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 |
|---|---|---|---|---|---|---|
| December 31, 2019 Filed Mar 16, 2020 22:53 UTC | BRC Group Holdings, Inc. RILY · Entity 6050 | GrantCommon Stock | 340 | $21.40 | $7,277.02 |
DisclosureSEC source: 0001213900-20-006567 · ownership.xml · nonDerivative · entry 1 Young Kenneth M · CIK 0001365572 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 71,758 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 |
| December 13, 2019 Filed Dec 17, 2019 21:27 UTC | Franchise Group, Inc. FRG · Entity 110293 | Exercise / conversionRestricted Stock Units · Derivative | 1,804 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-19-012909 · edgar.xml · derivative · entry 2 Young Kenneth M · CIK 0001365572 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 1,804 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 restricted stock unit represents the right to receive, upon vesting, one share of Common Stock. F2 · derivative.exercise_date: The restricted stock unit award was granted on December 13, 2018 and vested in full on December 13, 2019. F2 · derivative.expiration_date: The restricted stock unit award was granted on December 13, 2018 and vested in full on December 13, 2019. Read SEC document |
| December 13, 2019 Filed Dec 17, 2019 21:27 UTC | Franchise Group, Inc. FRG · Entity 110293 | Exercise / conversionCommon Stock | 1,804 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001179110-19-012909 · edgar.xml · nonDerivative · entry 1 Young Kenneth M · CIK 0001365572 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,804 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · kind: Represents the conversion upon vesting of restricted stock units into Common Stock. On December 13, 2018, the reporting person was granted 1804 restricted stock units, of which all of the shares subject to the restricted stock units vested on December 13, 2019. Such restricted stock units were previously reported in Table II on the Form 4 filed with the Securities and Exchange Commission on January 29, 2019. F1 · price: Each restricted stock unit represents the right to receive, upon vesting, one share of Common Stock. Read SEC document |
| October 30, 2019 Filed Nov 2, 2019 00:33 UTC | DNA X, Inc. SONM · Entity 8261 | SaleCommon Stock | 900 | $2.84 | $2,551.50 |
DisclosureSEC source: 0001213900-19-021860 · ownership.xml · nonDerivative · entry 16 B. Riley Financial, Inc. · CIK 0001464790 · Director · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner B. Riley FBR, Inc. · CIK 0001505748 · 10% owner Young Kenneth M · CIK 0001365572 · Director RILEY BRYANT R · CIK 0001207269 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By B. Riley FBR, Inc. Disclosed balance after: 0 F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI"), B. Riley FBR, Inc., a Delaware corporation ("BRFBR"), Kenneth M. Young and Bryant R. Riley. F2 · ownership.nature: BRPGP is a subsidiary of BRCM, a registered investment advisor, and is the general partner of BRPLP. BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the Shares held by BRPLP. BRF is the parent company of BRFBR. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRFBR. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRPI. F3 · ownership.nature: Bryant Riley, as Chief Executive Officer of BRCM and Chairman and Co-Chief Executive Officer of BRF, has voting and dispositive power over the shares held by BRPLP, BRPI and BRF. Mr. Young is the President of BRF and the Chief Executive Officer of BRPI. He has voting and dispositive power over the shares held by BRPI. Mr. Young does not have either voting or investment control over the securities held by the BRF. Each reporting person disclaims beneficial ownership of the securities of the Issuer reported herein held indirectly except to the extent of such person's pecuniary interest therein. Read SEC document |
| October 30, 2019 Filed Nov 2, 2019 00:33 UTC | DNA X, Inc. SONM · Entity 8261 | SaleCommon Stock | 8,105 | $2.84 | $23,018.20 |
DisclosureSEC source: 0001213900-19-021860 · ownership.xml · nonDerivative · entry 15 B. Riley Financial, Inc. · CIK 0001464790 · Director · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner B. Riley FBR, Inc. · CIK 0001505748 · 10% owner Young Kenneth M · CIK 0001365572 · Director RILEY BRYANT R · CIK 0001207269 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By B. Riley FBR, Inc. Disclosed balance after: 900 F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI"), B. Riley FBR, Inc., a Delaware corporation ("BRFBR"), Kenneth M. Young and Bryant R. Riley. F2 · ownership.nature: BRPGP is a subsidiary of BRCM, a registered investment advisor, and is the general partner of BRPLP. BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the Shares held by BRPLP. BRF is the parent company of BRFBR. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRFBR. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRPI. F3 · ownership.nature: Bryant Riley, as Chief Executive Officer of BRCM and Chairman and Co-Chief Executive Officer of BRF, has voting and dispositive power over the shares held by BRPLP, BRPI and BRF. Mr. Young is the President of BRF and the Chief Executive Officer of BRPI. He has voting and dispositive power over the shares held by BRPI. Mr. Young does not have either voting or investment control over the securities held by the BRF. Each reporting person disclaims beneficial ownership of the securities of the Issuer reported herein held indirectly except to the extent of such person's pecuniary interest therein. Read SEC document |
| October 30, 2019 Filed Nov 2, 2019 00:33 UTC | DNA X, Inc. SONM · Entity 8261 | SaleCommon Stock | 1,000 | $2.80 | $2,800.10 |
DisclosureSEC source: 0001213900-19-021860 · ownership.xml · nonDerivative · entry 14 B. Riley Financial, Inc. · CIK 0001464790 · Director · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner B. Riley FBR, Inc. · CIK 0001505748 · 10% owner Young Kenneth M · CIK 0001365572 · Director RILEY BRYANT R · CIK 0001207269 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By B. Riley FBR, Inc. Disclosed balance after: 9,005 F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI"), B. Riley FBR, Inc., a Delaware corporation ("BRFBR"), Kenneth M. Young and Bryant R. Riley. F2 · ownership.nature: BRPGP is a subsidiary of BRCM, a registered investment advisor, and is the general partner of BRPLP. BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the Shares held by BRPLP. BRF is the parent company of BRFBR. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRFBR. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRPI. F3 · ownership.nature: Bryant Riley, as Chief Executive Officer of BRCM and Chairman and Co-Chief Executive Officer of BRF, has voting and dispositive power over the shares held by BRPLP, BRPI and BRF. Mr. Young is the President of BRF and the Chief Executive Officer of BRPI. He has voting and dispositive power over the shares held by BRPI. Mr. Young does not have either voting or investment control over the securities held by the BRF. Each reporting person disclaims beneficial ownership of the securities of the Issuer reported herein held indirectly except to the extent of such person's pecuniary interest therein. Read SEC document |
| October 30, 2019 Filed Nov 2, 2019 00:33 UTC | DNA X, Inc. SONM · Entity 8261 | SaleCommon Stock | 400 | $2.81 | $1,122.00 |
DisclosureSEC source: 0001213900-19-021860 · ownership.xml · nonDerivative · entry 13 B. Riley Financial, Inc. · CIK 0001464790 · Director · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner B. Riley FBR, Inc. · CIK 0001505748 · 10% owner Young Kenneth M · CIK 0001365572 · Director RILEY BRYANT R · CIK 0001207269 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By B. Riley FBR, Inc. Disclosed balance after: 10,005 F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI"), B. Riley FBR, Inc., a Delaware corporation ("BRFBR"), Kenneth M. Young and Bryant R. Riley. F2 · ownership.nature: BRPGP is a subsidiary of BRCM, a registered investment advisor, and is the general partner of BRPLP. BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the Shares held by BRPLP. BRF is the parent company of BRFBR. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRFBR. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRPI. F3 · ownership.nature: Bryant Riley, as Chief Executive Officer of BRCM and Chairman and Co-Chief Executive Officer of BRF, has voting and dispositive power over the shares held by BRPLP, BRPI and BRF. Mr. Young is the President of BRF and the Chief Executive Officer of BRPI. He has voting and dispositive power over the shares held by BRPI. Mr. Young does not have either voting or investment control over the securities held by the BRF. Each reporting person disclaims beneficial ownership of the securities of the Issuer reported herein held indirectly except to the extent of such person's pecuniary interest therein. Read SEC document |
| October 30, 2019 Filed Nov 2, 2019 00:33 UTC | DNA X, Inc. SONM · Entity 8261 | SaleCommon Stock | 330 | $2.71 | $894.30 |
DisclosureSEC source: 0001213900-19-021860 · ownership.xml · nonDerivative · entry 12 B. Riley Financial, Inc. · CIK 0001464790 · Director · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner B. Riley FBR, Inc. · CIK 0001505748 · 10% owner Young Kenneth M · CIK 0001365572 · Director RILEY BRYANT R · CIK 0001207269 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By B. Riley FBR, Inc. Disclosed balance after: 10,405 F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI"), B. Riley FBR, Inc., a Delaware corporation ("BRFBR"), Kenneth M. Young and Bryant R. Riley. F2 · ownership.nature: BRPGP is a subsidiary of BRCM, a registered investment advisor, and is the general partner of BRPLP. BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the Shares held by BRPLP. BRF is the parent company of BRFBR. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRFBR. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRPI. F3 · ownership.nature: Bryant Riley, as Chief Executive Officer of BRCM and Chairman and Co-Chief Executive Officer of BRF, has voting and dispositive power over the shares held by BRPLP, BRPI and BRF. Mr. Young is the President of BRF and the Chief Executive Officer of BRPI. He has voting and dispositive power over the shares held by BRPI. Mr. Young does not have either voting or investment control over the securities held by the BRF. Each reporting person disclaims beneficial ownership of the securities of the Issuer reported herein held indirectly except to the extent of such person's pecuniary interest therein. Read SEC document |
| October 30, 2019 Filed Nov 2, 2019 00:33 UTC | DNA X, Inc. SONM · Entity 8261 | SaleCommon Stock | 500 | $2.70 | $1,351.25 |
DisclosureSEC source: 0001213900-19-021860 · ownership.xml · nonDerivative · entry 11 B. Riley Financial, Inc. · CIK 0001464790 · Director · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner B. Riley FBR, Inc. · CIK 0001505748 · 10% owner Young Kenneth M · CIK 0001365572 · Director RILEY BRYANT R · CIK 0001207269 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By B. Riley FBR, Inc. Disclosed balance after: 10,735 F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI"), B. Riley FBR, Inc., a Delaware corporation ("BRFBR"), Kenneth M. Young and Bryant R. Riley. F2 · ownership.nature: BRPGP is a subsidiary of BRCM, a registered investment advisor, and is the general partner of BRPLP. BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the Shares held by BRPLP. BRF is the parent company of BRFBR. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRFBR. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRPI. F3 · ownership.nature: Bryant Riley, as Chief Executive Officer of BRCM and Chairman and Co-Chief Executive Officer of BRF, has voting and dispositive power over the shares held by BRPLP, BRPI and BRF. Mr. Young is the President of BRF and the Chief Executive Officer of BRPI. He has voting and dispositive power over the shares held by BRPI. Mr. Young does not have either voting or investment control over the securities held by the BRF. Each reporting person disclaims beneficial ownership of the securities of the Issuer reported herein held indirectly except to the extent of such person's pecuniary interest therein. Read SEC document |
| October 30, 2019 Filed Nov 2, 2019 00:33 UTC | DNA X, Inc. SONM · Entity 8261 | SaleCommon Stock | 600 | $2.71 | $1,623.00 |
DisclosureSEC source: 0001213900-19-021860 · ownership.xml · nonDerivative · entry 10 B. Riley Financial, Inc. · CIK 0001464790 · Director · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner B. Riley FBR, Inc. · CIK 0001505748 · 10% owner Young Kenneth M · CIK 0001365572 · Director RILEY BRYANT R · CIK 0001207269 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By B. Riley FBR, Inc. Disclosed balance after: 11,235 F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI"), B. Riley FBR, Inc., a Delaware corporation ("BRFBR"), Kenneth M. Young and Bryant R. Riley. F2 · ownership.nature: BRPGP is a subsidiary of BRCM, a registered investment advisor, and is the general partner of BRPLP. BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the Shares held by BRPLP. BRF is the parent company of BRFBR. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRFBR. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRPI. F3 · ownership.nature: Bryant Riley, as Chief Executive Officer of BRCM and Chairman and Co-Chief Executive Officer of BRF, has voting and dispositive power over the shares held by BRPLP, BRPI and BRF. Mr. Young is the President of BRF and the Chief Executive Officer of BRPI. He has voting and dispositive power over the shares held by BRPI. Mr. Young does not have either voting or investment control over the securities held by the BRF. Each reporting person disclaims beneficial ownership of the securities of the Issuer reported herein held indirectly except to the extent of such person's pecuniary interest therein. Read SEC document |
| October 30, 2019 Filed Nov 2, 2019 00:33 UTC | DNA X, Inc. SONM · Entity 8261 | SaleCommon Stock | 1,500 | $2.71 | $4,057.50 |
DisclosureSEC source: 0001213900-19-021860 · ownership.xml · nonDerivative · entry 9 B. Riley Financial, Inc. · CIK 0001464790 · Director · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner B. Riley FBR, Inc. · CIK 0001505748 · 10% owner Young Kenneth M · CIK 0001365572 · Director RILEY BRYANT R · CIK 0001207269 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By B. Riley FBR, Inc. Disclosed balance after: 11,835 F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI"), B. Riley FBR, Inc., a Delaware corporation ("BRFBR"), Kenneth M. Young and Bryant R. Riley. F2 · ownership.nature: BRPGP is a subsidiary of BRCM, a registered investment advisor, and is the general partner of BRPLP. BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the Shares held by BRPLP. BRF is the parent company of BRFBR. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRFBR. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRPI. F3 · ownership.nature: Bryant Riley, as Chief Executive Officer of BRCM and Chairman and Co-Chief Executive Officer of BRF, has voting and dispositive power over the shares held by BRPLP, BRPI and BRF. Mr. Young is the President of BRF and the Chief Executive Officer of BRPI. He has voting and dispositive power over the shares held by BRPI. Mr. Young does not have either voting or investment control over the securities held by the BRF. Each reporting person disclaims beneficial ownership of the securities of the Issuer reported herein held indirectly except to the extent of such person's pecuniary interest therein. Read SEC document |
| October 30, 2019 Filed Nov 2, 2019 00:33 UTC | DNA X, Inc. SONM · Entity 8261 | SaleCommon Stock | 200 | $2.67 | $534.02 |
DisclosureSEC source: 0001213900-19-021860 · ownership.xml · nonDerivative · entry 8 B. Riley Financial, Inc. · CIK 0001464790 · Director · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner B. Riley FBR, Inc. · CIK 0001505748 · 10% owner Young Kenneth M · CIK 0001365572 · Director RILEY BRYANT R · CIK 0001207269 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By B. Riley FBR, Inc. Disclosed balance after: 13,335 F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI"), B. Riley FBR, Inc., a Delaware corporation ("BRFBR"), Kenneth M. Young and Bryant R. Riley. F2 · ownership.nature: BRPGP is a subsidiary of BRCM, a registered investment advisor, and is the general partner of BRPLP. BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the Shares held by BRPLP. BRF is the parent company of BRFBR. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRFBR. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRPI. F3 · ownership.nature: Bryant Riley, as Chief Executive Officer of BRCM and Chairman and Co-Chief Executive Officer of BRF, has voting and dispositive power over the shares held by BRPLP, BRPI and BRF. Mr. Young is the President of BRF and the Chief Executive Officer of BRPI. He has voting and dispositive power over the shares held by BRPI. Mr. Young does not have either voting or investment control over the securities held by the BRF. Each reporting person disclaims beneficial ownership of the securities of the Issuer reported herein held indirectly except to the extent of such person's pecuniary interest therein. Read SEC document |
| October 30, 2019 Filed Nov 2, 2019 00:33 UTC | DNA X, Inc. SONM · Entity 8261 | SaleCommon Stock | 500 | $2.66 | $1,330.00 |
DisclosureSEC source: 0001213900-19-021860 · ownership.xml · nonDerivative · entry 7 B. Riley Financial, Inc. · CIK 0001464790 · Director · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner B. Riley FBR, Inc. · CIK 0001505748 · 10% owner Young Kenneth M · CIK 0001365572 · Director RILEY BRYANT R · CIK 0001207269 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By B. Riley FBR, Inc. Disclosed balance after: 13,535 F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI"), B. Riley FBR, Inc., a Delaware corporation ("BRFBR"), Kenneth M. Young and Bryant R. Riley. F2 · ownership.nature: BRPGP is a subsidiary of BRCM, a registered investment advisor, and is the general partner of BRPLP. BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the Shares held by BRPLP. BRF is the parent company of BRFBR. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRFBR. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRPI. F3 · ownership.nature: Bryant Riley, as Chief Executive Officer of BRCM and Chairman and Co-Chief Executive Officer of BRF, has voting and dispositive power over the shares held by BRPLP, BRPI and BRF. Mr. Young is the President of BRF and the Chief Executive Officer of BRPI. He has voting and dispositive power over the shares held by BRPI. Mr. Young does not have either voting or investment control over the securities held by the BRF. Each reporting person disclaims beneficial ownership of the securities of the Issuer reported herein held indirectly except to the extent of such person's pecuniary interest therein. Read SEC document |
| October 30, 2019 Filed Nov 2, 2019 00:33 UTC | DNA X, Inc. SONM · Entity 8261 | SaleCommon Stock | 200 | $2.67 | $534.00 |
DisclosureSEC source: 0001213900-19-021860 · ownership.xml · nonDerivative · entry 6 B. Riley Financial, Inc. · CIK 0001464790 · Director · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner B. Riley FBR, Inc. · CIK 0001505748 · 10% owner Young Kenneth M · CIK 0001365572 · Director RILEY BRYANT R · CIK 0001207269 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By B. Riley FBR, Inc. Disclosed balance after: 14,035 F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI"), B. Riley FBR, Inc., a Delaware corporation ("BRFBR"), Kenneth M. Young and Bryant R. Riley. F2 · ownership.nature: BRPGP is a subsidiary of BRCM, a registered investment advisor, and is the general partner of BRPLP. BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the Shares held by BRPLP. BRF is the parent company of BRFBR. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRFBR. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRPI. F3 · ownership.nature: Bryant Riley, as Chief Executive Officer of BRCM and Chairman and Co-Chief Executive Officer of BRF, has voting and dispositive power over the shares held by BRPLP, BRPI and BRF. Mr. Young is the President of BRF and the Chief Executive Officer of BRPI. He has voting and dispositive power over the shares held by BRPI. Mr. Young does not have either voting or investment control over the securities held by the BRF. Each reporting person disclaims beneficial ownership of the securities of the Issuer reported herein held indirectly except to the extent of such person's pecuniary interest therein. Read SEC document |
| October 30, 2019 Filed Nov 2, 2019 00:33 UTC | DNA X, Inc. SONM · Entity 8261 | SaleCommon Stock | 11,265 | $2.65 | $29,852.25 |
DisclosureSEC source: 0001213900-19-021860 · ownership.xml · nonDerivative · entry 5 B. Riley Financial, Inc. · CIK 0001464790 · Director · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner B. Riley FBR, Inc. · CIK 0001505748 · 10% owner Young Kenneth M · CIK 0001365572 · Director RILEY BRYANT R · CIK 0001207269 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By B. Riley FBR, Inc. Disclosed balance after: 14,235 F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI"), B. Riley FBR, Inc., a Delaware corporation ("BRFBR"), Kenneth M. Young and Bryant R. Riley. F2 · ownership.nature: BRPGP is a subsidiary of BRCM, a registered investment advisor, and is the general partner of BRPLP. BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the Shares held by BRPLP. BRF is the parent company of BRFBR. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRFBR. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRPI. F3 · ownership.nature: Bryant Riley, as Chief Executive Officer of BRCM and Chairman and Co-Chief Executive Officer of BRF, has voting and dispositive power over the shares held by BRPLP, BRPI and BRF. Mr. Young is the President of BRF and the Chief Executive Officer of BRPI. He has voting and dispositive power over the shares held by BRPI. Mr. Young does not have either voting or investment control over the securities held by the BRF. Each reporting person disclaims beneficial ownership of the securities of the Issuer reported herein held indirectly except to the extent of such person's pecuniary interest therein. Read SEC document |
| October 30, 2019 Filed Nov 2, 2019 00:33 UTC | DNA X, Inc. SONM · Entity 8261 | PurchaseCommon Stock | 25,000 | $2.70 | $67,500.00 |
DisclosureSEC source: 0001213900-19-021860 · ownership.xml · nonDerivative · entry 4 B. Riley Financial, Inc. · CIK 0001464790 · Director · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner B. Riley FBR, Inc. · CIK 0001505748 · 10% owner Young Kenneth M · CIK 0001365572 · Director RILEY BRYANT R · CIK 0001207269 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By B. Riley FBR, Inc. Disclosed balance after: 25,500 F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI"), B. Riley FBR, Inc., a Delaware corporation ("BRFBR"), Kenneth M. Young and Bryant R. Riley. F2 · ownership.nature: BRPGP is a subsidiary of BRCM, a registered investment advisor, and is the general partner of BRPLP. BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the Shares held by BRPLP. BRF is the parent company of BRFBR. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRFBR. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRPI. F3 · ownership.nature: Bryant Riley, as Chief Executive Officer of BRCM and Chairman and Co-Chief Executive Officer of BRF, has voting and dispositive power over the shares held by BRPLP, BRPI and BRF. Mr. Young is the President of BRF and the Chief Executive Officer of BRPI. He has voting and dispositive power over the shares held by BRPI. Mr. Young does not have either voting or investment control over the securities held by the BRF. Each reporting person disclaims beneficial ownership of the securities of the Issuer reported herein held indirectly except to the extent of such person's pecuniary interest therein. Read SEC document |
| October 30, 2019 Filed Nov 2, 2019 00:33 UTC | DNA X, Inc. SONM · Entity 8261 | PurchaseCommon Stock | 200 | $2.70 | $540.00 |
DisclosureSEC source: 0001213900-19-021860 · ownership.xml · nonDerivative · entry 3 B. Riley Financial, Inc. · CIK 0001464790 · Director · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner B. Riley FBR, Inc. · CIK 0001505748 · 10% owner Young Kenneth M · CIK 0001365572 · Director RILEY BRYANT R · CIK 0001207269 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By B. Riley FBR, Inc. Disclosed balance after: 500 F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI"), B. Riley FBR, Inc., a Delaware corporation ("BRFBR"), Kenneth M. Young and Bryant R. Riley. F2 · ownership.nature: BRPGP is a subsidiary of BRCM, a registered investment advisor, and is the general partner of BRPLP. BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the Shares held by BRPLP. BRF is the parent company of BRFBR. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRFBR. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRPI. F3 · ownership.nature: Bryant Riley, as Chief Executive Officer of BRCM and Chairman and Co-Chief Executive Officer of BRF, has voting and dispositive power over the shares held by BRPLP, BRPI and BRF. Mr. Young is the President of BRF and the Chief Executive Officer of BRPI. He has voting and dispositive power over the shares held by BRPI. Mr. Young does not have either voting or investment control over the securities held by the BRF. Each reporting person disclaims beneficial ownership of the securities of the Issuer reported herein held indirectly except to the extent of such person's pecuniary interest therein. Read SEC document |
| October 30, 2019 Filed Nov 2, 2019 00:33 UTC | DNA X, Inc. SONM · Entity 8261 | PurchaseCommon Stock | 100 | $2.70 | $269.50 |
DisclosureSEC source: 0001213900-19-021860 · ownership.xml · nonDerivative · entry 2 B. Riley Financial, Inc. · CIK 0001464790 · Director · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner B. Riley FBR, Inc. · CIK 0001505748 · 10% owner Young Kenneth M · CIK 0001365572 · Director RILEY BRYANT R · CIK 0001207269 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By B. Riley FBR, Inc. Disclosed balance after: 300 F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI"), B. Riley FBR, Inc., a Delaware corporation ("BRFBR"), Kenneth M. Young and Bryant R. Riley. F2 · ownership.nature: BRPGP is a subsidiary of BRCM, a registered investment advisor, and is the general partner of BRPLP. BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the Shares held by BRPLP. BRF is the parent company of BRFBR. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRFBR. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRPI. F3 · ownership.nature: Bryant Riley, as Chief Executive Officer of BRCM and Chairman and Co-Chief Executive Officer of BRF, has voting and dispositive power over the shares held by BRPLP, BRPI and BRF. Mr. Young is the President of BRF and the Chief Executive Officer of BRPI. He has voting and dispositive power over the shares held by BRPI. Mr. Young does not have either voting or investment control over the securities held by the BRF. Each reporting person disclaims beneficial ownership of the securities of the Issuer reported herein held indirectly except to the extent of such person's pecuniary interest therein. Read SEC document |
| October 30, 2019 Filed Nov 2, 2019 00:33 UTC | DNA X, Inc. SONM · Entity 8261 | PurchaseCommon Stock | 200 | $2.71 | $542.00 |
DisclosureSEC source: 0001213900-19-021860 · ownership.xml · nonDerivative · entry 1 B. Riley Financial, Inc. · CIK 0001464790 · Director · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner B. Riley FBR, Inc. · CIK 0001505748 · 10% owner Young Kenneth M · CIK 0001365572 · Director RILEY BRYANT R · CIK 0001207269 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By B. Riley FBR, Inc. Disclosed balance after: 200 F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI"), B. Riley FBR, Inc., a Delaware corporation ("BRFBR"), Kenneth M. Young and Bryant R. Riley. F2 · ownership.nature: BRPGP is a subsidiary of BRCM, a registered investment advisor, and is the general partner of BRPLP. BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the Shares held by BRPLP. BRF is the parent company of BRFBR. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRFBR. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRPI. F3 · ownership.nature: Bryant Riley, as Chief Executive Officer of BRCM and Chairman and Co-Chief Executive Officer of BRF, has voting and dispositive power over the shares held by BRPLP, BRPI and BRF. Mr. Young is the President of BRF and the Chief Executive Officer of BRPI. He has voting and dispositive power over the shares held by BRPI. Mr. Young does not have either voting or investment control over the securities held by the BRF. Each reporting person disclaims beneficial ownership of the securities of the Issuer reported herein held indirectly except to the extent of such person's pecuniary interest therein. Read SEC document |
| October 23, 2019 Filed Nov 2, 2019 00:33 UTC | DNA X, Inc. SONM · Entity 8261 | OtherConvertible Promissory Note (right to buy) · Derivative | 366,425.54 | $0.00 Strike: $8.87 | $0.00 |
DisclosureSEC source: 0001213900-19-021860 · ownership.xml · derivative · entry 17 B. Riley Financial, Inc. · CIK 0001464790 · Director · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner B. Riley FBR, Inc. · CIK 0001505748 · 10% owner Young Kenneth M · CIK 0001365572 · Director RILEY BRYANT R · CIK 0001207269 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By B. Riley Principal Investments, LLC Disclosed balance after: 732,852.46 Underlying: Common Stock · 366,425.54 shares Expires 2019-10-23 F4 · timeliness: Expiration of a long position for no consideration. Pursuant to the terms of the Convertible Promissory Note, the amount of the Convertible Promissory Note convertible into shares of Common Stock was reduced to 50% of the principal outstanding as of October 23, 2019. F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI"), B. Riley FBR, Inc., a Delaware corporation ("BRFBR"), Kenneth M. Young and Bryant R. Riley. F2 · ownership.nature: BRPGP is a subsidiary of BRCM, a registered investment advisor, and is the general partner of BRPLP. BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the Shares held by BRPLP. BRF is the parent company of BRFBR. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRFBR. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRPI. F3 · ownership.nature: Bryant Riley, as Chief Executive Officer of BRCM and Chairman and Co-Chief Executive Officer of BRF, has voting and dispositive power over the shares held by BRPLP, BRPI and BRF. Mr. Young is the President of BRF and the Chief Executive Officer of BRPI. He has voting and dispositive power over the shares held by BRPI. Mr. Young does not have either voting or investment control over the securities held by the BRF. Each reporting person disclaims beneficial ownership of the securities of the Issuer reported herein held indirectly except to the extent of such person's pecuniary interest therein. Read SEC document |
| September 12, 2019 Filed Sep 16, 2019 22:51 UTC | Franchise Group, Inc. TAXA · Entity 110293 | GrantEmployee Stock Options (Right to Buy) · Derivative | 4,690 | $0.00 Strike: $11.88 | $0.00 |
DisclosureSEC source: 0001179110-19-010383 · edgar.xml · derivative · entry 2 Young Kenneth M · CIK 0001365572 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,690 Underlying: Common Stock · 4,690 shares Expires 2024-09-12 Read SEC document |
| September 12, 2019 Filed Sep 16, 2019 22:51 UTC | Franchise Group, Inc. TAXA · Entity 110293 | GrantRestricted Stock Units · Derivative | 1,823 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-19-010383 · edgar.xml · derivative · entry 1 Young Kenneth M · CIK 0001365572 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,823 Underlying: Common Stock · 1,823 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit represents the right to receive, at settlement, one share of Liberty Tax, Inc. Common Stock. F2 · derivative.exercise_date: The restricted stock unit award was granted on September 12, 2019 and vests in full on September 12, 2020. F2 · derivative.expiration_date: The restricted stock unit award was granted on September 12, 2019 and vests in full on September 12, 2020. Read SEC document |
| September 12, 2019 Filed Sep 18, 2019 20:33 UTC Amendment | Franchise Group, Inc. TAXA · Entity 110293 | GrantEmployee Stock Options (Right to Buy) · Derivative | 4,690 | $0.00 Strike: $11.93 | $0.00 |
DisclosureSEC source: 0001179110-19-010460 · edgar.xml · derivative · entry 2 Young Kenneth M · CIK 0001365572 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,690 Underlying: Common Stock · 4,690 shares Expires 2024-09-12 F4 · derivative.exercise_price: This Amended Form 4 is also being filed to correct the exercise price of the options awarded for the close of market price of Liberty Tax, Inc. Common Stock on September 12, 2019. Read SEC document |
| September 12, 2019 Filed Sep 18, 2019 20:33 UTC Amendment | Franchise Group, Inc. TAXA · Entity 110293 | GrantRestricted Stock Units · Derivative | 1,816 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-19-010460 · edgar.xml · derivative · entry 1 Young Kenneth M · CIK 0001365572 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,816 Underlying: Common Stock · 1,816 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit represents the right to receive, at settlement, one share of Liberty Tax, Inc. Common Stock. F3 · shares: Due to a miscalculation, the amount of restricted stock units awarded was misstated on the Form 4 filed on September 16, 2019. This Amended Form 4 is being filed to report the correct amount of restricted stock units awarded. F2 · derivative.exercise_date: The restricted stock unit award was granted on September 12, 2019 and vests in full on September 12, 2020. F2 · derivative.expiration_date: The restricted stock unit award was granted on September 12, 2019 and vests in full on September 12, 2020. Read SEC document |
| September 12, 2019 Filed Sep 27, 2019 20:21 UTC Amendment | Franchise Group, Inc. FRGA · Entity 110293 | GrantEmployee Stock Options (Right to Buy) · Derivative | 9,299 | $0.00 Strike: $11.93 | $0.00 |
DisclosureSEC source: 0001179110-19-010704 · edgar.xml · derivative · entry 2 Young Kenneth M · CIK 0001365572 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,299 Underlying: Common Stock · 9,299 shares Expires 2024-09-12 F3 · shares: Due to a miscalculation, the amount of employee stock options awarded was misstated on the Form 4 filed on September 16, 2019. This Amended Form 4 is being filed to report the correct amount of employee stock options awarded. Read SEC document |
| September 12, 2019 Filed Sep 27, 2019 20:21 UTC Amendment | Franchise Group, Inc. FRGA · Entity 110293 | GrantRestricted Stock Units · Derivative | 1,816 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-19-010704 · edgar.xml · derivative · entry 1 Young Kenneth M · CIK 0001365572 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,816 Underlying: Common Stock · 1,816 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit represents the right to receive, at settlement, one share of Franchise Group, Inc. Common Stock. F2 · derivative.exercise_date: The restricted stock unit award was granted on September 12, 2019 and vests in full on September 12, 2020. F2 · derivative.expiration_date: The restricted stock unit award was granted on September 12, 2019 and vests in full on September 12, 2020. Read SEC document |
| August 13, 2019 Filed Aug 16, 2019 00:15 UTC | Babcock & Wilcox Enterprises, Inc. BW · Entity 4934 | GrantRestricted Stock Units · Derivative | 600,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-19-021864 · doc4.xml · derivative · entry 1 Young Kenneth M · CIK 0001365572 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 600,000 Underlying: Common Stock · 600,000 shares Expires 2021-01-02 F1 · derivative.exercise_price: Each restricted stock unit 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. F2 · derivative.exercise_date: All restricted stock units vest on January 2, 2021. Read SEC document |
| August 12, 2019 Filed Aug 12, 2019 21:22 UTC | ORION ENERGY SYSTEMS, INC. OESX · Entity 6811 | GrantCommon Stock | 9,033 | $0.00 | $0.00 |
DisclosureSEC source: 0001567619-19-016370 · doc1.xml · nonDerivative · entry 1 Young Kenneth M · CIK 0001365572 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 63,583 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 August 12, 2020, 2021 and 2022, respectively. Read SEC document |
| July 18, 2019 Filed Jul 22, 2019 21:23 UTC | Babcock & Wilcox Enterprises, Inc. BW · Entity 4934 | OtherNontransferable Subscription Rights (right to buy) · Derivative | 147,166 | $0.00 Strike: $0.30 | $0.00 |
DisclosureSEC source: 0001644999-19-000023 · edgar.xml · derivative · entry 2 Young Kenneth M · CIK 0001365572 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 145,238 shares Expires 2019-07-18 F2 · security: Represents the reporting person's exercise of subscription rights pursuant to the Rights Offering described in footnote 1. F1 · derivative.underlying_shares: Represents shares of the Issuer's common stock, par value $0.01 per share ("Common Stock"), acquired by the reporting person following the exercise of its subscription rights in connection with the Issuer's rights offering to holders of Common Stock, as described in the Issuer's prospectus dated June 28, 2019, as supplemented. Each holder of Common Stock of record as of June 27, 2019 received one right for each share of Common Stock, and each right entitled the holder of Common Stock to purchase 0.986896 shares of Common Stock at the subscription price of $0.30 per whole share. Read SEC document |
| July 18, 2019 Filed Jul 22, 2019 21:23 UTC | Babcock & Wilcox Enterprises, Inc. BW · Entity 4934 | OtherCommon Stock | 145,238 | $0.30 | $43,571.40 |
DisclosureSEC source: 0001644999-19-000023 · edgar.xml · nonDerivative · entry 1 Young Kenneth M · CIK 0001365572 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 292,404 F1 · security: Represents shares of the Issuer's common stock, par value $0.01 per share ("Common Stock"), acquired by the reporting person following the exercise of its subscription rights in connection with the Issuer's rights offering to holders of Common Stock, as described in the Issuer's prospectus dated June 28, 2019, as supplemented. Each holder of Common Stock of record as of June 27, 2019 received one right for each share of Common Stock, and each right entitled the holder of Common Stock to purchase 0.986896 shares of Common Stock at the subscription price of $0.30 per whole share. F1 · shares: Represents shares of the Issuer's common stock, par value $0.01 per share ("Common Stock"), acquired by the reporting person following the exercise of its subscription rights in connection with the Issuer's rights offering to holders of Common Stock, as described in the Issuer's prospectus dated June 28, 2019, as supplemented. Each holder of Common Stock of record as of June 27, 2019 received one right for each share of Common Stock, and each right entitled the holder of Common Stock to purchase 0.986896 shares of Common Stock at the subscription price of $0.30 per whole share. Read SEC document |
| July 12, 2019 Filed Jul 16, 2019 22:18 UTC | BRC Group Holdings, Inc. RILY · Entity 6050 | GrantPerformance Restricted Stock Units · Derivative | 100,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001213900-19-012913 · ownership.xml · derivative · entry 3 Young Kenneth M · CIK 0001365572 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,000 Underlying: Common Stock · 100,000 shares Expires not disclosed F3 · 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 Total Shareholder Return (TSR) of $35.00 (including reinvestment of dividends) or upon a Change in Control (as defined in the 2009 Stock Incentive Plan), provided that such TSR is achieved or Change in Control occurs within three (3) years of the grant date. F3 · 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 Total Shareholder Return (TSR) of $35.00 (including reinvestment of dividends) or upon a Change in Control (as defined in the 2009 Stock Incentive Plan), provided that such TSR is achieved or Change in Control occurs within three (3) years of the grant date. F3 · 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 Total Shareholder Return (TSR) of $35.00 (including reinvestment of dividends) or upon a Change in Control (as defined in the 2009 Stock Incentive Plan), provided that such TSR is achieved or Change in Control occurs within three (3) years of the grant date. F3 · 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 Total Shareholder Return (TSR) of $35.00 (including reinvestment of dividends) or upon a Change in Control (as defined in the 2009 Stock Incentive Plan), provided that such TSR is achieved or Change in Control occurs within three (3) years of the grant date. Read SEC document |
| June 28, 2019 Filed Jul 16, 2019 22:18 UTC | BRC Group Holdings, Inc. RILY · Entity 6050 | GrantCommon Stock | 788 | $17.73 | $13,972.03 |
DisclosureSEC source: 0001213900-19-012913 · ownership.xml · nonDerivative · entry 1 Young Kenneth M · CIK 0001365572 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 71,418 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 |
| May 24, 2019 Filed May 29, 2019 21:01 UTC | BRC Group Holdings, Inc. RILY · Entity 6050 | Tax withholdingCommon Stock | 5,207 | $20.32 | $105,806.24 |
DisclosureSEC source: 0001615774-19-008613 · s118582_form4.xml · nonDerivative · entry 2 Young Kenneth M · CIK 0001365572 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 70,630 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 and June 13, 2018 Read SEC document |
| May 24, 2019 Filed May 29, 2019 21:01 UTC | BRC Group Holdings, Inc. RILY · Entity 6050 | GrantCommon Stock | 20,523 | $0.00 | $0.00 |
DisclosureSEC source: 0001615774-19-008613 · s118582_form4.xml · nonDerivative · entry 1 Young Kenneth M · CIK 0001365572 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 75,837 F1 · shares: Represents a restricted stock unit that settles in common stock of the Company and vests in three equal installments on May 22, 2020, May 24, 2021 and May 24, 2022. Read SEC document |
| May 14, 2019 Filed May 15, 2019 21:57 UTC | Babcock & Wilcox Enterprises, Inc. BW · Entity 4934 | PurchaseCommon Stock | 147,166 | $0.41 | $59,999.58 |
DisclosureSEC source: 0001644999-19-000015 · edgar.xml · nonDerivative · entry 1 Young Kenneth M · CIK 0001365572 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 147,166 F1 · price: Weighted avg. purchase price of $.41 with range of purchase prices between $.3801 and $.4355 F2 · price: The undersigned shall 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. Read SEC document |
| March 15, 2019 Filed Mar 18, 2019 22:49 UTC | BRC Group Holdings, Inc. RILY · Entity 6050 | PurchaseCommon Stock | 10,000 | $17.16 | $171,599.00 |
DisclosureSEC source: 0001615774-19-004176 · s116775_form4.xml · nonDerivative · entry 2 Young Kenneth M · CIK 0001365572 · President 10b5-1 filing: Not disclosed Ownership: Indirect · See Note Disclosed balance after: 10,000 F2 · ownership.nature: Held of record by the Kenneth M. Young Revocable Trust U/A 5/8/15. Read SEC document |
| December 31, 2018 Filed Mar 18, 2019 22:49 UTC | BRC Group Holdings, Inc. RILY · Entity 6050 | GrantCommon Stock | 230 | $12.07 | $2,776.10 |
DisclosureSEC source: 0001615774-19-004176 · s116775_form4.xml · nonDerivative · entry 1 Young Kenneth M · CIK 0001365572 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,314 F1 · acquired: 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 |
| December 13, 2018 Filed Jan 30, 2019 01:20 UTC | Franchise Group, Inc. TAX · Entity 110293 | GrantEmployee Stock Options (Right to Buy) · Derivative | 13,889 | $0.00 Strike: $12.01 | $0.00 |
DisclosureSEC source: 0001179110-19-001070 · edgar.xml · derivative · entry 2 Young Kenneth M · CIK 0001365572 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,889 Underlying: Class A Common Stock · 13,889 shares Expires 2023-12-13 Read SEC document |
| December 13, 2018 Filed Jan 30, 2019 01:20 UTC | Franchise Group, Inc. TAX · Entity 110293 | GrantRestricted Stock Units · Derivative | 1,804 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-19-001070 · edgar.xml · derivative · entry 1 Young Kenneth M · CIK 0001365572 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,804 Underlying: Class A Common Stock · 1,804 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit represents the right to receive, at settlement, one share of Liberty Tax, Inc. Class A Common Stock. F2 · derivative.exercise_date: The restricted stock unit award was granted on December 13, 2018 and vests in full on December 13, 2019. F2 · derivative.expiration_date: The restricted stock unit award was granted on December 13, 2018 and vests in full on December 13, 2019. Read SEC document |
| October 01, 2018 Filed Oct 3, 2018 21:00 UTC | BRC Group Holdings, Inc. RILY · Entity 6050 | Tax withholdingCommon Stock | 1,996 | $22.01 | $43,931.96 |
DisclosureSEC source: 0001615774-18-010430 · s113109_form4.xml · nonDerivative · entry 1 Young Kenneth M · CIK 0001365572 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,084 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 October 6, 2016. Read SEC document |
| June 19, 2018 Filed Jun 20, 2018 15:17 UTC | ORION ENERGY SYSTEMS, INC. OESX · Entity 6811 | PurchaseCommon Stock | 6,800 | $1.07 | $7,276.00 |
DisclosureSEC source: 0001140361-18-029239 · doc1.xml · nonDerivative · entry 1 Young Kenneth M · CIK 0001365572 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 54,550 Read SEC document |
| June 07, 2018 Filed Jun 11, 2018 21:48 UTC | ORION ENERGY SYSTEMS, INC. OESX · Entity 6811 | GrantCommon Stock | 20,250 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-18-028116 · doc1.xml · nonDerivative · entry 1 Young Kenneth M · CIK 0001365572 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 47,750 F1 · kind: Restricted stock granted to the reporting person under the Orion Energy Systems, Inc. 2016 Omnibus Incentive Plan. The restricted stock vests and becomes exercisable with respect to 1/3 of the restricted stock on each of June 7, 2019, 2020 and 2021, respectively. Read SEC document |
| March 01, 2018 Filed Mar 2, 2018 20:42 UTC | ORION ENERGY SYSTEMS, INC. OESX · Entity 6811 | PurchaseCommon Stock | 10,000 | $0.87 | $8,700.00 |
DisclosureSEC source: 0001140361-18-011592 · doc1.xml · nonDerivative · entry 1 Young Kenneth M · CIK 0001365572 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,500 Read SEC document |
| March 01, 2018 Filed May 10, 2018 19:32 UTC | Globalstar, Inc. GSAT · Entity 3507 | GrantVoting Common Stock | 150,000 | $0.98 | $147,570.00 |
DisclosureSEC source: 0001366868-18-000034 · wf-form4_152598076297159.xml · nonDerivative · entry 2 Young Kenneth M · CIK 0001365572 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 225,000 F2 · security: Award under 2006 Equity Incentive Plan. Award vests as to one-third on each of February 28, 2019, 2020 and 2021. Read SEC document |
| March 01, 2018 Filed May 10, 2018 19:32 UTC | Globalstar, Inc. GSAT · Entity 3507 | GrantVoting Common Stock | 75,000 | $0.98 | $73,785.00 |
DisclosureSEC source: 0001366868-18-000034 · wf-form4_152598076297159.xml · nonDerivative · entry 1 Young Kenneth M · CIK 0001365572 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 75,000 F1 · security: Award under 2006 Equity Incentive Plan. Award vests on December 31, 2018. Read SEC document |
| February 12, 2018 Filed Feb 14, 2018 16:47 UTC | ORION ENERGY SYSTEMS, INC. OESX · Entity 6811 | GrantCommon Stock | 17,500 | $0.80 | $14,000.00 |
DisclosureSEC source: 0001140361-18-007779 · doc1.xml · nonDerivative · entry 1 Young Kenneth M · CIK 0001365572 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,500 F1 · kind: Shares granted in lieu of cash for quarterly retainer and annual Committee Chairman fees pursuant to Issuer's 2016 Omnibus Incentive Plan. Read SEC document |
| June 01, 2017 Filed Jun 5, 2017 18:04 UTC | STANDARD DIVERSIFIED INC. SDOPA · Entity 147791 | OtherClass B Common Stock, par value $0.01 | 2,400 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001571049-17-005700 · t1701768_f4-x4.xml · nonDerivative · entry 2 Young Kenneth M · CIK 0001365572 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,400 F2 · price: 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. Read SEC document |
| June 01, 2017 Filed Jun 5, 2017 18:04 UTC | STANDARD DIVERSIFIED INC. SDOPA · Entity 147791 | OtherClass A Common Stock, par value $0.01 | 2,400 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001571049-17-005700 · t1701768_f4-x4.xml · nonDerivative · entry 1 Young Kenneth M · CIK 0001365572 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,400 F1 · price: 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. 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.