790 · 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 FBR, INC. · CIK 0000852412 · 10% owner Dialectic Antithesis Partners, LP · CIK 0001325552 · 10% owner BR Dialectic Capital Management, LLC · CIK 0001704985 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See notes Disclosed balance after: 455,434 F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 3 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 FBR, Inc., a Delaware corporation ("BRFBR"), Dialectic Antithesis Partners, LP, a Delaware limited partnership ("Dialectic") and BR Dialectic Capital Management, LLC, a Delaware limited liability company (collectively, the "Filing Persons"). F2 · ownership.nature: BRPGP is the general partner of BRPLP, BRCM is an investment advisor to BRPLP and 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. BR Dialectic is the general partner and investment advisor of Dialectic. BRCM is the parent company of BR Dialectic and BRF is the parent company of BRCM. As a result, BR Dialectic, BRCM and BRF may be deemed to indirectly beneficially own the Shares held by Dialectic. Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock, par value $0.01 per share ("Tax Common Stock"), of Liberty Tax, Inc., a Delaware corporation ("Liberty Tax" or the "Issuer"), reported herein except to the extent of its pecuniary interest therein. Represents shares of Tax Common Stock owned directly by BRFBR. Read SEC document |
| August 02, 2018 Filed Aug 6, 2018 19:33 UTC | Franchise Group, Inc. TAX · Entity 110293 | SaleClass A Common Stock | 115,000 | $9.19 | $1,056,666.00 |
DisclosureSEC source: 0001615774-18-007620 · s111917_form4.xml · nonDerivative · entry 2 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner B. RILEY FBR, INC. · CIK 0000852412 · 10% owner Dialectic Antithesis Partners, LP · CIK 0001325552 · 10% owner BR Dialectic Capital Management, LLC · CIK 0001704985 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See notes Disclosed balance after: 3,051,087 F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 3 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 FBR, Inc., a Delaware corporation ("BRFBR"), Dialectic Antithesis Partners, LP, a Delaware limited partnership ("Dialectic") and BR Dialectic Capital Management, LLC, a Delaware limited liability company (collectively, the "Filing Persons"). Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock, par value $0.01 per share ("Tax Common Stock"), of Liberty Tax, Inc., a Delaware corporation ("Liberty Tax" or the "Issuer"), reported herein except to the extent of its pecuniary interest therein. F2 · ownership.nature: BRPGP is the general partner of BRPLP, BRCM is an investment advisor to BRPLP and 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. BRCM is an investment advisor to BRFBR and BRF is the parent company of BRFBR. As a result, BRCM and BRF may be deemed to indirectly beneficially own the Shares held by BRFBR. BR Dialectic is the general partner and investment manager of Dialectic. BRCM is an investment advisor and the parent company of BR Dialectic and BRF is the parent company of BRCM. As a result, BR Dialectic, BRCM and BRF may be deemed to indirectly beneficially own the Shares held by Dialectic. F3 · ownership.nature: Represents shares of Tax Common Stock owned directly by BRFBR. Read SEC document |
| August 02, 2018 Filed Aug 6, 2018 19:33 UTC | Franchise Group, Inc. TAX · Entity 110293 | PurchaseClass A Common Stock | 230,967 | $9.17 | $2,117,597.84 |
DisclosureSEC source: 0001615774-18-007620 · s111917_form4.xml · nonDerivative · entry 1 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner B. RILEY FBR, INC. · CIK 0000852412 · 10% owner Dialectic Antithesis Partners, LP · CIK 0001325552 · 10% owner BR Dialectic Capital Management, LLC · CIK 0001704985 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See notes Disclosed balance after: 3,166,087 F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 3 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 FBR, Inc., a Delaware corporation ("BRFBR"), Dialectic Antithesis Partners, LP, a Delaware limited partnership ("Dialectic") and BR Dialectic Capital Management, LLC, a Delaware limited liability company (collectively, the "Filing Persons"). Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock, par value $0.01 per share ("Tax Common Stock"), of Liberty Tax, Inc., a Delaware corporation ("Liberty Tax" or the "Issuer"), reported herein except to the extent of its pecuniary interest therein. F2 · ownership.nature: BRPGP is the general partner of BRPLP, BRCM is an investment advisor to BRPLP and 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. BRCM is an investment advisor to BRFBR and BRF is the parent company of BRFBR. As a result, BRCM and BRF may be deemed to indirectly beneficially own the Shares held by BRFBR. BR Dialectic is the general partner and investment manager of Dialectic. BRCM is an investment advisor and the parent company of BR Dialectic and BRF is the parent company of BRCM. As a result, BR Dialectic, BRCM and BRF may be deemed to indirectly beneficially own the Shares held by Dialectic. F3 · ownership.nature: Represents shares of Tax Common Stock owned directly by BRFBR. Read SEC document |
| August 02, 2018 Filed Aug 8, 2018 18:19 UTC Amendment | Franchise Group, Inc. TAX · Entity 110293 | SaleClass A Common Stock | 115,000 | $9.19 | $1,056,666.00 |
DisclosureSEC source: 0001615774-18-007752 · s111960_form4a.xml · nonDerivative · entry 2 B. Riley Financial, Inc. · CIK 0001464790 · 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 FBR, INC. · CIK 0000852412 · 10% owner Dialectic Antithesis Partners, LP · CIK 0001325552 · 10% owner BR Dialectic Capital Management, LLC · CIK 0001704985 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See notes Disclosed balance after: 3,051,087 F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4/A 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 FBR, Inc., a Delaware corporation ("BRFBR"), Dialectic Antithesis Partners, LP, a Delaware limited partnership ("Dialectic") and BR Dialectic Capital Management, LLC, a Delaware limited liability company (collectively, the "Filing Persons"). Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock, par value $0.01 per share ("Tax Common Stock"), of Liberty Tax, Inc., a Delaware corporation ("Liberty Tax" or the "Issuer"), reported herein except to the extent of its pecuniary interest therein. F2 · ownership.nature: BRPGP is the general partner of BRPLP, BRCM is an investment advisor to BRPLP and 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. BR Dialectic is the general partner and investment manager of Dialectic. BRCM is an investment advisor and the parent company of BR Dialectic and BRF is the parent company of BRCM. As a result, BR Dialectic, BRCM and BRF may be deemed to indirectly beneficially own the Shares held by Dialectic. F3 · ownership.nature: Represents shares of Tax Common Stock owned directly by BRFBR. Read SEC document |
| August 02, 2018 Filed Aug 8, 2018 18:19 UTC Amendment | Franchise Group, Inc. TAX · Entity 110293 | PurchaseClass A Common Stock | 230,967 | $9.17 | $2,117,597.84 |
DisclosureSEC source: 0001615774-18-007752 · s111960_form4a.xml · nonDerivative · entry 1 B. Riley Financial, Inc. · CIK 0001464790 · 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 FBR, INC. · CIK 0000852412 · 10% owner Dialectic Antithesis Partners, LP · CIK 0001325552 · 10% owner BR Dialectic Capital Management, LLC · CIK 0001704985 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See notes Disclosed balance after: 3,166,087 F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4/A 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 FBR, Inc., a Delaware corporation ("BRFBR"), Dialectic Antithesis Partners, LP, a Delaware limited partnership ("Dialectic") and BR Dialectic Capital Management, LLC, a Delaware limited liability company (collectively, the "Filing Persons"). Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock, par value $0.01 per share ("Tax Common Stock"), of Liberty Tax, Inc., a Delaware corporation ("Liberty Tax" or the "Issuer"), reported herein except to the extent of its pecuniary interest therein. F2 · ownership.nature: BRPGP is the general partner of BRPLP, BRCM is an investment advisor to BRPLP and 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. BR Dialectic is the general partner and investment manager of Dialectic. BRCM is an investment advisor and the parent company of BR Dialectic and BRF is the parent company of BRCM. As a result, BR Dialectic, BRCM and BRF may be deemed to indirectly beneficially own the Shares held by Dialectic. F3 · ownership.nature: Represents shares of Tax Common Stock owned directly by BRFBR. Read SEC document |
| August 02, 2018 Filed Dec 26, 2018 10:25 UTC Amendment | Franchise Group, Inc. TAX · Entity 110293 | SaleClass A Common Stock | 115,000 | $9.19 | $1,056,666.00 |
DisclosureSEC source: 0001615774-18-014882 · s114941_form4a.xml · nonDerivative · entry 2 B. Riley Financial, Inc. · CIK 0001464790 · 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 FBR, INC. · CIK 0000852412 · 10% owner Dialectic Antithesis Partners, LP · CIK 0001325552 · 10% owner BR Dialectic Capital Management, LLC · CIK 0001704985 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See notes Disclosed balance after: 420,734 F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 3 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 FBR, Inc., a Delaware corporation ("BRFBR"), Dialectic Antithesis Partners, LP, a Delaware limited partnership ("Dialectic") and BR Dialectic Capital Management, LLC, a Delaware limited liability company (collectively, the "Filing Persons"). F2 · ownership.nature: BRPGP is the general partner of BRPLP, BRCM is an investment advisor to BRPLP and 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. BR Dialectic is the general partner and investment advisor of Dialectic. BRCM is the parent company of BR Dialectic and BRF is the parent company of BRCM. As a result, BR Dialectic, BRCM and BRF may be deemed to indirectly beneficially own the Shares held by Dialectic. Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock, par value $0.01 per share ("Tax Common Stock"), of Liberty Tax, Inc., a Delaware corporation ("Liberty Tax" or the "Issuer"), reported herein except to the extent of its pecuniary interest therein. Represents shares of Tax Common Stock owned directly by BRFBR. Read SEC document |
| August 02, 2018 Filed Dec 26, 2018 10:25 UTC Amendment | Franchise Group, Inc. TAX · Entity 110293 | PurchaseClass A Common Stock | 230,967 | $9.17 | $2,117,597.84 |
DisclosureSEC source: 0001615774-18-014882 · s114941_form4a.xml · nonDerivative · entry 1 B. Riley Financial, Inc. · CIK 0001464790 · 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 FBR, INC. · CIK 0000852412 · 10% owner Dialectic Antithesis Partners, LP · CIK 0001325552 · 10% owner BR Dialectic Capital Management, LLC · CIK 0001704985 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See notes Disclosed balance after: 535,734 F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 3 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 FBR, Inc., a Delaware corporation ("BRFBR"), Dialectic Antithesis Partners, LP, a Delaware limited partnership ("Dialectic") and BR Dialectic Capital Management, LLC, a Delaware limited liability company (collectively, the "Filing Persons"). F2 · ownership.nature: BRPGP is the general partner of BRPLP, BRCM is an investment advisor to BRPLP and 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. BR Dialectic is the general partner and investment advisor of Dialectic. BRCM is the parent company of BR Dialectic and BRF is the parent company of BRCM. As a result, BR Dialectic, BRCM and BRF may be deemed to indirectly beneficially own the Shares held by Dialectic. Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock, par value $0.01 per share ("Tax Common Stock"), of Liberty Tax, Inc., a Delaware corporation ("Liberty Tax" or the "Issuer"), reported herein except to the extent of its pecuniary interest therein. Represents shares of Tax Common Stock owned directly by BRFBR. 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.