organization · Reporting owner

Nierenberg Investment Management Company, LLC

Disclosed activity across 3 companies

Tapewire entity: 28837
SEC CIK: 0001282683

Reported relationships

Latest disclosed role at each company.

Company	Last reported as	Report date	Published
POTBELLY CORPPBPB · Entity 73914	10% owner	March 28, 2025	March 31, 2025

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.

POTBELLY CORP

Report date March 28, 2025 · Filed March 31, 2025

Jointly reported with Nierenberg David

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	124,167	Reported balance After 2025-03-28 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2025-03-28 · Purchase · Acquired 22,169 · Balance 124,167 F1: This Form 4 is filed jointly by Nierenberg Investment Management Company, Inc. and David Nierenberg. F5: The shares are owned solely by David Nierenberg.
Common StockSEC Table I · non-derivative	IndirectBy: Children	1,590	Reported balance Holding disclosure · report date 2025-03-28 · row 2 Holding and transaction disclosures are not merged. 1 source row Row 2 · Balance 1,590 F1: This Form 4 is filed jointly by Nierenberg Investment Management Company, Inc. and David Nierenberg. F7: Mr. Nierenberg disclaims beneficial ownership of the securities reported herein as beneficially owned directly by his spouse and son except to the extent of his pecuniary interest therein, and this report shall not be deemed to be an admission that Mr. Nierenberg is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. F3: Owned by children living in reporting person's household.
Common StockSEC Table I · non-derivative	IndirectBy: Spouse	3,150	Reported balance Holding disclosure · report date 2025-03-28 · row 3 Holding and transaction disclosures are not merged. 1 source row Row 3 · Balance 3,150 F1: This Form 4 is filed jointly by Nierenberg Investment Management Company, Inc. and David Nierenberg. F7: Mr. Nierenberg disclaims beneficial ownership of the securities reported herein as beneficially owned directly by his spouse and son except to the extent of his pecuniary interest therein, and this report shall not be deemed to be an admission that Mr. Nierenberg is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. F4: Owned by spouse.
Common StockSEC Table I · non-derivative	IndirectBy: The D3 Family Fund, L.P.	887,555	Reported balance Holding disclosure · report date 2025-03-28 · row 4 Holding and transaction disclosures are not merged. 1 source row Row 4 · Balance 887,555 F1: This Form 4 is filed jointly by Nierenberg Investment Management Company, Inc. and David Nierenberg. F6: Each of the reporting persons disclaims beneficial ownership of these securities except to the extent of the reporting person's pecuniary interest therein. F2: Nierenberg Investment Management Company ("NIMCO") is the sole general partner of The D3 Family Fund, LP, The D3 Family Bulldog Fund, LP, and the Benedict Value Fund, LP and the sole investment manager of Haredale Ltd. (collectively, the "Funds"). Mr. Nierenberg is the president of NIMCO. By virtue of these relationships, each of the Reporting Persons may be deemed to beneficially own the securities owned directly by the Funds.
Common StockSEC Table I · non-derivative	IndirectBy: The D3 Family Bulldog Fund, L.P.	1,561,985	Reported balance Holding disclosure · report date 2025-03-28 · row 5 Holding and transaction disclosures are not merged. 1 source row Row 5 · Balance 1,561,985 F1: This Form 4 is filed jointly by Nierenberg Investment Management Company, Inc. and David Nierenberg. F6: Each of the reporting persons disclaims beneficial ownership of these securities except to the extent of the reporting person's pecuniary interest therein. F2: Nierenberg Investment Management Company ("NIMCO") is the sole general partner of The D3 Family Fund, LP, The D3 Family Bulldog Fund, LP, and the Benedict Value Fund, LP and the sole investment manager of Haredale Ltd. (collectively, the "Funds"). Mr. Nierenberg is the president of NIMCO. By virtue of these relationships, each of the Reporting Persons may be deemed to beneficially own the securities owned directly by the Funds.
Common StockSEC Table I · non-derivative	IndirectBy: Haredale Ltd.	105,469	Reported balance Holding disclosure · report date 2025-03-28 · row 6 Holding and transaction disclosures are not merged. 1 source row Row 6 · Balance 105,469 F1: This Form 4 is filed jointly by Nierenberg Investment Management Company, Inc. and David Nierenberg. F6: Each of the reporting persons disclaims beneficial ownership of these securities except to the extent of the reporting person's pecuniary interest therein. F2: Nierenberg Investment Management Company ("NIMCO") is the sole general partner of The D3 Family Fund, LP, The D3 Family Bulldog Fund, LP, and the Benedict Value Fund, LP and the sole investment manager of Haredale Ltd. (collectively, the "Funds"). Mr. Nierenberg is the president of NIMCO. By virtue of these relationships, each of the Reporting Persons may be deemed to beneficially own the securities owned directly by the Funds.
Common StockSEC Table I · non-derivative	IndirectBy: Benedict Value Fund, L.P.	425,555	Reported balance Holding disclosure · report date 2025-03-28 · row 7 Holding and transaction disclosures are not merged. 1 source row Row 7 · Balance 425,555 F1: This Form 4 is filed jointly by Nierenberg Investment Management Company, Inc. and David Nierenberg. F6: Each of the reporting persons disclaims beneficial ownership of these securities except to the extent of the reporting person's pecuniary interest therein. F2: Nierenberg Investment Management Company ("NIMCO") is the sole general partner of The D3 Family Fund, LP, The D3 Family Bulldog Fund, LP, and the Benedict Value Fund, LP and the sole investment manager of Haredale Ltd. (collectively, the "Funds"). Mr. Nierenberg is the president of NIMCO. By virtue of these relationships, each of the Reporting Persons may be deemed to beneficially own the securities owned directly by the Funds.

Filing footnotes · ownership attribution and instrument terms

F1: This Form 4 is filed jointly by Nierenberg Investment Management Company, Inc. and David Nierenberg.

F2: Nierenberg Investment Management Company ("NIMCO") is the sole general partner of The D3 Family Fund, LP, The D3 Family Bulldog Fund, LP, and the Benedict Value Fund, LP and the sole investment manager of Haredale Ltd. (collectively, the "Funds"). Mr. Nierenberg is the president of NIMCO. By virtue of these relationships, each of the Reporting Persons may be deemed to beneficially own the securities owned directly by the Funds.

F3: Owned by children living in reporting person's household.

F4: Owned by spouse.

F5: The shares are owned solely by David Nierenberg.

F6: Each of the reporting persons disclaims beneficial ownership of these securities except to the extent of the reporting person's pecuniary interest therein.

F7: Mr. Nierenberg disclaims beneficial ownership of the securities reported herein as beneficially owned directly by his spouse and son except to the extent of his pecuniary interest therein, and this report shall not be deemed to be an admission that Mr. Nierenberg is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.

Past disclosures · reporting ended (2)

No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.

Houston Wire & Cable CO

Report date June 15, 2021 · Filed June 21, 2021

Jointly reported with Nierenberg David

Section 16 reporting ended · disclosed 2021-06-21. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosure context
COMMON STOCKSEC Table I · non-derivative	IndirectBy D3 Family Fund LP	Reported balance After 2021-06-15 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2021-06-15 · Disposition to issuer · Disposed 664,888 · Balance 0 F1: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of March 24, 2021, by and among the Omni Cable, LLC, OCDFH Acquisition Sub Inc. ("Merger Sub") and Houston Wire & Cable Company (the "Issuer"), effective as of the effective time of the merger of Merger Sub with and into the Issuer (the "Merger"), these shares of the Issuer's common stock were canceled and converted into the right to receive $5.30 in cash per share (the "Merger Consideration"). F2: Nierenberg Investment Management Company ("NIMCO") is the sole general partner of The D3 Family Fund, LP and The D3 Family Bulldog Fund, LP, and the sole investment manager of Haredale Ltd. (collectively, the "Funds"). Mr. Nierenberg is the president of NIMCO. By virtue of these relationships, each of the Reporting Persons may be deemed to beneficially own the securities owned directly by the Funds.
COMMON STOCKSEC Table I · non-derivative	IndirectBy D3 Family Bulldog Fund LP	Reported balance After 2021-06-15 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 2 · 2021-06-15 · Disposition to issuer · Disposed 1,314,254 · Balance 0 F1: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of March 24, 2021, by and among the Omni Cable, LLC, OCDFH Acquisition Sub Inc. ("Merger Sub") and Houston Wire & Cable Company (the "Issuer"), effective as of the effective time of the merger of Merger Sub with and into the Issuer (the "Merger"), these shares of the Issuer's common stock were canceled and converted into the right to receive $5.30 in cash per share (the "Merger Consideration"). F2: Nierenberg Investment Management Company ("NIMCO") is the sole general partner of The D3 Family Fund, LP and The D3 Family Bulldog Fund, LP, and the sole investment manager of Haredale Ltd. (collectively, the "Funds"). Mr. Nierenberg is the president of NIMCO. By virtue of these relationships, each of the Reporting Persons may be deemed to beneficially own the securities owned directly by the Funds.
COMMON STOCKSEC Table I · non-derivative	IndirectBy Haredale LTD	Reported balance After 2021-06-15 transaction · row 3 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 3 · 2021-06-15 · Disposition to issuer · Disposed 64,216 · Balance 0 F1: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of March 24, 2021, by and among the Omni Cable, LLC, OCDFH Acquisition Sub Inc. ("Merger Sub") and Houston Wire & Cable Company (the "Issuer"), effective as of the effective time of the merger of Merger Sub with and into the Issuer (the "Merger"), these shares of the Issuer's common stock were canceled and converted into the right to receive $5.30 in cash per share (the "Merger Consideration"). F2: Nierenberg Investment Management Company ("NIMCO") is the sole general partner of The D3 Family Fund, LP and The D3 Family Bulldog Fund, LP, and the sole investment manager of Haredale Ltd. (collectively, the "Funds"). Mr. Nierenberg is the president of NIMCO. By virtue of these relationships, each of the Reporting Persons may be deemed to beneficially own the securities owned directly by the Funds.

Filing footnotes · ownership attribution and instrument terms

F1: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of March 24, 2021, by and among the Omni Cable, LLC, OCDFH Acquisition Sub Inc. ("Merger Sub") and Houston Wire & Cable Company (the "Issuer"), effective as of the effective time of the merger of Merger Sub with and into the Issuer (the "Merger"), these shares of the Issuer's common stock were canceled and converted into the right to receive $5.30 in cash per share (the "Merger Consideration").

F2: Nierenberg Investment Management Company ("NIMCO") is the sole general partner of The D3 Family Fund, LP and The D3 Family Bulldog Fund, LP, and the sole investment manager of Haredale Ltd. (collectively, the "Funds"). Mr. Nierenberg is the president of NIMCO. By virtue of these relationships, each of the Reporting Persons may be deemed to beneficially own the securities owned directly by the Funds.

RIVERVIEW BANCORP INC

Report date July 22, 2026 · Filed July 24, 2026

Section 16 reporting ended · disclosed 2026-07-24. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectBy: Haredale Ltd.	79,388	Last balance in matching sequence After 2026-07-24 transaction · row 3 Source-order balances reconcile. Account continuity and personal attribution are not independently verified. 3 source rows Row 1 · 2026-07-22 · Sale · Disposed 5,000 · Balance 89,388 F2: Each of the reporting persons disclaims beneficial ownership of these securities except to the extent of the reporting person's pecuniary interest therein. F1: Nierenberg Investment Management Company ("NIMCO") is the sole general partner of The D3 Family Fund, LP and The D3 Family Bulldog Fund, LP, and the sole investment manager of Haredale Ltd. (collectively, the "Funds"). Damon Benedict is the president of NIMCO. By virtue of these relationships, each of the Reporting Persons may be deemed to beneficially own the securities owned directly by the Funds. Row 2 · 2026-07-23 · Sale · Disposed 5,000 · Balance 84,388 F2: Each of the reporting persons disclaims beneficial ownership of these securities except to the extent of the reporting person's pecuniary interest therein. F1: Nierenberg Investment Management Company ("NIMCO") is the sole general partner of The D3 Family Fund, LP and The D3 Family Bulldog Fund, LP, and the sole investment manager of Haredale Ltd. (collectively, the "Funds"). Damon Benedict is the president of NIMCO. By virtue of these relationships, each of the Reporting Persons may be deemed to beneficially own the securities owned directly by the Funds. Row 3 · 2026-07-24 · Sale · Disposed 5,000 · Balance 79,388 F2: Each of the reporting persons disclaims beneficial ownership of these securities except to the extent of the reporting person's pecuniary interest therein. F1: Nierenberg Investment Management Company ("NIMCO") is the sole general partner of The D3 Family Fund, LP and The D3 Family Bulldog Fund, LP, and the sole investment manager of Haredale Ltd. (collectively, the "Funds"). Damon Benedict is the president of NIMCO. By virtue of these relationships, each of the Reporting Persons may be deemed to beneficially own the securities owned directly by the Funds.

Filing footnotes · ownership attribution and instrument terms

F1: Nierenberg Investment Management Company ("NIMCO") is the sole general partner of The D3 Family Fund, LP and The D3 Family Bulldog Fund, LP, and the sole investment manager of Haredale Ltd. (collectively, the "Funds"). Damon Benedict is the president of NIMCO. By virtue of these relationships, each of the Reporting Persons may be deemed to beneficially own the securities owned directly by the Funds.

F2: Each of the reporting persons disclaims beneficial ownership of these securities except to the extent of the reporting person's pecuniary interest therein.

Transaction history

JSON API

Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction date	Company	Activity / security	Shares / units	Reported price	Reported value	Details
July 24, 2026 Filed Jul 24, 2026 22:32 UTC	RIVERVIEW BANCORP INC RSVB · Entity 6745	SaleCommon Stock	5,000	$5.29	$26,450.00	Disclosure SEC source: 0001013594-26-000773 · form4.xml · nonDerivative · entry 3 Nierenberg Investment Management Company, LLC · CIK 0001282683 · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · By: Haredale Ltd. Disclosed balance after: 79,388 F2 · security: Each of the reporting persons disclaims beneficial ownership of these securities except to the extent of the reporting person's pecuniary interest therein. F1 · ownership.nature: Nierenberg Investment Management Company ("NIMCO") is the sole general partner of The D3 Family Fund, LP and The D3 Family Bulldog Fund, LP, and the sole investment manager of Haredale Ltd. (collectively, the "Funds"). Damon Benedict is the president of NIMCO. By virtue of these relationships, each of the Reporting Persons may be deemed to beneficially own the securities owned directly by the Funds. Read SEC document
July 23, 2026 Filed Jul 24, 2026 22:32 UTC	RIVERVIEW BANCORP INC RSVB · Entity 6745	SaleCommon Stock	5,000	$5.27	$26,350.00	Disclosure SEC source: 0001013594-26-000773 · form4.xml · nonDerivative · entry 2 Nierenberg Investment Management Company, LLC · CIK 0001282683 · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · By: Haredale Ltd. Disclosed balance after: 84,388 F2 · security: Each of the reporting persons disclaims beneficial ownership of these securities except to the extent of the reporting person's pecuniary interest therein. F1 · ownership.nature: Nierenberg Investment Management Company ("NIMCO") is the sole general partner of The D3 Family Fund, LP and The D3 Family Bulldog Fund, LP, and the sole investment manager of Haredale Ltd. (collectively, the "Funds"). Damon Benedict is the president of NIMCO. By virtue of these relationships, each of the Reporting Persons may be deemed to beneficially own the securities owned directly by the Funds. Read SEC document
July 22, 2026 Filed Jul 24, 2026 22:32 UTC	RIVERVIEW BANCORP INC RSVB · Entity 6745	SaleCommon Stock	5,000	$5.25	$26,250.00	Disclosure SEC source: 0001013594-26-000773 · form4.xml · nonDerivative · entry 1 Nierenberg Investment Management Company, LLC · CIK 0001282683 · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · By: Haredale Ltd. Disclosed balance after: 89,388 F2 · security: Each of the reporting persons disclaims beneficial ownership of these securities except to the extent of the reporting person's pecuniary interest therein. F1 · ownership.nature: Nierenberg Investment Management Company ("NIMCO") is the sole general partner of The D3 Family Fund, LP and The D3 Family Bulldog Fund, LP, and the sole investment manager of Haredale Ltd. (collectively, the "Funds"). Damon Benedict is the president of NIMCO. By virtue of these relationships, each of the Reporting Persons may be deemed to beneficially own the securities owned directly by the Funds. Read SEC document
March 28, 2025 Filed Mar 31, 2025 09:30 UTC	POTBELLY CORP PBPB · Entity 73914	PurchaseCommon Stock	22,169	$9.36	$207,501.84	Disclosure SEC source: 0001013594-25-000434 · form4.xml · nonDerivative · entry 1 Nierenberg David · CIK 0001040899 · 10% owner Nierenberg Investment Management Company, Inc. · CIK 0001282683 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 124,167 F1 · security: This Form 4 is filed jointly by Nierenberg Investment Management Company, Inc. and David Nierenberg. F5 · security: The shares are owned solely by David Nierenberg. Read SEC document
January 07, 2025 Filed Jan 10, 2025 19:45 UTC	POTBELLY CORP PBPB · Entity 73914	PurchaseCommon Stock	100	$9.24	$924.00	Disclosure SEC source: 0001013594-25-000034 · form4.xml · nonDerivative · entry 2 Nierenberg David · CIK 0001040899 · 10% owner Nierenberg Investment Management Company, Inc. · CIK 0001282683 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 101,998 F1 · security: This Form 4 is filed jointly by Nierenberg Investment Management Company, Inc. and David Nierenberg. F5 · security: The shares are owned solely by David Nierenberg. Read SEC document
January 07, 2025 Filed Jan 10, 2025 19:45 UTC	POTBELLY CORP PBPB · Entity 73914	PurchaseCommon Stock	7,500	$9.23	$69,225.00	Disclosure SEC source: 0001013594-25-000034 · form4.xml · nonDerivative · entry 1 Nierenberg David · CIK 0001040899 · 10% owner Nierenberg Investment Management Company, Inc. · CIK 0001282683 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 101,898 F1 · security: This Form 4 is filed jointly by Nierenberg Investment Management Company, Inc. and David Nierenberg. F5 · security: The shares are owned solely by David Nierenberg. Read SEC document
December 18, 2024 Filed Dec 20, 2024 16:37 UTC	POTBELLY CORP PBPB · Entity 73914	PurchaseCommon Stock	3,150	$9.34	$29,421.00	Disclosure SEC source: 0001013594-24-001027 · form4.xml · nonDerivative · entry 2 Nierenberg David · CIK 0001040899 · 10% owner Nierenberg Investment Management Company, Inc. · CIK 0001282683 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Plan reported Ownership: Indirect · By Spouse Disclosed balance after: 3,150 F1 · security: This Form 4 is filed jointly by Nierenberg Investment Management Company, Inc. and David Nierenberg. Nierenberg Investment Management Company ("NIMCO") is the sole general partner of The D3 Family Fund, LP, The D3 Family Bulldog Fund, LP, and the Benedict Value Fund, LP and the sole investment manager of Haredale Ltd. (collectively, the "Funds"). Mr. Nierenberg is the president of NIMCO. By virtue of these relationships, each of the Reporting Persons may be deemed to beneficially own the securities owned directly by the Funds. F4 · security: Mr. Nierenberg disclaims beneficial ownership of the securities reported herein as beneficially owned directly by his spouse and son except to the extent of his pecuniary interest therein, and this report shall not be deemed to be an admission that Mr. Nierenberg is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. F3 · ownership.nature: Owned by spouse. Read SEC document
December 18, 2024 Filed Dec 20, 2024 16:37 UTC	POTBELLY CORP PBPB · Entity 73914	PurchaseCommon Stock	1,590	$9.40	$14,946.00	Disclosure SEC source: 0001013594-24-001027 · form4.xml · nonDerivative · entry 1 Nierenberg David · CIK 0001040899 · 10% owner Nierenberg Investment Management Company, Inc. · CIK 0001282683 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Plan reported Ownership: Indirect · By Children Disclosed balance after: 1,590 F1 · security: This Form 4 is filed jointly by Nierenberg Investment Management Company, Inc. and David Nierenberg. Nierenberg Investment Management Company ("NIMCO") is the sole general partner of The D3 Family Fund, LP, The D3 Family Bulldog Fund, LP, and the Benedict Value Fund, LP and the sole investment manager of Haredale Ltd. (collectively, the "Funds"). Mr. Nierenberg is the president of NIMCO. By virtue of these relationships, each of the Reporting Persons may be deemed to beneficially own the securities owned directly by the Funds. F4 · security: Mr. Nierenberg disclaims beneficial ownership of the securities reported herein as beneficially owned directly by his spouse and son except to the extent of his pecuniary interest therein, and this report shall not be deemed to be an admission that Mr. Nierenberg is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. F2 · ownership.nature: Owned by children living in reporting person's household. Read SEC document
August 07, 2024 Filed Aug 7, 2024 18:39 UTC	POTBELLY CORP PBPB · Entity 73914	PurchaseCommon Stock	3,382	$6.62	$22,388.84	Disclosure SEC source: 0001013594-24-000623 · form4.xml · nonDerivative · entry 9 Nierenberg Investment Management Company, Inc. · CIK 0001282683 · 10% owner Nierenberg David · CIK 0001040899 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · Haredale Ltd. Disclosed balance after: 105,469 F1 · security: This Form 4 is filed jointly by Nierenberg Investment Management Company, Inc. and David Nierenberg. F3 · security: Each of the reporting persons disclaims beneficial ownership of these securities except to the extent of the reporting person's pecuniary interest therein. F2 · ownership.nature: Nierenberg Investment Management Company ("NIMCO") is the sole general partner of The D3 Family Fund, LP, The D3 Family Bulldog Fund, LP, and the Benedict Value Fund, LP and the sole investment manager of Haredale Ltd. (collectively, the "Funds"). Mr. Nierenberg is the president of NIMCO. By virtue of these relationships, each of the Reporting Persons may be deemed to beneficially own the securities owned directly by the Funds. Read SEC document
August 07, 2024 Filed Aug 7, 2024 18:39 UTC	POTBELLY CORP PBPB · Entity 73914	PurchaseCommon Stock	12,915	$6.62	$85,497.30	Disclosure SEC source: 0001013594-24-000623 · form4.xml · nonDerivative · entry 8 Nierenberg Investment Management Company, Inc. · CIK 0001282683 · 10% owner Nierenberg David · CIK 0001040899 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · The D3 Family Bulldog Fund, L.P. Disclosed balance after: 1,561,985 F1 · security: This Form 4 is filed jointly by Nierenberg Investment Management Company, Inc. and David Nierenberg. F3 · security: Each of the reporting persons disclaims beneficial ownership of these securities except to the extent of the reporting person's pecuniary interest therein. F2 · ownership.nature: Nierenberg Investment Management Company ("NIMCO") is the sole general partner of The D3 Family Fund, LP, The D3 Family Bulldog Fund, LP, and the Benedict Value Fund, LP and the sole investment manager of Haredale Ltd. (collectively, the "Funds"). Mr. Nierenberg is the president of NIMCO. By virtue of these relationships, each of the Reporting Persons may be deemed to beneficially own the securities owned directly by the Funds. Read SEC document
August 07, 2024 Filed Aug 7, 2024 18:39 UTC	POTBELLY CORP PBPB · Entity 73914	PurchaseCommon Stock	7,097	$6.62	$46,982.14	Disclosure SEC source: 0001013594-24-000623 · form4.xml · nonDerivative · entry 7 Nierenberg Investment Management Company, Inc. · CIK 0001282683 · 10% owner Nierenberg David · CIK 0001040899 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · The D3 Family Fund, L.P. Disclosed balance after: 887,555 F1 · security: This Form 4 is filed jointly by Nierenberg Investment Management Company, Inc. and David Nierenberg. F3 · security: Each of the reporting persons disclaims beneficial ownership of these securities except to the extent of the reporting person's pecuniary interest therein. F2 · ownership.nature: Nierenberg Investment Management Company ("NIMCO") is the sole general partner of The D3 Family Fund, LP, The D3 Family Bulldog Fund, LP, and the Benedict Value Fund, LP and the sole investment manager of Haredale Ltd. (collectively, the "Funds"). Mr. Nierenberg is the president of NIMCO. By virtue of these relationships, each of the Reporting Persons may be deemed to beneficially own the securities owned directly by the Funds. Read SEC document
August 06, 2024 Filed Aug 7, 2024 18:39 UTC	POTBELLY CORP PBPB · Entity 73914	PurchaseCommon Stock	749	$6.59	$4,935.91	Disclosure SEC source: 0001013594-24-000623 · form4.xml · nonDerivative · entry 6 Nierenberg Investment Management Company, Inc. · CIK 0001282683 · 10% owner Nierenberg David · CIK 0001040899 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · Haredale Ltd. Disclosed balance after: 102,087 F1 · security: This Form 4 is filed jointly by Nierenberg Investment Management Company, Inc. and David Nierenberg. F3 · security: Each of the reporting persons disclaims beneficial ownership of these securities except to the extent of the reporting person's pecuniary interest therein. F2 · ownership.nature: Nierenberg Investment Management Company ("NIMCO") is the sole general partner of The D3 Family Fund, LP, The D3 Family Bulldog Fund, LP, and the Benedict Value Fund, LP and the sole investment manager of Haredale Ltd. (collectively, the "Funds"). Mr. Nierenberg is the president of NIMCO. By virtue of these relationships, each of the Reporting Persons may be deemed to beneficially own the securities owned directly by the Funds. Read SEC document
August 06, 2024 Filed Aug 7, 2024 18:39 UTC	POTBELLY CORP PBPB · Entity 73914	PurchaseCommon Stock	2,859	$6.59	$18,840.81	Disclosure SEC source: 0001013594-24-000623 · form4.xml · nonDerivative · entry 5 Nierenberg Investment Management Company, Inc. · CIK 0001282683 · 10% owner Nierenberg David · CIK 0001040899 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · The D3 Family Bulldog Fund, L.P. Disclosed balance after: 1,549,070 F1 · security: This Form 4 is filed jointly by Nierenberg Investment Management Company, Inc. and David Nierenberg. F3 · security: Each of the reporting persons disclaims beneficial ownership of these securities except to the extent of the reporting person's pecuniary interest therein. F2 · ownership.nature: Nierenberg Investment Management Company ("NIMCO") is the sole general partner of The D3 Family Fund, LP, The D3 Family Bulldog Fund, LP, and the Benedict Value Fund, LP and the sole investment manager of Haredale Ltd. (collectively, the "Funds"). Mr. Nierenberg is the president of NIMCO. By virtue of these relationships, each of the Reporting Persons may be deemed to beneficially own the securities owned directly by the Funds. Read SEC document
August 06, 2024 Filed Aug 7, 2024 18:39 UTC	POTBELLY CORP PBPB · Entity 73914	PurchaseCommon Stock	1,571	$6.59	$10,352.89	Disclosure SEC source: 0001013594-24-000623 · form4.xml · nonDerivative · entry 4 Nierenberg Investment Management Company, Inc. · CIK 0001282683 · 10% owner Nierenberg David · CIK 0001040899 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · The D3 Family Fund, L.P. Disclosed balance after: 880,458 F1 · security: This Form 4 is filed jointly by Nierenberg Investment Management Company, Inc. and David Nierenberg. F3 · security: Each of the reporting persons disclaims beneficial ownership of these securities except to the extent of the reporting person's pecuniary interest therein. F2 · ownership.nature: Nierenberg Investment Management Company ("NIMCO") is the sole general partner of The D3 Family Fund, LP, The D3 Family Bulldog Fund, LP, and the Benedict Value Fund, LP and the sole investment manager of Haredale Ltd. (collectively, the "Funds"). Mr. Nierenberg is the president of NIMCO. By virtue of these relationships, each of the Reporting Persons may be deemed to beneficially own the securities owned directly by the Funds. Read SEC document
August 05, 2024 Filed Aug 7, 2024 18:39 UTC	POTBELLY CORP PBPB · Entity 73914	PurchaseCommon Stock	6,618	$6.48	$42,884.64	Disclosure SEC source: 0001013594-24-000623 · form4.xml · nonDerivative · entry 3 Nierenberg Investment Management Company, Inc. · CIK 0001282683 · 10% owner Nierenberg David · CIK 0001040899 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · Haredale Ltd. Disclosed balance after: 101,338 F1 · security: This Form 4 is filed jointly by Nierenberg Investment Management Company, Inc. and David Nierenberg. F3 · security: Each of the reporting persons disclaims beneficial ownership of these securities except to the extent of the reporting person's pecuniary interest therein. F2 · ownership.nature: Nierenberg Investment Management Company ("NIMCO") is the sole general partner of The D3 Family Fund, LP, The D3 Family Bulldog Fund, LP, and the Benedict Value Fund, LP and the sole investment manager of Haredale Ltd. (collectively, the "Funds"). Mr. Nierenberg is the president of NIMCO. By virtue of these relationships, each of the Reporting Persons may be deemed to beneficially own the securities owned directly by the Funds. Read SEC document
August 05, 2024 Filed Aug 7, 2024 18:39 UTC	POTBELLY CORP PBPB · Entity 73914	PurchaseCommon Stock	25,268	$6.48	$163,736.64	Disclosure SEC source: 0001013594-24-000623 · form4.xml · nonDerivative · entry 2 Nierenberg Investment Management Company, Inc. · CIK 0001282683 · 10% owner Nierenberg David · CIK 0001040899 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · The D3 Family Bulldog Fund, L.P. Disclosed balance after: 1,546,211 F1 · security: This Form 4 is filed jointly by Nierenberg Investment Management Company, Inc. and David Nierenberg. F3 · security: Each of the reporting persons disclaims beneficial ownership of these securities except to the extent of the reporting person's pecuniary interest therein. F2 · ownership.nature: Nierenberg Investment Management Company ("NIMCO") is the sole general partner of The D3 Family Fund, LP, The D3 Family Bulldog Fund, LP, and the Benedict Value Fund, LP and the sole investment manager of Haredale Ltd. (collectively, the "Funds"). Mr. Nierenberg is the president of NIMCO. By virtue of these relationships, each of the Reporting Persons may be deemed to beneficially own the securities owned directly by the Funds. Read SEC document
August 05, 2024 Filed Aug 7, 2024 18:39 UTC	POTBELLY CORP PBPB · Entity 73914	PurchaseCommon Stock	13,886	$6.48	$89,981.28	Disclosure SEC source: 0001013594-24-000623 · form4.xml · nonDerivative · entry 1 Nierenberg Investment Management Company, Inc. · CIK 0001282683 · 10% owner Nierenberg David · CIK 0001040899 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · The D3 Family Fund, L.P. Disclosed balance after: 878,887 F1 · security: This Form 4 is filed jointly by Nierenberg Investment Management Company, Inc. and David Nierenberg. F3 · security: Each of the reporting persons disclaims beneficial ownership of these securities except to the extent of the reporting person's pecuniary interest therein. F2 · ownership.nature: Nierenberg Investment Management Company ("NIMCO") is the sole general partner of The D3 Family Fund, LP, The D3 Family Bulldog Fund, LP, and the Benedict Value Fund, LP and the sole investment manager of Haredale Ltd. (collectively, the "Funds"). Mr. Nierenberg is the president of NIMCO. By virtue of these relationships, each of the Reporting Persons may be deemed to beneficially own the securities owned directly by the Funds. Read SEC document
June 15, 2021 Filed Jun 21, 2021 15:30 UTC	Houston Wire & Cable CO HWCC · Entity 138073	Disposition to issuerCOMMON STOCK	64,216	Not disclosed	Not disclosed	Disclosure SEC source: 0001356949-21-000013 · primary_doc.xml · nonDerivative · entry 3 Nierenberg David · CIK 0001040899 · Director · 10% owner Nierenberg Investment Management Company, Inc. · CIK 0001282683 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Haredale LTD Disclosed balance after: 0 F1 · price: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of March 24, 2021, by and among the Omni Cable, LLC, OCDFH Acquisition Sub Inc. ("Merger Sub") and Houston Wire & Cable Company (the "Issuer"), effective as of the effective time of the merger of Merger Sub with and into the Issuer (the "Merger"), these shares of the Issuer's common stock were canceled and converted into the right to receive $5.30 in cash per share (the "Merger Consideration"). F2 · ownership.nature: Nierenberg Investment Management Company ("NIMCO") is the sole general partner of The D3 Family Fund, LP and The D3 Family Bulldog Fund, LP, and the sole investment manager of Haredale Ltd. (collectively, the "Funds"). Mr. Nierenberg is the president of NIMCO. By virtue of these relationships, each of the Reporting Persons may be deemed to beneficially own the securities owned directly by the Funds. Read SEC document
June 15, 2021 Filed Jun 21, 2021 15:30 UTC	Houston Wire & Cable CO HWCC · Entity 138073	Disposition to issuerCOMMON STOCK	1,314,254	Not disclosed	Not disclosed	Disclosure SEC source: 0001356949-21-000013 · primary_doc.xml · nonDerivative · entry 2 Nierenberg David · CIK 0001040899 · Director · 10% owner Nierenberg Investment Management Company, Inc. · CIK 0001282683 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By D3 Family Bulldog Fund LP Disclosed balance after: 0 F1 · price: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of March 24, 2021, by and among the Omni Cable, LLC, OCDFH Acquisition Sub Inc. ("Merger Sub") and Houston Wire & Cable Company (the "Issuer"), effective as of the effective time of the merger of Merger Sub with and into the Issuer (the "Merger"), these shares of the Issuer's common stock were canceled and converted into the right to receive $5.30 in cash per share (the "Merger Consideration"). F2 · ownership.nature: Nierenberg Investment Management Company ("NIMCO") is the sole general partner of The D3 Family Fund, LP and The D3 Family Bulldog Fund, LP, and the sole investment manager of Haredale Ltd. (collectively, the "Funds"). Mr. Nierenberg is the president of NIMCO. By virtue of these relationships, each of the Reporting Persons may be deemed to beneficially own the securities owned directly by the Funds. Read SEC document
June 15, 2021 Filed Jun 21, 2021 15:30 UTC	Houston Wire & Cable CO HWCC · Entity 138073	Disposition to issuerCOMMON STOCK	664,888	Not disclosed	Not disclosed	Disclosure SEC source: 0001356949-21-000013 · primary_doc.xml · nonDerivative · entry 1 Nierenberg David · CIK 0001040899 · Director · 10% owner Nierenberg Investment Management Company, Inc. · CIK 0001282683 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By D3 Family Fund LP Disclosed balance after: 0 F1 · price: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of March 24, 2021, by and among the Omni Cable, LLC, OCDFH Acquisition Sub Inc. ("Merger Sub") and Houston Wire & Cable Company (the "Issuer"), effective as of the effective time of the merger of Merger Sub with and into the Issuer (the "Merger"), these shares of the Issuer's common stock were canceled and converted into the right to receive $5.30 in cash per share (the "Merger Consideration"). F2 · ownership.nature: Nierenberg Investment Management Company ("NIMCO") is the sole general partner of The D3 Family Fund, LP and The D3 Family Bulldog Fund, LP, and the sole investment manager of Haredale Ltd. (collectively, the "Funds"). Mr. Nierenberg is the president of NIMCO. By virtue of these relationships, each of the Reporting Persons may be deemed to beneficially own the securities owned directly by the Funds. Read SEC document
March 16, 2020 Filed Mar 17, 2020 17:16 UTC	Houston Wire & Cable CO HWCC · Entity 138073	PurchaseCOMMON STOCK	31,950	$2.00	$63,900.00	Disclosure SEC source: 0001356949-20-000005 · primary_doc.xml · nonDerivative · entry 3 Nierenberg David · CIK 0001040899 · Director · 10% owner Nierenberg Investment Management Company, Inc. · CIK 0001282683 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · BY HAREDALE LTD Disclosed balance after: 64,216 F1 · security: This Form 4 is filed jointly by David Nierenberg and Nierenberg Investment Management Company, Inc. Solely Mr. Nierenberg is a Director of the Issuer. F2 · security: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein. The filing of this Form 4 shall not be deemed an admission that the Reporting Persons are, for purposes of Section 13(d) of the Securities Exchange Act of 1934, as amended, the beneficial owners of any securities of the Issuer he or it does not directly own. F3 · ownership.nature: NIERENBERG INVESTMENT MANAGEMENT COMPANY ("NIMCO") IS THE SOLE GENERAL PARTNER OF THE D3 FAMILY FUND, LP AND THE D3 FAMILY BULLDOG FUND, LP, AND THE SOLE INVESTMENT MANAGER OF HAREDALE LTD. (COLLECTIVELY, THE "FUNDS"). MR. NIERENBERG IS THE PRESIDENT OF NIMCO. BY VIRTUE OF THESE RELATIONSHIPS, EACH OF THE REPORTING PERSONS MAY BE DEEMED TO BENEFICIALLY OWN THE SECURITIES OWNED DIRECTLY BY THE FUNDS. Read SEC document
March 16, 2020 Filed Mar 17, 2020 17:16 UTC	Houston Wire & Cable CO HWCC · Entity 138073	PurchaseCOMMON STOCK	252,800	$2.00	$505,600.00	Disclosure SEC source: 0001356949-20-000005 · primary_doc.xml · nonDerivative · entry 2 Nierenberg David · CIK 0001040899 · Director · 10% owner Nierenberg Investment Management Company, Inc. · CIK 0001282683 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · BY D3 FAMILY BULLDOG FUND LP Disclosed balance after: 1,314,254 F1 · security: This Form 4 is filed jointly by David Nierenberg and Nierenberg Investment Management Company, Inc. Solely Mr. Nierenberg is a Director of the Issuer. F2 · security: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein. The filing of this Form 4 shall not be deemed an admission that the Reporting Persons are, for purposes of Section 13(d) of the Securities Exchange Act of 1934, as amended, the beneficial owners of any securities of the Issuer he or it does not directly own. F3 · ownership.nature: NIERENBERG INVESTMENT MANAGEMENT COMPANY ("NIMCO") IS THE SOLE GENERAL PARTNER OF THE D3 FAMILY FUND, LP AND THE D3 FAMILY BULLDOG FUND, LP, AND THE SOLE INVESTMENT MANAGER OF HAREDALE LTD. (COLLECTIVELY, THE "FUNDS"). MR. NIERENBERG IS THE PRESIDENT OF NIMCO. BY VIRTUE OF THESE RELATIONSHIPS, EACH OF THE REPORTING PERSONS MAY BE DEEMED TO BENEFICIALLY OWN THE SECURITIES OWNED DIRECTLY BY THE FUNDS. Read SEC document
March 16, 2020 Filed Mar 17, 2020 17:16 UTC	Houston Wire & Cable CO HWCC · Entity 138073	PurchaseCOMMON STOCK	115,050	$2.00	$230,100.00	Disclosure SEC source: 0001356949-20-000005 · primary_doc.xml · nonDerivative · entry 1 Nierenberg David · CIK 0001040899 · Director · 10% owner Nierenberg Investment Management Company, Inc. · CIK 0001282683 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · BY D3 FAMILY FUND LP Disclosed balance after: 664,888 F1 · security: This Form 4 is filed jointly by David Nierenberg and Nierenberg Investment Management Company, Inc. Solely Mr. Nierenberg is a Director of the Issuer. F2 · security: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein. The filing of this Form 4 shall not be deemed an admission that the Reporting Persons are, for purposes of Section 13(d) of the Securities Exchange Act of 1934, as amended, the beneficial owners of any securities of the Issuer he or it does not directly own. F3 · ownership.nature: NIERENBERG INVESTMENT MANAGEMENT COMPANY ("NIMCO") IS THE SOLE GENERAL PARTNER OF THE D3 FAMILY FUND, LP AND THE D3 FAMILY BULLDOG FUND, LP, AND THE SOLE INVESTMENT MANAGER OF HAREDALE LTD. (COLLECTIVELY, THE "FUNDS"). MR. NIERENBERG IS THE PRESIDENT OF NIMCO. BY VIRTUE OF THESE RELATIONSHIPS, EACH OF THE REPORTING PERSONS MAY BE DEEMED TO BENEFICIALLY OWN THE SECURITIES OWNED DIRECTLY BY THE FUNDS. 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.