Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| ALTA EQUIPMENT GROUP INC.BRPM · Entity 6371 | Director · Chief Executive Officer | April 08, 2019 | April 09, 2019 |
| BRC Group Holdings, Inc.RILY · Entity 6050 | President | May 31, 2024 | June 04, 2024 |
| Babcock & Wilcox Enterprises, Inc.BW · Entity 4934 | Director · Chief Executive Officer | August 12, 2026 | August 13, 2026 |
| Charah Solutions, Inc.CHRA · Entity 111345 | Director | June 28, 2022 | June 29, 2022 |
| DNA X, Inc.SONM · Entity 8261 | Director | October 30, 2019 | November 02, 2019 |
| Eos Energy Enterprises, Inc.BMRG · Entity 4901 | Director | May 19, 2020 | May 20, 2020 |
| Franchise Group, Inc.FRG · Entity 110293 | Director | March 05, 2020 | March 09, 2020 |
| Globalstar, Inc.GSAT · Entity 3507 | Director | March 01, 2018 | May 10, 2018 |
| ORION ENERGY SYSTEMS, INC.OESX · Entity 6811 | Director | June 09, 2020 | June 11, 2020 |
| STANDARD DIVERSIFIED INC.SDOPA · Entity 147791 | Director | June 01, 2017 | June 05, 2017 |
| bebe stores, inc.BEBE · Entity 170174 | Director | January 12, 2018 | January 22, 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.
ALTA EQUIPMENT GROUP INC.
Report date April 08, 2019 · Filed April 09, 2019
This filing explicitly reported no securities owned.
BRC Group Holdings, Inc.
Report date May 31, 2024 · Filed June 04, 2024
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 224,726 |
Reported balance
After 2024-05-31 transaction · row 1
1 source rowRow 1 · 2024-05-31 · Tax withholding · Disposed 5,076 · Balance 224,726 F1: Represents shares withheld by the Company and remitted on behalf of the Reporting Person for payment of taxes in connection with the vesting of shares from Restricted Stock Units granted on May 31, 2021 and May 24, 2022. |
| Common StockSEC Table I · non-derivative | IndirectSee Note | 32,085 |
Reported balance
Holding disclosure · report date 2024-05-31 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 32,085 F2: Held of record by the Kenneth M. Young Revocable Trust U/A 5/8/15. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents shares withheld by the Company and remitted on behalf of the Reporting Person for payment of taxes in connection with the vesting of shares from Restricted Stock Units granted on May 31, 2021 and May 24, 2022.
F2: Held of record by the Kenneth M. Young Revocable Trust U/A 5/8/15.
Babcock & Wilcox Enterprises, Inc.
Report date August 12, 2026 · Filed August 13, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 1,709,254 |
Reported balance
After 2026-08-12 transaction · row 1
1 source rowRow 1 · 2026-08-12 · Purchase · Acquired 7,000 · Balance 1,709,254 |
| Common StockSEC Table I · non-derivative | IndirectSee Note | 272,767 |
Reported balance
Holding disclosure · report date 2026-08-12 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 272,767 F1: Held of record by the Kenneth M. Young Revocable Trust U/A 5/8/15. |
Filing footnotes · ownership attribution and instrument terms
F1: Held of record by the Kenneth M. Young Revocable Trust U/A 5/8/15.
Charah Solutions, Inc.
Report date June 28, 2022 · Filed June 29, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 26,667 |
Reported balance
After 2022-06-28 transaction · row 1
1 source rowRow 1 · 2022-06-28 · Grant · Acquired 26,667 · Balance 26,667 F1: Acquisition consists of an award of restricted stock units granted under the Charah Solutions, Inc. 2018 Omnibus Incentive Plan |
Filing footnotes · ownership attribution and instrument terms
F1: Acquisition consists of an award of restricted stock units granted under the Charah Solutions, Inc. 2018 Omnibus Incentive Plan
DNA X, Inc.
Report date October 30, 2019 · Filed November 02, 2019
Jointly reported with BRC Group Holdings, Inc., BRC Partners Opportunity Fund, LP, BRC Partners Management GP, LLC, B. RILEY CAPITAL MANAGEMENT, LLC, B. RILEY PRINCIPAL INVESTMENTS, LLC, B. Riley Securities, Inc., RILEY BRYANT R
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy B. Riley FBR, Inc. | 0 |
Last balance in matching sequence
After 2019-10-30 transaction · row 16
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
16 source rowsRow 1 · 2019-10-30 · Purchase · Acquired 200 · Balance 200 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 Principal Investments, LLC, a Delaware limited liability company ("BRPI"), B. Riley FBR, Inc., a Delaware corporation ("BRFBR"), Kenneth M. Young and Bryant R. Riley. F2: BRPGP is a subsidiary of BRCM, a registered investment advisor, and is the general partner of BRPLP. BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the Shares held by BRPLP. BRF is the parent company of BRFBR. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRFBR. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRPI. F3: Bryant Riley, as Chief Executive Officer of BRCM and Chairman and Co-Chief Executive Officer of BRF, has voting and dispositive power over the shares held by BRPLP, BRPI and BRF. Mr. Young is the President of BRF and the Chief Executive Officer of BRPI. He has voting and dispositive power over the shares held by BRPI. Mr. Young does not have either voting or investment control over the securities held by the BRF. Each reporting person disclaims beneficial ownership of the securities of the Issuer reported herein held indirectly except to the extent of such person's pecuniary interest therein. Row 2 · 2019-10-30 · Purchase · Acquired 100 · Balance 300 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 Principal Investments, LLC, a Delaware limited liability company ("BRPI"), B. Riley FBR, Inc., a Delaware corporation ("BRFBR"), Kenneth M. Young and Bryant R. Riley. F2: BRPGP is a subsidiary of BRCM, a registered investment advisor, and is the general partner of BRPLP. BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the Shares held by BRPLP. BRF is the parent company of BRFBR. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRFBR. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRPI. F3: Bryant Riley, as Chief Executive Officer of BRCM and Chairman and Co-Chief Executive Officer of BRF, has voting and dispositive power over the shares held by BRPLP, BRPI and BRF. Mr. Young is the President of BRF and the Chief Executive Officer of BRPI. He has voting and dispositive power over the shares held by BRPI. Mr. Young does not have either voting or investment control over the securities held by the BRF. Each reporting person disclaims beneficial ownership of the securities of the Issuer reported herein held indirectly except to the extent of such person's pecuniary interest therein. Row 3 · 2019-10-30 · Purchase · Acquired 200 · Balance 500 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 Principal Investments, LLC, a Delaware limited liability company ("BRPI"), B. Riley FBR, Inc., a Delaware corporation ("BRFBR"), Kenneth M. Young and Bryant R. Riley. F2: BRPGP is a subsidiary of BRCM, a registered investment advisor, and is the general partner of BRPLP. BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the Shares held by BRPLP. BRF is the parent company of BRFBR. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRFBR. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRPI. F3: Bryant Riley, as Chief Executive Officer of BRCM and Chairman and Co-Chief Executive Officer of BRF, has voting and dispositive power over the shares held by BRPLP, BRPI and BRF. Mr. Young is the President of BRF and the Chief Executive Officer of BRPI. He has voting and dispositive power over the shares held by BRPI. Mr. Young does not have either voting or investment control over the securities held by the BRF. Each reporting person disclaims beneficial ownership of the securities of the Issuer reported herein held indirectly except to the extent of such person's pecuniary interest therein. Row 4 · 2019-10-30 · Purchase · Acquired 25,000 · Balance 25,500 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 Principal Investments, LLC, a Delaware limited liability company ("BRPI"), B. Riley FBR, Inc., a Delaware corporation ("BRFBR"), Kenneth M. Young and Bryant R. Riley. F2: BRPGP is a subsidiary of BRCM, a registered investment advisor, and is the general partner of BRPLP. BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the Shares held by BRPLP. BRF is the parent company of BRFBR. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRFBR. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRPI. F3: Bryant Riley, as Chief Executive Officer of BRCM and Chairman and Co-Chief Executive Officer of BRF, has voting and dispositive power over the shares held by BRPLP, BRPI and BRF. Mr. Young is the President of BRF and the Chief Executive Officer of BRPI. He has voting and dispositive power over the shares held by BRPI. Mr. Young does not have either voting or investment control over the securities held by the BRF. Each reporting person disclaims beneficial ownership of the securities of the Issuer reported herein held indirectly except to the extent of such person's pecuniary interest therein. Row 5 · 2019-10-30 · Sale · Disposed 11,265 · Balance 14,235 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 Principal Investments, LLC, a Delaware limited liability company ("BRPI"), B. Riley FBR, Inc., a Delaware corporation ("BRFBR"), Kenneth M. Young and Bryant R. Riley. F2: BRPGP is a subsidiary of BRCM, a registered investment advisor, and is the general partner of BRPLP. BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the Shares held by BRPLP. BRF is the parent company of BRFBR. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRFBR. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRPI. F3: Bryant Riley, as Chief Executive Officer of BRCM and Chairman and Co-Chief Executive Officer of BRF, has voting and dispositive power over the shares held by BRPLP, BRPI and BRF. Mr. Young is the President of BRF and the Chief Executive Officer of BRPI. He has voting and dispositive power over the shares held by BRPI. Mr. Young does not have either voting or investment control over the securities held by the BRF. Each reporting person disclaims beneficial ownership of the securities of the Issuer reported herein held indirectly except to the extent of such person's pecuniary interest therein. Row 6 · 2019-10-30 · Sale · Disposed 200 · Balance 14,035 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 Principal Investments, LLC, a Delaware limited liability company ("BRPI"), B. Riley FBR, Inc., a Delaware corporation ("BRFBR"), Kenneth M. Young and Bryant R. Riley. F2: BRPGP is a subsidiary of BRCM, a registered investment advisor, and is the general partner of BRPLP. BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the Shares held by BRPLP. BRF is the parent company of BRFBR. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRFBR. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRPI. F3: Bryant Riley, as Chief Executive Officer of BRCM and Chairman and Co-Chief Executive Officer of BRF, has voting and dispositive power over the shares held by BRPLP, BRPI and BRF. Mr. Young is the President of BRF and the Chief Executive Officer of BRPI. He has voting and dispositive power over the shares held by BRPI. Mr. Young does not have either voting or investment control over the securities held by the BRF. Each reporting person disclaims beneficial ownership of the securities of the Issuer reported herein held indirectly except to the extent of such person's pecuniary interest therein. Row 7 · 2019-10-30 · Sale · Disposed 500 · Balance 13,535 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 Principal Investments, LLC, a Delaware limited liability company ("BRPI"), B. Riley FBR, Inc., a Delaware corporation ("BRFBR"), Kenneth M. Young and Bryant R. Riley. F2: BRPGP is a subsidiary of BRCM, a registered investment advisor, and is the general partner of BRPLP. BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the Shares held by BRPLP. BRF is the parent company of BRFBR. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRFBR. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRPI. F3: Bryant Riley, as Chief Executive Officer of BRCM and Chairman and Co-Chief Executive Officer of BRF, has voting and dispositive power over the shares held by BRPLP, BRPI and BRF. Mr. Young is the President of BRF and the Chief Executive Officer of BRPI. He has voting and dispositive power over the shares held by BRPI. Mr. Young does not have either voting or investment control over the securities held by the BRF. Each reporting person disclaims beneficial ownership of the securities of the Issuer reported herein held indirectly except to the extent of such person's pecuniary interest therein. Row 8 · 2019-10-30 · Sale · Disposed 200 · Balance 13,335 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 Principal Investments, LLC, a Delaware limited liability company ("BRPI"), B. Riley FBR, Inc., a Delaware corporation ("BRFBR"), Kenneth M. Young and Bryant R. Riley. F2: BRPGP is a subsidiary of BRCM, a registered investment advisor, and is the general partner of BRPLP. BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the Shares held by BRPLP. BRF is the parent company of BRFBR. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRFBR. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRPI. F3: Bryant Riley, as Chief Executive Officer of BRCM and Chairman and Co-Chief Executive Officer of BRF, has voting and dispositive power over the shares held by BRPLP, BRPI and BRF. Mr. Young is the President of BRF and the Chief Executive Officer of BRPI. He has voting and dispositive power over the shares held by BRPI. Mr. Young does not have either voting or investment control over the securities held by the BRF. Each reporting person disclaims beneficial ownership of the securities of the Issuer reported herein held indirectly except to the extent of such person's pecuniary interest therein. Row 9 · 2019-10-30 · Sale · Disposed 1,500 · Balance 11,835 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 Principal Investments, LLC, a Delaware limited liability company ("BRPI"), B. Riley FBR, Inc., a Delaware corporation ("BRFBR"), Kenneth M. Young and Bryant R. Riley. F2: BRPGP is a subsidiary of BRCM, a registered investment advisor, and is the general partner of BRPLP. BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the Shares held by BRPLP. BRF is the parent company of BRFBR. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRFBR. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRPI. F3: Bryant Riley, as Chief Executive Officer of BRCM and Chairman and Co-Chief Executive Officer of BRF, has voting and dispositive power over the shares held by BRPLP, BRPI and BRF. Mr. Young is the President of BRF and the Chief Executive Officer of BRPI. He has voting and dispositive power over the shares held by BRPI. Mr. Young does not have either voting or investment control over the securities held by the BRF. Each reporting person disclaims beneficial ownership of the securities of the Issuer reported herein held indirectly except to the extent of such person's pecuniary interest therein. Row 10 · 2019-10-30 · Sale · Disposed 600 · Balance 11,235 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 Principal Investments, LLC, a Delaware limited liability company ("BRPI"), B. Riley FBR, Inc., a Delaware corporation ("BRFBR"), Kenneth M. Young and Bryant R. Riley. F2: BRPGP is a subsidiary of BRCM, a registered investment advisor, and is the general partner of BRPLP. BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the Shares held by BRPLP. BRF is the parent company of BRFBR. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRFBR. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRPI. F3: Bryant Riley, as Chief Executive Officer of BRCM and Chairman and Co-Chief Executive Officer of BRF, has voting and dispositive power over the shares held by BRPLP, BRPI and BRF. Mr. Young is the President of BRF and the Chief Executive Officer of BRPI. He has voting and dispositive power over the shares held by BRPI. Mr. Young does not have either voting or investment control over the securities held by the BRF. Each reporting person disclaims beneficial ownership of the securities of the Issuer reported herein held indirectly except to the extent of such person's pecuniary interest therein. Row 11 · 2019-10-30 · Sale · Disposed 500 · Balance 10,735 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 Principal Investments, LLC, a Delaware limited liability company ("BRPI"), B. Riley FBR, Inc., a Delaware corporation ("BRFBR"), Kenneth M. Young and Bryant R. Riley. F2: BRPGP is a subsidiary of BRCM, a registered investment advisor, and is the general partner of BRPLP. BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the Shares held by BRPLP. BRF is the parent company of BRFBR. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRFBR. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRPI. F3: Bryant Riley, as Chief Executive Officer of BRCM and Chairman and Co-Chief Executive Officer of BRF, has voting and dispositive power over the shares held by BRPLP, BRPI and BRF. Mr. Young is the President of BRF and the Chief Executive Officer of BRPI. He has voting and dispositive power over the shares held by BRPI. Mr. Young does not have either voting or investment control over the securities held by the BRF. Each reporting person disclaims beneficial ownership of the securities of the Issuer reported herein held indirectly except to the extent of such person's pecuniary interest therein. Row 12 · 2019-10-30 · Sale · Disposed 330 · Balance 10,405 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 Principal Investments, LLC, a Delaware limited liability company ("BRPI"), B. Riley FBR, Inc., a Delaware corporation ("BRFBR"), Kenneth M. Young and Bryant R. Riley. F2: BRPGP is a subsidiary of BRCM, a registered investment advisor, and is the general partner of BRPLP. BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the Shares held by BRPLP. BRF is the parent company of BRFBR. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRFBR. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRPI. F3: Bryant Riley, as Chief Executive Officer of BRCM and Chairman and Co-Chief Executive Officer of BRF, has voting and dispositive power over the shares held by BRPLP, BRPI and BRF. Mr. Young is the President of BRF and the Chief Executive Officer of BRPI. He has voting and dispositive power over the shares held by BRPI. Mr. Young does not have either voting or investment control over the securities held by the BRF. Each reporting person disclaims beneficial ownership of the securities of the Issuer reported herein held indirectly except to the extent of such person's pecuniary interest therein. Row 13 · 2019-10-30 · Sale · Disposed 400 · Balance 10,005 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 Principal Investments, LLC, a Delaware limited liability company ("BRPI"), B. Riley FBR, Inc., a Delaware corporation ("BRFBR"), Kenneth M. Young and Bryant R. Riley. F2: BRPGP is a subsidiary of BRCM, a registered investment advisor, and is the general partner of BRPLP. BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the Shares held by BRPLP. BRF is the parent company of BRFBR. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRFBR. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRPI. F3: Bryant Riley, as Chief Executive Officer of BRCM and Chairman and Co-Chief Executive Officer of BRF, has voting and dispositive power over the shares held by BRPLP, BRPI and BRF. Mr. Young is the President of BRF and the Chief Executive Officer of BRPI. He has voting and dispositive power over the shares held by BRPI. Mr. Young does not have either voting or investment control over the securities held by the BRF. Each reporting person disclaims beneficial ownership of the securities of the Issuer reported herein held indirectly except to the extent of such person's pecuniary interest therein. Row 14 · 2019-10-30 · Sale · Disposed 1,000 · Balance 9,005 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 Principal Investments, LLC, a Delaware limited liability company ("BRPI"), B. Riley FBR, Inc., a Delaware corporation ("BRFBR"), Kenneth M. Young and Bryant R. Riley. F2: BRPGP is a subsidiary of BRCM, a registered investment advisor, and is the general partner of BRPLP. BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the Shares held by BRPLP. BRF is the parent company of BRFBR. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRFBR. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRPI. F3: Bryant Riley, as Chief Executive Officer of BRCM and Chairman and Co-Chief Executive Officer of BRF, has voting and dispositive power over the shares held by BRPLP, BRPI and BRF. Mr. Young is the President of BRF and the Chief Executive Officer of BRPI. He has voting and dispositive power over the shares held by BRPI. Mr. Young does not have either voting or investment control over the securities held by the BRF. Each reporting person disclaims beneficial ownership of the securities of the Issuer reported herein held indirectly except to the extent of such person's pecuniary interest therein. Row 15 · 2019-10-30 · Sale · Disposed 8,105 · Balance 900 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 Principal Investments, LLC, a Delaware limited liability company ("BRPI"), B. Riley FBR, Inc., a Delaware corporation ("BRFBR"), Kenneth M. Young and Bryant R. Riley. F2: BRPGP is a subsidiary of BRCM, a registered investment advisor, and is the general partner of BRPLP. BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the Shares held by BRPLP. BRF is the parent company of BRFBR. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRFBR. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRPI. F3: Bryant Riley, as Chief Executive Officer of BRCM and Chairman and Co-Chief Executive Officer of BRF, has voting and dispositive power over the shares held by BRPLP, BRPI and BRF. Mr. Young is the President of BRF and the Chief Executive Officer of BRPI. He has voting and dispositive power over the shares held by BRPI. Mr. Young does not have either voting or investment control over the securities held by the BRF. Each reporting person disclaims beneficial ownership of the securities of the Issuer reported herein held indirectly except to the extent of such person's pecuniary interest therein. Row 16 · 2019-10-30 · Sale · Disposed 900 · Balance 0 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 Principal Investments, LLC, a Delaware limited liability company ("BRPI"), B. Riley FBR, Inc., a Delaware corporation ("BRFBR"), Kenneth M. Young and Bryant R. Riley. F2: BRPGP is a subsidiary of BRCM, a registered investment advisor, and is the general partner of BRPLP. BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the Shares held by BRPLP. BRF is the parent company of BRFBR. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRFBR. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRPI. F3: Bryant Riley, as Chief Executive Officer of BRCM and Chairman and Co-Chief Executive Officer of BRF, has voting and dispositive power over the shares held by BRPLP, BRPI and BRF. Mr. Young is the President of BRF and the Chief Executive Officer of BRPI. He has voting and dispositive power over the shares held by BRPI. Mr. Young does not have either voting or investment control over the securities held by the BRF. Each reporting person disclaims beneficial ownership of the securities of the Issuer reported herein held indirectly except to the extent of such person's pecuniary interest therein. |
| Convertible Promissory Note (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $8.87 · Expires 2019-10-23 | IndirectBy B. Riley Principal Investments, LLC | 732,852.46 |
Reported balance
After 2019-10-23 transaction · row 17
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 17 · 2019-10-23 · Other · Disposed 366,425.54 · Balance 732,852.46 F4: Expiration of a long position for no consideration. Pursuant to the terms of the Convertible Promissory Note, the amount of the Convertible Promissory Note convertible into shares of Common Stock was reduced to 50% of the principal outstanding as of October 23, 2019. F1: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI"), B. Riley FBR, Inc., a Delaware corporation ("BRFBR"), Kenneth M. Young and Bryant R. Riley. F2: BRPGP is a subsidiary of BRCM, a registered investment advisor, and is the general partner of BRPLP. BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the Shares held by BRPLP. BRF is the parent company of BRFBR. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRFBR. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRPI. F3: Bryant Riley, as Chief Executive Officer of BRCM and Chairman and Co-Chief Executive Officer of BRF, has voting and dispositive power over the shares held by BRPLP, BRPI and BRF. Mr. Young is the President of BRF and the Chief Executive Officer of BRPI. He has voting and dispositive power over the shares held by BRPI. Mr. Young does not have either voting or investment control over the securities held by the BRF. Each reporting person disclaims beneficial ownership of the securities of the Issuer reported herein held indirectly except to the extent of such person's pecuniary interest therein. |
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 Principal Investments, LLC, a Delaware limited liability company ("BRPI"), B. Riley FBR, Inc., a Delaware corporation ("BRFBR"), Kenneth M. Young and Bryant R. Riley.
F2: BRPGP is a subsidiary of BRCM, a registered investment advisor, and is the general partner of BRPLP. BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the Shares held by BRPLP. BRF is the parent company of BRFBR. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRFBR. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRPI.
F3: Bryant Riley, as Chief Executive Officer of BRCM and Chairman and Co-Chief Executive Officer of BRF, has voting and dispositive power over the shares held by BRPLP, BRPI and BRF. Mr. Young is the President of BRF and the Chief Executive Officer of BRPI. He has voting and dispositive power over the shares held by BRPI. Mr. Young does not have either voting or investment control over the securities held by the BRF. Each reporting person disclaims beneficial ownership of the securities of the Issuer reported herein held indirectly except to the extent of such person's pecuniary interest therein.
F4: Expiration of a long position for no consideration. Pursuant to the terms of the Convertible Promissory Note, the amount of the Convertible Promissory Note convertible into shares of Common Stock was reduced to 50% of the principal outstanding as of October 23, 2019.
Eos Energy Enterprises, Inc.
Report date May 19, 2020 · Filed May 20, 2020
This filing explicitly reported no securities owned.
Franchise Group, Inc.
Report date March 05, 2020 · Filed March 09, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 4,839 |
Reported balance
After 2020-03-05 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2020-03-05 · Grant · Acquired 4,839 · Balance 4,839 F1: Each restricted stock unit represents the right to receive, at settlement, one share of, par value $0.01 per share, of Issuer's Common Stock. F2: The restricted stock unit award was granted on March 5, 2020 and vests in full on March 5, 2021. |
Filing footnotes · ownership attribution and instrument terms
F1: Each restricted stock unit represents the right to receive, at settlement, one share of, par value $0.01 per share, of Issuer's Common Stock.
F2: The restricted stock unit award was granted on March 5, 2020 and vests in full on March 5, 2021.
Globalstar, Inc.
Report date March 01, 2018 · Filed May 10, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Voting Common StockSEC Table I · non-derivative | Direct | 75,000 |
Reported balance
After 2018-03-01 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2018-03-01 · Grant · Acquired 75,000 · Balance 75,000 F1: Award under 2006 Equity Incentive Plan. Award vests on December 31, 2018. |
| Voting Common StockSEC Table I · non-derivative | Direct | 225,000 |
Reported balance
After 2018-03-01 transaction · row 2
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 2 · 2018-03-01 · Grant · Acquired 150,000 · Balance 225,000 F2: Award under 2006 Equity Incentive Plan. Award vests as to one-third on each of February 28, 2019, 2020 and 2021. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.04 · Expires 2025-11-09 | Direct | 200,000 |
Reported balance
Holding disclosure · report date 2018-03-01 · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · Balance 200,000 F3: Options became and will become exercisable on a prorated basis each month from December 2015 to December 2018, subject to forfeiture conditions. |
Filing footnotes · ownership attribution and instrument terms
F1: Award under 2006 Equity Incentive Plan. Award vests on December 31, 2018.
F2: Award under 2006 Equity Incentive Plan. Award vests as to one-third on each of February 28, 2019, 2020 and 2021.
F3: Options became and will become exercisable on a prorated basis each month from December 2015 to December 2018, subject to forfeiture conditions.
ORION ENERGY SYSTEMS, INC.
Report date June 09, 2020 · Filed June 11, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 75,062 |
Reported balance
After 2020-06-09 transaction · row 1
1 source rowRow 1 · 2020-06-09 · Grant · Acquired 11,479 · Balance 75,062 F1: Restricted stock granted to the reporting person under the Orion Energy Systems, Inc. 2016 Omnibus Incentive Plan, as amended. The restricted stock vests and becomes exercisable with respect to 1/3 of the restricted stock on each of June 9, 2021, 2022 and 2023, respectively. |
Filing footnotes · ownership attribution and instrument terms
F1: Restricted stock granted to the reporting person under the Orion Energy Systems, Inc. 2016 Omnibus Incentive Plan, as amended. The restricted stock vests and becomes exercisable with respect to 1/3 of the restricted stock on each of June 9, 2021, 2022 and 2023, respectively.
STANDARD DIVERSIFIED INC.
Report date June 01, 2017 · Filed June 05, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Common Stock, par value $0.01SEC Table I · non-derivative | Direct | 2,400 |
Reported balance
After 2017-06-01 transaction · row 1
1 source rowRow 1 · 2017-06-01 · Other · Acquired 2,400 · Balance 2,400 F1: Represents compensation paid for service on Board of Directors. These shares were granted in May 2016, subject to vesting upon certain events, which vesting requirements were satisfied on June 1, 2017 upon the consummation of certain transactions by the Issuer. |
| Class B Common Stock, par value $0.01SEC Table I · non-derivative | Direct | 2,400 |
Reported balance
After 2017-06-01 transaction · row 2
1 source rowRow 2 · 2017-06-01 · Other · Acquired 2,400 · Balance 2,400 F2: On June 1, 2017, the Issuer declared a stock dividend, payable to all holders of record of Class A Common Stock on June 2, 2017, of one share of Class B Common Stock for each share of Class A Common Stock outstanding. The Class B Common Stock is convertible into shares of Class A Common Stock on a one-for-one basis. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents compensation paid for service on Board of Directors. These shares were granted in May 2016, subject to vesting upon certain events, which vesting requirements were satisfied on June 1, 2017 upon the consummation of certain transactions by the Issuer.
F2: On June 1, 2017, the Issuer declared a stock dividend, payable to all holders of record of Class A Common Stock on June 2, 2017, of one share of Class B Common Stock for each share of Class A Common Stock outstanding. The Class B Common Stock is convertible into shares of Class A Common Stock on a one-for-one basis.
bebe stores, inc.
Report date January 12, 2018 · Filed January 22, 2018
This filing explicitly reported no securities owned.
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 |
|---|---|---|---|---|---|---|
| February 08, 2023 Filed Feb 10, 2023 21:11 UTC | BRC Group Holdings, Inc. RILY · Entity 6050 | Exercise / conversionPerformance Restricted Stock Units · Derivative | 75,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001213900-23-010295 · ownership.xml · derivative · entry 4 Young Kenneth M · CIK 0001365572 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 75,000 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each performance restricted stock unit represented the right to receive a share of Common Stock following the Issuer achieving a certain Total Shareholder Return within three (3) years of the grant date. F1 · derivative.exercise_date: Each performance restricted stock unit represented the right to receive a share of Common Stock following the Issuer achieving a certain Total Shareholder Return within three (3) years of the grant date. F1 · derivative.expiration_date: Each performance restricted stock unit represented the right to receive a share of Common Stock following the Issuer achieving a certain Total Shareholder Return within three (3) years of the grant date. Read SEC document |
| February 08, 2023 Filed Feb 10, 2023 21:11 UTC | BRC Group Holdings, Inc. RILY · Entity 6050 | Tax withholdingCommon Stock | 18,737 | $39.60 | $741,985.20 |
DisclosureSEC source: 0001213900-23-010295 · ownership.xml · nonDerivative · entry 2 Young Kenneth M · CIK 0001365572 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 223,161 Read SEC document |
| February 08, 2023 Filed Feb 10, 2023 21:11 UTC | BRC Group Holdings, Inc. RILY · Entity 6050 | Exercise / conversionCommon Stock | 75,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001213900-23-010295 · ownership.xml · nonDerivative · entry 1 Young Kenneth M · CIK 0001365572 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 241,898 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · shares: Each performance restricted stock unit represented the right to receive a share of Common Stock following the Issuer achieving a certain Total Shareholder Return within three (3) years of the grant date. F1 · price: Each performance restricted stock unit represented the right to receive a share of Common Stock following the Issuer achieving a certain Total Shareholder Return within three (3) years of the grant date. Read SEC document |
| November 11, 2022 Filed Nov 14, 2022 11:51 UTC | Babcock & Wilcox Enterprises, Inc. BW · Entity 4934 | PurchaseCommon Stock | 5,000 | $4.88 | $24,387.50 |
DisclosureSEC source: 0001127602-22-025342 · form4.xml · nonDerivative · entry 2 Young Kenneth M · CIK 0001365572 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Indirect · See Note Disclosed balance after: 146,713 F1 · ownership.nature: Held of record by the Kenneth M. Young Revocable Trust U/A 5/8/15. Read SEC document |
| November 10, 2022 Filed Nov 14, 2022 11:51 UTC | Babcock & Wilcox Enterprises, Inc. BW · Entity 4934 | PurchaseCommon Stock | 26,713 | $4.62 | $123,496.87 |
DisclosureSEC source: 0001127602-22-025342 · form4.xml · nonDerivative · entry 1 Young Kenneth M · CIK 0001365572 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Indirect · See Note Disclosed balance after: 141,713 F1 · ownership.nature: Held of record by the Kenneth M. Young Revocable Trust U/A 5/8/15. Read SEC document |
| November 03, 2022 Filed Nov 7, 2022 12:30 UTC | Babcock & Wilcox Enterprises, Inc. BW · Entity 4934 | Exercise / conversionRestricted Stock Units · Derivative | 66,666 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-22-024985 · form4.xml · derivative · entry 3 Young Kenneth M · CIK 0001365572 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 133,334 Underlying: Common Stock · 66,666 shares Expires 2024-11-03 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_price: Pursuant to the Babcock & Wilcox Enterprises, Inc. Amended and Restated 2021 Long-Term Incentive Plan, each restricted stock unit (RSU) represents a contingent right to receive one share of BW common stock. F3 · derivative.exercise_date: RSUs vest annually in three equal installments beginning November 3, 2022. Read SEC document |
| November 03, 2022 Filed Nov 7, 2022 12:30 UTC | Babcock & Wilcox Enterprises, Inc. BW · Entity 4934 | Exercise / conversionCommon Stock | 66,666 | $4.02 | $267,997.32 |
DisclosureSEC source: 0001127602-22-024985 · form4.xml · nonDerivative · entry 1 Young Kenneth M · CIK 0001365572 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,096,333 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| August 25, 2022 Filed Aug 26, 2022 21:13 UTC | Babcock & Wilcox Enterprises, Inc. BW · Entity 4934 | Exercise / conversionRestricted Stock Units · Derivative | 66,667 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-22-021649 · form4.xml · derivative · entry 3 Young Kenneth M · CIK 0001365572 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 66,667 Underlying: Common Stock · 66,667 shares Expires 2023-08-25 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_price: Pursuant to Babcock & Wilcox Enterprises, Inc. Amended and Restated Long-Term 2015 Incentive Plan, each Restricted Stock Unit (RSU) represents a contingent right to receive one share of BW common stock. F3 · derivative.exercise_date: RSUs vest in three annual installments beginning on August 25, 2021. Read SEC document |
| August 25, 2022 Filed Aug 26, 2022 21:13 UTC | Babcock & Wilcox Enterprises, Inc. BW · Entity 4934 | Exercise / conversionCommon Stock | 66,667 | $8.35 | $556,669.45 |
DisclosureSEC source: 0001127602-22-021649 · form4.xml · nonDerivative · entry 1 Young Kenneth M · CIK 0001365572 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,029,667 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| July 28, 2022 Filed Jul 29, 2022 20:53 UTC | Babcock & Wilcox Enterprises, Inc. BW · Entity 4934 | GrantPerformance Units · Derivative | 150,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-22-019947 · form4.xml · derivative · entry 2 Young Kenneth M · CIK 0001365572 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 150,000 Underlying: Common Stock · 150,000 shares Expires 2027-07-27 F3 · derivative.exercise_price: Each performance stock unit (PSU) is granted pursuant to the Babcock & Wilcox Enterprises, Inc. Amended and Restated 2021 Long-Term Incentive Plan and represents a contingent right to receive one share of common stock. F4 · derivative.exercise_date: 100% of PSUs vest immediately upon the company's common stock achieving a market price of $12.00 per share at the end of any trading day during the period from July 28, 2022 to July 27, 2027. Read SEC document |
| July 28, 2022 Filed Jul 29, 2022 20:53 UTC | Babcock & Wilcox Enterprises, Inc. BW · Entity 4934 | GrantRestricted Stock Units · Derivative | 150,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-22-019947 · form4.xml · derivative · entry 1 Young Kenneth M · CIK 0001365572 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 150,000 Underlying: Common Stock · 150,000 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit (RSU) is granted pursuant to Babcock & Wilcox Enterprises, Inc. Amended and Restated Long-Term 2021 Incentive Plan and represents a contingent right to receive one share of BW common stock. F2 · derivative.exercise_date: RSUs vest in three annual installments beginning July 28, 2023. F2 · derivative.expiration_date: RSUs vest in three annual installments beginning July 28, 2023. Read SEC document |
| June 28, 2022 Filed Jun 29, 2022 10:18 UTC | Charah Solutions, Inc. CHRA · Entity 111345 | GrantCommon Stock | 26,667 | $0.00 | $0.00 |
DisclosureSEC source: 0001730346-22-000032 · wf-form4_165649788201021.xml · nonDerivative · entry 1 Young Kenneth M · CIK 0001365572 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,667 F1 · kind: Acquisition consists of an award of restricted stock units granted under the Charah Solutions, Inc. 2018 Omnibus Incentive Plan Read SEC document |
| June 02, 2022 Filed Jun 3, 2022 20:35 UTC | BRC Group Holdings, Inc. RILY · Entity 6050 | Tax withholdingCommon Stock | 3,558 | $54.07 | $192,381.06 |
DisclosureSEC source: 0001213900-22-031187 · ownership.xml · nonDerivative · entry 1 Young Kenneth M · CIK 0001365572 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 166,898 F1 · shares: Represents shares withheld by the Company and remitted on behalf of the Reporting Person for payment of taxes in connection with the vesting of shares from Restricted Stock Units granted on May 28, 2021. Read SEC document |
| May 24, 2022 Filed May 26, 2022 21:01 UTC | BRC Group Holdings, Inc. RILY · Entity 6050 | Tax withholdingCommon Stock | 6,868 | $49.56 | $340,378.08 |
DisclosureSEC source: 0001213900-22-029790 · ownership.xml · nonDerivative · entry 2 Young Kenneth M · CIK 0001365572 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 170,456 F2 · shares: Represents shares withheld by the Company and remitted on behalf of the Reporting Person for payment of taxes in connection with the vesting of shares from Restricted Stock Units granted on May 24, 2019 and May 21, 2020. Read SEC document |
| May 24, 2022 Filed May 26, 2022 21:01 UTC | BRC Group Holdings, Inc. RILY · Entity 6050 | GrantCommon Stock | 22,048 | $0.00 | $0.00 |
DisclosureSEC source: 0001213900-22-029790 · ownership.xml · nonDerivative · entry 1 Young Kenneth M · CIK 0001365572 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 177,324 F1 · shares: Represents a restricted stock unit that settles in common stock of the Company and vests in three equal installments on June 2, 2023, June 2, 2024 and June 2, 2025. Read SEC document |
| May 12, 2022 Filed May 16, 2022 11:49 UTC | Babcock & Wilcox Enterprises, Inc. BW · Entity 4934 | PurchaseCommon Stock | 30,000 | $5.45 | $163,401.00 |
DisclosureSEC source: 0001127602-22-014535 · form4.xml · nonDerivative · entry 1 Young Kenneth M · CIK 0001365572 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Indirect · See Note Disclosed balance after: 115,000 F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $5.30 to $5.57, inclusive. The reporting person undertakes to provide full information regarding the number of shares purchased at a particular price upon request from SEC staff, the issuer or a shareholder of issuer. F2 · ownership.nature: Held of record by the Kenneth M. Young Revocable Trust U/A 5/8/15. Read SEC document |
| May 02, 2022 Filed May 3, 2022 15:53 UTC | BRC Group Holdings, Inc. RILY · Entity 6050 | PurchaseCommon Stock | 2,500 | $46.69 | $116,733.75 |
DisclosureSEC source: 0001213900-22-023432 · ownership.xml · nonDerivative · entry 2 Young Kenneth M · CIK 0001365572 · President 10b5-1 filing: Not disclosed Ownership: Indirect · See Note Disclosed balance after: 29,600 F1 · price: This transaction was executed in multiple trades at prices ranging from $46.535 to $46.70. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F2 · ownership.nature: Held of record by the Kenneth M. Young Revocable Trust U/A 5/8/15. Read SEC document |
| March 10, 2022 Filed Mar 14, 2022 21:13 UTC | Babcock & Wilcox Enterprises, Inc. BW · Entity 4934 | PurchaseCommon Stock | 20,000 | $7.82 | $156,418.00 |
DisclosureSEC source: 0001127602-22-009163 · form4.xml · nonDerivative · entry 1 Young Kenneth M · CIK 0001365572 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Indirect · See Note Disclosed balance after: 85,000 F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $7.64 and $7.92, inclusive. The reporting person undertakes to provide full information regarding the number of shares purchased at a particular price upon request from SEC staff, the issuer or a shareholder issuer. F2 · ownership.nature: Held of record by the Kenneth M. Young Revocable Trust U/A 5/8/15. Read SEC document |
| March 01, 2022 Filed Mar 2, 2022 14:05 UTC | BRC Group Holdings, Inc. RILY · Entity 6050 | PurchaseCommon Stock | 10,000 | $58.98 | $589,752.00 |
DisclosureSEC source: 0001213900-22-010270 · ownership.xml · nonDerivative · entry 2 Young Kenneth M · CIK 0001365572 · President 10b5-1 filing: Not disclosed Ownership: Indirect · See Note Disclosed balance after: 27,100 F1 · price: This transaction was executed in multiple trades at prices ranging from $58.85 to $59.00. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F2 · ownership.nature: Held of record by the Kenneth M. Young Revocable Trust U/A 5/8/15. Read SEC document |
| November 03, 2021 Filed Nov 4, 2021 13:00 UTC | BRC Group Holdings, Inc. RILY · Entity 6050 | PurchaseCommon Stock | 1,000 | $78.31 | $78,312.60 |
DisclosureSEC source: 0001213900-21-056601 · ownership.xml · nonDerivative · entry 2 Young Kenneth M · CIK 0001365572 · President 10b5-1 filing: Not disclosed Ownership: Indirect · See Note Disclosed balance after: 17,100 F2 · shares: This transaction was executed in multiple trades at prices ranging from $78.27 to $78.33. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F3 · ownership.nature: Held of record by the Kenneth M. Young Revocable Trust U/A 5/8/15. Read SEC document |
| November 03, 2021 Filed Nov 5, 2021 21:23 UTC Amendment | Babcock & Wilcox Enterprises, Inc. BW · Entity 4934 | GrantRestricted Stock Units · Derivative | 200,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-21-028501 · form4a.xml · derivative · entry 1 Young Kenneth M · CIK 0001365572 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 200,000 Underlying: Common Stock · 200,000 shares Expires 2024-11-03 F1 · derivative.exercise_price: Pursuant to the Babcock & Wilcox Enterprises, Inc. Amended and Restated 2021 Long-Term Incentive Plan, each restricted stock unit (RSU) represents a contingent right to receive one share of BW common stock. F2 · derivative.exercise_date: RSUs vest annually in three equal installments beginning November 3, 2022. Read SEC document |
| November 03, 2021 Filed Nov 5, 2021 20:39 UTC | Babcock & Wilcox Enterprises, Inc. BW · Entity 4934 | GrantRestricted Stock Units · Derivative | 200,000 | $7.25 | $1,450,000.00 |
DisclosureSEC source: 0001127602-21-028483 · form4.xml · derivative · entry 1 Young Kenneth M · CIK 0001365572 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 200,000 Underlying: Common Stock · 200,000 shares Expires 2024-11-03 F1 · derivative.exercise_price: Pursuant to the Babcock & Wilcox Enterprises, Inc. Amended and Restated 2021 Long-Term Incentive Plan, each restricted stock unit (RSU) represents a contingent right to receive one share of BW common stock. F2 · derivative.expiration_date: RSUs vest annually in three equal installments beginning on November 11, 2024. Read SEC document |
| October 27, 2021 Filed Oct 29, 2021 21:00 UTC | BRC Group Holdings, Inc. RILY · Entity 6050 | GrantPerformance Restricted Stock Units · Derivative | 65,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001213900-21-055489 · ownership.xml · derivative · entry 1 Young Kenneth M · CIK 0001365572 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,000 Underlying: Common Stock · 65,000 shares Expires not disclosed F1 · security: Each performance restricted stock unit (PRSU) represents a contingent right to receive one share of Issuer common stock. The PRSUs will vest upon the Issuer achieving Adjusted Stock Price Hurdle of $135.00 (including reinvestment of dividends), but not before February 28, 2024, or upon a Change in Control (as defined in the 2021 Stock Incentive Plan), provided that such Adjusted Stock Price Hurdle is achieved, or Change in Control occurs within three (3) years of the grant date and the employee continues to be employed on the vesting date. F1 · derivative.exercise_price: Each performance restricted stock unit (PRSU) represents a contingent right to receive one share of Issuer common stock. The PRSUs will vest upon the Issuer achieving Adjusted Stock Price Hurdle of $135.00 (including reinvestment of dividends), but not before February 28, 2024, or upon a Change in Control (as defined in the 2021 Stock Incentive Plan), provided that such Adjusted Stock Price Hurdle is achieved, or Change in Control occurs within three (3) years of the grant date and the employee continues to be employed on the vesting date. F1 · derivative.exercise_date: Each performance restricted stock unit (PRSU) represents a contingent right to receive one share of Issuer common stock. The PRSUs will vest upon the Issuer achieving Adjusted Stock Price Hurdle of $135.00 (including reinvestment of dividends), but not before February 28, 2024, or upon a Change in Control (as defined in the 2021 Stock Incentive Plan), provided that such Adjusted Stock Price Hurdle is achieved, or Change in Control occurs within three (3) years of the grant date and the employee continues to be employed on the vesting date. F1 · derivative.expiration_date: Each performance restricted stock unit (PRSU) represents a contingent right to receive one share of Issuer common stock. The PRSUs will vest upon the Issuer achieving Adjusted Stock Price Hurdle of $135.00 (including reinvestment of dividends), but not before February 28, 2024, or upon a Change in Control (as defined in the 2021 Stock Incentive Plan), provided that such Adjusted Stock Price Hurdle is achieved, or Change in Control occurs within three (3) years of the grant date and the employee continues to be employed on the vesting date. Read SEC document |
| August 25, 2021 Filed Aug 27, 2021 20:42 UTC | Babcock & Wilcox Enterprises, Inc. BW · Entity 4934 | Exercise / conversionRestricted Stock Units · Derivative | 66,666 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-21-024426 · form4.xml · derivative · entry 3 Young Kenneth M · CIK 0001365572 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 133,334 Underlying: Common Stock · 66,666 shares Expires 2023-08-25 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · shares: RSUs vest in three equal installments beginning August 25, 2021. F1 · derivative.exercise_date: Pursuant to the Babcock & Wilcox Enterprises, Inc. Amended and Restated 2015 Long-Term Incentive Plan, each restricted stock unit (RSU) represents a contingent right to receive one share of BW common stock. RSUs vest in three installments beginning on August 25, 2021. Read SEC document |
| August 25, 2021 Filed Aug 27, 2021 20:42 UTC | Babcock & Wilcox Enterprises, Inc. BW · Entity 4934 | Exercise / conversionCommon Stock | 66,666 | $7.85 | $523,328.10 |
DisclosureSEC source: 0001127602-21-024426 · form4.xml · nonDerivative · entry 1 Young Kenneth M · CIK 0001365572 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 963,000 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · shares: Pursuant to the Babcock & Wilcox Enterprises, Inc. Amended and Restated 2015 Long-Term Incentive Plan, each restricted stock unit (RSU) represents a contingent right to receive one share of BW common stock. RSUs vest in three installments beginning on August 25, 2021. Read SEC document |
| June 30, 2021 Filed Nov 4, 2021 13:00 UTC | BRC Group Holdings, Inc. RILY · Entity 6050 | GrantCommon Stock | 331 | $64.18 | $21,241.93 |
DisclosureSEC source: 0001213900-21-056601 · ownership.xml · nonDerivative · entry 1 Young Kenneth M · CIK 0001365572 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 155,276 F1 · shares: Represents shares acquired under the provisions of the B. Riley Financial, Inc. 2018 Employee Stock Purchase Plan in a transaction that was exempt under both Rule 16b-3(d) and Rule 16b-3(c). Read SEC document |
| June 15, 2021 Filed Jun 17, 2021 21:00 UTC | BRC Group Holdings, Inc. RILY · Entity 6050 | PurchaseCommon Stock | 1,200 | $66.06 | $79,274.76 |
DisclosureSEC source: 0001213900-21-032980 · ownership.xml · nonDerivative · entry 1 Young Kenneth M · CIK 0001365572 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 154,945 F1 · kind: This transaction was executed in multiple trades at prices ranging from $65.70 to $66.39. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| May 28, 2021 Filed Jun 2, 2021 20:32 UTC | BRC Group Holdings, Inc. RILY · Entity 6050 | GrantCommon Stock | 22,048 | $0.00 | $0.00 |
DisclosureSEC source: 0001213900-21-030550 · ownership.xml · nonDerivative · entry 1 Young Kenneth M · CIK 0001365572 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 153,745 F1 · shares: Represents a restricted stock unit that settles in common stock of the Company and vests in three equal installments on June 2, 2022, June 2, 2023 and June 2, 2024. Read SEC document |
| May 24, 2021 Filed May 26, 2021 20:19 UTC | BRC Group Holdings, Inc. RILY · Entity 6050 | Tax withholdingCommon Stock | 9,914 | $73.78 | $731,454.92 |
DisclosureSEC source: 0001213900-21-029350 · ownership.xml · nonDerivative · entry 1 Young Kenneth M · CIK 0001365572 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 131,697 F1 · shares: Represents shares withheld by the Company and remitted on behalf of the Reporting Person for payment of taxes in connection with the vesting of shares from Restricted Stock Units granted on June 13, 2018, May 24, 2019 and May 21, 2020. Read SEC document |
| February 17, 2021 Filed Feb 20, 2021 00:22 UTC | BRC Group Holdings, Inc. RILY · Entity 6050 | GrantPerformance Restricted Stock Units · Derivative | 75,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001213900-21-010672 · ownership.xml · derivative · entry 1 Young Kenneth M · CIK 0001365572 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 75,000 Underlying: Common Stock · 75,000 shares Expires not disclosed F1 · security: Each performance restricted stock unit (PRSU) represents a contingent right to receive one share of Issuer common stock. The PRSUs will vest upon the Issuer achieving Adjusted Stock Price Hurdle of $76.90 (including reinvestment of dividends) or upon a Change in Control (as defined in the 2009 Stock Incentive Plan), provided that such Adjusted Stock Price Hurdle is achieved or Change in Control occurs within three (3) years of the grant date. F1 · derivative.exercise_price: Each performance restricted stock unit (PRSU) represents a contingent right to receive one share of Issuer common stock. The PRSUs will vest upon the Issuer achieving Adjusted Stock Price Hurdle of $76.90 (including reinvestment of dividends) or upon a Change in Control (as defined in the 2009 Stock Incentive Plan), provided that such Adjusted Stock Price Hurdle is achieved or Change in Control occurs within three (3) years of the grant date. F1 · derivative.exercise_date: Each performance restricted stock unit (PRSU) represents a contingent right to receive one share of Issuer common stock. The PRSUs will vest upon the Issuer achieving Adjusted Stock Price Hurdle of $76.90 (including reinvestment of dividends) or upon a Change in Control (as defined in the 2009 Stock Incentive Plan), provided that such Adjusted Stock Price Hurdle is achieved or Change in Control occurs within three (3) years of the grant date. F1 · derivative.expiration_date: Each performance restricted stock unit (PRSU) represents a contingent right to receive one share of Issuer common stock. The PRSUs will vest upon the Issuer achieving Adjusted Stock Price Hurdle of $76.90 (including reinvestment of dividends) or upon a Change in Control (as defined in the 2009 Stock Incentive Plan), provided that such Adjusted Stock Price Hurdle is achieved or Change in Control occurs within three (3) years of the grant date. Read SEC document |
| February 10, 2021 Filed Feb 11, 2021 13:02 UTC | Babcock & Wilcox Enterprises, Inc. BW · Entity 4934 | Exercise / conversionPerformance Stock Units · Derivative | 250,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-21-005087 · form4.xml · derivative · entry 4 Young Kenneth M · CIK 0001365572 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 250,000 shares Expires 2025-08-24 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_price: Each performance stock unit ("PSU") is granted pursuant to the Babcock & Wilcox Enterprises, Inc. Amended and Restated 2015 Long-Term Incentive Plan and represents a contingent right to receive one share of common stock. F3 · derivative.exercise_date: 100% of PSUs vest immediately upon the company's common stock achieving a market price of $7.00 per share at the end of any trading day during the period from August 25, 2020 to August 24, 2025. Read SEC document |
| February 10, 2021 Filed Feb 11, 2021 13:02 UTC | Babcock & Wilcox Enterprises, Inc. BW · Entity 4934 | Exercise / conversionCommon Stock | 250,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-21-005087 · form4.xml · nonDerivative · entry 2 Young Kenneth M · CIK 0001365572 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 896,334 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| February 10, 2021 Filed Feb 11, 2021 13:02 UTC | Babcock & Wilcox Enterprises, Inc. BW · Entity 4934 | PurchaseCommon Stock | 17,094 | $5.85 | $99,999.90 |
DisclosureSEC source: 0001127602-21-005087 · form4.xml · nonDerivative · entry 1 Young Kenneth M · CIK 0001365572 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 646,334 Read SEC document |
| January 13, 2021 Filed Jan 13, 2021 13:36 UTC | BRC Group Holdings, Inc. RILY · Entity 6050 | PurchaseCommon Stock | 1,600 | $46.00 | $73,600.00 |
DisclosureSEC source: 0001213900-21-001843 · ownership.xml · nonDerivative · entry 2 Young Kenneth M · CIK 0001365572 · President 10b5-1 filing: Not disclosed Ownership: Indirect · See Note Disclosed balance after: 16,100 F1 · shares: Represents stock purchased as part of a public offering of common stock by issuer. F2 · ownership.nature: Held of record by the Kenneth M. Young Revocable Trust U/A 5/8/15. Read SEC document |
| January 02, 2021 Filed Jan 5, 2021 20:51 UTC | Babcock & Wilcox Enterprises, Inc. BW · Entity 4934 | GrantCommon Stock | 600,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-21-000340 · doc4.xml · nonDerivative · entry 1 Young Kenneth M · CIK 0001365572 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 629,240 F1 · kind: Represents the number of shares of common stock that were issued to the Reporting Person in connection with the vesting of a restricted stock unit award granted to the Reporting Person by the Issuer on August 13, 2019. Read SEC document |
| December 15, 2020 Filed Dec 17, 2020 01:31 UTC | BRC Group Holdings, Inc. RILY · Entity 6050 | Tax withholdingCommon Stock | 44,808 | $36.78 | $1,648,038.24 |
DisclosureSEC source: 0001213900-20-043135 · ownership.xml · nonDerivative · entry 1 Young Kenneth M · CIK 0001365572 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 141,611 F1 · shares: Represents shares withheld for payment of taxes in connection with the vesting of shares from Performance Restricted Stock Units granted on July 12, 2019. Read SEC document |
| December 03, 2020 Filed Dec 8, 2020 02:52 UTC | BRC Group Holdings, Inc. RILY · Entity 6050 | Exercise / conversionPerformance Restricted Stock Units · Derivative | 100,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001213900-20-041457 · ownership.xml · derivative · entry 3 Young Kenneth M · CIK 0001365572 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 100,000 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each performance restricted stock unit represented the right to receive a share of Common Stock upon the Issuer achieving Total Shareholder Return (TSR) of $35.00 (including reinvestment of dividends) (as defined in the 2009 Stock Incentive Plan) within three (3) years of the grant date. These shares are subject to a 2-year restriction on sale or transfer. F1 · derivative.exercise_date: Each performance restricted stock unit represented the right to receive a share of Common Stock upon the Issuer achieving Total Shareholder Return (TSR) of $35.00 (including reinvestment of dividends) (as defined in the 2009 Stock Incentive Plan) within three (3) years of the grant date. These shares are subject to a 2-year restriction on sale or transfer. F1 · derivative.expiration_date: Each performance restricted stock unit represented the right to receive a share of Common Stock upon the Issuer achieving Total Shareholder Return (TSR) of $35.00 (including reinvestment of dividends) (as defined in the 2009 Stock Incentive Plan) within three (3) years of the grant date. These shares are subject to a 2-year restriction on sale or transfer. Read SEC document |
| December 03, 2020 Filed Dec 8, 2020 02:52 UTC | BRC Group Holdings, Inc. RILY · Entity 6050 | Exercise / conversionCommon Stock | 100,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001213900-20-041457 · ownership.xml · nonDerivative · entry 1 Young Kenneth M · CIK 0001365572 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 186,419 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · shares: Each performance restricted stock unit represented the right to receive a share of Common Stock upon the Issuer achieving Total Shareholder Return (TSR) of $35.00 (including reinvestment of dividends) (as defined in the 2009 Stock Incentive Plan) within three (3) years of the grant date. These shares are subject to a 2-year restriction on sale or transfer. F1 · price: Each performance restricted stock unit represented the right to receive a share of Common Stock upon the Issuer achieving Total Shareholder Return (TSR) of $35.00 (including reinvestment of dividends) (as defined in the 2009 Stock Incentive Plan) within three (3) years of the grant date. These shares are subject to a 2-year restriction on sale or transfer. Read SEC document |
| November 20, 2020 Filed Nov 23, 2020 21:02 UTC | Babcock & Wilcox Enterprises, Inc. BW · Entity 4934 | PurchaseCommon Stock | 15,000 | $3.10 | $46,473.00 |
DisclosureSEC source: 0000899243-20-031895 · doc4.xml · nonDerivative · entry 1 Young Kenneth M · CIK 0001365572 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Indirect · See Note Disclosed balance after: 65,000 F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.08 to $3.12, inclusive. The reporting person undertakes to provide full information regarding the number of shares purchased at a particular price upon request from SEC staff, the issuer or a shareholder of issuer. F2 · ownership.nature: Held of record by the Kenneth M. Young Revocable Trust U/A 5/8/15. Read SEC document |
| September 04, 2020 Filed Sep 8, 2020 20:12 UTC | Babcock & Wilcox Enterprises, Inc. BW · Entity 4934 | PurchaseCommon Stock | 30,000 | $2.44 | $73,164.00 |
DisclosureSEC source: 0000899243-20-024497 · doc4.xml · nonDerivative · entry 1 Young Kenneth M · CIK 0001365572 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Indirect · See Note Disclosed balance after: 50,000 F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.39 to $2.47, inclusive. The reporting person undertakes to provide full information regarding the number of shares purchased at a particular price upon request from SEC staff, the issuer or a shareholder of issuer. F2 · ownership.nature: Held of record by the Kenneth M. Young Revocable Trust U/A 5/8/15. Read SEC document |
| August 25, 2020 Filed Sep 8, 2020 20:12 UTC | Babcock & Wilcox Enterprises, Inc. BW · Entity 4934 | GrantPerformance Stock Units · Derivative | 250,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-20-024497 · doc4.xml · derivative · entry 4 Young Kenneth M · CIK 0001365572 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 250,000 Underlying: Common Stock · 250,000 shares Expires 2025-08-24 F5 · derivative.exercise_price: Each performance stock unit ("PSU") is granted pursuant to the Babcock & Wilcox Enterprises, Inc. Amended and Restated 2015 Long-Term Incentive Plan and represents a contingent right to receive one share of common stock. F6 · derivative.exercise_date: 100% of PSUs vest immediately upon the company's common stock achieving a market price of $7.00 per share at the end of any trading day during the period from August 25, 2020 to August 24, 2025. Read SEC document |
| August 25, 2020 Filed Sep 8, 2020 20:12 UTC | Babcock & Wilcox Enterprises, Inc. BW · Entity 4934 | GrantRestricted Stock Units · Derivative | 200,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-20-024497 · doc4.xml · derivative · entry 3 Young Kenneth M · CIK 0001365572 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 200,000 Underlying: Common Stock · 200,000 shares Expires not disclosed F3 · derivative.exercise_price: Each restricted stock unit ("RSU") is granted pursuant to the Babcock & Wilcox Enterprises, Inc. Amended and Restated 2015 Long-Term Incentive Plan and represents a contingent right to receive one share of common stock. F4 · derivative.exercise_date: RSUs vest in three annual installments beginning on August 25, 2021. F4 · derivative.expiration_date: RSUs vest in three annual installments beginning on August 25, 2021. Read SEC document |
| August 06, 2020 Filed Aug 7, 2020 13:57 UTC | BRC Group Holdings, Inc. RILY · Entity 6050 | PurchaseCommon Stock | 1,000 | $27.28 | $27,280.00 |
DisclosureSEC source: 0001213900-20-020792 · ownership.xml · nonDerivative · entry 2 Young Kenneth M · CIK 0001365572 · President 10b5-1 filing: Not disclosed Ownership: Indirect · See Note Disclosed balance after: 14,500 F2 · ownership.nature: Held of record by the Kenneth M. Young Revocable Trust U/A 5/8/15. Read SEC document |
| June 30, 2020 Filed Aug 7, 2020 13:57 UTC | BRC Group Holdings, Inc. RILY · Entity 6050 | GrantCommon Stock | 992 | $18.50 | $18,348.03 |
DisclosureSEC source: 0001213900-20-020792 · ownership.xml · nonDerivative · entry 1 Young Kenneth M · CIK 0001365572 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 86,419 F1 · kind: Represents shares acquired under the provisions of the B. Riley Financial, Inc. 2018 Employee Stock Purchase Plan in a transaction that was exempt under both Rule 16b-3(d) and Rule 16b-3(c). Read SEC document |
| June 09, 2020 Filed Jun 11, 2020 17:50 UTC | ORION ENERGY SYSTEMS, INC. OESX · Entity 6811 | GrantCommon Stock | 11,479 | $0.00 | $0.00 |
DisclosureSEC source: 0001567619-20-011991 · doc1.xml · nonDerivative · entry 1 Young Kenneth M · CIK 0001365572 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 75,062 F1 · kind: Restricted stock granted to the reporting person under the Orion Energy Systems, Inc. 2016 Omnibus Incentive Plan, as amended. The restricted stock vests and becomes exercisable with respect to 1/3 of the restricted stock on each of June 9, 2021, 2022 and 2023, respectively. Read SEC document |
| June 05, 2020 Filed Jun 9, 2020 20:12 UTC | Babcock & Wilcox Enterprises, Inc. BW · Entity 4934 | PurchaseCommon Stock | 20,000 | $2.67 | $53,406.00 |
DisclosureSEC source: 0000899243-20-015781 · doc4.xml · nonDerivative · entry 1 Young Kenneth M · CIK 0001365572 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Indirect · See Note Disclosed balance after: 20,000 F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.64 to $2.70, inclusive. The reporting person undertakes to provide full information regarding the number of shares purchased at a particular price upon request from SEC staff, the issuer or a shareholder of issuer. F2 · price: Held of record by the Kenneth M. Young Revocable Trust U/A 5/8/15. F2 · ownership.nature: Held of record by the Kenneth M. Young Revocable Trust U/A 5/8/15. Read SEC document |
| May 22, 2020 Filed May 26, 2020 21:30 UTC | BRC Group Holdings, Inc. RILY · Entity 6050 | Tax withholdingCommon Stock | 8,455 | $18.54 | $156,755.70 |
DisclosureSEC source: 0001213900-20-013467 · ownership.xml · nonDerivative · entry 2 Young Kenneth M · CIK 0001365572 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 85,427 F2 · shares: Represents shares withheld by the Company and remitted on behalf of the Reporting Person for payment of taxes in connection with the vesting of shares from Restricted Stock Units granted on June 13, 2017, June 13, 2018 and May 24, 2019. Read SEC document |
| May 21, 2020 Filed May 26, 2020 21:30 UTC | BRC Group Holdings, Inc. RILY · Entity 6050 | GrantCommon Stock | 22,124 | $0.00 | $0.00 |
DisclosureSEC source: 0001213900-20-013467 · ownership.xml · nonDerivative · entry 1 Young Kenneth M · CIK 0001365572 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 93,882 F1 · shares: Represents a restricted stock unit that settles in common stock of the Company and vests in three equal installments on May 24, 2021, May 24, 2022 and May 24, 2023. Read SEC document |
| March 13, 2020 Filed Mar 16, 2020 22:53 UTC | BRC Group Holdings, Inc. RILY · Entity 6050 | PurchaseCommon Stock | 3,500 | $20.24 | $70,824.95 |
DisclosureSEC source: 0001213900-20-006567 · ownership.xml · nonDerivative · entry 2 Young Kenneth M · CIK 0001365572 · President 10b5-1 filing: Not disclosed Ownership: Indirect · See Note Disclosed balance after: 13,500 F2 · kind: This transaction was executed in multiple trades at prices ranging from $20.005 to $20.70. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares and prices at which the transaction was effected. F3 · ownership.nature: Held of record by the Kenneth M. Young Revocable Trust U/A 5/8/15. Read SEC document |
| March 05, 2020 Filed Mar 9, 2020 21:29 UTC | Franchise Group, Inc. FRG · Entity 110293 | GrantRestricted Stock Units · Derivative | 4,839 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-20-003320 · edgar.xml · derivative · entry 1 Young Kenneth M · CIK 0001365572 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,839 Underlying: Common Stock · 4,839 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit represents the right to receive, at settlement, one share of, par value $0.01 per share, of Issuer's Common Stock. F2 · derivative.exercise_date: The restricted stock unit award was granted on March 5, 2020 and vests in full on March 5, 2021. F2 · derivative.expiration_date: The restricted stock unit award was granted on March 5, 2020 and vests in full on March 5, 2021. 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.